Design and Construction Water Works (COTM HEng4142)

Course Handout

Debre Markos University

Institute of Technology
Department of Hydraulic and Water Resource Engineering
 Course outline

1. Introduction to water resource development project

1.1. Purpose of water works
1.2. Classification of water works projects
1.3. Water requirement for various water resource projects
2. Hydraulic structures
2.1. Dams
2.2. Classification of dams
2.3. Site Selection of dams
2.4. Concrete dams (Design and Construction)
2.4.1. Types and load acting
2.4.2. Design of concrete gravity dam
2.4.3. Construction of concrete dams
2.5. Earth and rock fill dams (Design and Construction)
2.5.1. Parts and appurtenances
2.5.2. Factor of safety determination and safety requirements
2.5.3. Seepage and drainage
2.5.4. Construction of embankment dams
3. Spill ways
3.1. Types of spillways
3.2. Location of spillways
3.3. Energy dissipation
3.4. Construction of spillways
4. Introduction to tunneling
4.1. Site selection
4.2. Methods and equipment of construction
5. Introduction to hydropower plants
5.1. Types of hydropower plants
5.2. Construction consideration of the plant
6. Introduction to irrigation engineering
6.1. irrigation water needs (crope water demand)

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 6.2. frequency of irrigation
6.3. irrigation intake structures
6.4. irrigation water distribution
6.5. irrigation water application method
References:
1. Garg S.K. 2001 Hydraulic structure and irrigation engineering Kana Publishers, New
Delhi
2. Bougin, A. 1953. The Design of Dams, Sir Issac Pittman & Sons.
3. Casagrande, A. 1973. Embankment Dam Engineering, John Wiley and Sons.
4. Craig, R.F. 1992. Soil Mechanics. Fifth Edition. Chapman & Hall.
5. Bell, F. G. 1993. Engineering Geology. First Edition, Blackwell Scientific Publications.
6. Thomas, H. H. 1976. The Engineering of Large Dams, Part 1& 2, John Wiley and Sons.
7. Wahlstrom, E. E. 1974. Dams, Dam Foundations, and Reservoir Sites. Elsevier Scientific
Publishing Company.
8. Wilson, E. M. 1990. Engineering Hydrology, Fourth Edition. Macmillan.
9. Any related book to Hydraulic structures and Hydropower development

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 Chapter One

1. INTRODUCTION

1.0. General
Water-works construction concerned with the utilization of water, control of water, and water
quality management. Water is utilized for various beneficial purposes such as irrigation, water
supply, hydropower and navigation. Water is controlled and regulated for a variety of purposes
such as flood control, land drainage, sewerage and bridges so that it does not cause damage to
property, inconvenience to the public, or loss of life. Water-quality management or pollution
control is also an important phase of water resources engineering to maintain the required quality
of water for municipal and irrigation uses and to preserve the environment and ecological
balance.
The development of water resources of a region requires the conception, planning, design,
construction, and operation of various facilities to utilize and control water, and to maintain
water quality. Because each water-development project is unique, it is not possible to give a
standard solution. The special conditions of each project should be tackled through an integrated
application of the fundamental knowledge of many disciplines.
The Planning of a water-resources development project involves systematic consideration of the
original statement of purpose, evaluation of alternatives and the final decision. It forms the basis
for the decision to accept or to reject a particular project. It involves a thorough study of various
alternatives, selecting the best alternative and the methods for the implementing the same to
achieve the optimum benefits. It is the most important aspect of the total engineering for the
project. Planning is relatively easier if there is only one objective to be achieved. In multiple
objectives, the planning becomes more difficult. The planning of the entire river-basin consisting
of a number of projects is even more difficult because whatever is done at one site, it would
affect other projects elsewhere in the basin. The planning of a water-resources development
project generally consists of the following steps:
(1) Statement of objectives,
(2) Collection of data (e.g., location, size, physiography, climate, history, ,population,
Precipitation, evaporation, transpiration, stream flow, sediment, water quality, rock and

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 soil type, ground water, minerals, erosion, topographic and other maps of the area, type
of vegetation, fish and wild life, population statistics, data of people and various
institutions, various industries, means of transportation, market, tourism, recreation, land,
taxes, water rights, population control, land zoning, land ownership, administrative
pattern, types and locations of various projects, opinions of different sections of society,
land classification, crop water requirements, climatic data, types of crops, drinking water
needs, industrial water needs, quality of water, need of power, variation of power
demands, alternate energy sources, record of past floods, extent of damage caused, storm-
water drainage requirements, existing water traffic patterns, alternate means of transport,
existing recreational facilities, natural attractions, scenic data, existing waste discharge
methods, location, time and character of waste, water pollution regulations, quality
standards, type of fish and wild life, their migratory habits, protection requirements, etc),
(3) Future projections,
(4) Project formulation,
(5) Project evaluation, and
(6) Environmental considerations

1.1. Purpose of water works

The water-works development projects are planned to serve various purposes as follows:
(A) Main Purposes: The following are the main purposes:
1. Irrigation: The objective of irrigation is to increase the agricultural production. Various
works required for irrigation are dams, reservoirs, wells, canals, distribution systems,
drainage facilities, farmland grading, etc.
2. Hydroelectric powers: The objective of hydroelectric power development is generation of
electric powers for economic development and improving living standards. The works
include forebay, penstocks, turbines, generators, transformers, transmission lines, etc.
3. Flood control: Flood control works are required for prevention or reduction of flood
damage, protection of areas, river regulation, recharging of water, etc. The various works
and measures include dams, storage reservoirs, levees, flood walls, channel
improvements, flood ways, flood-plain zoning, flood forecasting, etc.
4. Domestic and industrial water supply: The objective to be achieved is to provide safe and
adequate water for domestic, industrial, commercial, municipal and other uses. The
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 various works and measures adopted are dams, reservoirs, wells, conduits, pumping
plants, treatment plants, distribution systems, etc.
5. Navigation: Inland navigation facilities are provided for transportation of goods and
passengers. The various works and measures adopted are dams, reservoirs, canals, locks,
channel improvement, harbour improvement, etc.
(B) Secondary Purposes: The following secondary purposes are also served by various projects.
1. Recreational: The objective is to provide recreational facilities for the health and welfare of
the people. Various works and measures include reservoirs, swimming pools, facilities for
boating and water sports, preservation of scenic beauty, etc.
2. Fish and wild life: The objectives in this case are improvement of habitat for fish and wild
life, prevention of loss of fish and wild life, enhancement of sport facilities, expansion of
commercial fishing, etc. The various works and measures are wild life refuges, fish hatcheries,
fish ladders, reservoirs, regulation of stream flows, pollution control, land management, etc.
3. Drainage control: The objectives of drainage control are better agricultural production, urban
development, protection of public health, prevention of water logging and salinity, etc. The
various works and measures are ditches, tile drains, levees, pumping stations, etc.
4. Watershed management: The various objectives of the watershed management are
conservation and improvement of soil, sediment reduction, runoff retardation, forest and grass
land improvement, etc. The various works and measures include soil-conservation practices,
forest and range management practices, debris detention dams, small reservoirs and farm ponds.
5. Sediment control: The objectives are reduction or control of silt load in streams, prevention
of silting of reservoirs, preservation of fertility of soil, etc. The various works and measures
adopted include soil conservation, afforestation, desilting works, revetment works, bank
stabilization, check dams, special reservoir operation, etc.
6. Salinity control: The objective is abatement or prevention of contamination of agricultural,
industrial and municipal water supplies by different salts. The various works and measures
include reservoirs for augmentation of low stream flows, barriers, ground water recharge, coastal
jetties, etc.
7. Pollution abatement: The objectives is protection or improvement of quality of water
supplies for municipal, domestic, industrial and agriculture, aquatic life and recreation. The

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various works and measures include treatment facilities, reservoirs for augmenting low flows,
sewage-collection systems, legal measures to control pollution, cleaning of polluted rivers, etc.
8. Insect control: The objective is protection of public health, recreational values, forests, crops,
and land. The various works and measures include drainage, extermination measures, proper
design and operation of reservoirs and associated works.
9. Artificial precipitation: The objective is to induce artificial precipitation within
meteorological limits of the basin. The various works and measures include cloud-seeding
equipment, meteorological instrumentation, etc.
(C) Miscellaneous Purposes: In addition to above main and secondary purposes, water
resources development projects serve the following miscellaneous purposes:
1. Employment: The objective is to provide employment and other sources for increased income
in backward areas having a lot of unemployment and underdevelopment.
2. Acceleration of public works: The objective is to accelerate the construction of various
public works for the development of region. Sometimes, the projects are planned that they may
be executed on cost-sharing basis among various agencies, such as central government, state
government, local bodies and private organization, to accelerate the development.
3. Development of new water resources policies: The objective is to initiate new policies for
the development, composition, formulation and execution of the water-resources projects.

1.2. Classification

The water-works development projects are usually classified on the basis of the number of
purposes serves.
(1) Single purpose projects: These projects are designed and operated to serve only one
basic purpose.
(2) Multipurpose projects: These projects are designed and operated to serve two or
more purposes.
It may be noted that a project which is designed for single purpose but which incidentally also
serves other purposes is not a multipurpose project. Most of the major water-resources
development projects in India are multipurpose projects. These projects are designed to serve a
number of purposes to make effective use of water resources of the country. Although water
resources are quite abundant but because the population is also increasing at a fast rate, it is
desirable that the maximum use shall be made of the available water resources by developing
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multipurpose projects. Moreover, multipurpose projects are generally more economically viable
because the increase in costs is often not proportional to the increase in benefits. Additional
benefits are, therefore, obtained with a small increase in cost.

1.3. Water Requirements of Multipurpose Projects

As discussed above, a multipurpose project is designed to serve a number of purposes. The

purposes usually served are irrigation, hydropower, flood control, water supply, navigation,
recreation, fish and wild life and sanitation. The water requirements for these functions are quite
different. The successful use of stored water in a multipurpose project can be made for various
purposes after studying the various requirements. If these requirements are compatible, the stored
water is used more effectively because it would simultaneously serve more than one purpose.
Water requirements for various functions are briefly reviewed below:
1. Irrigation: Water requirements for irrigation in Ethiopia are mostly seasonal. The maximum
demand of water for irrigation is during the winter months for “belg” crops. However, there
is usually a small demand of water for “meher” crops during the summer months just prior to
the onset of the “kiremt”. Water requirements for irrigation are generally higher in a year of
low rainfall. But the average demand does not vary greatly from year to year if the irrigated
area remains the same. Because irrigation is a sort of insurance against drought, it is desirable
to reserve as much storage as possible for irrigation use.
2. Hydropower: Water requirements for hydropower depend upon the type of area served. The
power demand generally has a marked seasonal variation. However, most of the hydropower
plants are connected to a power grid and, therefore, there is considerable flexibility in their
operation. The water requirements for hydropower can generally be coordinated with other
uses of water. During the period when hydropower production is low, thermal and nuclear
plants can be run to full capacity. Moreover, hydropower production does not make
consumptive use of water as the water released for hydropower can serve other purposes.
Thus, hydropower production is quite compatible with other uses. Water released for
irrigation and water supply may be used to produce hydropower. However, when irrigation
demands are low in the rainy season, water has to be released only for hydropower. If the
power production is limited only during the period when irrigation demand exists, the load
factors for the plant will go down and there will be a loss in overall efficiency.

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3. Flood control: The basic requirement for flood control is that there should be a lot of empty
space in the reservoir so that the flood water can be stored. The flood control use is,
therefore, not compatible with other uses which require that adequate water should be stored
in the reservoir. However, the flood control requirement is seasonal as it is only during the
rainy season.
4. Water supply: Requirements for domestic water supply are more or less constant throughout
the year. However, the demand is somewhat more during the summer months. With an
increase in population, the water demand increases from year to year, and this factor should
be considered while planning a water supply project. Adequate reserve should be maintained
to avoid water shortage during the periods of drought.
5. Navigation: Requirements for inland navigation are that there should be adequate flow in the
river to maintain the required water depth. Water is released from a storage reservoir to
sustain downstream flow for navigation. There is a marked seasonal variation in the demand.
Generally, peak releases are required during the summer months when the natural flow is
low.
6. Recreation: The basic requirements for recreation is that the reservoir should remain nearly
full during the recreation season to permit boating, fishing, swimming and other water sports.
Moreover, there should not be sudden large draw downs which may create several problems.
However, reservoirs are seldom designed to serve recreation alone. The reservoirs designed
for other purposes may have recreation as an incidental purpose.
7. Fish and wild life: For protection of fish, there should not be large and rapid fluctuations in
water level of the reservoir, particularly during the spawning period. Moreover, the flow of
water of downstream of the dam should not be completely stopped, as it would lead to the
destruction of fish and wild life. Fish ladders or other suitable arrangements are required at
the dams to permit migratory fish to travel upstream as well as downstream. However, the
construction of a reservoir causes a major change in habitat for existing fish and wild life,
and there may be a decrease or an increase in species of fish and wild life.
8. Sanitation: The requirement for proper sanitation is that there should be adequate flow
downstream of the dam. Sanitation requirements are compatible with other uses as these can
be easily combined with the release of water for other uses. Sometimes there is another

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 requirement in some areas that the reservoir should be operated such that there is less
mosquito growth. This is usually achieved by causing rapid fluctuations of water level.

Chapter Two
1.4. Hydraulic Structures

1.5. General

2.1.1. Reservoir

A reservoir is a large, artificial lake created by constructing a dam across a river (look the Figs
below). Broadly speaking, any water pool or a lake may be termed a reservoir. However, the
term reservoir in water resources engineering is used in a restricted sense for a comparatively
large body of water stored on the upstream of a dam constructed for this purpose. Thus, a dam
and a reservoir exist together. The discharge in a river generally varies considerably during
different periods of a year. This is especially so for a country like Ethiopia in which about 75%
of the total precipitation occurs during the KIREMT season from June to September. Most of the
rivers carry very little or no water during BEGA period.
During the period of low flow, it is not possible to meet the water demands for various purposes
such as irrigation, water supply and hydroelectric power. To regulate the water supplies, a
reservoir is created on the river to store water during the rainy season. The stored water is later
released during the period of low flows to meet the demand. In the KIREMT season, the
reservoir store excess water when the discharge in the river is high. Thus besides releasing the
water during the period of low flows, the reservoirs also help in flood control.

2.1.2. Types of Reservoirs

If a reservoir serves only one purpose, it is called a single-purpose reservoir. On the other hand,
if it serves more than one purpose, it is termed a multipurpose reservoir. Because in most of the
cases, a single purpose reservoir is not economically feasible, it is the general practice in India to
develop multipurpose reservoirs. The various purposes served by a multipurpose reservoir
include
(i) irrigation
(ii) municipal and industrial water supply,

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 (iii)flood control
(iv) hydropower,
(v) navigation,
(vi) recreation,
(vii) development of fish and wild life,
(viii) soil conservation
(ix) pollution control and
(x) Mosquito control.
Depending upon the purpose served, the reservoirs may be broadly classified into four types:
(1) Storage (or conservation) reservoirs, (2) Flood control reservoirs, (3) Multipurpose
reservoirs, (4) Distribution reservoirs, and (5) Balancing reservoirs.

2.1.3. Reservoir Capacity

Whatever may be the use of a reservoir, its most important function is to store water during
floods and to release it later. The storage capacity of a reservoir is, therefore, its most important
characteristics. The available storage capacity of a reservoir depends upon the topography of the
site and the height of dam. To determine the available storage capacity of a reservoir up to a
certain level of water, engineering surveys are usually conducted. For preliminary estimates of
the capacity, the topographic maps can be used. These maps are available to a scale of 1:50000
and 1:250000, with contours marked on it. For accurate de-termination of the capacity, a
topographic survey of the reservoir area is usually conducted, and a contour map of the area is
prepared. A contour plan of the area is prepared to a scale of 1:10000 or 1:50000) with a contour
interval of 1 to 3 m, depending upon the size of the reservoir. The storage capacity and the water
spread area at different elevations can be determined from the contour map, as explained below.
In addition to finding out the capacity of a reservoir, the contour map of the reservoir can also
be used to determine the land and property which would be submerged when the reservoir is
filled up to various elevations. It would enable one to estimate the compensation to be paid to the
owners of the submerged property and land. The time schedule, according to which the areas
should be evacuated, as the reservoir is gradually filled, can also be drawn.
(a) Area-Elevation Curve: From the contour plan, the water spread area of the reservoir
at any elevation is determined by measuring the area enclosed by the corresponding
contour. Generally, a planimeter is used for measuring the area. An elevation-area
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 curve is then drawn between the surface area as abscissa and the elevation as
ordinate.

(b) Elevation-Capacity Curve: The storage capacity of the reservoir at any elevation is
determined from the water spread area at various elevations. An elevation-storage volume is
plotted between the storage volume as abscissa and the elevation as ordinate. Generally, the
volume is calculated in Mm3 or M ham

1.6. Dams
A dam is a hydraulic structure of fairly impervious material built across a river to create a
reservoir on its upstream side for impounding water for various purposes. A dam and a reservoir
are complements of each other. A distinction should be made between a weir and a dam. A weir
is also a structure built across a river; however, its purpose is not to store water but to divert it.
Thus, there is no reservoir on the upstream of a weir. If there is a small storage reservoir on its
upstream, the weir is called a storage weir.
Dams are generally constructed in the mountainous reach of the river where the valley is narrow
and the foundation is good. Generally, a hydropower station is also constructed at or near the

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dam site to develop hydropower. Sometimes, a pickup weir is constructed on the downstream of
a dam quite away from it in the boulder reach or the alluvial reach of the river to divert the water
released from the dam into canals for irrigation and other purposes. Dams are probably the most
important hydraulic structure built on the rivers. These are very huge structure. Thousands of
workers and engineers work for a number of years in the construction of a dam.

1.6.1. Classification and Selection of Dams

Dams can be classified according to different criteria, as given below:
(a) Based on Function Served: Depending upon the function served, the dams are of the
following types -
1. Storage dams: Storage (or conservation) dams are constructed to store water during the rainy
season when there is a large flow in the river. The stored water is utilized later during the period
when the flow in the river is reduced and is less than
the demand. The water stored in the reservoir is used
for a number of purposes, such as irrigation, water
supply and hydropower. Storage dams are the most
common type of dams and in general the dam means
a storage dam unless qualified otherwise.
2. Detention dams: Detention dams are constructed
for flood control. A detention dam retards the flow
in the river on its downstream during floods by
storing some flood water. Thus the effect of sudden
floods is reduced to some extent. The water retained
in the reservoir is later released gradually at a controlled rate according to the carrying capacity
of the channel downstream of the detention dam. Thus the area downstream of the dam is
protected against flood.
3. Diversion dams: A diversion dam is constructed for the purpose of diverting water of the
river into an off-taking canal (or a conduit). A diversion dam is usually of low height and has a
small storage reservoir on its upstream. The diversion dam is a sort of storage weir which also
diverts water and has a small storage. Sometimes, the terms weirs and diversion dams are used
synonymously.

