DAMS AND RESERVOIRS, SOCIETIES AND ENVIRONMENT IN THE 21ST CENTURY

BALKEMA – Proceedings and Monographs in

Engineering, Water and Earth Sciences
 RP FO SGNIDE C ANRET I H D NO MUIS P Y LA T NI SMA FO SEIT C H
TS
12 EHT RUTNEC Y PS-DLOCI , DLOCNA PS ,ANOLECR B 60 2 UJ 81 NIA

Dams and Reservoirs,

Societies and Environment
in the 21st Century
Edited by
L. Berga, J.M. Buil, E. Bofill, J.C. De Cea, J.A. Garcia Perez,
G. Mañueco, J. Polimon, A. Soriano & J. Yagüe
Spanish National Committee on Large Dams, SPANCOLD

Volume 1
Volume 2

LONDON/LEIDEN/NEW YORK/PHILADELPHIA/SINGAPORE
This edition published in the Taylor & Francis e-Library, 2006.

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Table of Contents

Preface XVII

Volume I

Theme 1. Role of dams and reservoirs

General Report – Session I 3
H. Roo (Venezuela)

Hydropower issues in China 9

P. Jiazheng (China)

The developing hydropower in China 15

Dabing Zhou (China)

Analysis of the role and strategic position of Dadu waterpower development 21

Chen Gang, Ma Guangwen & Fu Xingyou (China)

Functions of dams in ensuring drinking water safety in China 27

Dangsheng Zhu (China)

The role of dams performed in Japan and their future 31

M. Okano, N. Matsumoto, S. Jojima & H. Mori (Japan)

Shikoku is one – roles of dams in Yoshino River Comprehensive Development Project. Arrangements
to realize one of Japan’s greatest water diversion plan and flood control effect of dams 39
Y. Sugimura (Japan)

Flood evaluation and management after the High Dam Reservoir 47

Mhmod M. Sayed & Medhat M. Kamal (Egypt)

Role of Sardar Sarovar Narmada Project in water management, hydro power and flood control 53
B.J. Parmar (India)

Dams as a tool for integrated water management in Sahelian Africa 61

A. Nombre & F. Millogo (Burkina Faso)

Holistic approach to dam safeguard and reservoir operation in Sicily 69

M. Mauro, G. Curto, S. Giunta, I. Melisenda Giambertoni, R. Jappelli, M. Cassarà, D. Di Ferro,
C. Gambino, M. Loria, F. Piazza, A. Catalano & V. Pascucci (Italy)

Analysis of the viability of dams and their alternatives – The case of Cyprus 81
S. Stefanou & K. Kyrou (Cyprus)

Reservoirs and their role in economical and social development of Tajikistan and Central Asia region 87
I. Sh. Normatov & G.N. Petrov (Tajikistan)

V
Improved dam operation in the Amu Darya river basin including transboundary aspects 97
J. Froebrich, O. Olsson, M. Bauer, I. Normatov & G. Petrov (Germany, Tajikistan)

La Loteta Dam. A strategic location 105

R. Lafuente, J. Granell, I. Poyales & V. Flórez (Spain)

Consequences of the regulating dams at the head of the Tagus River in the management of
water supply, hydropower and flood prevention 113
F.J. Flores Montoya, G. Liébana del Pozo, M.A. Ortiz de Andrés & J. Mora Colmenar (Spain)

Azúa Valley Lake and integrated water resources management in Vitoria-Gasteiz 117
R. Mujeriego & J. López (Spain)

The Canales dam on the river Genil (Granada), a key element in guaranteeing the water supply
to the city and its metropolitan area 125
M. Vizcaíno (Spain)

Computerised management of the safety, operation and maintenance of the dams belonging to the
Canal de Isabel II 129
J.A. García Pérez & V. Gaitán Santos (Spain)

Change in the use of the dam El Yeso associated to the social and economic development of
Santiago (Chile). Different aspects of the drinking water supply of this Andean metropolis 135
M. Concha Mathiessen & A. Juanmarti Balust (Chile)

The role of Dez and Karun dams on Karun river water quality management 143
M.R. Sakian D. (Iran)

Operation of the Yacyretá complex reservoir (reduced bench mark) 149

L. Chamorro (Paraguay)

Studies and geotechnical design of the El Cajon Dam 153

J.D. Alemán Velásquez & H. Marengo Mogollon (Mexico)

ZHUR hydropower-plant importance for the electro-energetic system of Kosova 159

Z. Idrizi & I. Idrizi (Serbia & Montenegro, FYR Macedonia)

Historical dam Rozgrund – reconstruction of its bottom outlet 165

P. Glaus (Slovak Republic)

Organization of geographical information, in a GIS, for an integrated management and a

decision-making aid in the water resources domain. Application to the watershed of
Macta (Western Algerian) 169
A. Mendas, K. Benhanifia, S. Bounaceur & H. Medjelled (Algeria)

Flood protection by large dams and flood polders. Chances and limits 177
T. Strobl, F. Zunic, M. Fischer & M. Schindler (Germany)

Expectations and reality about the role of dams for flood control – experience of the extreme flood
in August 2002 in Saxony 185
A. Schumann & H.-U. Sieber (Germany)

Dams and floods in the Czech Republic 193

J. Riha (Czech Republic)

Extreme events in the Grijalva river hydroelectric system in the southeast of Mexico in 1999 199
H. Marengo, L. Athié & O. Calahorra (Mexico)

VI
Flood’s control at Pedra do Cavalo Dam 207
J.L.R. Amorim (Brazil)

Flood management in reservoirs in upper river basins from real time data collection by using
downstream water alert systems 211
A. Rodriguez de la Torre, R. Álvarez Gordón, J. Gras, P. García Rubí & R. Rollán (Spain)

The management of floodgates 219

J. Espinós Solís (Spain)

Role of outlet works in management and control of floods 223

G. Ciaravino (Italy)

Exploitation of the inactive dam. Optimization system of water intake. Floating intake, components,
functioning and its application to water intakes 231
A. Colmenarejo González & J. García Orna (Spain)

Environmental integrated rules in dams with water quality problems. The Santomera Dam,
an example on how to integrate water quality and water quantity needs 237
J. Ginés Muñoz, F. Montalbán, J. Gras, P. García Rubí & F. Matador (Spain)

Theme 2. Benefits of dams

General Report – Session II 245
E. Cifrés (Spain)

Macroeconomic effects of a dam project in a developing country 259

T. Tada & T. Hagiwara (Japan)

Analysis of economic impact in water conservancy and hydropower development 267

C. Shaojun & S. Guoqing (China)

Benefits of Xiaolangdi Multipurpose Dam Project in initial operation 273

H. Tang, X. Xin, & Z. Qi (China)

Coupling the long-term and short-term optimization models for reservoir operation 277
X. Dong, Y. Zhao, J. Yuan, Q. Peng & S. Guo (China)

Methods of measurement of contribution of large dams to the national economy 283

A. Noori Esfandiari & T. Aryan (Iran)

Karun River hydropower cascade development and its socio-environmental impacts 289
P.T. Shourijeh, A. Soroush, N. Nemati & A.H. Izad-doustdar (Iran)

Role of large multipurpose dams in the economy of Pakistan 295

Zahid Majeed & Zia-ul-Hasan (Pakistan)

Ecological, irrigation and energetic criteria of construction of reservoirs 301

I. Sh. Normatov & G.N. Petrov (Tajikistan)

Challenges of multi purpose dam project and management in African countries: A case study of
the River Niger Basin system 307
I.E. Ekpo & J. Akanmu (Nigeria)

The benefit of large dams to national and regional economy of Nigeria 313
B.O. Johnson Adewumi (Nigeria)

VII
Redesigning existing large dams for multipurpose 317
M. Simainga (Zambia)

ITAIPU Binacional: An important factor of regional development 325

S. Mariano Abud & M. López (Paraguay)

The holistic vision of the role of large dams in Peru in the XXI century 331
M. Suazo & R. Rodriguez (Peru)

The construction of Angostura’s Dam and two Hidropower 337

D.A. Loayza (Peru)

Meteorological and hydrological forecast as an improvement of hydroelectric management in the

