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24 Mar.,2025

 

Dams 101 - Association of State Dam Safety Officials

On this page:

  • Dams Are a Vital Part of the National Infrastructure
  • Dam Basics
  • Retaining Water and Seepage
  • The Importance of Safety Regulation

Dams Are a Vital Part of the National Infrastructure

Water is one of our most precious resources; our lives depend on it. Throughout the history of humankind, people have built dams to maximize use of this vital resource.  

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Dams provide a life-sustaining resource to people in all regions of the United States. They are an extremely important part of this nation's infrastructure'equal in importance to bridges, roads, airports, and other major elements of the infrastructure. They can serve several functions at once, including water supply for domestic, agricultural, industrial, and community use; flood control; recreation; and clean, renewable energy through hydropower.

As populations have grown and moved to arid or flood-prone locations, the need for dams has increased.

Potential Benefits of Dams

Renewable, clean energy: According to the U.S. Department of Energy, in , hydropower accounted for more than 7% of U.S. electricity generation and nearly 37% of U.S. renewable electricity generation.

Flood control: Dams built with the assistance of the Natural Resources Conservation Service provide an estimated $1.7 billion in annual benefits in reduced flooding and erosion damage, recreation, water supplies, and wildlife habitat. Dams owned and operated by the Tennessee Valley Authority produce electricity and prevent an average of about $280 million in flood damage each year.

Water storage: Dams create reservoirs that supply water for a multitude of uses, including fire control, irrigation, recreation, domestic and industrial water supply, and more.

Irrigation: Ten percent of American cropland is irrigated using water stored behind dams.

Navigation: U.S. Army Corps of Engineers navigation projects in the U.S. serve 41 states, maintain 12,000 miles of channels, carry 15% of U.S. freight carried by inland waterways, operate 275 locks, and maintain 926 harbors.

Recreation: Dams provide prime recreational facilities throughout the U.S. Ten percent of the U.S. population visits at least one U.S. Army Corps of Engineers facility each year.

Dam Basics

The purpose of a dam is to impound (store) water, wastewater or liquid borne materials for any of several reasons, such as flood control, human water supply, irrigation, livestock water supply, energy generation, containment of mine tailings, recreation, or pollution control. Many dams fulfill a combination of the above functions.

Manmade dams may be classified according to the type of construction material used, the methods used in construction, the slope or cross-section of the dam, the way the dam resists the forces of the water pressure behind it, the means used for controlling seepage and, occasionally, according to the purpose of the dam.

The materials used for construction of dams include earth, rock, tailings from mining or milling, concrete, masonry, steel, timber, miscellaneous materials (such as plastic or rubber) and any combination of these materials.

Types of Dams

Types of Dams

Embankment Dams: Embankment dams are the most common type of dam in use today. Materials used for embankment dams include natural soil or rock, or waste materials obtained from mining or milling operations. An embankment dam is termed an 'earthfill' or 'rockfill' dam depending on whether it is comprised of compacted earth or mostly compacted or dumped rock. The ability of an embankment dam to resist the reservoir water pressure is primarily a result of the mass weight, type and strength of the materials from which the dam is made.                   

Concrete Dams: Concrete dams may be categorized according to the designs used to resist the stress due to reservoir water pressure. Three common types of concrete dams are: gravity, buttress and arch.

Gravity: Concrete gravity dams are the most common form of concrete dam. The mass weight of concrete and friction resist the reservoir water pressure. Gravity dams are constructed of vertical blocks of concrete with flexible seals in the joints between the blocks.

Buttress: A buttress dam is a specific type of gravity dam in which the large mass of concrete is reduced, and the forces are diverted to the dam foundation through vertical or sloping buttresses.