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4. Debris dams: A debris dam is constructed to retain debris such as sand, gravel, and drift wood
flowing in the river with water. The water after passing over a debris dam is relatively clear.
5. Coffer dams: A Coffer dams are not actually a dam. It is rather an enclosure constructed
around the construction site to exclude water so that the construction can be done in dry. A coffer
dam is thus a temporary dam constructed for facilitating construction. A coffer dam is usually
constructed on the upstream of the main dam to divert water into a diversion tunnel (or channel)
during the construction of the dam. When the flow in the river during construction of the dam is
not much, the site is usually enclosed by the coffer dam and pumped dry. Sometimes a coffer
dam on the downstream of the dam is also required.
(b) Based on Hydraulic Design: On the basis of hydraulic design, dams may be classified as
1. Overflow dams: An overflow dam is designed to act as an overflow structure. The surplus
water which cannot be retained in the reservoir is permitted to pass over the crest of the overflow
dam which acts as a spillway. The overflow dam is made of a material which does not erode by
the action of overflowing water. Generally, cement concrete is used in overflow dams and
spillways. Most of the gravity dams have overflow sections for some length and the rest of the
length as a non-overflow dam. However, sometimes the entire length of the dam of low height is
designed as an overflow dam. The overflow dam is also called the spillway section.
2. non-overflow dams: A nonoverflow dam is designed such that there is no flow over it.
Because there is no overflow, a
non-overflow dam can be built of
any material, such as concrete,
masonry, earth, rockfill and
timber. As already mentioned, the
non-overflow dam is usually
provided in a part of the total
length of the dam. However,
sometimes the nonoverflow dam
is provided for the entire length and a separate spillway is provided in the flanks or in a saddle
away from the dam. Fig shows a non overflow earth dam.
(c) Based on Materials of Construction: Based on the materials used in construction, the dams
are classified as follows:

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(1) Masonry dam, (2) Concrete dam, (3) Earth dam, (4) Rockfill dam, (5) Timber dam, (6) Steel
dam, (7) Combined concrete-dum-earth dam, and (8) Composite dam.
(d) Based on Rigidity: On the basis of the rigidity, the dams are classified into 2 types:
1. Rigid dams: A rigid dam is quite stiff. It is constructed of stiff materials such as concrete,
masonry, steel and timber. These dams deflect and deform very little when subjected to water
pressure and other forces.
2. Non-rigid dams: A non-rigid dam is relatively less stiff compared to a rigid dam. The dams
constructed of earth and rockfill are non-rigid dams. There are relatively large settlements and
deformations in a non-rigid dam. Rockfill dams are actually neither fully rigid nor fully non-
rigid. These are sometimes classified as semirigid dams.
(e) Based on the structural action: This is the most commonly used classification of dams.
Based on the structural action, the dams are classified as:
(1) Gravity dams, (2) Earth dams, (3) Rockfill dams, (4) Arch dams, (5) Buttress dams, (6) Steel
dams, and (7) Timber
dams.
1. Gravity dams: A
gravity dam resists the
water pressure and other
forces due to its weight (or
gravitational forces). Thus
the stability of a gravity
dam depends upon its
weight. The gravity dams
are usually made of cement
concrete. In the past, the
gravity dams were made of
stone masonry, but now the
masonry dams are rarely
constructed, except for very
small heights. The gravity
dams are generally straight

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in plan (i.e., axis is straight from one abutment to the other) and are called straight gravity dams.
However, sometimes they are slightly curved in plan, with convexity towards the upstream and
are called curved-gravity dams (Hoover dam). The gravity dams are approximately triangular in
cross-section, with apex at the top. The gravity dams are generally more expensive than earth
dams but are more durable. They are quite suitable for the gorges with very steep slopes. They
require strong rock foundation. However, if the foundation consists of soil, the height of the
gravity dams is usually limited to 20 m or so. A gravity dam is called solid gravity dam when it
is a solid mass of concrete (or masonry) with no hollow spaces inside the dam, except for small
drainage galleries or shafts. On the other hand, a hollow gravity dam has large hollow spaces left
within the body of the dam for the purpose of reducing the weight and for more effective use of
concrete for resisting the stresses. Hollow gravity dams are similar to buttress dams. Hollow
gravity dams are rarely constructed these days. Hence, the gravity dam, in general, means a solid
gravity dam. Most of the gravity dams constructed in India are straight solid gravity dams.
Bhakra dam (structural height of 226 m) was the highest concrete gravity dam of the world when
built (surpassing then existing 221 m high Hoover dam in USA). At present, it is second highest
after Grand Dixence Dam in Switzerland (284 m high).
Most of the times the selection of dams takes place after deep site condition, economical and
engineering assessments. In this section some pros and cons discussed for purpose of comparison
and selection
Advantages
a) Gravity dams are quite strong, stable and durable.
b) Gravity dams are quite suitable across moderately wide valleys and gorges having steep
slopes where earth dams, if constructed, might slip.
c) Gravity dams can be constructed to very great heights, provided good rock foundations
are available.
d) Gravity dams are well adapted for use as an overflow spillway section. Earth dams
cannot be used as an overflow section. Even in earth dams, the overflow section is
usually a gravity dam.
e) Gravity dams are specially suited to such areas where there is very heavy downpour. The
slopes of the earth dams might be washed away in such an area.
f) The maintenance cost of a gravity dam is very low.

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 g) The gravity dam does not fail suddenly. There is enough warning of the imminent failure
and the valuable property and human life can be saved to some extent.
h) Gravity dam can be constructed during all types of climatic conditions.
i) The sedimentation in the reservoir on the upstream of a gravity dam can be somewhat
reduced by operation of deep-set sluices.

Disadvantages
a) Gravity dams of great height can be constructed only on sound rock foundations. These
cannot be constructed on weak or permeable foundations on which earth dams can be
constructed. However, gravity dams up to 20 m height can be constructed even when the
foundation is weak.
b) The initial cost of a gravity dam is usually more than that of an earth dam. At the sites
where good earth is available for construction and funds are limited, earth dams are
better.
c) Gravity dams usually take a longer time in construction than earth dams, especially when
mechanised plants for batching, mixing and transporting concrete are not available.
d) Gravity dams require more skilled labour than that in earth dams.
e) Subsequent raising is not possible in a gravity dam.
2. Earth dams: An earth dam is made of earth (or soil). It resists the forces exerted upon it
mainly due to shear strength of the soil. Although the weight of the earth dam also helps in
resisting the forces, the structural behavior of an earth dam is entirely different from that of a
gravity dam. The earth dams are usually built-in wide valleys having flat slopes at flanks
(abutments). The foundation
requirements are less stringent than those
of gravity dams, and hence they can be
built at the sites where the foundations
are less strong. They can be built on all
types of foundations. However, the
height of the dam will depend upon the
strength of the foundation material. The
section of an earth dam can be

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homogeneous when the height of the dam is not great. Generally, the earth dams are of zoned
sections, with an impervious zone (called core) in the middle and relatively pervious zones
(called shells or shoulders) enclosing the impervious zone on both sides. If the earth dam is built
on a pervious foundation, a concrete cutoff wall or a steel sheet pile line is also provided in the
continuation of the core section. Moreover, a drainage filter or a rock toe is provided on the
downstream to carry away the water that seeps through the dam and its foundation. Earth dams
are usually cheaper than the gravity dams if suitable earth in abundant quantity is easily
available near the site. Nowadays majority of dams constructed are of this type. The highest
dams of the world are earth dams (Rongunsky dam Rusia, 325 m and Nurek dam, Rusia, 317 m)
as well as the largest capacity dams (New Cornelia dam, USA and Tarbela dam, Pakistan).
Hirakund dam (Orissa) is the longest earthen dam of the world (25.3 km).
Advantages
a) Earth dams are usually cheaper than gravity dams if suitable earth for construction is
available near the site.
b) Earth dams can be constructed on almost all types of foundations, provided suitable
measures of foundation treatment and seepage control are taken.
c) Earth dams can be constructed in a relatively short period.
d) The skilled labour is not required in construction of an earth dam. Earth dams can be
raised subsequently.
e) Earth dams are aesthetically more pleasing than gravity dams.
f) Earth dams are more earthquake-resistant than gravity dams.
Disadvantages
a) Earth dams are not suitable for narrow gorges with steep slopes.
b) An earth dam cannot be designed as an overflow section. A spillway has to be located
away from the dam.
c) Earth dams cannot be constructed in regions with heavy downpour, as the slopes might
be washed away.
d) The maintenance cost of an earth dam is quite high. It requires constant supervision.
e) Sluices cannot be provided in a high earth dam to remove slit.
f) An earth dam fails suddenly without any sign of imminent failure. A sudden failure
causes havoc and untold miseries.

17
2. Rockfill dams: A rockfill dam is built of rock fragments and boulders of large size. An
impervious membrane is placed on the rockfill on the upstream side to reduce the seepage
through the dam. The membrane is usually made of cement concrete or asphaltic concrete.
In early rockfill dams, steel and timber membrane were also used, but now they are obsolete.
A dry rubble cushion is placed between the rockfill and the membrane for the distribution of
water load and for providing a support to the membrane. Sometimes, the rockfill dams have
an impervious earth core in the middle to check the seepage instead of an impervious
upstream membrane. The earth core is placed against a dumped rockfill. It is necessary to
provide adequate filters between the earth core and the rockfill on the upstream and
downstream sides of the core so that the soil particles are not carried by water and piping
does not occur. The side slopes of rockfill are usually kept equal to the angle of repose of
rock, which is usually taken as 1.4:1 (or 1.3:1). Rockfill dams require foundation stronger
than those for earth dams. However, the foundation requirements are usually less stringent
than those for gravity dams. Rockfill dams are quite economical when a large quantity of
rock is easily available near the site. Mica dam (242 m, Canada), and Chicoasen dam (240
m, Maxico) are highest rockfill dams.
Rockfill dams have almost the same advantages and disadvantages over gravity dams as
discussed for earth dams. However, they have the following particular advantages and
disadvantages over earth dams.
Advantages
(i) Rockfill dams are quite inexpensive if rock fragments are easily available.
(ii) Rockfill dams can be constructed quite rapidly.
(iii) Rockfill dams can better withstand the shocks due to earthquake than earth dams.
(iv) Rockfill dams can be constructed even in adverse climates.
Disadvantages
(i) Rockfill dams require more strong foundations than earth dams.
(ii) Rockfill dams require heavy machines for transporting, dumping and compacting rocks.

18
3. Arch Dams: An arch dam is curved in plan, with its convexity towards the upstream side.
An arch dam transfers the water pressure and other forces mainly to the abutments by arch
action. An arch dam is
quite suitable for narrow
canyons with strong flanks
which are capable of
resisting the thrust
produced by the arch
action. The section of an
arch dam is approximately
triangular like a gravity
dam but the section is
comparatively thinner. The
arch dam may have a
single curvature or double
curvature in the vertical
plane. Generally, the arch
dams of double curvature
are more economical and
are used in practice. The
arch dams are not common in India. Currently the Tekeze project dam is an arch type. there
are many arch dams over 200m Juguri dam (272 m), Russia, Vaiont dam (262 m), Italy,
Manvoisin dam (237 m) Switzerland). The arch dam requires good quality concrete for
resisting the stresses. The quantity of concrete required in an arch dam is less than that for a
gravity dam, but it is not necessarily less expensive because of high cost of concrete and
form work. The arch dams are subjected to large stresses because of changes in temperature
shrinkage of concrete and yielding of abutments.
Advantages
(i) An arch dam requires less concrete as compared to a gravity dam as the section is thinner.
(ii) Arch dams are more suited to narrow, V-shaped valley, having very steep slopes.

19
 (iii) Uplift pressure is not an important factor in the design of an arch dam because the arch dam
has less width and the reduction in weight due to uplift does not affect the stability.
(iv) An arch dam can be constructed on a relatively less strong foundation because a small part
of load is transferred to base, whereas in a gravity dam full load is transferred to base.
Disadvantages
(i) An arch dam requires good rock in the flanks (abutments) to resist the thrust. If the
abutments yield, extra stresses develop which may cause failure.
(ii) The arch dam requires sophisticated formwork, more skilled labour and richer concrete.
(iii) The arch dam cannot be constructed in very cold climates because spalling of concrete
occurs due to alternate freezing and thawing.
(iv) The arch dams are more prone to sabotage.
(v) The speed of construction is relatively slow.
4. Buttress Dams: Buttress dams are of three types:
(i) Deck type, (ii) Multiple arch type, and (iii) Massive-head type.
A deck type buttress dam consists of a sloping deck supported by buttresses. Buttresses are
triangular
concrete walls which transmit the water pressure from the deck slab to the foundation.
Buttresses are compression members. The deck is usually a reinforced concrete slab supported
between the buttresses, which are usually equally spaced. In a multiple-arch type buttress dam
the deck slab is replaced by horizontal arches supported by buttresses. The arches are usually of
small span and made of concrete. In a massive-head type buttress dam, there is no deck slab.
Instead of the deck, the upstream edges of the buttresses are flared to form massive heads which
span the distance between the buttresses. The buttress dams require less concrete than gravity
dams. But they are not necessarily cheaper than the gravity dams because of extra cost of form
work, reinforcement and more skilled labour. The foundation requirements of a buttress dam are
usually less stringent than those in a gravity dam.
Advantages
(i) Buttress dams require less concrete than gravity dams.
(ii) The uplift pressure is generally not a major factor in the design of buttress dams.
(iii) Buttress dams can be constructed on relatively weaker foundations.
(iv) Power house and water treatment plants, etc. can be housed between buttresses.

20
 (v) The ice pressure is relatively less important because ice tends to slide over the inclined deck.
(vi) The vertical component of the water pressure on deck prevents the dam against overturning
and sliding failures.
(vii) Buttress dams can be designed to accommodate moderate movements of foundations
without serious damages.
(viii) Heat dissipation is better in buttress dams. Therefore, the speed of construction is more.
(ix) The back of the deck and the foundation between buttresses are accessible for inspection.
(x) Buttress dams can be easily raised subsequently by extending buttresses and deck slabs.
Disadvantages
(i) Buttress dams require costlier formwork, reinforcement and more skilled labour.
Consequently, the overall cost of construction may be more than that of a gravity dam.
(ii) Buttress dams are more susceptible to damage and sabotage.
(iii) Buttress dams cannot be constructed in very cold climates because of spalling of concrete.
(iv) Because the upstream deck slab is thin, its deterioration may have very serious effect on the
stability.
5. Steel Dams: A steel dam consists of a steel framework, with a steel skin plate on its
upstream face. Steel dams are generally of two types: (i) Direct-strutted steel dams, and (ii)
Cantilever type steel dams. In a direct strutted steel dam, the water pressure is transmitted
directly to the foundation through inclined struts. In a cantilever type steel dam, there is a
bent supporting the upper part of the deck, which is formed into a cantilever truss. This
arrangement introduces a tensile force in the deck girder which can be taken care of by
anchoring it into the foundation at the upstream toe. Hovey suggested that tension at the
upstream toe may be reduced by flattening the slopes of the lower struts in the bent.
However, it would require heavier sections for struts. Another alternative to reduce tension
is to frame together the entire bent rigidly so that the moment due to the weight of the water
on the lower part of the deck is utilized to offset the moment induced in the cantilever. This
arrangement would, however, require bracing and this will increase the cost. No steel dam
has been constructed in India. These are quite costly and are subjected to corrosion. These
dams are almost obsolete. Steel dams are sometimes used as temporary coffer dams during
the construction of the permanent dams. Steel coffer dams are supplemented with timber or

21
 earthfill on the inner side to make them water tight. The area between the coffer dams is
dewatered so that the construction may be done in dry for the permanent dam.
Advantages
a) Steel dams can be constructed with great speeds with the modern methods of fabrication.
b) The steel dams are usually statically determinate. Hence the section can be designed with
more confidence and more economically.
c) Steel dams are usually cheaper than gravity dams.
d) If properly fabricated, there is very little leakage through a steel dam.
e) Steel dam can easily withstand stresses due to unequal settlements.
Disadvantages
a) Steel dam cannot be designed as overflow dams because they are unable to withstand
stresses due to vibrations and shocks of spilling water on thin steel section.
b) Steel dams require strong and deep anchorages in foundation.
c) Steel dams require careful regular maintenance.
d) The life of steel dam is short.
e) There is concentration of bearing stresses at the points of contact of the members.

22
6. Timber Dams: A timber dam consists of a framework made of timber with a facing of timber
planks. The framework is comprised of struts and beams. It transfers the water pressure on the
upstream planks to the foundation. The timber dams are mainly of three types:
(i) A-frame type,
(ii) Rock-filled crib type, and
(iii)Beaver type.
The A-frame type timber dam is built of timbers and planks making the shape of English letter
A. The stability depends upon the weight of the water on the deck and upon anchorage of sills.
The sill is fixed to a ledge rock by wedge bolts or anchor bolts for proper anchorage. The struts
are fixed to the sill and are held in position by cross bracing and batten blocks. The wales are
then fixed on the struts and
the whole structure is
thoroughly drift-pinned to
form a bent. These bents are
usually spaced 2 to 4 m
apart, depending upon the
height of the timber dam and
the size of the timber members used. Transverse members, called studs, are then placed across
the bents, and a suitable lagging is nailed to them to form the upstream deck to retain water.

In rock-filled crib rock type of timber dam, cribs of timber members are drift-bolted together.
The timber members are generally of round or square section and are placed at 2.5 m centres in

23
both directions. The bottom members of the cribs are generally pinned to the rock foundation.
The space between various members is filled with rock fragments or boulders to give stability. A
top plank is then placed on the cribs.
A beaver type timber dam consists of timber members of round section forming a bent. The
butts of all the timber members point
downstream. Spacer logs are placed
between the butts and drift pinned to the
other logs. The tips of the timber members
pointing upstream are also drift pinned
together. The bottom members are fixed
to the foundation with anchor bolts. A
plank is placed on the bent to form a deck. Sometimes, a mat made of brushwood or the branches
of the trees is used as a deck. The upstream slopes are not steeper than 2: 1. This type of timber
dam is used for low heights. Timber dams are generally used as temporary
dams. These are short lived, but if well-designed, constructed and maintained, they may last even
30 - 40 years. The timber dams are used at places where timber is available in plenty and the
height of the dam is low. However, because of shortage of timber, these dams are becoming
obsolete.
Advantages
a) The initial cost of timber dams is low when timber is available in plenty.
b) Timber dams can be constructed on any type of foundation.
c) Timber dams are suitable when construction is for a short period.
d) The design and construction of timber dams is easy.
e) Timber dams can be constructed at a great speed.
Disadvantages
a) The life of timber dams is short.
b) The leakage through a timber dam is quite high.
c) The maintenance cost of a timber dam is high.
d) Timber dams cannot be constructed for great height.
2.3. Concrete Dams (Design & Construction)

24
2.3.1. General
Concrete dams are built in four basic shapes. The concrete gravity dam has weight as its strength.
A cross section of this dam looks like a triangle, and the wide base is about three-fourths of the
height of the dam. Water in the reservoir upstream of the dam pushes horizontally against the
dam, and the weight of the gravity dam pushes downward to counteract the water pressure. The
concrete buttress dam also uses its weight to resist the water force. However, it is narrower and
has buttresses at the base or toe of the dam on the downstream side. These buttresses may be
narrow walls extending out from the face of the dam, much like the "flying buttresses"
supporting cathedral walls or a single buttress rather like a short dam may be built along the
width of the toe of the dam.
The arch dam is one of the most elegant of civil engineering structures. In cross section, the dam
is narrow in width, but, when viewed from above, it is curved so the arch faces the water and the
bowl of the curve looks downstream. This design uses the properties of concrete as its strength.
Concrete is not strong in tension (when it is pulled or stretched), but it is very strong in
compression (when it is pushed or weighed down). The arch dam uses the weight of the water
behind it to push against the concrete and close any joints; the force of the water is part of the
design of the dam. The arch-gravity dam is a combination of the arch type and gravity type, as
the name suggests; it is a wider arch shape. Multiple-arch dams combine the technology of arch
and buttress designs with a number of single arches supported by buttresses.
Concrete dams are used more often than fill dams to produce hydroelectric power because gates
(also called sluices) or other kinds of outlet structures can be built into the concrete to allow for
water to be released from the reservoir in a controlled manner. When water for power, drinking
water, or irrigation is needed downstream, the gates can be opened to release the amount needed
over a specified time. Water can be kept flowing in the river downstream so fish and other
wildlife can survive. Both concrete and fill dams are required to have emergency spillways so
that flood waters can be safely released downstream before the water flows over the top or crest
of the dam and potentially erodes it. Spillways channel the water downstream and well below the
base or toe of the dam so the dam and its foundation are not eroded. Most dams built in the
twentieth century and those being designed today have several purposes. Over 40,000 dams
higher than 45 ft (15 m) and classified as large dams exist, and more than half of these have been
built since 1960. Of these dams, 16% of them are in the United States and 52% are in China;

25
83% are fill dams used primarily for water storage, and the remaining 17% are concrete or
masonry dams with multiple purposes. Dams that generate hydroelectric power produce 20% of
the electricity in the world.

Basic Definitions
• Axis of the dam: The axis of the gravity dam is the line of the upstream edge of the top
(or crown) of the dam. If the upstream face of the dam is vertical, the axis of the dam
coincides with the plan of the upstream edge. In plan, the axis of the dam indicates the
horizontal trace of the upstream edge of the top of the dam. The axis of the dam in plan is
also called the base line of the dam. The axis of the dam in plan is usually straight.
However, in some special cases, it may be slightly curved upstream, or it may consist of a
combination of slightly curved RIGHT portions at ends and a central ABUTMENT
straight portion to take the best advantages of the topography of the site.
• Length of the dam: The length of the dam is the distance from one abutment to the
other, measured along the axis of the dam at the level of the top of the dam. It is the usual
practice to mark the distance from the left abutment to the right abutment. The left
abutment is one which is to the left of the person moving along with the current of water.
• Structural height of the dam: The structural height of the dam is the difference in
elevations of the top of the dam and the lowest point in the excavated foundation. It,
however, does not include the depth of special geological features of foundations such as
narrow fault zones below the foundation. In general, the height of the dam means its
structural height.
• Maximum base width of the dam: The maximum base width of the dam is the
maximum horizontal distance between the heel and the toe of the maximum section of the
dam in the middle of the valley.
• Toe and Heel: The toe of the dam is the downstream edge of the base, and the heel is the
upstream edge of the base. When a person moves along with water current, his toe comes
first and heel comes later.
• Hydraulic height of the dam: The hydraulic height of the dam is equal to the difference
in elevations of the highest controlled water surface on the upstream of the dam (i. e.
FRL) and the lowest point in the river bed.