North-Patagonia Argentina 341
M. Marizza, F. Losano & P. Fernández Carrasco (Argentina, Spain)

Economic impact caused by the transfer Tagus-Segura in the southeast of Spain 345
F.J. Flores Montoya, G. Liébana del Pozo, M.A. Ortiz de Andrés & J. Mora Colmenar (Spain)

Socioeconomic development vs. available hydric resources. The case of the region of Madrid 349
F.J. Flores Montoya, G. Liébana del Pozo, M.A. Ortiz de Andrés & J. Mora Colmenar (Spain)

Demographic impact of the regulation of surface waters. The case of the public irrigated areas in
the Tagus River basin 353
F.J. Flores Montoya, G. Liébana del Pozo, M.A. Ortiz de Andrés & J. Mora Colmenar (Spain)

Dam failure consequences on water resources system 357

E. Triana, I. Escuder, M.G. de Membrillera & L. Altarejos (Spain)

New large dams are necessary in FYR Macedonia 365

L. Tančev & L. Petkovski (FYR Macedonia)

Hydro power plant “Kozjak”, a key water management system of future optimum development for
the capital Skopje 373
S. Mihajlovski & B. Dimitrievska (FYR Macedonia)

The PSHPP Chebren and Galishte opportunity for rehabilitation of Mariovo – Macedonia 377
I. Andonov-Chento & T. Paskalov (FYR Macedonia)

A multipurpose lower Sava river project in Slovenia: Examples of the Blanca and Krško cascades 385
A. Širca & B. Barbič (Slovenia)

Theme 3. Dam engineering and analysis of alternatives

General Report – Session III 395
J. Polimón (Spain)

Bankable Feasibility Study for Rogun HEP Stage 1 construction completion in Tajikistan 405
R. Schmidt, S. Zambaga-Schulz & M. Seibitz (Germany)

Upgrading mangla dam-alternativa resolutions 415

W. Gulrez & Z.M. Malik (Pakistan)

Analysis of alternatives to increase the available hydric resources in the Alberche River to supply
Madrid 421
F.J. Flores Montoya, G. Liébana del Pozo & M.A. Ortiz de Andrés (Spain)

VIII
La Colada Dam (Córdoba): An example of technical, economic, social and environmental viability 425
A.A. Rodríguez & P. Elías Fernández (Spain)

Construction of the first concrete faced gravel-fill dam (CFGD) in Korea - Hwabuk multi-purpose dam 433
W.-H. Lee, K.-T. Yum & H.-D. Lim (Korea)

Merowe Dam Project – a combination of an earth core rockfill dam and the world longest concrete
faced rockfill dam 441
L.D. Schewe & A. El Tayeb (Germany, Sudan)

Decision-making system of optimization design for high arch dam 449

S. Chao & Pan Hai-Lin (China)

A certain degree of risk: The results of an assessment of flood risks in the Netherlands 453
C.J. van Westen (The Netherlands)

Design of a new economic shape of weir 463

A. Ouamane & F. Lempérière (Algeria, France)

Analysis of the viability of a flood control dam in a Spanish Mediterranean basin 471
M.G. Mañueco, C. Torres-Quevedo, M. González, A. Molina, J.C. Gutiérrez, F. Soriano,
F. Villalba, S. Hoppe & I. Escuder (Spain)

Small overtoppable earthdams as alternative for flood protection purposes 477

R. Siebel (Germany)

Evolution of groundwater quality around dam-site and its significance 485

H.-Z. Song & J.-F. Huang (China)

Deformation behavior analysis of Concrete-Faced Rockfill dam based on monitoring data 491
D.-J. Yoon, Y.-C. Song, Gi-S. Pang, In-S. Kim, M.W. Soo & Y.-S. Kim (South Korea)

Behavior analysis and deformation guidelines of rockfill dams 499

Y.-S. Kim, M.-S. Won, Y.-A. Lee, Gi-S. Pang, Y.-C. Song & D.-J. Yoon (South Korea)

Safety management of water-power generation rockfill dam by monitoring system 505

Gi-S. Pang, Y.-C. Song, Y.-M. Kim, Y.-S. Kim, M.W. Soo & H.-W. Ko (South Korea)

Successive seismic reflection methods aided to find the change of structure and material properties
in center core type earth-fill dam 511
H.-S. Kim, H.G. Park, Y.S. Yoo, J.-Y. Kim & Y.S. Kim (Korea)

Analysis of the possibilities of using reactive aggregates in the construction of new concrete dams 515
J. Segarra Horadada, J.M. Buil Sanz & A. Aguado de Cea (Spain)

A new device for field calibration of total pressure cells in Doosti and Esfarayen dams 521
R. Jamshidi Chenari & M. Nikkhah (Iran)

Study on the seepage monitoring theory with temperature in embankment dam 527
LI. Duan-you, Xiong Jian & Wang Huang (China)

Back analysis of dam based on uniform design and genetic neural network 533
LI. Duan-you, Xiao qing Gan & Yianyang Guo (China)

IX
Application of BP network to multiple-spot model of dam deformation monitoring 541
LI. Duan-you & Zhou Yuanchun (China)

New technologies in the rehabilitation of the drainage network in dams 545

A. Román & A. Gonzalo (Spain)

The upstream zone of a very high CFRD 553

F. Mendez & H. Marengo Mogollon (Mexico)

Technical and economical comparison between two reinforcement methods of coastal dykes 561
A.Y. Daghigh, A. Karami Khaniki, A. Tolooiyan & B.H. Shahroozifar (Iran)

Specific procedures used during the construction of the asphaltic concrete core in
Mora de Rubielos dam 567
J.M. Benlliure, M.G. de Membrillera, C. Seitl & V. Flórez (Spain)

Seals for Aguamilpa, El Cajón y La Parota concrete face dams, in México 573
J. Fuentes & E. Mena (México)

Hydroelectric project “El Cajón, Nay. México” design and construction of the deviation project
using the criterion of compound corrugation 583
H. Marengo, L. Athié & O. Calahorra (México)

Use of non plastic material in core of Shamil & Nian earth fills dams 589
F. Jafarzadeh, Y. Daghigh & A. Reza gholi lou (Iran)

Phased construction of the Barragem de Cerro do Lobo 593

M. Oliveira Toscano & M. Cambridge (Portugal, UK )

Lessons learnt from karst hydro-geological and geological investigations at Baraftab dam site
(Southern Iran) 601
M. Shirouyeh, M. Giahi & M.T. Goudarzi (Iran)

The flood energy dissipation features and feasibility analysis for Wudongde Hydraulic Power Station 607
Han Jibin, Lu Hong, Han Xijun & Guo Yanyang (China)

Monitoring as a tool of dam safety improvement at Plavinas HPP 611

S. Dišlere (Latvia)

Innovative design for durable and economic spillway structure using SFRC 619
M. Safi, M. Hamidian & H. Sahranavard (Iran)

Current progress of HPP “LESCE” under construction in Croatia 629

N. Petrovic, S. Uzelac & M. Feketic (Croatia)

Optimization of concrete gravity dams foundation drainage systems 633

J.F. Da Silva (Brazil)

Special precast for San Francisco Hydroelectric Power Plant – Equator 641
J.F.F. Nascimento, N.G. Graça, S. Freitas & A. Toro (Brazil, Equator)

Application of jet grouting for watertightening of coarse grained alluvium 647

H. Bagheri (Iran)

Research and application of the new technique of seepage control – the replaceable relief well 651
W. Chang Yu & Z. Wei (China)

X
Study dam-detouring leakage at the left abutment of Xiaolangdi reservoir using nature tracers 657
J. Chen, F. Zhechao & D. Haizhou (China)

Estimating development of the Urridafoss ice jam by using a river model 667
J. Eliasson & G. Orri Gröndal (Iceland)

Dam leakage and relevant leakage diagnoses in China 673

L. Jiangang, Fang Fang & J. Chen (China)

Safety of cracked buttress dams – an example 679

T. Ekström (Sweden)

Construction of pressure relief wells under flowing artesian conditions, Karkheh storage dam – Iran 687
Mohammad Heidarzadeh, Ali A. Mirghasemi, F. Eslamian, H. Niroomand &
Seyed M. Etemadzadeh (Iran)