Arch: Concrete arch dams are typically rather thin in cross-section. The reservoir water forces acting on an arch dam are carried laterally into the abutments.The shape of the arch may resemble a segment of a circle or an ellipse, and the arch may be curved in the vertical plane as well. Such dams are usually constructed of a series of thin vertical blocks that are keyed together; barriers to stop water from flowing are provided between blocks. Variations of arch dams include multi-arch dams in which more than one curved section is used, and arch-gravity dams which combine some features of the two types of dams.

Retaining Water and Seepage

Because the purpose of a dam is to retain water effectively and safely, the water retention ability of a dam is of prime importance. Water may pass from the reservoir to the downstream side of a dam by any of the following:

  • Passing through the main spillway or outlet works
  • Passing over an auxiliary spillway
  • Overtopping the dam
  • Seepage through the abutments
  • Seepage under the dam

Overtopping of an embankment dam is very undesirable because the embankment materials may be eroded away (See Video Example). Additionally, only a small number of concrete dams have been designed to be overtopped. Water normally passes through the main spillway or outlet works; it should pass over an auxiliary spillway only during periods of high reservoir levels and high water inflow. All embankment and most concrete dams have some seepage. However, it is important to control the seepage to prevent internal erosion and instability. Proper dam construction, and maintenance and monitoring of seepage provide this control.

Release of Water

Intentional release of water is confined to water releases through outlet works and spillways. A dam typically has a principal or mechanical spillway and a drawdown facility. Additionally, some dams are equipped with auxiliary spillways to manage extreme floods.

Outlet Works: In addition to spillways that ensure that the reservoir does not overtop the dam, outlet works may be provided so that water can be drawn continuously, or as needed, from the reservoir. They also provide a way to draw down the reservoir for repair or safety concerns. Water withdrawn may be discharged into the river below the dam, run through generators to provide hydroelectric power, or used for irrigation. Dam outlets usually consist of pipes, box culverts or tunnels with intake inverts near minimum reservoir level. Such outlets are provided with gates or valves to regulate the flow rate.

Spillways: The most common type of spillway is an ungated concrete chute. This chute may be located over the dam or through the abutment. To permit maximum use of storage volume, movable gates are sometimes installed above the crest to control discharge. Many smaller dams have a pipe and riser spillway, used to carry most flows, and a vegetated earth or rockcut spillway through an abutment to carry infrequent high flood flows. In dams such as those on the Mississippi River, flood discharges are of such magnitude that the spillway occupies the entire width of the dam and the overall structure appears as a succession of vertical piers supporting movable gates. High arch-type dams in rock canyons usually have downstream faces too steep for an overflow spillway. In Hoover Dam on the Colorado River, for example, a shaft spillway is used. In shaft spillways, a vertical shaft upstream from the dam drains water from the reservoir when the water level becomes high enough to enter the shaft or riser; the vertical shaft connects to a horizontal conduit through the dam or abutment into the river below.

The Importance of Safety Regulation

The National Inventory of Dams (NID) has catalogued the more than 90,000 dams on America's waterways according to their hazard classification. Hazard classification is determined by the extent of damage a failure would cause downstream, with high-hazard potential dams resulting in loss of life and significant-hazard potential indicating a failure would not necessarily cause a loss of life, but could result in significant economic losses. As you can see on this map from the NID, there are numerous dams across America and ensuring their safety is a critical goal.

Safety is key to the effectiveness of a dam. Dam failures can be devastating for the dam owners, to the dam's intended purpose and, especially, for downstream populations and property. Property damage can range in the thousands to billions of dollars. No price can be put on the lives that have been lost and could be lost in the future due to dam failure. Failures know no state boundaries'inundation from a dam failure could affect several states and large populations.

Early in this century, as many dams failed due to lack of proper engineering and maintenance, it was recognized that some form of regulation was needed. One of the earliest state programs was enacted in California in the s. Federal agencies, such as the Corps of Engineers and the Department of Interior, Bureau of Reclamation built many dams during the early part of the twentieth century and established safety standards during this time. Slowly, other states began regulatory programs. But it was not until the string of significant dam failures in the s that awareness was raised to a new level among the states and the federal government.