26
2.3.2. Types and load acting

FORCES
A gravity dam is a solid structure, made of concrete or masonry, constructed across a river to
create a reservoir on its upstream. The section of the gravity dam is approximately triangular in
shape, with its apex at its top and maximum width at bottom. The section is so proportioned that
it resists the various forces acting on it by its own weight. Most of the gravity dams are solid, so
that no bending stress is introduced at any point and hence, they are sometimes known as solid
gravity dams to distinguish them from hollow gravity dams in those hollow spaces are kept to
reduce the weight. Early gravity dams were built of masonry, but now-a-days with improved
methods of construction, quality control and curing, concrete is most commonly used for the
construction of modern gravity dams. A gravity dam is generally straight in plan and, therefore,
it is also called straight gravity dam. However, in some cases, it may be slightly curved in plan,
with its convexity upstream. When the curvature becomes significant, it becomes on arch dam.
The gravity dams are usually provided with an overflow spillway in some portion of its length.
The dam thus consists of two sections; namely, the non-overflow section and the overflow
section or spillway section.
The design of these two sections is done separately because the loading conditions are different.
The overflow section is usually provided with spillway gates. The ratio of the base width to
height of most of the gravity dam is less than 1.0. The upstream face is vertical or slightly
inclined. The slope of the downstream face usually varies between 0.7: 1 to 0.8: 1. Gravity dams
are particularly suited across gorges with very steep side slopes where earth dams might slip.

27
Where good foundations are available, gravity dams can be built upto any height. Gravity dams
are also usually cheaper than earth dams if suitable soils are not available for the construction of
earth dams. This type of dam is the most permanent one, and requires little maintenance.
A gravity dam is subjected to the following main forces:
1. Weight of the dam
2. Water pressure
3. Uplift pressure
4. Wave pressure
5. Earth and Silt pressure
6. Ice pressure
7. Wind pressure
8. Earthquake forces
9. Thermal loads.
These forces fall into two categories as:
a) Forces, such as weight of the dam and water pressure, which are directly calculable from the
unit weights of the materials and properties of fluid pressures; and
b) Forces, such as uplift, earthquake loads, silt pressure and ice pressure, which can only be
assumed on the basis of assumption of varying degree of reliability. It is in the estimating of the
second category of the forces that special care has to be taken and reliance placed on available
data, experience, and judgment.
It is convenient to compute all the forces per unit length of the dam.

1. Weight of the dam

The weight of the dam is the main stabilizing force in a gravity dam. The dead load to be
considered comprises the weight of the concrete or masonry or both plus the weight of such
appurtenances as piers, gates and bridges. The weight of the dam per unit length is equal to the
product of the area of cross-section of the dam and the specific weight (or unit weight) of the
material. The unit weight of concrete and masonry varies considerably depending upon the
various materials that go to make them. It is essential to make certain that the assumed unit
weight for concrete/masonry or both can be obtained with the available aggregates/ stones. The
specific weight of the concrete is usually taken as 24 kN/m3, and that of masonry as 23 kN/m3 in
preliminary designs. However, for the final design, the specific weight is determined from the

28
actual tests on the specimens of materials. It is essential that the actual specific weight of
concrete during the construction of the dam should not be less than that considered in the final
design. Attempts should be made to achieve the maximum possible specific weight. The factors
governing the specific weight of the concrete are water-cement ratio, compaction of concrete and
the unit weight of the aggregates. For high specific weight, the aggregates used should be heavy.
For convenience, the cross-section of the dam is divided into simple geometrical shapes, such as
rectangles and triangles, for the computation of weights. The areas and controids of these shapes
can be easily determined. Thus the weight components W1, W2, W3 etc. can be found along
with their lines of action. The total weight W of the dam acts at the C.G. of its section.

2. Reservoir and Tailwater loads (Water pressure)

The water pressure acts on the upstream and downstream faces of the dam. The water pressure
on the upstream face is the main destabilizing (or overturning) force acting on a gravity dam.
The tail water pressure helps in the stability. The tail water pressure is generally small in
comparison to the water pressure on the upstream face. Although the weight of water varies
slightly with temperature, the variation is usually ignored. In case of low overflow dams, the
dynamic effect of the velocity of approach may be significant and will deserve consideration.
The mass of the water flowing over the top of the spillway is not considered in the analysis since
the water usually approaches spouting velocity and exerts little pressure on the spillway crest. If
gates or other control features are used on the crest they are treated as part of the dam so far as
application of water pressure is concerned. The mass of water is taken as 1000 kg/m3. Linear

29
distribution of the static water pressure acting normal to the face of the dam is assumed.
Tailwater pressure adjusted for any retrogression should be taken at full value for non-overflow
sections and at a reduced value for overflow sections depending on the type of energy dissipation
arrangement adopted and anticipated water surface profile downstream. The full value of
corresponding tailwater should, however, be used in the case of uplift. The water pressure
intensity p (kN/m2) varies linearly with the depth of the water measured below the free surface y

(m) and is expressed as where γw is the specific weight of water (=9.81 kN/m3 for
ρw =1000 kg/m3). For simplification, the specific weight of water may be taken as 10 kN/m3
instead of 9.81 kN/m3. The water pressure always acts normal to the surface. While computing
the forces due to water pressure on inclined surface, it is convenient to determine the components
of the forces in the horizontal and vertical directions instead of the total force on the inclined
surface directly.
• U/s face vertical: When the upstream face of the dam is vertical, the water pressure
diagram is triangular in shape with a pressure intensity of γwh at the base, where h is the
depth of water. The total water pressure per unit length is horizontal and is given by

• It acts horizontally at a height of h/3 above the base of the dam.

• U/s face inclined: When the upstream face ABC is either inclined or partly vertical and
partly inclined, the force due to water pressure can be calculated in terms of the
horizontal component PH and the vertical component PV. The horizontal component is
given as earlier and acts horizontal at a height of (h/3) above the base. The vertical
component PV of water pressure per unit length is equal to the weight of the water in the
prism ABCD per unit length. For convenience, the weight of water is found in two parts
PV1 and PV2 by dividing the trapezium ABCD into a rectangle BCDE and a triangle
ABE. Thus the vertical component
• PV = PV1 + PV2 = weight of water in BCDE + weight of water in ABE. The lines of
action of PV1 and PV2 will pass through the respective centroids of the rectangle and
triangle.

30
Water has a tendency to seep through the pores and fissures of the foundation material. It also
seeps through the joints between the body of the dam and its foundation at the base, and
through the pores of the material in the body of the dam. The seeping water exerts pressure
and must be accounted for in the stability calculations. The uplift pressure is defined as the
upward pressure of water as it flows or seeps through the body of the dam or its foundation.
A portion of the weight of the dam will be supported on the upward pressure of water; hence
net foundation reaction due to vertical force will reduce. The area over which the uplift
pressure acts has been a question of investigation from the early part of this century. One
school of thought recommends that a value one-third to two-thirds of the area should be
considered as effective over which the uplift acts. The second school of thought, recommend
that the effective area may be taken approximately equal to the total area. The code of Indian
Standards recommends that the total area
should be considered as effective to account
for uplift.
According to the Indian Standard (IS: 6512-1984), there are two constituent elements in uplift
pressure: the area factor or the percentage of area on which uplift acts and the intensity factor or
the ratio which the

31
actual intensity of uplift pressure bears to the
intensity gradient extending from head water
to tail water at various points. Effective
downstream drainage, whether natural or
artificial, will generally limit the uplift at the
toe of the dam to tail water pressure. Formed
drains in the body of the dam and drainage
holes drilled subsequent to grouting in the
foundation, where maintained in good repair,
are effective in giving a partial relief to the
uplift pressure intensities under and in the
body of the dam. The degree of effectiveness
of the system will depend upon the character
of the foundation and the dependability of the
effective maintenance of the drainage system.
In any case, observation of the behaviour of
the dam will indicate the uplift pressures
actually, acting on the structure and when the
uplift pressure is seen to approach or exceed
design pressures, prompt remedial measures
should necessarily be taken to reduce the uplift pressures to values below the design
pressures.
These following criteria are recommended by the calculating uplift forces: (a) Uplift pressure
distribution in the body of the dam shall be assumed, in case of both preliminary and final
designs, to have an intensity which at the line at the formed drains exceeds the tailwater pressure
by one-third the differential between reservoir level and tailwater level. The pressure gradient
shall then be extending linearly to heads corresponding to reservoir level and tailwater level. The
uplift shall be assumed to act over 100 percent of the area.
(b) Uplift pressure distribution at the contact plane between the dam and its foundations and
within the foundation shall be assumed for preliminary designs to have an intensity which at the
line of drains exceeds the tailwater pressure by one-third the

32
differential between the reservoir and tailwater heads. The pressure gradient shall then be
extended linearly to heads corresponding to reservoir level and tailwater level. The uplift shall be
assumed to act over 100 % area. For final designs, the uplift criteria in case of dams founded on
compact and unfissured rock shall be as specified above. In case of highly jointed and broken
foundation, however, the pressure distribution may be required to be based on electrical analogy
or other methods of analysis taking into consideration the foundation condition after the
treatment proposed. The uplift shall be assumed to act over 100 % of the
area. (c) In absence of line of drains and for the extreme loading conditions F and G, the
uplift shall be taken as
varying linearly from
the appropriate
reservoir water pressure
at the u/s face to the
appropriate tailwater
pressure at the d/s face.
If the reservoir pressure
at the section under consideration exceeds the vertical normal stress (computed without uplift) at
the u/s face, a horizontal crack is assumed to exist and to extend from the u/s face towards the d/s
face of the dam to the point where the vertical normal stress (computed on the basis of linear
pressure distribution without uplift) is equal to the reservoir pressure at the elevation. The uplift
is assumed to be the reservoir pressure from the u/s face to the end of the crack and from there to
vary linearly to the tailwater pressure at the d/s face. The uplift is assumed to act over 100 % of
the area.
(d) No reduction in uplift is assumed at the d/s toe of spillways on account of the
reduced water surface elevation (relative to normal tailwater elevation) that may be expected
immediately downstream of the structure.
(e) It is assumed that uplift pressures are not affected by earthquakes.
4. Earth and Silt Pressures Gravity dams are subjected to earth pressures on the downstream and
upstream faces where

33
the foundation trench is to he backfilled.
Except in the abutment sections in specific
cases and in the junctions of the dam with an
earth or rockfill embankment, earth pressures
have usually a minor effect on the stability of
the structure and may be ignored.
The present procedure is to treat silt as a
saturated cohesionless soil having full uplift
and whose value of internal friction is not
materially changed on account of
submergence. Experiments indicate that silt
pressure and water pressure exist together in
a submerged fill and that the silt pressure on the dam is reduced in the proportion that the weight
of the fill is reduced by submergence. IS code recommends that a) Horizontal silt and water
pressure is assumed to be equivalent to that of a fluid with a mass of 1360 kg/m3, and b) Vertical
silt and water pressure is determined as if silt and water together have a density of 1925 kg/m3.
5. Ice Pressure
The problem of ice pressure in the design of dam is not encountered in India except, perhaps,
in a few localities. Ice expands and contracts with changes in temperature. In a reservoir
completely frozen over, a drop in the air temperature or in the level of the reservoir water
may cause the opening up of cracks which subsequently fill with water and freezed solid.
When the next rise in temperature occurs, the ice expands and, if restrained, it exerts pressure
on the dam. In some cases, the ice exerts pressure on the dam when the water level rises. For
ice sheets of wide extent this pressure is moderate but in smaller ice sheets the pressure may
be of the same order of magnitude as in the case of extreme temperature variation. Ice is
plastic and flows under sustained pressure. The duration of rise in temperature is, therefore,
as important as the magnitude of the rise in temperature in the determination of the pressure
exerted by ice on the dam. Wind drag also contributes to the pressure exerted by ice to some
extent. Wind drag is dependent on the size and shape of the exposed area, the roughness of
the surface area and the direction of wind. Existing design information on ice pressure is
inadequate and somewhat approximate. Good analytical procedures exist for computing ice

34
pressures, but the accuracy of results is dependent upon certain physical data which have not
been adequately determined. These data should come from field and laboratory. Till specific
reliable procedures become available for the assessment of ice pressure it may be provided
for at the rate of 250 kPa applied to the face of dam over the anticipated area of contact of ice
with the face of dam.
6. Wind Pressure
Wind pressure does exist but is seldom a significant factor in the design of a dam. Wind loads
may, therefore, be ignored.
7. Wave Pressure
In addition to the static water loads the upper portions of dams are subject to the impact of
waves. Wave pressure against massive dams of appreciable height is usually of little
consequence. The force and dimensions of waves depend mainly on the extent and configuration
of the water surface, the velocity of wind and the depth of reservoir water. The height of wave is
generally more important in the determination of the free board
requirements of dams to prevent overtopping by wave splash. An empirical method based upon
research studies on specific cases has been recommended by T. Saville for computation of wave
height hw (m). It takes into account the effect of the shape of reservoir and also wind velocity
over water surface rather than on land by applying necessary correction. It gives the
value of different wave heights and the percentage of waves exceeding these heights so that
design wave height for required exceedance can be selected. Wind velocity of 120 km/h over
water in case of normal pool condition and of 80 km/h over water in case of maximum reservoir
condition should generally be assumed for calculation of wave height if meteorological data is
not available. When maximum wind velocity is known, the same shall be used for full reservoir
level (FRL) condition and 2/3 times that for MWL condition. The maximum unit pressure pw in
kPa occurs at 0.125 hw, above the still water level and is given by the equation:

The wave pressure diagrams can be approximately represented by the triangle l-2-3 as in Fig.

35
The total wave force Pw, (in kN) is given by the area of the triangle,

The centre of application is at a height of 0.375 hw, above the still water level. Sometimes the
following Molitor’s empirical formulae are used to estimate wave height

where Vw = wind velocity in km/hr and F = fetch length of reservoir in km.

8. Thermal Loads
Measures for temperature control of concrete in solid gravity dams are adopted during
construction. Yet it is noticed that stresses in the dam are affected due to temperature variation in
the dam on the basis of data recorded from the thermometer embedded in the body of the dam.
The cyclic variation of air temperature and the solar radiation on the downstream side and the
reservoir temperature on the upstream side also affect the stresses in the dam. Even the deflection
of the dam is maximum in the morning and it goes on reducing to a minimum value in the
evening. The magnitude of deflection is also affected depending on whether the spillway is
running or not. It is generally less when spillway is working than when it is not working. While

36
considering the thermal load, temperature gradients are assumed depending on location,
orientation, surrounding topography, etc.
9. Earthquake Forces
The earthquake sets up primary, secondary, Raleigh and Love waves in the earth's crust. The
waves impart accelerations to the foundations under the dam and. causes its movement. In order
to avoid rupture, the dam must also move along with it. This acceleration introduces an inertia
force in the body of dam and sets up stresses initially in lower layers and gradually in the whole
body of the dam. Earthquakes cause random motion of ground which can be resolved in any
three mutually perpendicular directions. This motion causes the structure to vibrate. The
vibration intensity of ground expected at any location depends upon the magnitude of
earthquake, the depth of focus, distance from the epicenter and the strata on which the structure
stands. The predominant direction of vibration is horizontal. The response of the structure to the
ground vibration is a function of the nature of foundation soil; materials, form, size and mode of
construction of the structure; and the duration and the intensity of ground motion. IS:1893 - 1984
code specifies design seismic coefficient for structures standing on soils or rocks which will not
settle or slide due to loss of strength during vibrations. The seismic coefficients recommended in
this standard are based on design practice conventionally followed and performance of structures
in past earthquakes. In the case of structures designed for horizontal seismic force only, it shall
be considered to act in any one direction at a time. The vertical seismic coefficient shall be
considered in the case of structures in which stability is a criterion of design. For the purpose of
determining the seismic forces, the country is classified into five zones as shown in Fig. The
following assumptions shall be made in the earthquake resistant design of structures: a)
Earthquake causes impulsive ground motion which is complex and irregular in character,
changing in period and amplitude each lasting for small duration. ‘Therefore, resonance of the
type as visualized under steady state sinusoidal excitations will not occur as it would need time
to build up such amplitudes. b) Earthquake is not likely to occur simultaneously with wind or
maximum flood or maximum sea waves. c) The value of elastic modulus of materials, wherever
required, may be taken as for static analysis unless a more definite value is available for use in
such condition. Permissible Increase in Stresses: Whenever earthquake forces are considered
along with other normal design forces, the permissible stresses in materials, in the elastic method
of design, may be increased by one-third. However, for steels having a definite yield stress, the

37
stress be limited to the yield stress; for steels without a definite yield point, the will stress will
be limited to 80 percent of the ultimate strength or 0.2 percent proof stress whichever is smaller
and that in prestressed concrete members, the tensile stress in the extreme fibres of the concrete
may be permitted so as not to exceed 2/3 of the modulus of rupture of concrete. Design Seismic
Coefficient for Different Zones: The earthquake force experienced by a structure depends on its
own dynamic characteristics in addition to those of the ground motion. Response spectrum
method takes into account these characteristics and is recommended for use in case where it is
desired to take such effects into account. For design of other structures an equivalent static
approach employing use of a seismic coefficient may be adopted. As per IS Code, for dams up to
100 m height, the seismic coefficient method shall be used for the design of the dams; while for
dams over 100 m height the response

38
39
2.3.3. Design of concrete gravity dam
Design of a concrete dam depends on the purpose of the dam and the configuration of the site
where it will be built. Dams are of two general types. Overflow dams block flow in a stream and
harness the water for generating power or to improve navigation and provide irrigation water.
The components of an overflow dam are designed so the water can be released and the level of
the water in the reservoir regulated by a series of sluice gates, spillways, or outlet tunnels. Non-
overflow dams store water for drinking water supply, irrigation, or power; they also have a
spillway, but its use is restricted for emergencies to lower the water level quickly during floods.
Methods for releasing the stored water are much more limited than in overflow dams, and the
dam itself may not contain any outlet structures. Instead, water may be pumped out for irrigation,
for example, from part of the reservoir.
Some sites are best suited to particular types of dams. An arch dam is most appropriate for
construction in a high, narrow gorge where the arch of the structural shape provides strength. But
an arch can also be built across a wider canyon where other effects like friction on the base of the
dam add strength and resistance to movement. Similarly, a gravity dam is the typical choice for a
shallow, wide canyon, but if it is built with some curvature, arching action will also strengthen a

40
gravity dam in a narrower and higher gorge. Where the riverbed is exceptionally wide, the dam
may be designed to have several spans, each with different engineering properties depending on
the variation of foundation materials. The separate spans are usually supported on the
downstream (air) side by buttresses or the extended curves of multiple arches. Sometimes, the
spans of multiple span dams are constructed of concrete slabs or steel plates supported on piers.
Like fill dams, concrete dams go through extensive rounds of preliminary design and feasibility
studies to choose and explore the site, to evaluate the quantity of water retained and its value (as
a power source or source of supply) versus the cost of the project over the anticipated years of
operation, to consider a wide range of other effects such as changes to the environment, and to
choose a dam of the optimal size and configuration. Hundreds of factors enter into these studies,
and the process is usually iterative. A design is chosen and tested against all these factors until it
fails to satisfy one or more factors, and the next variation in design is chosen and studied until it
fails—or passes.
The design process for a concrete dam typically involves professionals from a more extensive
range of disciplines than design of a fill dam. The technical professionals who contribute their
expertise to design of a concrete dam may include geologists, seismologists, environmental
scientists, geotechnical (soil) engineers, civil engineers, structural engineers, computer analysts
(specialists in software applications that examine the dam's strength and safety), hydrologists and
hydraulic engineers, mechanical engineers, and electrical engineers if the dam is to be used for
power generation. Still more specialists may study aspects like corrosion of concrete and steel
structures. The teamwork required for dam design and construction is critical not only because of
the enormous costs of these projects but because the safety of persons and property downstream
demands perfection.