The influence on drawdown in a water power station due to eroded material in the outlet channel 695
F. Persson (Sweden)

Contribution of the Lar Dam-Polur lineament in the Lar dam leakage 699
Kh. Feghhi (Iran)

Comprehensive evaluation with variable fuzzy sets for global stability of high-steep rock slope of
Three Gorges Project permanent shiplock 707
Y. Guo & S.Y. Chen (China)

The landslide event in left Bank of Seymareh dam project: History, geotechnical conditions and
remedial works 715
M. Yazdani & Kh. Solgi (Iran)

Mass movement and risk assessment in Komani hydropower area, Albania 723
Y. Muceku & H. Reçi (Albania)

Evaluation of rock mass modulus by Ramamurthy equivalent media – a case study of

Masjed Soleyman Cavern 731
M. Bagheri & N. Shafiezadeh (Iran)

Analytical and comparative study on Karst problems and treatments in world’s dams 737
N. Talebbeydokhti, M.H. Fattahi & A. Shamsai (Iran)

Effective modeling of sedimentation system in the Himalayan region Karcham Wangtoo

Hydroelectric Project (1000 MW) – a case study 745
Satish Kr. Sharma, R.C. Gupta, J.A. House & Vasant Vihar (India)

Abrasion of dam surface by high-velocity sediment-laden flow and effect of aeration on

abrasion resistance 751
X.B. Huang (China)

Appropriate application of artificial neural networks for flow forecasting 755

X. Dong, Y. Zhao, J. Yuan, Q. Peng & S. Guo (China)

Contribution of the space imagery in the study of the receiving mediums of urban worn water.
Catchment area of Wadi El Maleh 765
N. Bentekhici (Algeria)

Itaipú Binacional Hydrometeorologic Control System 771

R.M. Almirón, A.P. do Nascimento, A. Garcete & J.M. Rivarola (Paraguay)

XI
Soil water balance model of a grass-covered clay slope in England 777
L. Gang & D. Clarke (China, UK)

Simulation of rainfall-runoff process by ANNs and HEC-HMS model 783

M. Akbarpour & M.B. Rahnama (Iran)

Application of Kalman filter to multisite annual discharge prediction 787

K. Boukharouba & A. Kettab (Alger)

Forecast of behaviour and operation the maximum flood on the middle watershed that located
between two large dams 793
R. Bashoul (Iran)

Seismic pore pressure changes of the Karkheh Dam With mixed clay core 797
S.M. MIR Mohammad Hosseini & F. Nasrollahi (Iran)

Numerical analysis of concrete face rockfill dam under three-dimensional conditions 803
A. Frutuoso, A.P. Assis, M.M. Farias & P. Falcão (Brazil)

Study of admissible exit gradient values with respect to the piping phenomenon using physical and
numerical modeling 807
B.G.S. Mansour (Egypt)

Hydraulic characteristics of stepped spillway in Haraat earth-fill dam 815

F. Golzari Rahatabad (Iran)

Effect of number of layers on incremental construction analysis of earth and rockfill dam 825
S.M.A. Zomorodian, K. Sahebzadeh & A. Torabi Haghighi (Iran)

Effects of gypsum karstification on the performance of Upper Gotvand dam, 2D and 3D approaches 831
J. Sadrekarimi, M. Kiyani & B. Fakhri (Iran)

Research of new reasonable section of gravity dam on the base of topology optimization 839
Bei Sun & Chao Su (China)

A model of ice loads on dam structures 845

T. Ekström (Sweden)

Crack propagation model in concrete gravity dams 851

R. Attarnejad & A.R. Lohrasbi (Iran)

The comparative study of discrete crack and smeared crack methods in concrete gravity dams 855
R. Attarnejad & A.R. Lohrasbi (Iran)

Study on simulation calculation of fractured rock mass 859

J. Zhao & J. Wei (China)

Role and behavior of surge chamber in hydropower: Case of the Robert Bourassa hydroelectric
power plant in Quebec, Canada 867
M. Fuamba, G. Brosseau, E. Mainville, S. Colameo & D. Sparks (Canada)

Numerical analysis as a framework for RCC dam feasibility analysis 875

D.A.V. Krüger, R.D. Machado, M.B. Hecke, E.E. Kavamura & N.F. Carvalho (Brazil)

Thermo-mechanical comparison of RCC method and conventional method of construction of

arch dams 881
N. Nilipour, A. Wohnlich & Anton J. Schleiss (Switzerland)

XII
Research and applications of arch dam optimal design based on the finite element method 889
Su chao & Jiang Hongdao (China)

The numerical simulation of flood induced by dam-break for power stations in cascade 897
L. Xiaoqing & L. Tongchun (China)

A new comprehensive framework for the analysis of mass concrete: Thermo-chemo-mechanical,

experimental, numerical and data modeling 901
E.M.R. Fairbairn, R.D. Toledo Filho, M.M. Silvoso, F.L.B. Ribeiro, A.G. Evsukoff, I.A. Ferreira,
E.A. Guerra, M.A.S. Andrade, E.F. Faria & W.P. Andrade (Brazil)

Control of water head in the vertical drain 913

A. Djehiche, Z. Derriche & K. Kotchev (Algeria, Bulgaria)

Dam-break flood sensitive analysis. Case study in the “Confederación Hidrográfica del Ebro” 917
G. Cobos, M.A. Eguibar & L. Bañuls (Spain)

Analysis of earthquake responses for Jiudianxia concrete face rockfill dam 925
Zhen-zhong Shen, Xu-yu Wen & Sheng-xi LV (China)

3D non-linear dynamic response of rock-fill dam 931

V.J. Mircevska, V. Bickovski & M. Garevski (Republic of Macedonia)

Polynomial curves and lofting. Applications to the design of an arch dam 939
A.H. Delgado Olmos, M.L. Márquez García & J.C. Olmo García (Spain)

Simultaneous effect of height and shear strength parameters on optimization of embankment

dams – two case studies 945
M. Veis Karami, M.A. Mehrdad & A. Eslami (Iran)

Application of numerical modelling to spillways in Australia 951

D.K.H. Ho, B.W. Cooper, K.M. Riddette & S.M. Donohoo (Australia)

Predicting submergence effects for labyrinth weirs 961

B.P. Tullis, J.C. Young & M.A. Chandler (USA)

Badoosh dam-break hypothetical using HEC-RAS 967

A. Hussein Dahir (Iraq)

New seepage-related design graphs for rock-fill dams 971

A. Soleimanbeigi & F. Jafarzadeh (Iran)

Service life of leached concrete dam structures 979

T. Ekström (Sweden)

Flood management system for controlled releases 987

J. Gras, P. García Rubí & R. Rollán (Spain)

Safety review of dams of the Catalan Water Agency. Practical cases: La Baells, La Llosa del Cavall
and Sant Ponç dams. Detected problems and adopted solutions 993
J.M. Dieguez, C. Aguilar, J. Gras & P. García Rubí (Spain)

New technology for the regrouting of joints in a vault dam with epoxi resins 1003
F. Rio, R. Fernandez & A. Gonzalo (Spain)

Study of historical hydraulic structures of Shushtar under extreme loadings 1009

F. Khoshnoudian & R. Tavakoli (Iran)

XIII
Flow resistance and design guidelines for embankment stepped chutes 1015
C.A. Gonzalez & H. Chanson (Australia)

Study on hydraulics of the overtopped cofferdam used for flood diversion in hydropower engineering 1023
C. Qingsheng, Zhou Chuntian, Li Jing & Teng Libing (China)

Control of alkali silica reaction at Tala Hydroelectric Project in Bhutan 1029

Rajbal Singh, A.K. Sthapak, Phuntso Norbu & R.N. Khazanchi (Bhutan)

The potential of a ground based transceivers network for water dam deformation monitoring 1037
J.B Barnes & J. Van Cranenbroeck (Australia, Switzerland)

Works for improving the safety conditions of the Roman dam of Cornalbo 1047
F. Aranda Gutiérrez, J.L. Sánchez Carcaboso, J.M. Balsa Bretón & A. Bernal Couchoud (Spain)