State Regulation Today

Today, every state except Alabama has a dam safety regulatory program. State governments have regulatory responsibility for 70% of the approximately 90,000 dams within the National Inventory of Dams. These programs vary in authority but, typically, the program activities include:

  • Safety evaluations of existing dams
  • Review of plans and specifications for dam construction and major repair work
  • Periodic inspections of construction work on new and existing dams
  • Review and approval of emergency action plans

Federal Regulation Today

There are several federal government agencies involved with dam safety. Together, these federal agencies are responsible for five percent of the dams in the U.S. They construct, own and operate, regulate or provide technical assistance and research for dams. Included in this list are the Departments of Agriculture, Defense, Energy, Interior, Labor and State (International Boundary and Water Commission), the Federal Energy Regulatory Commission, Nuclear Regulatory Commission and the Tennessee Valley Authority. The Federal Emergency Management Agency administers the National Dam Safety Program, a program established by law in to coordinate the federal effort through the Interagency Committee on Dam Safety, to assist state dam safety programs through financial grants, and to provide research funding and coordination of technology transfer.

Federal Agencies

Federal agency representatives make up about 16% of the ASDSO membership. About 14% of dams in the USA are owned or regulated by federal agencies.

The Federal Emergency Management Agency (FEMA), part of the Department of Homeland Security, does not own or regulate dams itself but administers the National Dam Safety Program, which coordinates all federal dam safety programs and assists states in improving their dam safety regulatory programs. The Office of Infrastructure Protection, also within the Department of Homeland Security, leads a coordinated national program to reduce risks to the nation's critical infrastructure, including dams, posed by acts of terrorism.

Federal agencies involved with dam safety, either as owners and/or regulators, include the following:

U.S. Department of Agriculture
  • Natural Resources Conservation Service
  • Agriculture Research Service
Department of Defense
  • Army Corps of Engineers
  • Engineer Research and Development Center
  • Hydrologic Engineering Center (HEC)
Department of the Interior
  • Bureau of Indian Affairs
  • Bureau of Land Management
  • Bureau of Reclamation
  • Fish & Wildlife Service
  • National Park Service
  • Office of Surface Mining
Federal Energy Regulatory Commission
Mine Safety and Health Administration
International Boundary and Water Commission (U.S. Section)
Nuclear Regulatory Commission
Tennessee Valley Authority

Together the agencies listed above make up the Interagency Committee on Dam Safety (ICODS), overseen by FEMA as head of the National Dam Safety Program.

Other federal agencies that stay involved with ASDSO and the dam safety community are the National Oceanic and Atmospheric Association (NOAA), National Weather Service and the U.S. Geological Survey.

The 10 most important things to be considered in design ... - LinkedIn

The 10 most important things to be considered in design of embankment dams

Amr El-Sayed, Ph. D., CCM

Amr El-Sayed, Ph. D., CCM

Cost Control Manager at EPC Consultants, Inc.

Published Aug 2,

Introduction

 The designer engineer's responsibility is to provide safety. The designed structures must act with integrity giving due consideration to the purpose of the project and the ultimate effects of the project on fellow human beings.

 At the same time the Engineers are responsible to the community for the cost of the structure. There is always a limit to the finance, so any cut in cost must not sacrifice safety.

If you are looking for more details, kindly visit small dam spillway design.

 The Engineers also carries a legal responsibility, and are responsible at all times for both what they do and what they say.