41
An example of a typical concrete arch gravity dam plan.

a) Construction of concrete dams

The Construction Process

Raw materials: The key raw materials for concrete dams are concrete itself and steel
reinforcement. number of other materials and components made by specialty contractors may be
used in dam building and include steel gates and tunnel liners, rubber waterstops, plastic joint-
filling compounds to prohibit the movement of water, electrical controls and wiring, siphons,
valves, power generators, a wide assortment of instruments, and even Teflon sheeting to line
water outlet structures to prevent turbulence and cavitation (damage due to swirling water).

Concrete itself is made of cement, water, and materials collectively called aggregate that consist
of sand or gravel. Cement has unique properties that must be considered in selecting the cement,
designing the dam, and timing construction. Mixing of cement and water causes a chemical
reaction that makes concrete hard but that also releases heat. This causes a distinct rise in the
temperature inside a mass of concrete, and, when the concrete begins to cool, it shrinks and
cracks, potentially causing leaks. To limit these effects, concrete can be placed when the air
temperature is low, low-heat cement can be used, and water can be circulated through pipes in
the concrete.

42
Furthermore, the concrete has to be placed in shallow lifts (i.e., only a few feet or meters are
added at a time) and in narrow blocks; then it has to be allowed to cure over a specified
minimum time so the heat dissipates. Depending on the design of the dam, engineers will choose
the concrete mix (including the cement and type of aggregate) very carefully; a thin arch dam is
designed with a different concrete mix than a massive gravity dam.

Before construction can begin on any dam, the water in the streambed must be diverted or
stopped from flowing through the site. As in the case of fill dams, a coffer-dam (a temporary
structure to impound the water) must be built or the water must be diverted into another channel
or area down-stream from the dam site. For large projects, this construction may be done several
seasons before building of the dam begins. The flow of water is closed off at the very last
moment.
The foundation area for any concrete dam must be immaculate before the first concrete for the
dam is placed. As for fill dams, this is a detailed process of excavating, cleaning, and repairing
the rock throughout the foundation "footprint" and on both abutments (the sides of the canyon
that form the ends of the dam). Sites immediately downstream of the dam for any powerplant,
stilling basin, or other structure must also be prepared.
At some sites, extensive work may be required. If the rock in the foundation or abutments is
prone to fracturing because of the load imposed by the dam and its reservoir, earthquake activity,
or the properties of the rock, it may be necessary to install extensive systems of rock bolts or
anchor bolts that are grouted into the rock through potential fracture zones. On the abutments
above the dam, systems of rock bolts and netting may be required to keep large rock fragments
from falling onto the dam. Instruments to monitor groundwater levels, joint movement, potential
seepage, slope movements, and seismic activity are installed beginning during the early stages of
foundation preparation through completion of the dam.
A cutoff wall may be excavated deep into rock or holes may be drilled in the foundation for the
installation of reinforcing steel, called rebars, that extend up into the dam and will be tied to the
steel inside the first lifts of the dam. The idea is to build a reservoir that, like a bowl, is equally
sound around its perimeter. The water is deepest and heaviest at the dam (when the reservoir is
near capacity) so the dam and its foundation cannot be a weak point in that perimeter.

43
Forms made of wood or steel are constructed along the edges of each section of the dam. Rebar
is placed inside the forms and tied to any adjacent rebar that was previously installed. The
concrete is then poured or pumped in. The height of each lift of concrete is typically only 5-10 ft
(1.5-3 m) and the length and width of each dam section to be poured as a unit is only about 50 ft
(15 m). Construction continues in this way as the dam is raised section by section and lift by lift.
Some major dams are built in sections called blocks with keys or inter-locks that link adjacent
blocks as well as structural steel connections.
The process is much like constructing a building except that the dam has far less internal space;
surprisingly, however, major concrete dams have observation galleries at various levels so the
condition of the inside of the dam can be observed for seepage and movement. Inlet and outlet
tunnels or other structures also pass-through concrete dams, making them very different from fill
dams that have as few structures penetrating the mass of the dam as possible.
As soon as a significant portion of the dam is built, the process of filling the reservoir may begin.
This is done in a highly controlled manner to evaluate the stresses on the dam and observe its
early performance. A temporary emergency spillway is constructed if dam building takes more
than one construction season; lengthy construction is usually done in phases called stages, but
each stage is fully complete in itself and is an operational dam. The upstream cofferdam may be
left in place as a temporary precaution, but it is not usually designed to hold more than minimal
stream flows and rainfall and will be dismantled as soon as practical. Depending on design, some
dams are not filled until construction is essentially complete.
The other structures that make the dam operational are added as soon as the elevation of the their
location is reached as the dam rises. The final components are erosion protection on the upstream
(water) side of the dam (and sometimes downstream at the bases of outlet structures),
instruments along the crest (top) of the dam, and roads, side-walks, streetlights, and retaining
walls. A major dam like Hoover Dam has a full-fledged roadway along its crest; small dams will
have maintenance roads that allow single-file access of vehicles only.

44
Cross section of a typical concrete arch gravity dam. The height is 280 ft (85 m). The thickness
grows from 16 ft (4.9 m) at the top to 184 ft (56 m) at the base.
Away from the dam itself, the powerhouse, instrument buildings, and even homes for resident
operators of the dam are also finished. Initial tests of all the facilities of the dam are performed.
The final details of constructions are wrapped up as the dam is put into service. The beginning of
the dam's working life was also carefully scheduled as a design item, so that water is available in
the reservoir as soon as the supply system is ready to pump and pipe it downstream, for example.
A program of operations, routine maintenance, rehabilitation, safety checks, instrument
monitoring, and detailed observation will continue and is mandated by law as long as the dam
exists.

Quality Control
There is no dam construction without intensive quality control. The process of building alone
involves heavy equipment and dangerous conditions for construction workers as well as the
public. The population living downstream of the dam has to be protected over the structure itself;
the professionals who design and construct these projects are absolutely committed to safety, and
they are monitored by local, state, and federal agencies like Divisions of Dam Safety, the U.S.
Corps of Engineers, and the Department of Reclamation.

Byproducts/Waste
There are no byproducts in dam design or construction although a number of other associated or
support facilities may be needed to make the project work. Waste is also minimal because

45
materials are too expensive for waste to be allowed. Also, locations are often remote, and the
process of hauling waste away from the site and disposing it is prohibitive. Soil and rock that
may be excavated from the foundation area, down-stream sites, the abutments, or portions of the
reservoir are usually used elsewhere on the project site. Quantities of materials cut away or
placed as fill are carefully calculated to balance.

TUTORIAL ONE
GRAVITY DAM DESIGN AND ANALYSIS

General Construction
Safety - with the ever-increasing height of dams there is greater need for precautions, especially
against falling objects or persons. Double curvature structures have made access and movement
of personnel difficult. All site personnel must be alert at all time for the accidents that might
happen. The insurance is regular meetings of staff and representatives of the work force, where
knowledge and experience can be pooled - especially in the planning stage of an unusual
operation.
Safety - with the ever-increasing height of dams there is greater need for precautions, especially
against falling objects or persons. Double curvature structures have made access and movement
of personnel difficult. All site personnel must be alert at all time for the accidents that might
happen. The insurance is regular meetings of staff and representatives of the work force, where
knowledge and experience can be pooled - especially in the planning stage of an unusual
operation.

46
(C) Kollgaard & Chadwick, Development of Dam Engineering in the US
Specifications
For all types of dams, the specification should cover the following:
• The required date for completion, with a schedule to indicate dates for completion of
stages of the work;
• The degree of responsibility to be accepted by the Contractor in the dimensioning of
diversion works, for losses due to floods, for river pollution and general care of the river;
• Clearing of the site and works areas;
• The extent of foundation preparation required and the sharing of responsibility for
unforeseen conditions;
• Protection of the environment, disposal of soil, rehabilitation of borrow areas,
beautification, etc.;
• Preliminary work that will be done by the Owner and the degree of responsibility
accepted by the Owner for consequences of such work.
Plant - The cost of purchasing plant and its operation are major items. On a dam involving 2
million cum of concrete, the purchase and operation might each represent 18-20% of the direct

47
cost of the dam. For an embankment dam this may be of the order of 25-35%. It is therefore
important to select the correct plant to achieve optimum cost.
The specification for some major contracts calls for the use of only new plant and the main
advantage is that suitable plant can be matched to the particular job. Material transporters can be
matched to quarry equipment for example. For compaction of embankments - soil or rock, it is
important to select the most appropiate equipment and this can be best determined by means of a
trial embankment. It is also necessary to have a supply of spare parts since many sites are
remote. Plant should be simple and rugged, and preferably modular to simplify the replacement
of parts.
Consistently high quality of materials is the objective of all dam builders and to sacrifice quality
for a doubtful saving in cost is poor engineering.
Cost and its Control - Safety, Time and Cost are interrelated and usually conflicting. Safety is
always paramount, and hence time and cost directly relate to quality and degree of perfection
required. There is an optimum time for any operation and beyond this time will incur extra costs.
Cost is made up of direct charges for manpower and materials, plus overheads and interest.
Interest is out of the control of the Engineer.
With regard to the direct charges, the selection of the type of dam will be the major decision and
this might well be influenced by local conditions rather than mathematical economies.
• Is a labor-intensive job required in the interests of the local community?
• Is skilled labour available?
• What degree of mechanization is desirable or possible at the particular site?
For a concrete dam, for example, the dissection of costs may be;

Materials 25%
Formwork 20%
Plant Purchase 19%
Plant Operation 19%
Placing and consolidation of concrete 4%
Precooling concrete 3%
Concrete Treatment 3%

48
For an embankment dam, for example. the dissection of costs may be;

Quarry Operation 30-40%

Haulage 20-30%
Spreading and Compaction 25-30%
Face rolling, mesh, etc. 15-20%

River Diversion
Regardless of the type of dam, it is necessary to de-water the site for final geological inspection,
for foundation improvement and prepartation, and for the first stage of dam construction. The
magnitude, method and cost of river diversion works will depend upon the cross-section of the
valley, the bed material in the river, the type of dam, the expected hydrological conditions during
the time required for this phase of the work, and finally upon the consequences of failure of any
part of the temporary works.

At most sites it will be necessary to

move the river whilst part of the dam is
constructed; this part will incorporate
either permanent or temporary
openings through which the river will
be diverted in the second stage. If the
first diversion is not large enough the
initial stages of construction will be
inundated, if the second stage outlets
are too small, the whole works will be
flooded.

At some sites there is a distinct seasonal pattern of river flows and advantage can be taken of
such conditions but noting that Nature is random.

Construction of the Hendrik Verwoerd Dam, South Africa required a sophisticated arrangement
of cofferdams. An approach was developed based on the frequency and distribution of floods

49
that could occur over a five year period of construction. The following is an extract of the
original detailed specification:
First Stage (A) -
• Construction from each bank of the river of groynes a short distance upstream of the dam,
to alter the direction of flow and thus to move the low water channel towards the left
bank of the river at the dam site.
• Construction of a semi circular concrete arch cofferdam on the right bank of the river.
• De-watering of this cofferdam and excavation within it for the main dam blocks, the
proportion of the overspill apron and the sections of the mid channel cofferdams.
• Concreting of the dam blocks, numbers 14 to 28 up to a minimum level of 1200 meters,
the portions of the overspill apron and of the mid channel cofferdams within this
cofferdam. In blocks of the dam constructed on this stage, temporary openings were
formed through which the river was later diverted.

Second stage (B) & (C) -

• Construction of a semi-circular arch cofferdam on the left bank of the river.

• Construction of the flanking portions of each of the upstream and downstream mid
channel concrete arch cofferdams which cross the river upstream and downstream of the
central section of the dam.

50
• Excavation of a channel along the right bank, leading to the temporary openings through
the dam, demolition of portions of the right bank cofferdam to permit the diversion of the
river through the temporary openings and such clearing out of the right bank diversion
channel as may be necessary.
• The cutting of a channel through the portion of the right bank groyne adjacent to the bank
to form an entrance to the diversion channel described above.
• The placing of rockfill to connect together the right and left bank groynes so as to divert
the river flow into the right bank diversion channel, thereby cutting down the velocity of
the water in the vicinity of the mid river cofferdams.
• Completion of the upstream mid river cofferdam completion of the downstream mid river
cofferdam.
• Placing of spoil, excavated from the works, in the flood channel on the left bank
upstream of the dam to prevent the river flooding into the area to the protected by the mid
river cofferdams.

51
Third stage (C) & (D) & (E) -

• De-watering of the left bank cofferdam and excavation for the dam blocks and the portion
of the overspill apron within this cofferdam.

52
• Concreting of the dam blocks numbers 9 to 27 to a minimum level of 1206 meters.
• Demolition of the left bank cofferdam.
• Demolition of the remaining portion of the right bank cofferdam within the areas
protected by the mid channel cofferdams.
• The de-watering of the mid channel cofferdam and excavation within it for dam block
numbers 1 to 7 and 2 to 12 and portion of the overspill apron.
• Concreting of dam blocks 1 to 7 and 2 to 12 to such levels that the contraction joints in
the lower part of the dam up to gallery can be grouted.
• Concreting within the mid channel cofferdams of the portion of the overspill apron
downstream of blocks 1 to 7 and 2 to 12.
• Cooling of the concrete and grouting of the dam construction joints.

53
Diversion can also be achieved by means of a tunnel, which depends on the nature of the rock
and depth of weathering and should be far away from the dam itself to not interferre with the
foundations. The tunnel also should be large enough to avoid the possibility of job jams.
(C) Thomas, Henry H. The Engineering of Large Dams
Concrete Dam Construction
Aggregate Production - The acceptability of
natural aggregates is judged upon the physical and
chemical properties of the material and the
accessibility, proximity to the site and economic
workability of the deposit.

Concrete Handling, Placing and Consolidation -

The procedure to be adopted for moving concrete
from the mixers on to the dam will be governed by
site conditions. The problem is to transport it to the dam with the least possible segregation or
change in its consistency so it may be compacted uniformly into the dam without unreasonable
effort. The cableway is probably the simplest arrangement. The tilting mixers will feed the

54
buckets; these are then moved to a pick up point under the cableway, transported smoothly to the
block and emptied quickly through an air operated gate.

Three Tower Cableway

The use of a belt conveyor has also been considered, but problems occur in keeping the belt
temperature stable in warm weather and also in windy conditions. The conveyors are usually
covered and cold air is blown over the concrete to lower its placing temperature.

55
The placing of a low-slump concrete, four layers in 2.3m lift

Tractor mounted vibrators at Emosson Dam, Switzerland

Proper consolidation of low-slump concrete is laborious and requires continuous supervision.

The most efficient compactor is usually the two man hand-held high-speed vibrator.

Formwork - Probably the most widely used lift is 1.5m, however, on large dams a height of 2.3-
3.0m is frequently used. With the larger lifts there are fewer movements of forms and fewer
horizontal lift surfaces to be cleaned. The high-lift formwork is unique and expensive with less
prospect for re-use, heavier equipment is required for lifting the forms and the heat problems and
risks of cracking in the concrete are accentuated. Modern steel formwork is of cantilever design,
see figure. Where possible the use of slip forms will expedite the work and lower the costs. At
some locations it may be expedient to use precast concrete slabs for formwork with set-retarding
agent on the inner surface.

56
Built in items - The installation of built in items is always a major source of delay on
construction. Advance planning is required with close attention to detail. The complication of
installation of reinforcement, prestressing, gate hinges, drainage wells and gate wells are
common on spillways. There has been a tendency to use precast concrete units for galleries to
save time, however this prevents the inspection of the concrete in the interior of the dam. The
simplest method of forming galleries is vertical formwork extending the full height of a lift.
When this is removed, precast concrete beams or slabs can be laid over the opening and
concreted into the next lift. Reinforcement is usually required above and below rectangular
galleries and this is best installed as prefabricated units.

Cooling of Concrete - The method of cooling concrete during the first few days after placing
can be of the utmost importance if cracking is to avoided. It is essential to give attention to both
internal and external factors that may induce cracking;

• Temperature rise, which will depend upon the heat of hydration of the cement, the
quantity of cement per cubic metre, the concrete placing temperature and the rate of
construction;
• Heat dissipation, which will depend upon the conditions of exposure - including the
temperature of the underlying concrete and the thermal diffusivity of the concrete. If it is
considered necessary to heat the underlying concrete the rate of rise of its temperature
should not exceed 2° Celsius per day;

57
 • The effects of restraint from a cold surface, i.e. rock or concrete say 14 days old, it will
depend upon the temperature gradient which can be reduced by placing concrete in half
lifts for a predetermined height, say 3m above the cold surface;
• The arrangement of cooling pipes - at 0.25 and 0.75 of the height of the lift may be more
efficient than on the top of the old lift and at mid-height of the new lift. The horizontal
spacing will depend upon the rate of heat removal required and the temperature of the
cooling water (i.e. river water of varying temperature or refrigerated water);
• The local weather conditions - humidity, temperature and wind.

Economical Construction - Concrete dams are expensive, however mechanisation over the last
40 years has reduced by a factor of four the number of man hours required to place a cubic metre
of concrete in a mass concrete dam. Although every Engineer strives for perfection,
consideration must be given to the degree of perfection that is really necessary. Close co-
operation between the Owner and Contractor will save time and money. Questions have to be
asked at all stages such as;

• Is it permissible to design for tensile stress in the concrete?

• Will arching of the dam result in overall economy?
• Are longitudinal contraction joints necessary in large gravity dams?
• Can the transverse contraction joints be omiited, located at wider spacing etc?
• What clean up is necessary on horizontal construction joints?
• Should the height of lift be specified by the designer?
• Should the cement content of the concrete be specified or only the properties required in
the concrete?
• Can the dams of intricate shape be justified?
• Should ancillary works be separated from the dam to minimise interference with a
continuous or cyclic process of dam building?
• What is the optimum layout and design for galleries?

Looking at the 'Construction - General Section' to see the proportion of costs in a concrete dam,
assumuing that the materials have been predetermined, the Contractor should concentrate on

58
formwork, the purchase of plant and its operation. (C) Thomas, Henry H. The Engineering of
Large Dams

General - Considerable economy can often accrue if there is 'Progressive Design' - the aim is to
provide design flexibility to cover the probability that materials will not be in true accord with
samples tested nor will foundations conform to assumptions.

Phases of Construction -

1. Evaluation of plans, specifications, basic requirement, and features of the site.

2. Planning and scheduling of the job
3. Making the site ready
4. Building up the structure
5. Clean Up

Quarry development and Haul Roads - The quarry site should be determined primarily on the
basis of rock quality, i.e. the fragmented rock must be sound, hard and clean. If the location is
not dictated by rock quality, then it is desirable to separate the quarry and the haul roads from
other works such as the intake, spillway or power station construction. Attention should be given
to environmental factors such as noise, vibration from explosives and dust. In designing the
explosive charge, the form of muck pile must be considered, i.e. for rubber-tyred loaders a wide
low pile thrown well out from the face is desirable for minimum loading costs.

Haul roads must be built to suit the required speed of construction, and this involves the size of
the haulage units. The roads should be at least 13m wide for two way traffic, for preference, on
way traffic should be organised on a large job. The gradients must be such as to give minimum
cost for the vehicles involved. The general layout of haul roads and ramps can be greatly
facilitated with scale models.

Material Compaction -

• Fine - Trial embankments should be constructed to determine relationships between

moisture content, layer thickness, type of roller, number of passes of the roller and the

59
 resulting density and permeability of the fill. Additional water during compaction usually
improves the impermeability of residual soils by a factor of at least ten compared with
compaction on the dry side of optimum moisture content.
• Plastic clays - a little wetter than optimum moisture content, can be compacted by rubber-
tyred rollers, which are water ballasted. A disadvantage of the rubber-tyred roller is that
layer and shear planes tend to form in some materials. Since the fine materials are usually
sensitive to moisture the field Engineer must be extremely weather conscious. If heavy
rain is expected the surface of the fine material should be rolled smooth with sufficient
gradient to shed water from the working area.
• Filter or Transition Material - The thickness of the filter and transition zones will depend
upon the water pressure to be sustained and the materials economically available. For a
large dam the fine filter is often of crushed rock which is expensive. Its width would
normally be the narrowest than can be placed and compacted. Setting out of the zone
boundaries is important, especially for curved dams with a thin fine filter. The number of
passes should be determined such that future settlement of the core and the filter zone
will correspond as closely as possible.
• Rock Compaction - The steel-faced vibratory roller is normally used for the compaction
of rock. On the sloping faces a roller of 1.5t is most useful. The thickness of the layer of
rockfill and the maximum acceptable size for rocks should be regarded as factors
pertinent to the design of the dam.
• Water to aid compaction of rockfill - Wet rock will compact better under rolling than dry
rock. Firstly, the friction is less between the rocks and secondly many rocks lose strength
when wetted so that crushing occurs at points of contact during the third or fourth pass of
the rollers.
• Provision for Instrumentation - This will inconvenience construction and failure of the
equipment to work will represent a financial loss for the cost of its purchase and
installation, and little can be done about it after the dam is built. Vital information about
the behaviour of the dam will be lost if care is not taken in its installation.