Author index 1055

Volume II

Theme 4. Social and environmental aspects

General Report – Session IV 1061
A.H. Walz (USA)

The role of dams in the XXI Century to achieve a sustainable development target 1065
F. Lempérière & R. Lafitte (France, Switzerland)

Dams and the Millennium Development Goals 1073

H. Brühl (Germany)

Kyoto Protocol and hydraulic policy 1077

F.J. Baztán Moreno, D. Cristóbal Dolado & R. Ricord (Spain, Panama)

Assessment of the sustainability of dams 1085

A. Burgueño Muñoz (Spain)

The dam: a fair judgment 1091

F. Vázquez Brea (Spain)

Some issues over dams in the 21st century 1097

F. Salinas & C. Salinas (Spain)

Viability of dams and their alternatives in a century of globalization 1101

G. Visentini (Italy)

Integrated schemes for social and environmental impact management of large dams 1103
M. Amato, L. Doria, L. Fantacci, G. Mazzà & M. Meghella (Italy)

Three Gorges Project and the environment 1109

C. Guangjing & D. Huichao (China)

Study on eco-environmental monitoring and protection of the Three Gorges Project 1115
D. Huichao & Tian Bin (China)

Sustainability management of the Three Gorges Project 1123

S. Zhiyu & L. Jian (China)

Environmental protection and development in Xiaolangdi project 1131

Dezhong Dong (China)

XIV
Analysis of impacts of dams on ecological environment for river ecosystem 1135
Chun-mei Mao & Rui-qiang Zheng (China)

Mitigation’s observed impacts on the downstream’s fish populations, on Yacyretá Hydropower 1143
H. Aguadé de Latorre (Paraguay)

Discuss about the need of adopting temperature control device for reservoir to protect the downstream
fish growth environment 1151
Chen Guanfu & Zhou Jianping (China)

Coordinated development of reservoir resettlement and regional society, economy, environment 1155
C. Shaojun & L. Zhen (China)

Support program of dam surrounding areas in Korea 1161

L. Gwangman, K. Woogu & P. Yangsoo (Korea)

Dam construction and sustainable livelihood support for displaced people 1169
P. Dooho, Y. Yangsoo & S. Youngdu (Korea)

Santa Helena city of waters 1175

P. Fernández Carrasco & S. Dellenburger (Spain, Brazil)

The experience of environmental impact assessment of large dams in Spain. 1988–2004. Case analysis 1179
R.M. Arce & A. Castro (Spain)

Advances in integrative approaches for dams’ viability in Mexico 1187

M.A. Gómez B., P. Saldaña F., C. Lecanda T. & E. Gutiérrez L. (Mexico)

Identification of the environmental impacts caused by the expansion of Zimapan power plant 1195
O. Calahorra, L. Vázquez, H. Rodríguez, E. Hernández, C. Delfín-Alfonso & G. Benítez (Mexico)

Changes in hydropower exploitation planning due to modern environmental constraints 1201

D.A.V. Krüger, E.H. Gomes Jr. & C.E.N.L. Michaud (Brazil)

Hydropower Project, La Parota, Guerrero 1207

R.D. Llerandi (Mexico)

The role of environmental studies in the dam construction projects in Iran 1213
M. Mivehchi, B.R. Khamsi & A.R. Khamsi (Iran)

Environmental Impact Assessment of the Badovli Reservoir Dam Plan 1219

F. Sabzevari & R. Khalili (Iran)

Lessons learned from the water diversion in the hydropower projects in Indonesia 1223
M. Marsam (Indonesia)

Social and environment aspect on Musi Hydroelectric Power Project Indonesia 1229
K.S. Sugeng (Indonesia)

A dams-targeted environmental enhancement: hydroelectric stations driven by ecological flows 1235

I. Guerra Larrabeiti, N. Rodríguez Nieto & R. del Hoyo Fernández-Gago (Spain)

Managing sedimentation in the Swiss Rhone and Génissiat reservoir 1243

L. Thareau, Y. Giuliani, C. Jimenez & E. Doutriaux (France)

The production of sediments on Brazil and the management of the hydropower reservoirs 1251
F. Campagnoli & N.C. Diniz (Brazil)

XV
Influence of climate change on Halslon reservoir sediment filling 1255
S.M. Gardarsson & J. Eliasson (Iceland)

Dams and environment: Effect on soils 1261

V.M. Starodubtsev, T.G. Badira & S. Krupelnitskiy (Ukraine)

Dredging the Canfranc reservoir 1269

J. Espinós Solís (Spain)

Complex response and geomorphologic thresholds in Large Dams 1275

E. Moghimi (Iran)

Corumbá reservoir and Caldas Novas thermal aquifer – GO – Brazil 1279

E.J. Gil, E.A. Vargas Jr. & S.K. Ono (Brazil)

Hydrogeological model of Caldas Novas thermal aquifer – GO – Brazil 1285

E.J. Gil, E.A. Vargas Jr. & S.K. Ono (Brazil)

Preliminary results of Carbon Budget in two hydroelectric reservoirs in Brazil 1289

M.A. dos Santos, B. Matvienko, L. Pinguelli Rosa, E. Oliveira dos Santos, E. Sikar, C.H. Eça D’Almeida
Rocha, M. Bento Silva, S. Rao Patchineelam, A.M. Portilho Bentes Junior & R. Santos Costa (Brazil)

Fluxes of greenhouse gases from hydropower dams reservoirs in Brazil 1293

M.A. dos Santos, B. Matvienko, L. Pinguelli Rosa, E. Oliveira dos Santos, E. Sikar &
M. Bento Silva (Brazil)

Effects of environmental acoustic in hydropower project 1297

C.M. Yorg Rojas & P.H. Trombetta Zannin (Brazil)

Ganges water scarcity in the transboundary catchment due to Farakka Barrage and threats to
mangrove wetlands ecosystems in the Sundarbans 1303
S.N. Islam & A. Gnauck (Germany)

Problems of the surface water source in the Czech Republic 1311

P. Novakova & M. Stastna (Czech Republic)

Turbid water management for reservoirs in Korea (focusing on the Imha multipurpose dam in the
Nakdong River) 1317
K. Deukkoo, N. Joonwoo & K. Jeongkon (Korea)

Social acceptability of dams. Lessons learnt by a builder and manager of reservoirs in France 1321
D. Boubée (France)

Social acceptability of dams: Facts and arguments. Public awareness concerning dams 1327
T.A. Sancho Marco (Spain)
Bujagali dam – socio-impact on people 1333
J. Mwami (Uganda)

Analysis of social impact on water conservancy and hydropower development 1337

S. Guoqing & Fu Weiqun (China)

Social demand for dam construction in Spain: Forest fires, rural tourism and environment 1345
S. García Wolfrum, P. García Cerezo & G. García Hernández (Spain)

Dam safety criteria: A “paradigm” to be reviewed 1351

C.H. de A.C. Medeiros & O. de S. Tôrres (Brazil)