 Sequence of Dam Design

 1- Specify the purpose for the dam project

  • Water supply (requires a high reservoir)
  • Irrigation
  • Silt retention
  • Transportation
  • Electricity generation
  • Recreation and beautification (requires a constant reservoir level)
  • Flood mitigation (requires a low reservoir)

2- Architecture layout and choosing the best spot for the dam

  • In the planning stage possible dam sites will have been chosen from contour maps and aerial photography, selected primarily on topography. A narrow gorge is best, hoping for minimum quantities in the dam and a valley opening upstream to provide the required storage. There maybe alternative sites along the length of a river and hence further investigation has to be done to ascertain the best possible position.
  • Depends on many considerations, such as the narrowest stream width, the location of the reservoir, geological formation at the site, and what the purpose of the dam was.

 3-Site Investigation

  • Most failures are due to lack of appreciation of how the particular dam site would react to the superposition of the dam and reservoir. It is therefore essential that a detailed site investigation takes place and Engineers appropriately use the results.
  • A Geologist will assist the Engineer in the selection of the dam site, and a construction Engineer will study the access and possible sources of materials.

 4- Laboratory and Field Testing

  • All the parameters used in the design such as soil shear strength, unit weight, maximum dry density,''.etc, should be estimated from different types of field and laboratory tests.

5- Hydrology study

  • Hydrology is a science of prediction - the likelihood of recurrence of natural events. Mathematicians may try to predict events based on past history but Nature is unpredictable as to time and magnitude of occurrence.
  • Based on past information the low flow characteristics of the river will control the storage required and hence the normal full supply level of the reservoir. High flow records and flood forecasting techniques provide the basis for design of the spillway, and hence the flood storage required above normal full supply level.
  • The hydrology study also involves determining the storage capacity of the reservoir, the workable lake elevation for navigation or power supply, and the design of emergency spillway.

6- Loading and Factor of Safety ' Static and Dynamic Loading

Both static and dynamic (like earthquake) loads acting on the body of the dam are calculated.

The minimum factors of safety for embankment dams would be:

 Upstream Slope

Immediately after completion with full construction pore pressure                    1.3-1.5

Following rapid drawdown (slip circles between high and low water levels)    1.2-1.3

Downstream Slope 

Earthquake and Reservoir Full                                                           1.2

Reservoir full - steady seepage                                                           1.5

In an area subject to earthquakes the following factors are indicative of acceptable values:

Seismic coefficient                                     0.1            FoS             1.8

Seismic coefficient                                     0.3            FoS             1.15

 7- Foundation Design

  • The foundations of a dam must be able to withstand without unacceptable deformation the loads imposed upon it by the structure, both immediately after filling the reservoir and in the long term.
  • With time, deterioration by saturation and percolation of water can occur, whilst soft rocks and clays usually exhibit lower residual strengths under sustained loading than under rapid testing. It is the 10-20m of rock immediately below the dam that is of greatest importance.
  • Terzaghi's advice might well apply to foundation testing - "...because of unavoidable uncertainties involved in the fundamental assumptions of the theories and the numerical values of the soil constants, simplicity is of much greater importance than accuracy. 'The Engineer must use all the available resources, concentrating on the zones of foundation that appear weak and that will be subject to stresses once loaded.'
  • Construction of a dam and filling of the reservoir behind it create load stresses on the floor and sides of a valley that did not exist previously.
  • The kinds and distributions of imposed stresses created by a dam on its foundation depend on the shape of the dam and the materials used in its construction.
  • Dams built of masonry or concrete can be considered to behave as cohesive, rigid, monolithic structures. The stresses acting on the foundation is a function of the gross weight of the dam as distributed over the total area of the foundation on which the dam rests.
  • Earth and rock fill dams exhibit gross semi-plastic behavior, and the pressure on the foundation at any point depends on the thickness of the dam above the point.
  • The pressures exerted by earth and rock-fill dams resemble in some respects those exerted by the water in a reservoir, but pressure distribution is modified by the fact that the materials of construction have some inherent strength, and fail only after some threshold stress has been exceeded. Pressures exerted by water in the reservoir behind a dam are hydrostatic and increase linearly with depth.