60
2.7. Earth and Rock Fill Dams

ICOLD defined an embankment dam as, "any dam constructed of excavated materials placed
without addition of binding materials other than those inherent in the natural material. The
materials are usually obtained at or near the damsite"
The materials available locally control the size and configuration of the dam. Many small
embankment dams are built entirely of a single type of material such as stream alluvium,
weathered bedrock, or glacial till. These are homogeneous dams, constructed more or less of
uniform natural material.
Larger embankment dams are zoned and constructed of a variety of materials, either extracted
from different local sources or prepared by mechanical or hydraulic separation of source material
into fractions with different properties.
An important element in a zoned dam is an impermeable blanket or core which usually consists
of clayey materials obtained locally. In locations where naturally impermeable materials are
unavailable the dams are built of rock or earth-rock aggregates, and the impermeable layers of
reinforced concrete, asphaltic concrete, or riveted sheet steel are placed on the upstream face of
the dam.
Embankment dams have been built on a variety of foundations, ranging from weak glacial
deposits to strong rock. An advantage compared with concrete dams is that the bearing strength
requirements of the foundation are much less. Minor settlement during and after construction is
generally not serious because of the adjustability of the material.
Terminology
Parts of an Earth Dam

61
(C) Sowers, George Earth and Rockfill Dam Engineering
Note : Not all of the above ordinarily would be incorporated in any one dam
Layout of Earthfill Dam Projects
Earthfill dams require ancillary structures for diversion, such as low-level outlets and spillways,
whereas such features can be embodied into concrete dams. Power waterways are much longer,
requiring surge tanks. The layout must be given due consideration to the scheme of diversion and
location of ancillary features.
Earthfill Design
An earth dam is basically a trapezoidal embankment built in a valley to form a water reservoir.
The design has to ensure:

1. It is impermeable enough to prevent excessive loss of water from the reservoir.

2. The design must ensure stable slopes.
3. Settlement of the dam must not be excessive so as to reduce the freeboard of the dam.
4. The upstream slope of the dam must be protected from the destructive action of waves,
and the downstream slope must withstand rainfall erosion.
5. A sufficient bond between the embankment and its foundation must exist to prevent the
development of seepage paths; excessive hydrostatic uplift must be controlled by proper
drainage.
6. Impermeable Zone Location
The location of the impermeable zone in a rockfill dam involves the same factors as it does in the
case of an earth dam.
The upstream deck has a number of advantages:
1. It is more stable under the water load, because the downward force of the water produces
frictional resistance to sliding
2. The permeable rock embankment develops no uplift, since the embankment permits no
movement of water upward from the foundation.
3. The impermeable deck can easily be inspected and repaired if necessary.
4. During construction the height of the dam can be increased by dumping only on the
downstream side and extending the membrane upward on the sloping surface.
The disadvantages of an upstream deck are:

62
 1. The deck is vulnerable to weather and wave attack.
2. If constructed of earth, sudden drawdown greatly reduces its stability and may cause it to
slide.
3. Settlement of the rock embankment tends to produce tensile cracks in the membrane.
The central core location has a number of advantages:
1. The core is equally supported and is more stable during a sudden drawdown (if
constructed from earth).
2. Settlement of the rockfill induces compressive stresses in the core, tending to make it
more compact.
3. There is less core volume and less cross sectional area for leakage for a given height of
dam and thickness of core.
The choice for dams with impermeable zones depends largely on the stability of the core
material. If it is strong, a near upstream location is often the most economical. However, if the
core material is weak a central location is better.

Slope Stability

Introduction

Failure of an embankment dam can result from instability of either the upstream or downstream
slopes. The failure surface may lie within the embankment or may pass through the embankment
and the foundation soil. The critical stages in an upstream slope are at the end of construction
and during rapid drawdown. The critical stages for the downstream slope are at the end of
construction and during steady seepage when the reservoir is full.
It is common to install piezometers to measure pore water pressures and compare data with the
predicted values used in design. Since pore water pressures are a dominant influence on the
factor of safety of slopes, remedial action should be taken if the factor of safety, based on the
measured values, is considered to be too low.
To ensure stability a number of conditions must be investigated:
1. The slopes must be safe against surface slipping. To ensure this the slopes must be no
steeper than the angle of repose
2. The dam must be safe against sliding on the foundation

63
 3. The mass of the embankment must be safe against a circular arc failure or composite
linear failure. This is likely to occur within an earth core or weak foundation
The safety against failure can be increased by reducing the gradient of the slopes.
Homogeneous Embankment
1. Slip within embankment
2. Slip circle through foundation

Zoned Embankment
1. Within rockfill
2. Through rockfill and foundation
3. Through core and foundation

End of construction

Most slope failures occur either during, or at the end of construction. Pore water pressures
depend on the placement water content of the fill and on the rate of construction. A commitment
to achieve rapid completion will result in high pore water pressures at the end of construction.
However, the construction period of an embankment dam is likely to be long enough to allow
partial dissipation of excess pore water pressure, especially for a dam with internal drainage.
Dissipation of excess pore water pressures can be accelerated by installing horizontal drainage
layers within the dam. However, a total stress analysis would result in an over conservative

64
design. An effective stress analysis is therefore preferred. A factor of safety as low as 1.3 may be
acceptable at the end of construction provided there is reasonable confidence in the design data.

Steady seepage

When the reservoir has been full for some time, conditions of steady seepage become established
through the dam with the soil below the top flow line in the fully saturated state. This condition
must be analysed in terms of effective stress with values of pore pressure being determined from
the flow net. The factor of safety for this condition should be at least 1.5. Internal erosion is a
particular danger when the reservoir is full because it can arise and develop within a relatively
short time, seriously impairing the safety of the dam.

Rapid drawdown in low permeability soils

Rapid drawdown of the reservoir after a condition of steady seepage will result in a change in the
pore water pressure distribution. If the permeability of the soil is low, a drawdown period
measured in weeks may be 'rapid' in relation to the dissipation time and the change in pore water
pressure.

Rapid Drawdown in high permeability soils

The pore water pressure distribution after drawdown in soils of high permeability decreases as
pore water drains out of the soil above the drawdown level. The saturation line moves
downwards at a rate dependant upon the permeability of the soil. A series of flow nets can be
drawn for different positions of the saturation line and values of pore water pressure obtained.
The factor of safety can then be determined, using an effective stress analysis, for any position of
the saturation line.

(C) Thomas, Henry H. The Engineering of Large Dams

Settlement

65
Settlement is a problem for embankment dams. It begins during construction and continues for
many years after the dam is complete. The two main causes are:
1. The migration or working of fines from between the points of contact between the larger
rock allows the particles to re-orient themselves into a more dense structure
2. The crushing of the contact points between the larger rocks under the extreme stress
developed by the embankment weight causes the rocks to develop new points of contact
which in turn crush again.
The problem can be avoided by proper compaction during construction. In earthfill dams it may
be possible to overbuild the dam, to make a, say 50% higher dam which will settle to the correct
height. Multi-stage construction also helps.

a. Settlement in section
b. Settlement - elevation
c. Irregular abutment
d. Overhanging abutment
(C) Sowers, George Earth and Rockfill Dam Engineering

Slope Protection

Both faces of an embankment dam must be protected against structural damage. In normal
circumstances the downstream will only be subject to the forces of nature. The upstream face
must be protected against erosion or disturbance by wave action, ice or by impact of floating
debris. Various methods of protection include large rocks (rip-rap), precast concrete forms, soil
cement or the waterproofing membrane of the dam. Protection must be well above and below the
operating range of the reservoir.

66
Soil Cement Slope Protection

Rip-rap size: Mass of individual rock = 1000 x (Wave Height Hs)3 (kg)
The rip-rap must be durable, weatherproof and of good quality sound rock to enable it to
withstand the changing harsh conditions.
(C) Thomas, Henry H. The Engineering of Large Dams
Seepage Paths

Piping

Internal erosion of the foundation or embankment caused by seepage is known as piping.

Generally, erosion starts at the downstream toe and works back toward the reservoir, forming
channels or pipes under the dam. The channels or pipes follow paths of maximum permeability
and may not develop until many years after construction.

Resistance of the embankment or foundation to piping depends on:

1. plasticity of the soil
2. the gradation
3. the degree of compactness

Plastic clays with a plasticity index >15, for both well and poorly compacted are the materials
which are most resistant to piping. Minimum piping resistance is found in poorly compacted,

67
through to well-graded cohesionless soils with practically no binder. It is also found in uniform,
fine, cohesionless sand, even when well compacted. Settlement cracks in resistant materials may
also produce piping. Piping can be avoided by lengthening the flowpaths of water within the
dam and its foundations. This decreases the hydraulic gradient of the water flow and hence its
velocity. The flowpaths can be increased by:

• Cutoff walls

• Impermeable cores

• Impermeable blankets extending upstream from the upstream face

68
 Seepage control

Seepage is the continuous movement of water from the upstream face of the dam toward its
downstream face. The upper surface of this stream of percolating water is known as the phreatic
surface. The phreatic surface should be kept at or below the downstream toe.

The phreatic surface within a dam can be controlled by properly designed cores or walls.
Internal drain systems
Purpose
A homogeneous dam with a height of more than about 6 m to 8 m should have some type of
downstream drain. The purpose of a drain is:
1. to reduce the pore water pressures in the downstream portion of the dam therefore
increasing the stability of the downstream slope against sliding.
2. to control any seepage that exits the downstream portion of the dam and prevent erosion
of the downstream slope: i.e. to prevent 'piping'.
The effectiveness of the drain in reducing pore pressures depends on its location and extent.
However, piping is controlled by ensuring that the grading of the pervious material from which
the drain is constructed meets the filter requirements for the embankment material.
Toe drains
The design of a downstream drainage system is controlled by the height of the dam, the cost and
availability of permeable material, and the permeability of the foundation.

69
For low dams, a simple toe drain can be used successfully. Toe drains have been installed in
some of the oldest homogeneous dams in an effort to prevent softening and erosion of the
downstream toe.

For reservoir depths greater than 15 m, most engineers would place a drainage system further
inside the embankment where it will be more effective in reducing pore pressures and controlling
seepage.
Horizontal drainage blanket
Horizontal drainage blankets are often used for dams of moderate height.
Drainage blankets are frequently used over the downstream one-half or one-third of the
foundation area. The Bureau of Reclamation's 45 m Vega Dam is a homogeneous dam which has
been constructed with a horizontal downstream drain. Where pervious material is scarce, the
internal strip drains can be placed instead since these give the same general effect.
Disadvantages of horizontal drainage blankets
An earth dam embankment tends to be more pervious in the horizontal direction than in the
vertical. Occasionally, horizontal layers tend to be much more impervious than the average
material constructed into the embankment, so the water will flow horizontally on a relatively
impervious layer and discharge on the downstream face despite the horizontal drain.,p> Where
this has occurred the downstream slope is prone to slipping and piping. Repairs can be made by

70
installing pervious blankets on the downstream slopes or constructing vertical drains to connect
with the horizontal blanket. Such vertical drains are normally composed of sand and gravel.
Chimney drains
Chimney drains are an attempt to prevent horizontal flow along relatively impervious stratified
layers, and to intercept seepage water before it reaches the downstream slope. Chimney drains
are often incorporated in high homogeneous dams which have been constructed with inclined or
vertical chimney drains.

In some major dam projects, chimney drains have been inclined at a considerable slope, both
upstream and sometimes downstream. An upstream inclined drain can act as a relatively thin
core. In addition to controlling seepage through the dam and increasing the stability of the
downstream slope, the chimney drain is also useful in reducing pore water pressures both during
construction and following rapid reservoir drawdown.
Dimensions and permeability of drains
The dimensions and permeability of permeable drains must be adequate to carry away the
anticipated flow with an ample margin of safety for unexpected leaks. If the dam and the
foundations are relatively impermeable, then the expected leakage would be low. A drain should
be constructed of material with a coefficient of permeability of at least 10 to 100 times greater
than the average embankment material.

Thin upstream sloping core

In an earth dam with an upstream sloping core of low permeability, the foundation is assumed to
be impermeable and in a steady state. Under steady state conditions the small amount of water
that seeps through the core flows vertically downward in a partially saturated zone and then more
or less horizontally in a thin saturated layer along the impermeable foundation. For this type of
dam the downstream shell must be several hundred times more permeable than the core.

71
Partial cutoffs

An earth dam constructed without a cutoff on permeable or semi-permeable foundations of earth

or rock may lead to seepage beneath the dam creating unacceptable uplift pressures and causing
instability. If an impermeable cutoff is installed to 60 % of the depth of the permeable
foundation, the flow net and downstream slope gradient is only slightly modified to a lower
level. A theoretical line of seepage for several depths is given here.

For an effective cutoff the positioning and depth of cutoff must be essentially 'perfect'. Since this
is impossible to achieve, other methods of seepage control should be used in conjunction with
cutoffs.
(C) Thomas, Henry H. The Engineering of Large Dams
(C) Wahlstrom, Ernest Dams, Dam Foundations and Reservoir Sites
(C) Craig R, F Soil Mechanics
Filter and Transition Zones
Since the core is stabilised with rock or gravel zones, it is necessary to prevent the fine core
material being sucked into the upstream shell material during rapid drawdown of the reservoir, or

72
forced into the downstream shell by seepage water under reservoir head. Transition or filter
zones must therefore be provided on each side of the core.
The upstream filter, if non-cohesive and of proper grading, can serve a valuable service by
providing material for induced self-healing should a transverse crack appear in the core.
Selection of the best material for this purpose is well justified. Although its prime function is to
retain the core material against movement into the rockfill, the downstream transition material
should be selected and placed so as to inhibit the propagation of a core crack into the compacted
rockfill. It is good practice to widen the transition zones towards each abutment, i.e. where
tension and oblique cracking may occur.
To prevent migration of fines from the core:
D15/D85 < 4-5
(filter)/(zone being filtered)
D50/D50 < 25
(filter)/(zone being filtered)
For sufficient permeability:
D15/D15 > 4-5
(filter)/(zone being filtered)
To prevent segregation of the filter:
D60/D10 < 20
(filter)/(filter)

Single filter between core and rockfill

73
Double filter to core

(C) Thomas, Henry H. The Engineering of Large Dams Cores

The core may be defined as a membrane built within an embankment dam to form the
impermeable barrier; the balance of the dam being provided to ensure stability. It may be of
natural materials, clay, gravels etc. or prepared materials such as cement or asphaltic concrete, or
of metal, plastic, rubber, etc.
The thickness of the core will depend primarily
on the material available, i.e., if a good clay is
available at low cost one would tend to be
liberal with the core. The core width will often
be related to the type of foundation, the
permissible hydraulic gradient along the
contact zone.
A core of natural materials may be central,
inclined and close under the upstream face or in some intermediate position. A general core
thickness is one half of the height of the dam, depending on materials available. Permeability of
the compacted core should not exceed 10-5 cm/s.
The hydraulic gradient relative to the core is the ratio of maximum head of water to the thickness
of the core. Thin cores may be adequate for impermeability but it is essential to provide well

74
designed filters on either side. The greatest danger with thin filters is the possibility that a 'blow
through' may occur in a segregated zone.
The principal factors considered in determining core dimensions and embankment zoning are:
• The type and volume of core materials available;
• The relative economics of earthfill and rockfill;
• The plasticity of the available core material and its effect on the risk of core cracking;
• The extent and rate of reservoir draw-down;
• The nature of the foundation rock under the core.
Cracking of Core - cracks frequently occur in earthfill dams and in cores of rockfill dams. Care
must be taken to prevent such cracking and the Engineer must decide whether the cracks are
likely to extend and become serious or whether they are stable and can be backfilled.
Influence of Post Construction Settlement at Crest on Cracking
Crest Settlement (mm) Kind of cracking

Less than 50 No cracking of dams

Equal or greater than 50
Greater than 100
Equal or greater than 130
Greater than 160
Greater than 180
Equal or greater than 220
Equal or greater than 350
Greater than 400
Greater than 1000
Greater than 1200
Equal or greater than 1400
Equal or greater than 3800
(C) Thomas, Henry H. The Engineering of Large Dams
Freeboard
Transverse cracking of dams compacted dry may appear
Reinforced concrete facing without perimetral joint may crack
Longitudinal cracking between core and shell may appear
Longitudinal cracking of core compacted dry may appear
Hydraulic fracturing may appear
Transverse cracking of core compacted wet may appear. Longitudinal
cracking between core compacted wet and shell may appear.
Asphaltic concrete facing may crack (self healed for settlement of 350mm)
Longitudinal cracking of core compacted wet may appear. Reinforced
concrete facing with perimetral joint will crack
No uncracked dam in those studied
All dams exhibit transverse cracking
Serious cracking of asphaltic concrete facing
Cracking needing substitution of reinforced concrete facing

75
A homogeneous embankment dam should never be overtopped and for preference no permanent
embankment dam should be overtopped. However, provision for freeboard can be expensive
because it requires enlargement of the dam section and hence much more materials.
It may be convenient to pave the crest and downstream face. The level of the crest is then
determined to allow for only spray to pass over, or for the peak flood discharge to pass over or
even more frequent overtopping. However, this is only used for dams under 30m high.
An alternative method of reducing the quantity of fill is to provide a wave wall along the crest of
the embankment. See figure.

(C) Thomas, Henry H. The Engineering of Large Dams Crest Width

This is often governed by construction procedure and the access required either during
construction or as a permanent feature. The Japanese Code 1957 specifies crest width (W) in
terms of the height of the dam, as
W=3.6H1/3-3(m)
which would give crest widths as in the table.

Height of dam (m) Crest Width

30 8
50 10
70 11
100 13
200 18

Culverts under Embankments

At some locations it is necessary to construct a large culvert under the dam, although this should
be avoided where possible.

76
The conventional culvert is one of reinforced concrete designed to withstand both the internal
water pressure and external embankment loading. It is important that leakage does not occur
within the core area or upstream from it, or anywhere within an homogeneous bank. To prevent
this cut-off collars usually encircle the pipe, their location and dimensions being governed by the
head from the reservoir.

77
 Chapter Three
3.0. SPILLWAYS

3.1. INTRODUCTION

The provision of adequate spillway facilities can pose more problems than the design of the dam.
Complete protection against the greatest flood that might occur would in almost all
circumstances be unjustifiable. The existing or possible future habitation in the valley below the
dam must influence decisions to be made regarding the spillway. Four standards for dam design
have been suggested;

• Freeboard and still capacity sufficiently to ensure that the dam will not be overtopped by
floods up to probable maximum categories;
• Such that the dam can be overtopped without failing, and in so far as practicable, without
suffering serious damage;
• Such as to ensure that breaching of the structure would occur at a relatively gradual rate;
and
• The height of the dam and storage are small enough that no serious hazard exists
downstream in the event of breaching.
• Spillways - Handling of Flood Waters
Retention in Storage - In rare cases it is economically possible to store the entire volume of the
design flood within the reservoir without overtopping the dam. The occurrence of a subsequent
storm shortly after the first must also be considered. In some cases an auxiliary spillway or fuse
plug spillway may be built in for emergencies.

Auxiliary Spillway to another valley. At certain

locations it is possible to build one or more spillway
outlets on the rim of the storage basin and to divert
flood waters into adjacent valleys. Impact on the total
environment must be considered before floods can be
by-passed in this manner. Generally the main valley
will have carried floods of maybe half the design flood
and it is simple to assess the damage likely to be done by larger floods. The owner of the dam

78
will be responsible for damage resulting from diversion of a major flood into a valley not
normally subject to large floods.