Author index 1355

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Preface

These volumes contain the Proceedings of the International Symposium on Dams in Societies of the 21st
Century, held in Barcelona (Spain) on 18th June, 2006, as part of the 22nd ICOLD International Congress. The
proceedings comprise 203 papers, from 50 countries, together with General Reports from Symposium sessions.
Together, this constitutes an in-depth analysis of the potential role to be played by dams and reservoirs in water
development, and management challenges in the 21st Century. The papers are presented under the following
headings:
1. Role of dams and reservoirs
2. Benefits of dams
3. Dam Engineering and analysis of alternatives
4. Social and environmental aspects
Water is an essential resource for life and the environment. During the second half of the twentieth century, an
increase in the world’s population and the economic and social progress of the developed countries, has put seri-
ous pressures on water. Numerous countries across the planet are now affected by a water crisis. Statistics
emphasise the urgency of the situation:
• 18% of the world population do not have access to safe drinking water
• 40% of the world population lack access to adequate sanitation
• 50% of the world population is subject to water stress, and by 2025 it is estimated that the figure will be 65%
There is increasing stress on water ecosystems as the natural environment continues to be impacted. The inci-
dence and extent of flooding has increased, and water can be seen in many situations as a hazard rather than a
resource.
Over the last years, numerous international organizations have promoted a variety of initiatives and propos-
als, with a view to mitigating the water problem. The United Nations has designated the period between 2005
and 2015 as the International Decade for Action: Water for Life. During this period, the focus will be on under-
taking real and effective measures, in an effort to meet the Millennium’s targets: including reducing by half the
population that is currently completely lacking in the essential water supply and sanitation services.
The renewable water resources in the world, which emanate from the hydrological cycle, are constitute approx-
imately 40,000 km3/year. However, these resources are distributed extremely irregularly, not only in time but also
geographically and only about 9,000 km3/year are available as natural accessible resources. Over the past 5000
years, more than 50,000 large dams have been constructed and these large dams and reservoirs regulate some
3,500 km3 per year. This represents 30% of the world’s available water resources which reaches the end users
after having been regulated by dams and reservoirs. The water that is stored and regulated by dams and reservoirs
produces irreplaceable water resources and brings benefits to water supply, irrigation, hydropower, flood mitiga-
tion, river navigation, recreation, tourism and the environment. Of the world’s arable land,17% is irrigated in this
manner, producing 40% of the total world crop. Reservoirs regulate around 40% of the water for irrigation, which
supports 15% of the total food production. Furthermore, hydropower, which is a clean and environmentally-
friendly source of energy, yields 20% of the world’s generated electricity supply, while 20% of the world’s reser-
voirs account for a reduction in the major socio-economic impact of flooding. The data mentioned here illustrates
the extent to which dams and reservoirs contribute to the availability of water resources, and to the economic and
social development of many countries.
All studies, research work and surveys indicate that the stock of dams, and the reservoir volume per capita,
is closely linked to a country’s stage of socio-economic development (Gross National Income per capita and
Human Development Index). Developed countries have an ample stock of dams and reservoirs, and in general
terms, the greater the stock in volume of reservoirs is, the greater its contribution to development will be.
However, experience has shown us that dams and reservoirs can, in some cases, have other major social and
environmental impacts, so it is necessary to consider them within the framework of Integrated Water Resource
Management and sustainable development. All feasible alternatives should be considered as part of this holis-
tic approach.

XVII
 This book presents the latest research on the role played by dams and reservoirs, and considers the challenges
faced in the context of 21st Century water development and management, particularly in connection with the
development of societies and conservation of the environment. Not only does this discussion cover developed
countries, but considers also emergent and developing countries, where the construction and management of
dams and reservoirs makes an essential contribution to the sustainable use of water. Different papers in the book
analyse the viability of dams, and alternative solutions, from a holistic perspective, bearing in mind the Integrated
Water Resources Management vision. The papers take into account the technical, economic, social and environ-
mental aspects, as well the social acceptability of dams, stakeholder and public participation, and dam awareness.
The book covers subjects ranging from dam engineering, the benefits of dams, concerns about dams, and their
social and environmental impact.
We would like to acknowledge the organisations and companies that have collaborated in organising this
International Symposium, with a special mention for the Spanish Environment Ministry. Furthermore, we would
like to express our appreciation to the authors of the papers published in this book. They have made it possible to
gather together here all the basic questions and the key issues concerning the role of dams and reservoirs, their
benefits, their social and economic effects, and their interrelationships with societies and the environment in the
21st Century.

L.Berga, J.M. Buil, E.Bofill, J.C. De Cea, J.A. Garcia Perez,

G.Mañueco, J. Polimon, A.Soriano, J.Yagüe
Spanish National Committee on Large Dams, SPANCOLD

XVIII
 Theme 1
Role of dams and reservoirs
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General Report – Session I

H. Roo
Comité Venezolano de Grandes Presas (COVENPRE), Venezuela

ABSTRACT: World population in year 2050 has been estimated in approximately 10 billion, of which a high
percentage will be living in urban areas. In that point of time more potable water, food and energy, among other
things, will be pressingly needed. What alternatives for storing water could there be reasonably implemented if
new dams are not constructed to satisfy many of these necessities? The articles presented for this Symposium
under the theme. The role of dams in water management, hydropower and flood control cover varied and inter-
esting aspects concerning the need for new dams, and go, from the use of GIS for the decision-making in the
water resources domain, to the establishment of agreements through international law to jointly and effectively
utilize the water resources through the construction of large reservoirs.

1 INTRODUCTION ICOLD’s 67th Annual Meeting (Antalya, 1999), which

The Organizing Committee of the 22nd ICOLD
Congress, which will take place in Barcelona between
the 18th and 23rd of June 2006, assigned me the task
of acting as General Reporter of the papers presented
under the theme titled Role of Dams within the
International Symposium on Dams in the Societies
of the XXI Century, scheduled to take place on
Sunday the 18th of June. I would like to express my
warm thanks to the Organizing Committee for having
chosen me to endeavor in such an illustrative activity.
2 THEMES
The themes selected for the Symposium were:
• The role of dams in water management, hydropower
and flood control.
• The holistic vision of the role of large dams: devel-
oped and developing countries.
• Analysis of the viability of dams and their alterna-
tives. Technical, economic, social and environmen-
tal aspects.
• Contribution of large dams to the national and
regional economies. Distribution of costs, benefits
and externalities.
3 THE ROLE OF DAMS AND RESERVOIRS
The selected themes are related to the ones that were
dealt with in a Workshop that took place during
originated a 520 pages book titled Benefits and
Concerns about Dams-Case Studies, edited by the
Turkish Committee on Large Dams. The themes are
also related to the topics included in Question 77–
Benefits and Concerns about Dams (20th ICOLD
Congress, Beijing 2000, Volume II), which highlighted
the future role of dams and what these structures have
meant and will mean for the progress of mankind.
In view of the active anti-dam lobby existing by
the end of last century, the papers presented in Q. 77
implied, in a way, the departure point of a situation in
which people concerned with dams started to produce
written verified information about the undeniable
beneficial role that dams have played for society
since ancient times. It is convenient to remember, as a
related subject, that the World Commission on Dams’
Report, sponsored by the World Bank, was published in
November 2000.
In order to have an idea about the role of dams in the
XXI century and how the vision of the multilateral
banks has evolved these last few years in their function
as international funding agencies of water resources
related structures, some opinions about the future of
dams and their financing, some of them expressed by
representatives of the World Bank, prototype of said
agencies, follow.
In the first half of 2001, shortly after the publica-
tion of the WCD Report, diverse international organiza-
tions and some ICOLD National Committees reacted
commenting and criticizing the content of the report,
as well as the generality, complexity and inapplicabil-
ity of the report’s recommended guides. Thereafter,