 8- Seepage control design

  • Seepage under an embankment is much more dangerous than that for a concrete dam, since embankments are usually built on soft material which is liable to be scoured out and it is also vulnerable to influx of water; whereas a concrete dam is usually built on rock which is not worn away so rapidly by the scouring action of water; and even then a defective dam will not necessarily be endangered by passage of water through it or even under it.
  • Stored water behind dams, gives rise to three basic seepage problems, which can lead to difficulties and in serious cases to total failure:
  1. Piping occurs when water picks up soil particles and moves them through unprotected exits, developing unseen channels or pipes through a dam or its foundation.
  2. Heave or slope failures caused by seepage forces.
  3. Excessive loss of water.
  • Three basic methods for controlling seepage are:
  1. Use of filters to prevent piping and heave
  2. Seepage reduction
  3. Drainage

 9- Slope Stability

  • 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
  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

 10- River Diversion design

  • Regardless of the type of dam, it is necessary to de-water the site for final geological inspection, for foundation improvement and preparation, 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.

Statistical study about Dam Failures in California

 Dam failures are most likely to happen for one of six reasons: 

  • Overtopping, caused by water spilling over the top of a dam
  • Structural failure of materials used in dam construction
  • Stability failure of the foundation or other features that hold the dam in place
  • Cracking caused by movements like the natural settling of a dam
  • Inadequate maintenance and upkeep
  • Piping'when seepage through a dam is not properly filtered and soil particles continue to progress and form sink holes in the dam. 

 There have been a total of 45 dam failures in California. Failures have occurred for a variety of reasons, the most common failure being overtopping. Other dams have failed due to specific shortcomings in the dam itself or an inadequate assessment of the surrounding geomorphologic characteristics. The first notable dam failure occurred in in Sierra County, while the most recent failure occurred in . The greatest catastrophe relating to California dam failures was William Mulholland's infamous St. Francis Dam, which failed in . Overall, there have been a least 460 deaths from dam failures in California.

 According to the introduction and the statistics of dam failures, the 10 most important things to be considered in design of embankment dams:

1- Site investigation:

In order to design the most efficient structure, we have to know what the structure is facing with respect to soil and geological formation, and how the dam will act at the specific site.

2- Laboratory and Field Testing:

The tests done at the construction site are the base for dam design. If any tests gave bad results, the design will be based on poor information, and will be poor design.

3- Seepage control design:

Cracks in the embankment dames are inevitable (Jim Sherrard), so a good design for seepage control makes a difference between good and bad design. The seepage control design includes filter design, toe or chimney drains, and/or adding a core with low permeability. 

4-Hydrology study

Good Hydrology study will determine the U.stream water level, and thus determining the required height of the dam, and the elevation of the spillway. Poor investigation might lead to dam overtopping.

5- Loading and Factor of Safety - Dynamic Loading

For a dam to act efficiently, all the loads acting on the dam (either external or internal) should be calculated accurately. Taking into consideration all the loads will result in a good and safe design, otherwise it might lead to unsafe structure.

6- Foundation Design

The foundation is a very important element in the embankment dam. It must carry all the dam and water loads safely without failing under excessive settlement, and it is also should be designed to protect the dam against seepage and piping.

7- Slope Stability

Slope stability check is very important as many dams failed from insufficient design checks for slope. The slope check should include:

    1. Just after construction condition
    2. Steady seepage, and
    3. Rapid drawdown

8- Specify the purpose for the dam project

The purpose of the dam determines many factors in dam design. There is no fixed design for every dam. The purpose of the dam should be taken into consideration in dam design. For example, a dam with power plant, should be designed to withstand extra dynamic effects from power machines.

 9- Architecture layout and choosing the best spot for the dam

Based on Geology formation, choosing the best place for the dam is very essential for a successful design. The location of the dam might decrease or increase construction cost. 

10- River Diversion design

Moving the river away from the dam construction area provides low groundwater level, and thus enables to operate without major dewatering problems.

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