Fuse-Plug Spillways are structures built instead of an auxiliary spillway. They may be simple
earth banks, flash boards, or other devices designed to fail when overtopped. Such plugs should
only be used when the sudden release of water is both safe and not over-destructive to the
environment. For preference fuse plugs should be so constructed as to make their intensional
destruction. This is much more positive than endeavouring to design a structure to fail at a
predetermined overload.

Spillway Location Options - The sites indicated by

the red areas are the most favourable locations for
spillway positioning. The order of preference for rapid
concrete construction is indicated by the numbering.

Passage over or through the dam - Many dams are

designed for the safe passage of controlled and
uncontrolled flood waters over the crest. Radial or
sector gates are also used in large diversion weirs,
however spilling over the crest is the cheaper method.

Bottom spillway
Advantage - provision can usually be made for its use for
the passage of floods during construction.
Disadvantage - once built its capacity is finite wheras the
forecasting is indefinite.
- a single outlet can be blocked by flood debris

79
 Siphon Spillway
Disadvantage - construction is expensive
- sudden appearance of flood water downstream
- large flood debris can block outlet

Gates or no gates - many Engineers are not inclined to place full reliance on effective operation
of gates at the time of a major flood. The provision of gated spillways is usually economic,
whatever height of dam the cost remains roughly the same and is only dependent on the
magnitude of the flood provision. The possibility of maloperation can not be overlooked and
their accessibility is important. If proper gate operation can not be guaranteed then the effect of
flood water passing over the top of gates must be investigated. Hydraulic gates are most reliable,
followed by mechanically and electrically operated gates.
Spillway gates may therefore be installed:
• Purely on economic considerations of total cost of dam and spillway, or
• In order to protect upstream property or installations, or
• In order to exercise control over the magnitude and duration of flood flows below the
dam - having due regard to flow in downstream tributaries, or
• In order to derive some economic benefit from water stored above the fixed crest level.
(C) Thomas, Henry H. The Engineering of Large Dams
Spillways - Uncontrolled Spillways
The discharge over a spillway crest is given by the formula:
Q=C.L.H3/2
where Q=discharge, C=coefficient, L=length of the crest, H=effective head of water.

80
Crest Profile - the crest of an over fall
spillway is usually dimensioned to conform to
the underside of the nappe of the free-falling
jet. Greater efficiency is obtained by operating
a spillway at greater than design head, as can
be seen in the figure showing the effect of
nappe profile on coefficient.

It is common practice to choose the design head for the nappe as 75%-80% of the maximum
expected head. When the spillway so designed does pass the greater flows, pressures lower than
atmosphere will occur over the crest, causing problems associated with cavitation.
The flow over a spillway gives rise to self-excited vibration, in which three coupled elements are
involved; the jet, the overflow crest and the air cushion between dam and jet. This can be
avoided by using splitters on the crest.

The cross section of a dam is normally determined to meet stability requirements. Optimum
nappe can be obtained by the provision of an upstream overhang, as can be seen in the figure on
the left, with the overhang not less than 0.3 times the height of the dam.
With the reservoir at a particular level the discharge over the spillway will be proportional to its
length. It is possible to introduce variations in the plan shape of the spillway crest so that the
effective length is increased, for example, rectangular 'duckbill' spillway or triangular sections.

81
In narrow gorges it is often expedient to adopt the glory-hole spillway. The design of a glory
hole spillway is involved since it includes flow over the weir, free or forced flow in the shaft,
flow around the bend and flow in the discharge tunnel. Since velocities are very high at the
bottom of the shaft damage to lining is likely to occur. The main disadvantage with the glory-
hole spillway is that beyond a certain surcharge the discharge only increases slowly with
increased head. It does not provide any substantial margin for underestimation of the maximum
flood.

Spillways - Gated Spillways

The decision for gates is more often economic, but sometimes topography may be the controlling
factor. Gates use mechanical devices and are liable to malfunction, however they can be
submerged and can operate at any head and are useful to pass floods during construction or to
control a filling reservoir.
The Engineer is concerned with the loads concentrated on certain parts of the dam by the system
for supporting and operating the gates. This is very important when one gate is closed and the
other open. Large gates require special formwork, complicated reinforcement and probably
prestressing of anchorages which puts the price up.
The minimum length is determined by the debris which could be expected to flow through the
gate. The location chosen must be easily accessible during normal operation and during extreme
floods. The engineer must be responsible for the procedures for operation of the gates. Automatic
gates may be required in remote locations however the expense and reliability issues do not favor
their installation.
Types of Gates - the trend is towards simplicity.
• Vertical-lift Gates

82
(C) Thomas, Henry H. The Engineering of Large Dams
Nanairo Dam, Japan - Vertical-lift spillway gates

(C) Thomas, Henry H. The Engineering of Large Dams

Eildon Dam, Australia - Vertical-lift spillway gates

83
• Submerged Radial Gates - used to provide greater discharge for a particular size of gate.

(C) Thomas,
Henry H. The
Engineering of
Large Dams

Sainte-Croix Arch Dam - Submerged Radial Gate

• Flapgates

Spilling dam - Flap gate with

downstream jack

1. Concrete sill
2. Flapgate panel
3. Trestle
4. Support
5. Slide
6. Jack
7. Swivel
(C) Thomas, Henry H. The Engineering of Large
8. Inspection Gallery
Dams

• Inflatable dam - rubberised fabric, shaped as a seal tube, capable of being pressurised
with either air or water, adaptable for installation on any reasonable sill for flood control
and other purposes.

84
 Koombooloomba Dam, Australia - Inflatable 'Fabridam'
Advantages of inflatable dams

• Comparatively low cost

• Little maintenance
• Readily collapsed to allow free flow of floodwaters
• Fail-safe so long as the resulting flood wave is acceptable in the valley

Disadvantages of inflatable dams

• Relatively limited life - 20 years

• Vulnerable to vandelism
• Availability of replacement parts in the future
• Possibility of downstream flood due to malfunction
• Spillways - Spillway Chutes
• A chute is the means by which water is transferred over the crest to the river bed below
the dam. Its function is to prevent damage to the valley walls that could endanger the
dam. It may or may not serve to dissipate some of the energy in the water.
• Cascade spillways - used to dissipate energy

85
 The rock must be massive and free from close jointing and
competent. The rock excavated must be used in the dam if
the scheme is to be economically viable.

• Lined Chutes - at most sites a concrete lined chute is required. The chute width is
determined by the length and arrangement of the spillway crest, the total energy in the
water and the economical relation between the width (including excavation costs) and the
height of the side walls of the chute. The height of the chute wall is also important
because the water could erode the side slopes.

At the bottom of the chute the water may enter a dissipator

basin, or be directed around a flip bucket so that much of its
energy is dissipated in air. Vibration will cause movement
of the slabs and even failure of them. It is essential that
slabs are anchored to the rock with steel rods. The figure
shows the correct way of laying slabs so they do not lift up.
• (C) Thomas, Henry H. The Engineering of Large Dams
• Spillways - Energy Dissipation
• The passage of flood waters from reservoir level to tailwater level will involve the
dissipation of vast energy. The velocities and pressures involved are huge and
destructive.
• Free Overfall - energy dissipated in a downstream coffer dam stilling basin unless
overflow is very high, say 80m&SUP3;/s/m or the height of the overfall exceeds 100m.
For example the scour below a free overfall at Kariba Dam is over 50m.
• Flip Bucket Spillways - the purpose of this type is to throw the water well clear of the
structure. The jet of a ski jump spillway leaves horizontally wheras the jet of a flip bucket
is deflected upwards to induce disintegration in the air. The spray produced can cause
damage to the countryside and may adversely affect nearby electrical installations.

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 A. Roller Basin
B. Deflector Bucket
C. Flip Bucket
D. Non-radial spillway and sluice
buckets
E. Schoklitsch dissipator

Stilling Basins - are usually associated with overflow dams of gravity

type. Dissipation of energy depends upon the formation of rollers,
turbulence and/or standing waves. Dentations are often provided to
assist in dissipation of energy. The blocks are subjected to highly
fluctuating pressures of such low minimum values that serious
cavitation and destruction can occur.

The figure shows a baffled apron spillway used for energy dissipation.

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Chapter Four
4.0 Introduction to Tunneling

4.1. Introduction

Definition: underground passage usually made without removing the overlying rock or soil.
Although tunnels are approximately horizontal, they must be built with sufficient gradient for
proper drainage. Tunnels may be ventilated by shafts leading to the surface or by exhaust fans at
the ends.
At its most basic, a tunnel is a tube hollowed through soil or stone. Constructing a tunnel,
however, is one of the most complex challenges in the field of civil engineering. Many tunnels
are considered technological masterpieces and governments have honored tunnel engineers as
heroes. That's not to say, of course, that some tunnel projects haven't encountered major
setbacks. The Central Artery/Tunnel Project (the "Big Dig") in Boston, Massachusetts was
plagued by massive cost overruns, allegations of corruption, and a partial ceiling collapse that
resulted in a fatality. But these challenges haven't stopped engineers from dreaming up even
bigger and bolder ideas, such as building a Transatlantic Tunnel to connect New York with
London.
In this chapter, we'll explore what makes tunnels such an attractive solution for water works
construction as transporting water and as diversion structure. In addition tunnels can serve for
railways, roadways, public utilities and telecommunications. We'll look at the defining
characteristics of tunnels and examine how tunnels are built. We'll also look at the "Big Dig" in
detail to understand the opportunities and challenges inherent to building a tunnel. Finally, we'll
look at the future of tunnels.

4.2. Site selection

Tunnel construction depends on adequate pre-construction investigation of the ground and site,
and proper interpretation of the information obtained.

Designers should be:

• provided with all available relevant information;
• advised of gaps in the information for planning and construction;
• involved in the data acquisition for the site investigation program; and

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 • include on-site involvement during the site investigation.

Site investigations should be based on the nature, scope, extent and location of the project, and
the environments. The investigation should provide sufficient information on site conditions,
ground and groundwater conditions and previous history and constraints, in order to enable
realistic assessments of different tunnelling methodologies and designs to be made.
The site investigation should be carried out by suitably qualified and experienced people, who
are competent in conducting investigations of similar ground conditions. The site investigation
may include undertaking the following studies:
• topography, geology and hydrology;
• location, condition and influence of existing structures, services and old workings;
• climate and prevailing weather conditions;
• drilling of boreholes or examining existing borehole results;
• assessment of properties of soils and rock, including collection of samples and laboratory
testing;
• geophysical investigation;
• underground and structural survey;
• groundwater tests – location, volume and effects on, or resulting from, tunnelling and
changes in groundwater patterns; and
• blasting trials.
The site investigation will provide information that can assist in the geotechnical risk assessment
of ground and other conditions that should consider the following:
• rock mass geology;
• planes of weakness;
• mechanical properties of rock, planes and rock mass;
• in-situ rock stress field magnitude and orientation;
• induced rock stress field due to excavation;
• potential rock failure mechanisms;
• blast damage effects to the rock mass, if blasting is being considered;
• likely scale and nature of the ground (e.g. movement);
• possible effects on other working places or installations;

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 • groundwater presence and quantity;
• possible contaminated environments – whether by gases, liquids or solids, including
contamination of the groundwater (e.g. chemical plumes); and
• previous relevant experience and historical data for the area.
4.3. Design and Construction Techniques
Methods of tunnelling vary with the nature of the material to be cut through. When soft earth is
encountered, the excavation is timbered for support as the work advances; the timbers are
sometimes left as a permanent lining for the tunnel. Another method is to cut two parallel
excavations in which the side walls are constructed first. Arches connecting them are then built
as the material between them is extracted. Portions of the unexcavated center, left temporarily for
support, may be removed later. A tunnel cut through rock frequently requires no lining. Hard
rock is removed by blasting.
In constructing tunnels under rivers, the ordinary methods can be used as long as a stratum of
impermeable material lies between the tunnel and the riverbed. In all cases, however, pumping
equipment must be installed. Where mud, quicksand, or permeable earth is present in underwater
tunnelling, it becomes necessary to provide some means of holding back the water while the
enclosing sections of the tunnel are placed in position. For this purpose the shield was devised
and first used in 1825 by the French-born engineer Sir Marc I. Brunel when boring between
Wapping and Rotherhithe, in England. Considered unsuccessful, the device was not employed
again until 1869, when the British engineer James H. Greathead and the American inventor
Alfred E. Beach developed improvements at about the same time. Their shields were metal
cylinders fitting around the outside of the tunnel, the forward end closed by a diaphragm plate.
As the rock or earth was cut away, the shield was shoved forward into the earth by hydraulic
rams, compressed air being used to keep seepage to a minimum. The use of the pneumatic shield
is now universal in tunnelling under rivers. The actual cutting is performed by huge rotating
cutter heads, each with up to fifty separate cutters, capable of penetrating 10 mm (1/2 in.) per
revolution.
River-crossing tunnels are also constructed by dredging a trench in the riverbed and then
lowering prefabricated tunnel sections through the water into the trench, where they are
connected to each other. The trench and tunnel are then covered over. In 1969, a tunnel was
constructed across the Schelde River in Belgium, using sections 330 ft (100 m) long. Often, to

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speed construction, work is started at both ends. This poses no problem with the cut-and-cover
method, but when the tunnel is bored from within, it must be assured that the tubes will actually
meet in the center. Modern methods accomplish this with high precision.
2.2 Design for safe tunnel construction
Tunnel design differs significantly from plant design and other structures because of the
difficulty of determining accurate geological properties and the potential variability of these
properties along the tunnel.
Therefore, tunnel design is based on less reliable material property assumptions than most other
designs. To reduce the risk resulting from this:
• review existing geological information and undertake a site investigation to confirm the
existing information and obtain more specific local geological information (see 2.2.1);
• specify the geological conditions assumed in the design, including the relevant issues
listed in section 2.2.1;
• implement an inspection plan, as detailed in section 2.2.6, to compare the actual
geological conditions as the excavation progresses with the assumed conditions; and
• implement procedures to assess the implications of any changes in conditions and
reassess the adequacy of the tunnel design and ground support before the changes
become a risk to health and safety. This may include ceasing relevant work while the
reassessment is being conducted.
2.2.1 Site investigation
Safe tunnel construction depends on adequate pre-construction investigation of the ground and
site, and proper interpretation of the information obtained.
Designers should be:
• provided with all available relevant information;
• advised of gaps in the information for planning and construction;
• involved in the data acquisition for the site investigation program; and
• include on-site involvement during the site investigation.
Site investigations should be based on the nature, scope, extent and location of the project, and
the environments. The investigation should provide sufficient information on site conditions,
ground and groundwater conditions and previous history and constraints, in order to enable
realistic assessments of different tunnelling methodologies and designs to be made.

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The site investigation should be carried out by suitably qualified and experienced people, who
are competent in conducting investigations of similar ground conditions. The site investigation
may include undertaking the following studies:

• topography, geology and hydrology;

• location, condition and influence of existing structures, services and old workings;
• climate and prevailing weather conditions;
• drilling of boreholes or examining existing borehole results;
• assessment of properties of soils and rock, including collection of samples and laboratory
testing;
• geophysical investigation;
• underground and structural survey;
• groundwater tests – location, volume and effects on, or resulting from, tunnelling and
changes in groundwater patterns; and
• blasting trials.
The site investigation will provide information that can assist in the geotechnical risk assessment
of ground and other conditions that should consider the following:
• rock mass geology;
• planes of weakness;
• mechanical properties of rock, planes and rock mass;
• in-situ rock stress field magnitude and orientation;
• induced rock stress field due to excavation;
• potential rock failure mechanisms;
• blast damage effects to the rock mass, if blasting is being considered;
• likely scale and nature of the ground (e.g. movement);
• possible effects on other working places or installations;
• groundwater presence and quantity;
• possible contaminated environments – whether by gases, liquids or solids, including
contamination of the groundwater (e.g. chemical plumes); and
• previous relevant experience and historical data for the area.

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2.2.2 Tunnel design

The information obtained from the site investigation and the anticipated excavation methods
should be considered in preparing a tunnel design.
The design should include:
• details on the tunnel dimensions and allowable excavation tolerances;
• the final support and lining requirements for each location within the tunnel; and
• any other requirements for the finished tunnel.

It should also include information on the excavation methods and ground conditions considered
in the design, to allow the design to be reviewed if another excavation method is chosen or the
actual ground conditions change as the excavation proceeds (see section 2.2.6).

2.2.3 Design review for construction

The initial tunnel design, referred to in 2.2.2, should be reviewed before construction
commences, usually by or in consultation with the relevant person and principal contractor, and
should be amended if necessary in line with the construction needs, before excavation
commences.
This review should consider a range of construction issues, such as:
• the excavation method;
• additional excavation for temporary access;
• ventilation;
• spoil removal;
• refuges;
• rail sidings; and
• loadings from roof mounted spoil conveyors and ventilation systems.
As well as amending the tunnel design itself, the design review should produce concept designs
which may include:
• ground support;
• the ventilation system;
• the construction electrical system; and
• the materials handling system.

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Safe tunnel design and construction go hand-in-hand, and their suitability to the ground and
environmental conditions, is more safety-critical in underground work than in any other
construction activity. Consequently, continuity in engineering practices at the planning,
investigation, design and construction stages is considered necessary.
This can be achieved more effectively by the involvement of a single organisation throughout.
However, if the designer’s direction changes, a way should be devised to ensure that the essential
continuity is maintained and that the total planning, investigation, design and construction
process is not fragmented.

2.2.4 Ground support design

Most tunnels and open excavations require some form of permanent ground support, which
should be specified in the tunnel design referred to in section 2.2.2.
Removal of material causes unbalanced soil or rock stresses that reduce the capacity of the
excavation to support itself. Varying geological conditions mean that control measures that have
worked previously may not be satisfactory under these changed conditions.
The relevant person undertakes a detailed analysis of existing geophysical factors in conjunction
with the design requirements (e.g. tunnel dimensions need to be undertaken), to identify the most
appropriate temporary ground support that may be installed without requiring workers to work
under unsupported ground.
An alternative to temporary ground support may be to use overhead protection. Ground support
systems include engineering issues that involve both structural design and soil/rock mechanics.
Using ground support, designed for the unique circumstances of the current situation, is essential
to control the risk of a collapse or tunnel support failure.
Design specifications for engineering controls, such as shoring support structures, should be
prepared by a competent person in accordance with relevant legislative requirements, Australian
Standards, and codes of practice.

2.2.5 Ventilation system design

The ventilation system should be designed to provide adequate ventilation levels throughout the
tunnel during construction, including providing additional localised extraction ventilation to deal
with the production of dust, heat or fumes from the excavation process, operation of large plant
or other activities, such as maintenance.

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The design should allow for the need to install ventilation equipment or ducting as the
excavation progresses to maintain adequate air supply to the working face.

2.2.6 Inspection plans

Excavation work, whether a tunnel or an open excavation, must be inspected at regular intervals
to ensure that the excavation and supporting systems are stable and intact for the work to proceed
safely.

The risk assessment must be used to determine an inspection plan, including the frequency,
scope of the inspections, and appropriate competencies of the person(s) undertaking the
inspections. The inspection frequency, whether based on time or on face advance1, should
consider the delay due to the assessment and reporting procedures established in section 2.2.7, so
that any identified issues are dealt with before becoming a risk to health and safety.
The inspection plan should be reviewed based on the results of the inspections, after collapses or
falls of materials, or after adverse weather conditions.
The following activities should be included in the inspection plan:
• mapping and visually assessing the actual ground conditions and excavated shape as
exposed by the tunnel excavation;
• monitoring support performance, including: possible support failures, if any; and
- any evidence of excessive load on supports;
• falling or fretting ground;
• monitoring time-based deterioration, such as spalling or slaking (e.g. weathering from
temperature changes, humidity changes or exposure to air);
• monitoring groundwater inflows;
• measuring closure or subsidence of roof or walls (e.g. by installing extensometers or by
regular survey);
• anchoring or pulling out tests on supports;
• testing core rocks;
• measuring in-situ ground stresses; and
• reviewing the most recent air monitoring results.
Additional considerations for open excavations include:

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 • excavated and other material being placed within the zone of influence of the excavation;
• machinery operating within the zone of influence of excavations causing weight and
vibration influences;
• surface soil falling into the excavation;
• water seeping into excavations from side walls or base;
• changes to soil and/or weather conditions;
• surface water or run-off entering the excavations or accumulating on the surface near the
excavation; and
• subsidence alongside the excavations.
Further guidance concerning excavation and trench work may be found in Part 17 of the
regulation.
1. This means how far the tunnel face has moved.