3
increasingly with time, favorable general opinions
about the future beneficial role of dams as water reser-
voirs and regulators have been given in fora, symposia
and various publications, as well as about the use of
hydroelectricity as a source of renewable energy for a
sustainable development. As a consequence, it has to be
admitted that the general opinion about dams and their
future role has experimented a change since the publi-
cation of said report. In this respect, various summed
up opinions are given below.
1 In the Third World Water Forum, which took
place in Kyoto in March 2002, the Camdessus Panel
expressed: the Multilateral Development Banks
should resume lending for essential water storage
projects.
2 During the Hydro 2003 Conference (Dubrovnik),
sponsored by HP&D, Mr. John Briscoe, a represen-
tative of the World Bank made a presentation titled
The World Bank’s New Water Strategy and
Infrastructure Action Plan (both of 2003): What
they mean for hydro …In his presentation it was
expressed that the Sardar Sarovar Project, on the
Narmada river, India, had a decisive influence in the
bank’s vision about the water resources, and the fol-
lowing phrase was said in relation to the basins of the
Ganges, Brahmaputra and Meghna rivers, which is
applicable to many basins in the world: the glaring
contradiction of the largest concentration of the
world’s most poor unable to garner the bounty of
one of the world’s richest natural resource regions
….is an indictment that can no longer be tolerated.
The conclusion of Mr. Briscoe’s presentation was:
There has been a major change in World Bank
positioning on hydro.
– An evolving understanding that the private sector is a
complement to, not replacement for, public finan-
cing….
– A commitment to re-engagement with hydropower.
– A commitment to use full range of lending, ana-
lytic, guarantee instruments.
In order to obtain results this will require:
– Continued mobilization of professional associa-
tions in the politics of hydro.
– Continued leadership by developing countries in
the international governance arena.
– Good projects done on time and on budget and
respecting social and environmental standards
which give people a better life….
3 In the Hydro 2004 Conference (Oporto, Portugal,
October 2004), Mr. Jamal Saghir, the representa-
tive from the World Bank, expressed: in a sense
and for some time the water resources industry has
been in a crossroads and it is time to move beyond.
The link I am making is very simple: delivering
4
water for food, water for sanitation, water for drink-
ing, water or power services, is an arm in the fight
against hunger and poverty.
Let me highlight the urbanization challenge for
developing countries and its relation with energy and
water:
– Installed electric power capacity in developing
countries is, on average, only 1/7 the level in indus-
trialized countries.
– The growth trend in developing countries is contin-
uing – such that by 2030, 85% of the world’s pop-
ulation will be in developing countries. Thus
pressuring infrastructure development.
– 2/3 of the world’s population resides in developing
countries – and that population is urbanizing rap-
idly, placing greater demands on power and water
infrastructure in cities.
– Installed electric power capacity (avg)/1000 peo-
ple: 272 KW in developing countries, 2,044 KW in
industrialized countries.
– So this is not a problem for developing countries,
but a problem for the global community as a whole.
Concerning hydropower:
– Today, hydropower provides about 19%
(2,650TWh/yr) of the world’s electricity supply.
– The remaining economically exploitable potential
is 5,400 TWh per year, about 90% of which is in
developing countries.
– In rich countries, over 70% of economically-viable
hydropower is developed.
– In the private power boom of the early 1990s,
hydropower only accounted for about 2.5% of the
capacity developed.
Concerning energy demand:
– Global energy demand increased 4 Btoe from
1970–2000.
– The forecast is that it will grow 6 Btoe from
2000–2030.
– More than 50% of energy growth will take place in
developing countries.
– Energy production should be adequate.
– But at what cost, especially in light of current oil
prices.
The role of renewables:
– Renewable energy is expected to meet 18% of elec-
tricity demand growth from 2000–2030.
– More than half is expected to be hydropower,
including:
• Large dams
• Mini-hydro
• Rehabilitation of existing assets
– Hydro needs to move. And it needs to move forward.
It is too important from the perspective of water
 management, energy supply, and poverty alleviation
to be left out of the development agenda and toolkit.
– The questions before us today is: what funding,
collaboration, and safeguards are needed to bring
appropriate hydro to a world in need of light, water
security, energy security, social justice and ecolog-
ical balance? How fast? how far? how cautiously?
Concerning irrigation:
– Water management and security are critical to
poverty alleviation. The link is seen in the relation-
ship between income per capita and irrigated area
…….Thus the issue of water security as a factor in
the water for food equation.
As a conclusion of Mr. Saghir’s presentation:
– The stars are aligning for appropriate hydropower
development (need, potential, dialogue).
– Projects are being developed.
– Much more to do (many challenges, demand).
– We need to continue to build an acceptable and
practical approach to move hydropower from the
crossroads.
4 In the Hydro 2005 Conference (Villach, Austria,
October 2005) several papers were presented con-
cerning the financial aspects of future hydroelectric
developments. At present and in a foreseeable future,
financial issues are fundamental in order to have the
possibility of building new structures and thus they
are closely related to the dams of the XXI Century.
Of the presented papers I would like to highlight three
interesting ones authored by: Chris Head (Sustainable
financing: the basic requirements); Peter J. Rae (Obser-
vations on hydropower development and risk alloca-
tion) and Jean Michel Devernay (Showing all benefits
on the balance sheet). The concepts emitted in these
papers could be summarized as follows: In recent years
the major obstacles to the development of hydropower
have been shortage of finance, due to the difficulty of
mobilizing sufficient both public and private funding,
and environmental concerns; even if the environmental
aspect has progressed notably the financial one is diffi-
cult to manage, particularly in the weaker economies
where most of the world’s untapped hydro potential
remains and also on delicate issues like the balance
between risk and reward, which affect areas that partic-
ularly prevent investors when considering hydro proj-
ects: the heavily front-end loaded risk profile, weak
financial returns and the long-term nature of such
investments and the exposure to currency devaluation.
A conclusion given in one of the articles is that the
future flow of private funds for the hydro industry will
only be assured if projects with an acceptable risk pro-
file and adequate financial returns can be produced.
Other comments concerning financing point at the
fact that despite the consideration of environmental
aspects dam building has affected the judgment of
5
some potential lenders and when comparing hydro-
power with other generation sources, it can be argued
that private sector hydropower projects have not been
dealt with on the same basis as thermal power proj-
ects. An interesting observation by one of the authors
is that emphasis should be given to assessing and
screening projects on the basis of their risk profile and
that the developers should also be willing to accept
risks and endeavor to better prepare the projects in order
to mitigate or value the risks involved. Additionally,
planning power schemes should consider more the
long term risks inherent in the price of energy. A
worthwhile remark applicable to developing countries
is that hydro development should respond to the reali-
ties of the energy market and the environment, since
the social and environmental benefits associated to the
development of a hydro project are often very signifi-
cant. A final remark is that in the development of com-
plex hydro projects, governments as well as multilateral
Development Banks could play a strong role, espe-
cially by assessing the right balance between risks and
rewards of all stakeholders.
All the previous comments, coming from past con-
ferences, symposia and workshops are only intended
to indicate that dams will doubtlessly play an increas-
ingly significant role all along this XXI Century,
either as hydropower generation schemes or as water
retaining structures for water supply, irrigation and
food production, flood control and recreation.
4 PRESENTED PAPERS
For the theme The Role of Dams within the
International Symposium on Dams in the Societies of
the XXI Century (ICOLD 22nd Congress, Barcelona
2006) a total of 47 papers from 22 countries were pre-
sented. The country of origin and the number of pre-
sented papers per country are given in table 1.
The 46 papers cover different topics related to the
role dams play. Since the boundary lines between the
different topics is thin, they have been grouped in
general terms according to the main concerned sub-
jects, which are listed in table 2.
The papers deal with the advantages and beneficial
effects of dams. The authors have attempted to describe
the role of dams having in mind the ecological, eco-
nomical, social and quality of life perspectives.
With respect to this General Report, I have tried to
group the different papers under main similar topics,
with the purpose of making comprehensive general
comments.
4.1 The Role of Dams
Under the topic Role of Dams six papers, coming from
Tajikistan, Cyprus, Japan, India, Nigeria and China
Table 1. Papers presented. Indian paper contains a comprehensive study of the
role of dams in the development of various sectors in
No. of No. of the State of Kerala, where 75% of the water potential is
# Country Reports # Country Reports not adequately utilized, and suggests that the appropri-
ate steps should be taken as soon as possible to fully use
1 Algeria 1 12 Iran 4
2 Brazil 1 13 Japan 2 the water potential through the construction of dams.
3 Burkina 1 14 Mexico 2 The Nigerian article gives a general overview about the
Faso undertaken research concerning dam building capacity
4 Chile 1 15 Nigeria 1 in the country and indicates that all the corresponding
5 China 6 16 Paraguay 2 efforts should be pursued vigorously. The Chinese
6 Cyprus 1 17 Republic 1 paper deals with water supply and expresses that in
of Mace- order of safeguarding the national drinking water sources
donia a strategic solution should be envisaged through the
7 Czech 1 18 Russia 1
combination of the existing water sources and the con-
Republic
8 Egypt 2 19 Slovakia 1 struction of new ones.
9 Germany 3 20 Spain 10
10 India 2 21 Ukraine 1 4.2 Flood control
11 Italy 2 22 Vietnam 1
Concerning the theme of flood control, fourteen papers
were presented coming from the Czech Republic,
Table 2. Topics. Germany, Spain, Mexico, Italy, Brazil, Egypt, Japan,
Iran, North Vietnam and Paraguay. Three of these
Subject No. of papers
papers refer to the disastrous wave of floods occurred in
Role of Dams 6 very recent years in Central Europe, which caused enor-
Flood Control 14 mous losses mainly in Germany, the Czech Republic,
Hydropower 4 Slovakia and Austria. The papers express that the ben-
Water Management 20 eficial role of the existing large dams during the
Geotechnical Design 1 extreme regional floods was indisputable and that all
these structures generally withstood an extreme level
of load, even if they suffered partial damage which
were presented. The articles deal mainly with the need resulted in considerable financial losses. As a conse-
developing countries have to build dams for different quence, the floods have induced extensive remedial
purposes. In the case of the republics of Central Asia, work at numerous dams, and have meant the improve-
for example, the water and the power resources are dis- ment of dam safety measures in cases of extreme
tributed in an extremely non uniform manner; the cor- flood events. One of the papers asserts that it is not
responding paper suggests that these countries should understandable why the new Proposal for a Directive
try to establish agreements through international law to of the European Parliament on the assessment and
jointly and effectively utilize the water resources and management of floods specifies the need for flood risk
this goal can only be attained through the construction management through a complex planning approach,
of large reservoirs. In the same context, thanks to the without referring explicitly to flood control through
construction of dams and reservoirs Cyprus, where the use of dams, because dams are the most important
water is scarce, has acquired freshwater lakes where technical means to control floods; the flood control
none existed, reservoirs that are essential for the utiliza- through polders is also explained. One of the Spanish
tion of the scarce water resources of the island. The papers deals with the establishment of criteria for
Japanese paper expresses an interesting concept about floodgates management, and covers aspects related to
the vital importance of ensuring that the public is vera- manual, remote-controlled or automatic gate open-
ciously informed and understands the beneficial role of ing, analyzing advantages and risks and the applica-
dams through history and at present, and in that respect tion in a Spanish dam. A Mexican article describes
the fact that JCOLD established in 2004 an Ad Hoc the role played by the dams of the Grijalva river dur-
Committee on the Role of Dams, in order to carry out a ing the 1998 floods in protecting the population and
survey and analysis on the role of dams. The result was infrastructure of the Tabasco plain, southeastern
an illustrated report completed in December 2005 con- Mexico. An Italian article highlights the role outlet
taining nearly 80 pages; in the same sense the paper works play in management and flood control. The
indicates that that efforts should be made to enlighten Brazilian paper describes the role that the Pedra do
residents in river basins and public in general about Cavalo dam, built in the Paraguaçu basin, played dur-
how dams function and their utility, by disseminating ing the floods occurred between 1989 and 2004, since
information about their achievements and benefits. The its impounding in 1985. The Egyptian paper informs