2.2.7 Site-specific planning and preparation

2.2.7.1 Construction safety plan

The regulation states that the principal contractor must ensure that a site-specific construction
safety plan is prepared for the project before the work commences. The principal contractor must
also ensure that the plan is maintained and kept up-to-date during the course of the work. The
plan must include:

• the obligations of specified people or positions;

• the arrangements for ensuring health and safety induction training;
• the arrangements for reporting and recording incidents;
• site-safety rules and the manner of communication to all people at the site; and
• work method statements for high risk construction activities.

Assessment and reporting procedures should be developed in accordance with the inspection
plan before excavation commences, and reviewed as part of the inspection plan review. These
procedures should include reporting means for both routine and urgent reporting, where changes,
identified as excavation conditions, are assessed as requiring modification to the ground support
requirements or otherwise, represent a risk to health and safety.

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Where the assessment is being carried out by the same person(s) undertaking the inspections, it
may be appropriate for the urgent reporting to include providing advice to the person responsible
for the tunnel construction.
The effective communication of this information is critical at the worksite. Valuable information
can be exchanged between people on outgoing and incoming shifts about:
• the status of the work being performed;
• the state of the work place;
• any changes to work methods required; and
• any relevant safety information or other issues that exist at the workplace.
All workplaces should be thoroughly inspected by the incoming shift to ensure that the place is
safe for work to commence. The Act places an obligation on the relevant person and principal
contractor to provide all necessary supervision to ensure safety. So people with health and safety
responsibilities outlined in the construction safety plan should have the necessary authority to
perform and implement their supervisory obligations.

2.2.7.2 Work method statements

The regulation states that the relevant person must prepare work method statements where high
risk construction activities are to be performed. Many activities associated with work in tunnels
are high risk construction activities, and require work method statements.

The work method statement:

• describes how the work is to be carried out;
• identifies the work activities assessed as having health and safety risks;
• identifies the health and safety risks; and
• describes the control measures that will be applied to the work activities.
The work method statement should also include:
• a description of the equipment used in the work;
• the standards or codes to be complied with; and
• the qualifications of the people doing the work and the necessary training required.
A work method statement requires the work methods to be presented in a logical sequence. The
hazards associated with each process are to be identified, and the control measures specified.
Break down each job into a series of basic steps to identify the hazards and potential accidents in

97
each part of the job. The description of the process should not be so broad that it leaves out
activities with the potential to cause accidents, and prevents proper hazard identification.
The work method statement could also be used to nominate:
• the competencies;
• the number of workers and items of plant required to safely perform the task(s); and
• any permits and licences required under the regulation.
It may be useful to provide copies of these documents and training records with the work method
statement .
Workers should be involved and consulted during the development and implementation of any
work method statement . All people involved in carrying out the work should understand the
work method statement before commencing work.

2.2.7.3 Communication systems

Good communication is fundamental to the health and safety and efficiency of all aspects of the
tunnel project, particularly in:
• passing on information and instructions;
• monitoring systems;
• the control of operations, such as lifting, transporting people, materials and plant;
• coordinating maintenance; and
• managing emergencies.
The communication system should be used to link major workplaces, tunnel portal and face(s),
or shaft top and bottom, site offices and safety critical locations on-site (e.g. first aid room or
emergency control room). Ways of contacting the emergency services from the site should be
available, manned and monitored at all times.
The communication system may also be used to pass on information on a variety of safety-
related items, such as machine-condition monitoring, instrumentation monitoring, atmospheric
monitoring and fire alarms.
The risk assessment should determine whether communication with all mobile vehicles,
including personnel transporters, is required. Where electronic communication (non voice)
methods are being relied on, the point of communication reception (e.g. control room), should be
monitored at all times by people who have been trained in the emergency action plan.

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The relevant persons must be able to communicate requirements for materials and equipment,
and raise the alarm and receive instructions in the event of an emergency. The system adopted
should depend on:

• the size and length of the tunnel;

• the number of people in the tunnel;
• the system of tunnelling used; and
• the potential hazards, including the speed of operations.

A system of signalling by bells or by coloured lights can be appropriate for routine

communications, such as controlling train movements or requesting that lining segments or other
materials be sent forward.

Details of any signal code adopted, whether audible or visual, should be communicated
effectively to all affected by the operations under way (e.g. at the top and bottom of each shaft or
incline, and in clear view of the operator).

The communication system should be independent of the tunnel power supply and installed so
that destruction of one unit or the occurrence of a collapse will not interrupt the use of the other
units in the system. All wiring, especially that used to transmit warnings in an emergency, should
be protected. All communication cables needed to transmit warnings in an emergency should
have increased integrity under emergency conditions, such as fire, water or mechanical shock.

At all working shafts, a standby means of communication should be available and able to be
operated from any position throughout the depth of the shaft.

The codes for both audible and visual signals, as well as call signs and channel allocation, should
be displayed at strategic locations for all operators. In the case of shafts, this applies to the
doggers, winch and hoist drivers, and all those working in or about the shaft itself.

2.2.7.4 Amenities

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The regulation requires that principal contractors ensure that appropriate amenities are available
for workers. To determine the appropriateness of amenities, principal contractors must take into
account:

• the nature of the work undertaken;

• the placement of amenities and their access – entry away from traffic;
• the size and location of the workplace; and
• the number of people at the workplace.

Underground crib2 facilities should be located away from dusty environments, or if possible,
have filtered air under positive pressure.

The amenities cleaning regime should consider shiftwork or around the clock work shifts (e.g.
amenities should be cleaned more often than would be done for one shift).

The supply and location of potable water should be reasonably available to workers.

2.2.7.5 Personal protective equipment (PPE)

The use of PPE to control risks is the lowest form of control in the hierarchy of control (the Act s
27A (2)), and should only be used when other control measures are impracticable or when a
residual risk remains after implementing other controls.

PPE selection and suitability

Where PPE is to be used, it should be appropriate for the risk and comply with the relevant
Australian Standards. Workers should be competent in the proper selection, use and maintenance
of the PPE, and be provided with proper supervision and monitoring conducted to ensure it is
used properly. PPE should be regularly inspected, maintained and replaced as necessary.

Clothing for protection against chemicals

Where there is a risk that workers may be exposed to chemicals or contaminated environments,
they should wear protective clothing. Guidance for protection against hazardous chemicals can

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be found in AS/NZS ISO 6529 and AS/NZS 4503 (non-Queensland Government links), parts 1 to
3 inclusive.

Eye protection

Dust, flying objects and sunlight are the most common sources of eye damage in excavation
work. Where people are cutting, grinding or chipping concrete or metal, or welding, they should
be provided with eye protection. Guidance can be found in AS/NZS 1337 – Eye protectors for
industrial applications (non-Queensland Government link). Eye protection complying with
AS/NZS 1337 could also be provided where people carry out other work, such as carpentry or
chemical handling, where there is a risk of eye injury. Guidance on selection, use and
management of eye protection can be found in AS/NZS 1336 – Recommended practices for
occupational eye protection (non-Queensland Government link).

For tunnelling activities, such as rock drilling, rock cutting, concreting, service installing,
steelwork and plant maintenance, the risk assessment would probably identify an increased risk
of eye injury requiring eye protection to be worn at all times.

Some above ground work will also require eye protection from sunlight UV radiation.

Fall-arrest equipment

The Workplace Health and Safety Regulation 1997 prohibits the use of fall arrest systems where
there is insufficient distance available to prevent a person hitting an object, the ground or another
surface, other than a vertical surface.

Because of the significant risk of death and serious injury from working at heights, Queensland
legislation requires that fall protection be provided for persons working at 2.0m for construction
work (other than when working on housing construction where the limit is 3m). Below these
threshold heights, Queensland legislation requires that a risk assessment must be applied.

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Guidance in the selection, use and maintenance of fall arrest equipment may be found in AS/NZS
1891.4 – Industrial fall-arrest systems and devices – Part 4: Selection use and maintenance
(non-Queensland Government link).

Hearing protection

Where there are no other hierarchical control measures for people exposed to excessive noise,
personal hearing protection that complies with AS 1270 – Acoustics – Hearing protectors (non-
Queensland Government link) should be provided. Guidance on control measures, including
training may be found in AS/NZS 1269.3 – Occupational noise management – Hearing protector
program (non-Queensland Government link).

High visibility garments/safety reflective vests

People working underground or near traffic, mobile plant, or equipment under operator control,
should be provided with and use high visibility garments. Such garments should be selected,
used and maintained in accordance with AS/NZS 4602 – High visibility safety garments (non-
Queensland Government link). Other clothing not covered by the high visibility garment should
be light coloured, and all garments should be selected for best contrast with the surrounding
background.

Respiratory protective equipment

Where people could be exposed to harmful atmospheric contaminants, such as siliceous dust and
welding fumes, respiratory protective equipment that complies with AS/NZS 1716 – Respiratory
protective devices (non-Queensland Government link) (providing it is within the performance
capability of the PPE) should be provided. Such equipment should be selected and used in
accordance with AS/NZS 1715 – Selection, use and maintenance of respiratory protective devices
(non-Queensland Government link).

Safety helmets

The use of safety helmets may prevent or lessen a head injury from falling objects or a person
hitting their head against something. Where there is a likelihood of people being injured by

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falling objects and overhead protection is not provided, people must be provided with, and use,
an appropriate safety helmet. Appropriate safety helmets should also be provided and used where
a person may strike their head against a fixed or protruding object, or where there is a risk of
accidental head contact with electrical hazards.

All people on a tunnel project should wear head protection that complies with AS/NZS 1801 –
Occupational protective helmets (non-Queensland Government link) and be selected and used in
accordance with AS/NZS 1800 – Occupational protective helmets – Selection, care and use (non-
Queensland Government link).

Safety gloves

Where there is a risk of hand injury, such as exposure to a harmful substance, excessive heat or
cold, or to a mechanical device, hand protection that complies with AS/NZS 2161 – Occupational
protective gloves (non-Queensland Government link) should be provided and used.

Self rescuers

Where people could be exposed to harmful atmospheric contaminants beyond the capacity of the
respiratory protective equipment, self rescuers should be provided to give the user sufficient
oxygen to walk to the surface, or a designated sealable oxygen equipped refuge.

Waterproof clothing

Waterproof clothing provided for work conditions, weather or site conditions should be effective
and suitable for the task. Waterproof clothing should also incorporate light reflective features in
accordance with the high visibility requirements in AS/NZS 4602 – High visibility safety
garments (non-Queensland Government link).

2.2.7.6 Hazard and incident reporting

Hazards and health and safety issues should be reported as soon as they are noticed so that the
risks can be assessed and addressed as quickly as possible. Records of reported hazards should

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be kept and include details of the action taken to remove the hazard or control the risk arising
from the hazard.

The Act and the regulation also prescribe a number of requirements concerning incident and
injury reporting.

2.2.7.7 First aid

To ensure adequate first aid provisions, the relevant person should:

• identify their potential injuries and illnesses;

• assess their first aid requirements; and
• consult with workers in the process.

When determining the nature, number and location of first aid facilities and equipment, and the
number of trained first aid personnel needed, the relevant person must take into account the
location and type of work being undertaken.

The type of work performed will influence the hazards and the possible harmful consequences
for workers. For example, office workers may have different first aid requirements from
construction workers.

Workplaces using hazardous substances may require specialised first aid facilities, such as
eyewash stations and emergency showers. The risk assessment process will assist in identifying
the particular needs of the workplace.

Where a first aid room is supplied, it should only be used for first aid or health and safety
purposes.

For further guidance on first aid, see the First Aid Code of Practice 2004 .

2.2.7.8 Emergency response

A relevant person should ensure that, in the event of an emergency at a project, arrangements
have been made for:

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 a. the safe and rapid evacuation of people from the workplace; and
b. emergency communications; and
c. appropriate medical treatment of injured people.

Details of any evacuation arrangements should be kept on display in an appropriate location(s) at

the workplace.

Types of emergencies considered should include:

• treatment and evacuation of a seriously injured person;

• fire underground (e.g. fire on a tunnel-boring machine (TBM) or a truck);
• sudden flooding (e.g. inrush from an underground water feature);
• underground explosion (e.g. methane ignition);
• tunnel collapse, resulting in people being trapped;
• power failure; and
• above ground emergency that compromises tunnel safety (e.g. fire or chemical spill).

The following emergency response control measures should be implemented:

• providing a system to identify who is underground (e.g. a tag board);

• developing site emergency procedures appropriate for the level of risk, including
establishing an emergency assembly area and a plan for contacting, and subsequently
interacting with emergency services;
• providing emergency response equipment and training in how to use it;
• providing control measures to reduce the severity of the emergency (e.g. self-closing
bulkheads to control water inrush);
• providing fire suppression on vehicles; and
• providing self rescuers, breathing apparatus and sealable, self-contained atmosphere
refuges as well as instruction and practice in how to use the equipment.

Risk assessments determine if special emergency provisions, such as emergency rescue cages
and means to extract people from difficult locations (e.g. from the base of a shaft or heading of a
tunnel), are needed.

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Traffic management rules should be implemented to ensure vehicles and mobile plant park in a
way that prevents potential runaway and enables clear access at all times.

A close working relationship with local emergency services should be encouraged. For example,
ask the emergency services to visit the tunnel site for site layout, access and emergency
procedures.

Note : Special consideration should be given to the safe transport of injured people.

2.2.7.9 Fire and explosion

The relevant person and principal contractor have an obligation to control risks associated with
fire and explosion.

Fire in an underground workplace is of particular concern, as the rapid consumption of oxygen

and the production of noxious fumes and gases makes the severity of this risk extreme.

Relevant persons should consider the following control measures when implementing fire
prevention procedures:

• eliminating activities that could generate flammable or explosive atmospheres, or control

the generation by providing adequate ventilation;
• implementing a hot-work permit system;
• eliminating potential ignition sources, such as naked flames, hot work (e.g. welding,
cutting and grinding), electrical equipment and sources of static electricity, near
flammable substances, dusts or waste materials;
• removing unnecessary flammable substances, dusts or waste regularly;
• providing an appropriate number and type of fire extinguishers strategically located
around the site (including flammable goods storage areas);
• instructing people working underground in the correct usage of fire extinguishers and fire
control underground;
• highlighting fire extinguishers, fire hoses and hydrants so they are easily identifiable and
easily accessed;

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 • providing flammable goods storage areas, identified with appropriate warning signs;
• providing automated fire protection where possible – this may depend on the type and
size of plant used, particular nature of the tunnel, difficulty of egress underground work
areas and also the potential for fire;
• managing hot work close to dry vegetation by the removal, covering or regular wetting of
the vegetation;
• developing site emergency procedures appropriate for the level of fire risk, including
establishing an emergency assembly area; and
• providing self rescuers, breathing apparatus and sealable, self-contained atmosphere
refuges as well as instruction and practice in how to use the equipment.

2.2.7.10 Record keeping

The regulation requires records to be kept for:

• induction training;
• hazardous substances;
• confined spaces;
• plant;
• electricity;
• asbestos;
• atmospheric monitoring;
• health surveillance; and
• injury notification.

Keeping other relevant health and safety records could increase the effectiveness of the risk
management system. These records could include:

• subcontractor monthly safety reports;

• risk assessments;
• workplace environment reports (occupational hygiene, e.g. dust, noise, carbon monoxide,
heat and ventilation);
• geotechnical reports;

107
 • inspection reports (e.g. of plant);
• workplace inspection reports;
• minutes of safety meetings/site meetings;
• incident/accident investigation reports;
• non-conformance reports; and
• site instructions and diary notes.

2.2.7.11 Existing services

Before excavation work is to be performed, the location of any underground services, such as
gas, water, sewer, electricity and telecommunication cables, must be identified by the principal
contractor. Prescribed information about the services is to be recorded in writing and given to the
relevant person who is to do the excavation work.

The relevant person carrying out the work should make sure they are aware of the location of any
other unknown or hidden underground services. They can do this by:

• contacting organisations that can assist in locating underground services;

• using remote location devices;
• using gas detectors; and
• being alert for signs of disturbed ground, warning tape or pavers during excavation.

Workers who may be affected by underground services should be advised of their location.
Appropriate control measures, including the protection, support or removal of services, should be
implemented, after consultation with the relevant service providers, to ensure the health and
safety of workers.

For underground electrical services that have not been removed or de-energised, hand excavation
in the vicinity should only be undertaken using tools with non-conductive handles and while
wearing rubber boots and insulating gloves. Guidance on gloves for electrical purposes can be
found in AS 2225 – Insulating gloves for electrical purposes (non-Queensland Government link).
Gas lines that have been disconnected should be ‘blown down’ to remove residual gas before
commencing work.

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2.2.7.12 Access

When conducting a risk assessment about safe access and egress to, from and within the
workplace, the following must be considered:

• the layout and condition of the premises, including the presence of any confined spaces;
• the physical working environment, including the potential for people slipping, tripping or
falling;
• how to avoid objects or structures falling on people; and
• how to control the risks to visitors (e.g. contractors, drivers and other people) coming
onto the worksite.

An assessment of access requirements should also take into account:

• the number of people using particular access points;

• any tools and equipment that may need to be carried to or from the worksite; and
• lighting, ramps, walkways, stairways, scaffolding and ladders.

Examples of access hazards are:

• wet or oily floors or surfaces;

• untidy work areas;
• cluttered passageways;
• steep or slippery steps;
• exposure to plant; and
• poorly-lit work areas.

Control measures that could be introduced include:

• installing overhead and fall protection;

• storing materials and plant;
• keeping work areas and passageways clear and free of obstructions;
• removing rubbish, including construction waste and excavated material;
• providing handrails;

109
 • implementing traffic management controls, including collision avoidance guidelines on
the surface and underground;
• erecting safety fences and warning signs; and
• providing non-slip surfaces on passageways and work platforms on plant and machinery.

2.2.7.13 Site security

The site is to be secured by perimeter fencing that complies with the regulation. Signs showing
the name and contact telephone number, including after-hours emergency number of the relevant
persons, are to be erected around the site, and clearly visible from outside the site.

Additional consideration should be given to the security of authorised visitors visiting the site
(e.g. delivery drivers or people attending meetings).

The following control measures should be considered:

• locating offices, parking and delivery areas away from hazardous areas;
• isolating the hazardous area with perimeter fencing, barricades, screens, barriers,
handrails and/or covers, which are capable of preventing access or a person from falling;
• providing visitor tags, tag in and out or logged security card access for specific areas;
• removing or lowering ladders when not in use;
• immobilising plant to prevent unauthorised use;
• installing hazard warning lights, signs, markers or flags;
• using security guards;
• locking fuel dispensers; and
• installing night lighting. Disturb

SACRED

How Tunnels Work

by William Harris
Browse the article How Tunnels Work

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Introduction to How Tunnels Work

At its most basic, a tunnel is a tube hollowed through soil or stone. Constructing a tunnel,
however, is one of the most complex challenges in the field of civil engineering. Many tunnels
are considered technological masterpieces and governments have honored tunnel engineers as
heroes. That's not to say, of course, that some tunnel projects haven't encountered major
setbacks. The Central Artery/Tunnel Project (the "Big Dig") in Boston, Massachusetts was
plagued by massive cost overruns, allegations of corruption, and a partial ceiling collapse that
resulted in a fatality. But these challenges haven't stopped engineers from dreaming up even
bigger and bolder ideas, such as building a Transatlantic Tunnel to connect New York with
London.

In this article, we'll explore what makes tunnels such an attractive solution for railways,
roadways, public utilities and telecommunications. We'll look at the defining characteristics of
tunnels and examine how tunnels are built. We'll also look at the "Big Dig" in detail to
understand the opportunities and challenges inherent to building a tunnel. Finally, we'll look at
the future of tunnels.

Tunnel Image Gallery

Image courtesy Daniel Schwen/

used under Creative Commons Attribution-ShareAlike

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 License
The Gotthard Base Tunnel, a railway tunnel under
construction in Switzerland. See more pictures of tunnels.

Tunnel Basics

A tunnel is a horizontal passageway located underground. While erosion and other forces of
nature can form tunnels, in this article we'll talk about man made tunnels -- tunnels created by
the process of excavation. There are many different ways to excavate a tunnel, including manual
labor, explosives, rapid heating and cooling, tunneling machinery or a combination of these
methods.

Some structures may require excavation similar to tunnel excavation, but are not actually
tunnels. Shafts, for example, are often hand-dug or dug with boring equipment. But unlike
tunnels, shafts are vertical and shorter. Often, shafts are built either as part of a tunnel project to
analyze the rock or soil, or in tunnel construction to provide headings, or locations, from which a
tunnel can be excavated.