6
about the role played by the Toshka depression, located
in the western desert 250 km south of the Aswan dam,
in the flood alleviation of the Nile between the years
1996/1997 and 1999/2000. The Japanese article deals
with planning and flood control of the Yoshino River,
in the island of Shikoku. The paper from Iran is about
forecasting the behavior of a maximum flood occurred
between two large dams, their operation, and how to
manage the flood jointly with the outflow from the
upper dam and the final effect on the lower dam. There
is an article from North Vietnam concerning the
heightening of the Hoa Binh dam with the purpose
of controlling floods in the northern Delta. Another
Spanish paper has to do with a procedure for manag-
ing floods in a reservoir based in real time data col-
lection downstream from the dam, and describes the
application of the method to two rivers of the Duero
river basin. An article from Paraguay deals with the
operation of Yacyretá’s reservoir and its low regula-
tion capacity. Another paper coming from Spain deals
with the Turia river and the control floods in relation to
the city of Valencia and its surroundings.
4.3 Hydropower
Four papers were presented on hydropower. One from
Kosava, two from China and one from Iran. The one
from Kosava informs about the existing unbalance
between the water resources and the water needs in the
country, its very limited hydroelectric potential and the
possibility to construct the Zhur hydroelectric plant,
with a capacity of 293 MW. Two papers from China
describe the role that dams and hydroelectric develop-
ment play at present in China, where at present only
24% of the hydropower resources have been devel-
oped, and the need to continue developing hydropower
in order to meet the national requirements. Information
is given about the huge installed power and the tremen-
dous remaining hydro potential. A conclusion is that by
2050 most of the technically developable hydropower
resources in China will be utilized. The papers also call
for improving the relocation policies, the protection of
displaced people’s legal rights and interests. The Iranian
paper informs about the use of large hydropower plants
in the country’s electricity supply system, and in that
sense explains that seasonal or monthly firm energy
can also be taken into consideration, for it is often big-
ger than the annual firm energy.
4.4 Water Management
With respect to Water Management as the main subject,
twenty papers were presented: one from Algeria, one
from Chile, two from Iran, seven from Spain, one from
Slovakia, one from India, one from China, one from
Ukraine, one from Central Asia, one from Paraguay,
one from Burkina Faso, one from Italy and one from
7
Egypt. Some of the Spanish articles are related to the
operation and maintenance of water supply systems of
Spanish cities like Madrid, Granada, Zaragoza and
Vitoria. One paper deals also with the water supply sys-
tem of the Chilean capital, Santiago, and contains an
interesting forecasting method for wet and dry years
through interpretation of El Niño and La Niña phe-
nomena. The paper from Algeria describes the use of
geographical information systems for the decision-
making in the water resources domain in the western
part of the country. The papers from Iran describe the
effect of two dams built on the Karun river on the
improvement of the quality of the water and the role
that small supply projects play in water resource man-
agement. There is a paper from Slovakia describing the
reconstruction of the bottom outlet of the Rozgrund
dam, a historical structure used since the first half of
the 18th century for mining purposes. An interesting
paper covers the very important role played in water
management in the Indian State of Gujarat by the con-
troverted Sardar Sarovar Narmada Project, fortunately
at present under its final phase of construction. Another
Spanish paper deals with the Santomera dam, which in
addition to its role in flood protection, is also used for
the improvement of water quality. A paper also from
Spain describes the role of two dams built in the head-
waters of the Tagus river for flood control and for
water supply of southeastern Spain. The last Spanish
paper describes a method used for drawing water of a
given quality at various levels in an inactive dam, in
order to reduce the purification process. The Chinese
paper concerns drought management of a water-sup-
ply reservoir dedicated to agricultural, industrial and
domestic uses. The Ukranian article gives information
on how to manage water from a hydropower plant in
order to produce changes in the concentration of
radioactive pollutants present in the floodplain areas
near the Chernobyl Nuclear Power Plant. The paper
concerning Central Asia is about improvement of dam
operation in the Amu Darya basin where, given the
situation of the area, includes transboundary aspects;
the paper informs that Nurek dam’s reservoir and
Rogun dam, at present under construction (335 m high),
will provide options for improving the rational opera-
tion and sustainable management of the water resources.
The Paraguayan article concerns water management
in the sense of constructing a 250 MW powerhouse on
the Aña Cuà branch of the Paraná river in order to
induce a permanent ecological flow where at present
the river dries up during the dry season, and, as an
additional benefit, generate electric energy. The main
point of the paper from Burkina Faso is that develop-
ment of dam construction in the country started in the
1960’s and that in that sense sahelian countries are
now giving much importance to dam construction for
various purposes and are getting support. The article
coming from Italy deals with the performance and
safety of a large number of Sicilian dams and the aim
to control of as much as 50 large dams in the island
for water supply of 5 million inhabitants. The paper
coming from Egypt concerns the development of com-
puting tools to examine existing reservoir operation
rules and set up new ones if necessary.
4.5 Geotechnical design
Mexico presented a paper which deals specifically with
geotechnical design. It concerns El Cajón dam, located
on the Santiago river, in the state of Nayarit, approxi-
mately 80 km to the east of the city of Tepic and 60 km
upstream of the Aguamilpa dam. The paper describes
the general geology of the site and gives the character-
istics of the main structures of the project: the diversion
scheme; the underground generation arrangement; the
spillway and the dam, a CFRD structure with a total
height of 188 m that will be finished on April 2006.
8
5 CLOSING REMARKS
As a general comment I could say that many interesting
aspects about the positive role of dams were addressed
in the articles, some of them on similar topics and even
the same regions.
I would like to stress the point that through the pre-
sented papers it can be clearly perceived that dams
have been a very important factor for the development
of mankind, and that despite the progressively dissi-
pating criticisms and vested opinions that have come
up in recent times, dams will keep on playing during
the present century a fundamental global role for the
developing countries, where the water resources exist
and where these structures are badly needed.
We in ICOLD should keep on striving to maintain
society informed about the important and beneficial
role of dams.
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Hydropower issues in China