The diagram below shows the relationship between these underground structures in a typical
mountain tunnel. The opening of the tunnel is a portal. The "roof" of the tunnel, or the top half
of the tube, is the crown. The bottom half is the invert. The basic geometry of the tunnel is a
continuous arch. Because tunnels must withstand tremendous pressure from all sides, the arch is
an ideal shape. In the case of a tunnel, the arch simply goes all the way around.

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Tunnel engineers, like bridge engineers, must be concerned with an area of physics known as
statics. Statics describes how the following forces interact to produce equilibrium on structures
such as tunnels and bridges:

• Tension, which expands, or pulls on, material

• Compression, which shortens, or squeezes material
• Shearing, which causes parts of a material to slide past one another in opposite
directions
• Torsion, which twists a material
The tunnel must oppose these forces with strong materials, such as masonry, steel, iron and
concrete.

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In order to remain static, tunnels must be able to withstand the loads placed on them. Dead load
refers to the weight of the structure itself, while live load refers to the weight of the vehicles and
people that move through the tunnel. We'll look at the basic types of tunnels next.

Types of Tunnels

There are three broad categories of tunnels: mining, public works and transportation. Let's look
briefly at each type.

Mine tunnels are used during ore extraction, enabling laborers or equipment to access mineral
and metal deposits deep inside the earth. These tunnels are made using similar techniques as
other types of tunnels, but they cost less to build. Mine tunnels are not as safe as tunnels
designed for permanent occupation, however.

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 Photo courtesy National Photo Company Collection/Library
of Congress Prints and Photographs Division
A coal miner standing on the back of a car in a mine
tunnel in the early 1900s. Notice that the sides of the
tunnel are shored up with timber.

Public works tunnels carry water, sewage or gas lines across great distances. The earliest
tunnels were used to transport water to, and sewage away from, heavily populated regions.
Roman engineers used an extensive network of tunnels to help carry water from mountain
springs to cities and villages. These tunnels were part of aqueduct systems, which also comprised
underground chambers and sloping bridge-like structures supported by a series of arches. By
A.D. 97, nine aqueducts carried approximately 85 million gallons of water a day from mountain
springs to the city of Rome.

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 Photo courtesy Eric and Edith Matson Photograph
Collection/Library of Congress Prints and Photographs
Division
A Roman aqueduct that runs from the Pools of Solomon
to Jerusalem

Before there were trains and cars, there were transportation tunnels such as canals -- artificial
waterways used for travel, shipping or irrigation. Just like railways and roadways today, canals
usually ran above ground, but many required tunnels to pass efficiently through an obstacle, such
as a mountain. Canal construction inspired some of the world's earliest tunnels.

The Underground Canal, located in Lancashire County and Manchester, England, was
constructed from the mid- to late-1700s and includes miles of tunnels to house the underground
canals. One of America's first tunnels was the Paw Paw Tunnel, built in West Virginia between
1836 and 1850 as part of the Chesapeake and Ohio Canal. Although the canal no longer runs
through the Paw Paw, at 3,118 feet long it is still one of the longest canal tunnels in the United
States.

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 Photo courtesy Kmf164/ Creation Commons Attribution Share-alike
License
Traveling through the Holland Tunnel from Manhattan to New
Jersey

By the 20th century, trains and cars had replaced canals as the primary form of transportation,
leading to the construction of bigger, longer tunnels. The Holland Tunnel, completed in 1927,
was one of the first roadway tunnels and is still one of the world's greatest engineering projects.
Named for the engineer who oversaw construction, the tunnel ushers nearly 100,000 vehicles
daily between New York City and New Jersey. Tunnel construction takes a lot of planning.
We'll explore why in the next section.

Tunnel Planning

Almost every tunnel is a solution to a specific challenge or problem. In many cases, that
challenge is an obstacle that a roadway or railway must bypass. They might be bodies of water,
mountains or other transportation routes. Even cities, with little open space available for new
construction, can be an obstacle that engineers must tunnel beneath to avoid.

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In the case of the Holland Tunnel, the challenge was an
obsolete ferry system that strained to transport more than
20,000 vehicles a day across the Hudson River. For New
York City officials, the solution was clear: Build an
automobile tunnel under the river and let commuters
drive themselves from New Jersey into the city. The
tunnel made an immediate impact. On the opening day
alone, 51,694 vehicles made the crossing, with an Photo courtesy Japan Railway Public
average trip time of just 8 minutes. Corporation

Sometimes, tunnels offer a safer solution than other Construction of the Seikan Tunnel
structures. The Seikan Tunnel in Japan was built because involved a 24-year struggle to
ferries crossing the Tsugaru Strait often encountered overcome challenges posed by soft
dangerous waters and weather conditions. After a rock under the sea.
typhoon sank five ferryboats in 1954, the Japanese government considered a variety of solutions.
They decided that any bridge safe enough to withstand the severe conditions would be too
difficult to build. Finally, they proposed a railway tunnel running almost 800 feet below the sea
surface. Ten years later, construction began, and in 1988, the Seikan Tunnel officially opened.

How a tunnel is built depends heavily on the material through which it must pass. Tunneling
through soft ground, for instance, requires very different techniques than tunneling through hard
rock or soft rock, such as shale, chalk or sandstone. Tunneling underwater, the most challenging
of all environments, demands a unique approach that would be impossible or impractical to
implement above ground.

That's why planning is so important to a successful tunnel project. Engineers conduct a thorough
geologic analysis to determine the type of material they will be tunneling through and assess the
relative risks of different locations. They consider many factors, but some of the most important
include:

• Soil and rock types

• Weak beds and zones, including faults and shear zones
• Groundwater, including flow pattern and pressure
• Special hazards, such as heat, gas and fault lines

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Often, a single tunnel will pass through more than one type of material or encounter multiple
hazards. Good planning allows engineers to plan for these variations right from the beginning,
decreasing the likelihood of an unexpected delay in the middle of the project.

Once engineers have analyzed the material that the tunnel will pass through and have developed
an overall excavation plan, construction can begin. The tunnel engineers' term for building a
tunnel is driving, and advancing the passageway can be a long, tedious process that requires
blasting, boring and digging by hand.

In the next section, we'll look at how workers drive tunnels through soft ground and hard rock.

Tunnel Construction: Soft Ground and Hard Rock

Workers generally use two basic techniques to advance a tunnel. In the full-face method, they
excavate the entire diameter of the tunnel at the same time. This is most suitable for tunnels
passing through strong ground or for building smaller tunnels. The second technique, shown in
the diagram below, is the top-heading-and-bench method. In this technique, workers dig a
smaller tunnel known as a heading. Once the top heading has advanced some distance into the
rock, workers begin excavating immediately below the floor of the top heading; this is a bench.
One advantage of the top-heading-and-bench method is that engineers can use the heading tunnel
to gauge the stability of the rock before moving forward with the project.

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Notice that the diagram shows tunneling taking place from both sides. Tunnels through
mountains or underwater are usually worked from the two opposite ends, or faces, of the
passage. In long tunnels, vertical shafts may be dug at intervals to excavate from more than two
points.

Now let's look more specifically at how tunnels are excavated in each of the four primary
environments: soft ground, hard rock, soft rock and underwater.

Soft Ground (Earth)

Workers dig soft-ground tunnels through clay, silt, sand, gravel or mud. In this type of tunnel,
stand-up time -- how long the ground will safely stand by itself at the point of excavation -- is
of paramount importance. Because stand-up time is generally short when tunneling through soft
ground, cave-ins are a constant threat. To prevent this from happening, engineers use a special
piece of equipment called a shield. A shield is an iron or steel cylinder literally pushed into the
soft soil. It carves a perfectly round hole and supports the surrounding earth while workers
remove debris and install a permanent lining made of cast iron or precast concrete. When the
workers complete a section, jacks push the shield forward and they repeat the process.

Marc Isambard Brunel, a French engineer, invented the first tunnel shield in 1825 to excavate the
Thames Tunnel in London, England. Brunel's shield comprised 12 connected frames, protected
on the top and sides by heavy plates called staves. He divided each frame into three workspaces,
or cells, where diggers could work safely. A wall of short timbers, or breasting boards,
separated each cell from the face of the tunnel. A digger would remove a breasting board, carve
out three or four inches of clay and replace the board. When all of the diggers in all of the cells
had completed this process on one section, powerful screw jacks pushed the shield forward.

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In 1874, Peter M. Barlow and James Henry Greathead improved on Brunel's design by
constructing a circular shield lined with cast-iron segments. They first used the newly-designed
shield to excavate a second tunnel under the Thames for pedestrian traffic. Then, in 1874, the
shield was used to help excavate the London Underground, the world's first subway. Greathead
further refined the shield design by adding compressed air pressure inside the tunnel. When air
pressure inside the tunnel exceeded water pressure outside, the water stayed out. Soon, engineers
in New York, Boston, Budapest and Paris had adopted the Greathead shield to build their own
subways.

Hard Rock

Tunneling through hard rock almost always involves blasting. Workers use a scaffold, called a
jumbo, to place explosives quickly and safely. The jumbo moves to the face of the tunnel, and
drills mounted to the jumbo make several holes in the rock. The depth of the holes can vary
depending on the type of rock, but a typical hole is about 10 feet deep and only a few inches in
diameter. Next, workers pack explosives into the holes, evacuate the tunnel and detonate the
charges. After vacuuming out the noxious fumes created during the explosion, workers can enter

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and begin carrying out the debris, known as muck, using carts. Then they repeat the process,
which advances the tunnel slowly through the rock.

Fire-setting is an alternative to blasting. In this technique, the tunnel wall is heated with fire, and
then cooled with water. The rapid expansion and contraction caused by the sudden temperature
change causes large chunks of rock to break off. The Cloaca Maxima, one of Rome's oldest
sewer tunnels, was built using this technique.

The stand-up time for solid, very hard rock may measure in centuries. In this environment, extra
support for the tunnel roof and walls may not be required. However, most tunnels pass through
rock that contains breaks or pockets of fractured rock, so engineers must add additional support
in the form of bolts, sprayed concrete or rings of steel beams. In most cases, they add a
permanent concrete lining.

We'll look at tunnel driving through soft rock and driving underwater next.

Tunnel Construction: Soft Rock and Underwater

Tunneling through soft rock and tunneling underground require

different approaches. Blasting in soft, firm rock such as shale or
limestone is difficult to control. Instead, engineers use tunnel-
boring machines (TBMs), or moles, to create the tunnel. TBMs
are enormous, multimillion-dollar pieces of equipment with a
circular plate on one end. The circular plate is covered with disk
Photo courtesy City and
cutters -- chisel-shaped cutting teeth, steel disks or a
County of Denver
combination of the two. As the circular plate slowly rotates, the
A TBM boring head showing
disk cutters slice into the rock, which falls through spaces in the
the disk cutters
cutting head onto a conveyor system. The conveyor system
carries the muck to the rear of the machine. Hydraulic cylinders attached to the spine of the TBM
propel it forward a few feet at a time.

TBMs don't just bore the tunnels -- they also provide support. As the machine excavates, two
drills just behind the cutters bore into the rock. Then workers pump grout into the holes and
attach bolts to hold everything in place until the permanent lining can be installed. The TBM
accomplishes this with a massive erector arm that raises segments of the tunnel lining into place.

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 Photo courtesy Department of Energy
A TBM used in the construction of Yucca Mountain
Repository, a U.S. Department of Energy terminal storage
facility

Underwater
Tunnels built across the bottoms of rivers, bays and other bodies of water use the cut-and-cover
method, which involves immersing a tube in a trench and covering it with material to keep the
tube in place.

Construction begins by dredging a trench in the riverbed or ocean floor. Long, prefabricated tube
sections, made of steel or concrete and sealed to keep out water, are floated to the site and sunk
in the prepared trench. Then divers connect the sections and remove the seals. Any excess water
is pumped out, and the entire tunnel is covered with backfill.

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 Photo courtesy Stephen Dawson/Creative Commons
Attribution Share-alike License
The British end of the Channel Tunnel at Cheriton near
Folkstone in Kent

The tunnel connecting England and France -- known as the Channel Tunnel, the Euro Tunnel or
Chunnel -- runs beneath the English Channel through 32 miles of soft, chalky earth. Although it's
one of the longest tunnels in the world, it took just three years to excavate, thanks to state-of-the-
art TBMs. Eleven of these massive machines chewed through the seabed that lay beneath the
Channel. Why so many? Because the Chunnel actually consists of three parallel tubes, two that
carry trains and one that acts as a service tunnel. Two TBMs placed on opposite ends of the
tunnel dug each of these tubes. In essence, the three British TBMs raced against the three French
TBMs to see who would make it to the middle first. The remaining five TBMs worked inland,
creating the portion of the tunnel that lay between the portals and their respective coasts.

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 Photo courtesy Eric and Edith Matson Photograph Collection/
Library of Congress Prints and Photographs Division
Inside a Holland Tunnel ventilation tower

Unless the tunnel is short, control of the environment is essential to provide safe working
conditions and to ensure the safety of passengers after the tunnel is operational. One of the most
important concerns is ventilation -- a problem magnified by waste gases produced by trains and
automobiles. Clifford Holland addressed the problem of ventilation when he designed the tunnel
that bears his name. His solution was to add two additional layers above and below the main
traffic tunnel. The upper layer clears exhaust fumes, while the lower layer pumps in fresh air.
Four large ventilation towers, two on each side of the Hudson River, house the fans that move
the air in and out. Eighty-four fans, each 80 feet in diameter, can change the air completely every
90 seconds.

We'll look at the "Big Dig" next.

The Big Dig

Now that we've looked at some of the general principles of tunnel building, let's consider an
ongoing tunnel project that continues to make headlines, both for its potential and for its
problems. The Central Artery is a major highway system running through the heart of downtown
Boston, and the project that bears its name is considered by many to be one of the most complex

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-- and expensive -- engineering feats in American history. The "Big Dig" is actually several
different projects in one, including a brand-new bridge and several tunnels. One key tunnel,
completed in 1995, is the Ted Williams Tunnel. It dives below the Boston Harbor to take
Interstate 90 traffic from South Boston to Logan Airport. Another key tunnel is located below the
Fort Point Channel, a narrow body of water used long ago by the British as a toll collection point
for ships. Before we look at some of the techniques used in the construction of these Big Dig
tunnels, let's review why Boston officials decided to undertake such a massive civil-engineering
project in the first place. The biggest issue was the city's nightmarish traffic. Some studies
indicated that, by 2010, Boston's rush hour could last almost 16 hours a day, with dire
consequences both for commerce and quality of life for residents. Clearly, something had to be
done to relieve traffic congestion and make it easier for commuters to navigate the city. In 1990,
Congress allocated $755 million to the massive highway improvement project, and a year later,
the Federal Highway Administration gave its approval to move ahead.

Photo courtesy Massachusetts Turnpike Authority

The Ted Williams Tunnel
The Big Dig kicked off in 1991 with construction of the Ted Williams Tunnel. This underwater
tunnel took advantage of tried-and-true tunneling techniques used on many different tunnels all
over the world. Because the Boston Harbor is fairly deep, engineers used the cut-and-cover
method. Steel tubes, 40 feet in diameter and 300 feet long, were towed to Boston after workers
made them in Baltimore. There, workers finished each tube with supports for the road,
enclosures for the air-handling passages and utilities and a complete lining. Other laborers

126
dredged a trench on the harbor floor. Then, they floated the tubes to the site, filled them with
water and lowered them into the trench. Once anchored, a pump removed the water and workers
connected the tubes to the adjoining sections. The Ted Williams Tunnel officially opened in
1995 -- one of the few aspects of the Big Dig completed on time and within the proposed budget.
By 2010, it is expected to carry about 98,000 vehicles a day.
A few miles west, Interstate 90 enters another tunnel that carries the highway below South
Boston. Just before the I-90/I-93 interchange, the tunnel encounters the Fort Point Channel, a
400-foot-wide body of water that provided some of the biggest challenges of the Big Dig.
Engineers couldn't use the same steel-tube approach they employed on the Ted Williams Tunnel
because there wasn't enough room to float the long steel sections under bridges at Summer
Street, Congress Street and Northern Avenue. Eventually, they decided to abandon the steel-tube
concept altogether and go with concrete tunnel sections, the first use of this technique in the
United States. The problem was fabricating the concrete sections in a way that allowed workers
to move into position in the channel. To solve the problem, workers first built an enormous dry
dock on the South Boston side of the channel. Known as the casting basin, the dry dock
measured 1,000 feet long, 300 feet wide and 60 feet deep -- big enough to construct the six
concrete sections that would make up the tunnel. The longest of the six tunnel sections was 414
feet long, the widest 174 feet wide. All were about 27 feet high. The heaviest weighed more than
50,000 tons.

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The completed sections were sealed watertight at either end. Then workers flooded the basin so
they could float out the sections and position them over a trench dredged on the bottom of the
channel. Unfortunately, another challenge prevented engineers from simply lowering the
concrete sections into the trench. That challenge was the Massachusetts Bay Transportation
Authority's Red Line subway tunnel, which runs just under the trench. The weight of the massive
concrete sections would damage the older subway tunnel if nothing were done to protect it. So
engineers decided to prop up the tunnel sections using 110 columns sunk into the bedrock. The
columns distribute the weight of the tunnel and protect the Red Line subway, which continues to
carry 1,000 passengers a day.

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The Big Dig features other tunneling innovations, as well. For
one portion of the tunnel running beneath a railroad yard and
bridge, engineers settled on tunnel-jacking, a technique
normally used to install underground pipes. Tunnel-jacking
involves forcing a huge concrete box through the dirt. The top
and bottom of the box support the soil while the earth inside the
box was removed. Once it was empty, hydraulic jacks pushed Photo courtesy City and
the box against a concrete wall until the entire thing slid forward County of Denver
five feet. Workers then installed spacer tubes in the newly- The tunnel-jacking process
created gap. By repeating this process over and over, engineers were able to advance the tunnel
without disturbing the structures at the surface.

Today, 98 percent of the construction associated with the Big Dig is complete, and the cost is
well over $14 billion. But the payoff for Boston commuters should be worth the investment. The
old elevated Central Artery had just six lanes and was designed to carry 75,000 vehicles a day.
The new underground expressway has eight to ten lanes and will carry about 245,000 vehicles a
day by 2010. The result is a normal urban rush hour lasting a couple of hours in the morning and
evening.

To see how the Big Dig compares to other tunnel projects, see the table below.

Years to
Tunnel Location Length Opened Cost
Build

Railway Tunnels

33.5 mi (53.9
Seikan Tunnel Japan 24 1988 $7 billion
km)

30.6 mi (49.2
Channel Tunnel England-France 7 1994 $21 billion
km)

11.5 mi (18.5
Apennine Tunnel Italy 14 1934
km)

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 4.75 mi (7.6 $21
Hoosac Tunnel United States 22 1873
km) million

Motor-Traffic Tunnels

15.2 mi (24.5 $125

Laerdal Tunnel Norway 5 2000
km) million

St. Gotthard Road 10.1 mi (16.2

Switzerland 11 1980
Tunnel km)

Bridge-Tunnel Complexes

Chesapeake Bay 17.6 mi (28.3 $200

United States 3.5 1964
Bridge-tunnel km) million

Øresund Bridge and Denmark- 9.9 mi

8 2000 $3 billion
Tunnel Sweden (16 km)

The Future of Tunneling

As their tools improve, engineers continue to build longer and bigger tunnels. Recently,
advanced imaging technology has been available to scan the inside of the earth by computing
how sound waves travel through the ground. This new tool provides an accurate snapshot of a
tunnel's potential environment, showing rock and soil types, as well as geologic anomalies such
as faults and fissures.
While such technology promises to improve tunnel planning, other advances will expedite
excavation and ground support. The next generation of tunnel-boring machines will be able to
cut 1,600 tons of muck per hour. Engineers are also experimenting with other rock-cutting
methods that take advantage of high-pressure water jets, lasers or ultrasonics. And chemical
engineers are working on new types of concrete that harden faster because they use resins and
other polymers instead of cement. With new technologies and techniques, tunnels that seemed

130
impossible even 10 years ago suddenly seem doable. One such tunnel is a proposed Transatlantic
Tunnel connecting New York with London. The 3,100-mile-long tunnel would house a
magnetically-levitated train traveling 5,000 miles per hour. The estimated trip time is 54 minutes
-- almost seven hours shorter than an average transatlantic flight. For lots more information
about tunnels and related topics, check out the links on the next page.

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