P. Jiazheng
Academician of The Chinese Academy of Engineering, Beijing, China

ABSTRACT: China has abundant water resources. The gross theoretical hydropower potential and the techni-
cally feasible hydropower potential all rank the first in the world. In September 2004, when the first unit of 300 MW
of Gongboxia Project was put into operation, the installed capacity of hydropower in China reached to 100 GW.
But its developed capacity is still very low comparing with the hydropower potential. The beginning of the 21st
Century will be an important period for Chinese development. At this term, China will face energy shortage and
environmental pollution. Hydropower development will be the best way to solve these two problems. In this
paper, water resources and its development in China will be introduced. Impacts on society and environment of
hydropower such as sedimentation and resettlement will be analyzed. According to the analysis, it is necessary for
China to develop hydropower to meet the national development requirements. Hydropower development must be
promoted by the country. Its impacts must be objectively assessed and be well dealt with.

1 HYDROPOWER RESOURCES IN CHINA
The topography of China is high in the east and low in
the west. The main rivers originate from Qinghai-
Tibetan Plateau and flow into the oceans, endowing
a rich potential hydro energy. The data of hydropower
resources that can be developed in China are continu-
ously renewed with deepening of investigation. In the
past, it was usually thought that the technologically
developable capacity was 378 million kW and the annu-
ally energy output was 1,920 billion kWh of the whole
country. After a recent survey, the more dependable
data that the theoretical hydropower reserves on the
Chinese mainland is 694 million kW, and the annually
energy output is 6,082.9 billion kWh, of which, the
technologically developable capacity is 541 million
kW with an annually energy output of 2,474 billion
kWh, ranking the first place in the world.
The investigation has been carefully conducted, and
a thorough investigation of resources in 13 hydropower
bases was firstly made. A “hydropower base” is referred
to a prescribed portion of a basin or an area, which is
an enrichment of hydropower resources, and consists
of a principal stream as well as several tributaries
with the realistic development conditions for hydro-
electric energy. The above is the principal part of
hydropower resources in China. The second part refers
to the hydropower resources contained in upper streams
or tributaries beyond those hydropower bases, as well
as resources of other basins and areas. The third part
refers to those of small-size stations all over the coun-
try. The three parts amount to a total value of the
country’s hydropower resources. Usually speaking, the
values of hydropower resources are highly credible due
to their exposure on ground surface so that measure-
ment of river flow and water head is simpler and more
precise than those for under-ground resources such as
coal, natural gas and petroleum.
In addition, there are other values named as econom-
ically developable data with a capacity of 448 million
kW and an output of 1,753 billion kWh to count the
hydropower resources. The term of “economically
developed resources” involves a lot of factors, and it is
changeable with development of conditions, progress
of science and technology, and unceasingly rise of
prices of oil, gas and coal, it is not wise to use this
term as an index.
2 A MILESTONE IN HYDROPOWER
DEVELOPMENT OF CHINA
In September 2004, with the first hydroelectric genera-
tion set of 300 MW of Gongboxia Hydropower Station
on the Yellow River being put into operation, the total
capacity of hydropower in China broke 100 million
kW, and occupied first place in the world. This is a
milestone of great historic significance. On Sept.26,
many delegates, elder and young, from all sectors of
hydropower engineering gathered at construction site
of Gongboxia to view a grand ceremony. Many senior
engineers and workers with gray hair who had offered
their all life for hydropower development were excited
and moved with tears brimming eyes.
However, the developed hydropower capacity only
occupied 17% of developable capacity in China after

9
the capacity of pumped storage was deducted from the
above 100 million kW, and the annual hydropower
output occupied even lower percentage (in 2003, the
total output of hydropower is 283 billion kWh, occu-
pying 11.4% of the total developable output), so it is a
arduous task to develop hydropower in the future.
Encouragingly, a golden era for hydropower develop-
ment is coming under the policy and strategy of elec-
tricity exploitation i.e., “to develop hydropower with
major efforts” and “to transmit electricity from west to
east, to supply electricity mutually between south and
north, to connect network through the country”. 14 units
of the Three Gorges Project, the largest hydropower
station in the world, have been put into operation by the
end of 2005, the project will be soon completed ahead
of plan. From the projects of large or medium size
under construction, the total installation capacity will
be 46,400 MW, and the total capacity of large pumped
storage stations is 7,200 MW. The 12 large Hydropower
Bases, such as Jinshajiang, Daduhe, Yalongjiang,
Wujiang, Hongshuihe, Lanchangjiang and Yellow River,
are under overall development and construction. In the
eastern part of the country and coastal areas with less
hydropower resources, there are still opportunities to
make use of water power with low head, a large quan-
tity of pumped-storage power stations are planned to
meet power regulation requirements. The development
scale of hydropower has been unprecedented, and the
hydropower capacity in China will reach 150 million
kW in 2010 and 250 million kW in 2020, which will
make the second and the third milestone in hydropower
development. By then, China will have built many
high dams, long tunnels and huge plants, and relevant
mechanical and electrical equipments, the problems of
sediment, energy dissipation and environment protec-
tion will be promisingly solved. China will undoubtedly
become a powerful country in hydropower building
with advanced technology in exploration, design, con-
struction, operation, management, manufacture and
rehabilitation, which will contribute significantly to
economical development and national promotion.
However, some persons say that hydropower devel-
opment will cause a lot of harmful consequences and
they appeal to stop dam building and to re-consider
the issues of hydropower development. Whether the
hydropower is needed in China or not is an issue to be
talked about clearly and make decision on it.
3 ENERGY CHALLENGE IN CHINA
At the beginning of the 21st century, China is at a crit-
ical period for rapid economic development and
national rejuvenation. Especially, for the first two
decades, GDP of China is expected to double twice,
and the country will be built in an all-round way as a
comparatively well-off society to lay a foundation for
10
further development in the future. Many experts both
at home and overseas are making analysis of the situ-
ation, and the general view is, it is un-resistant for
China to develop peacefully, but there indeed exist a
lot of sever constraint, and how to overcome all these
obstacles skillfully will decide the national prospect.
The present situation can be described in a word with
a sentence of the Chinese National Anthem: “The
Chinese nation arrived the most dangerous time”.
Among all the factors, the supply of energy and elec-
tricity is one of the critical issues. It is predicted that in
2020 in China, the total electricity capacity will reach
around 950 million kW, and the annual electricity out-
put will reach around 4,300 billion kWh, and in 2050,
the capacity may be 1.6 billion kW. It is well known
that, coal is the major part of primary energy in China,
and this situation will not be changed in the near future.
Assuming that all the electricity output of 4,300 bil-
lion kWh is supplied only by using coal, then it will
demand to burn about 2.15 billion t coal every year,
which would cause not only difficulty in excavation and
transportation, but also unimaginable environment pol-
lution. So China is facing a unique challenge of energy
resources in the 21st century. It is a critical problem
of bottleneck of energy resources to solve for healthy,
high-speed and sustainable development in China.
The consequence of environment pollution being
accumulated unconsciously is to deteriorate the living
condition not only in China, but also all over the world,
so pollution is the most noticeable issue. All sorts of
pollution caused by burning coal include deposit of
wastes, discharge of ash, sulfur oxide, nitrogen oxide
and carbon oxide. All kinds sorts of pollution but last
one, can be treated or eliminated by increasing input
or installing advanced equipments, while the carbon
dioxide cannot be reduced in this way because energy
production by regular coal burning always result in car-
bon oxidized emission. Leaving the fact aside for the
moment that China is facing with the situation of sever
acid rain, the evil consequence caused by green house
effect due to un-controlled carbon dioxide emission
has worried people infinitely, scientists in China and
America have discovered recently, that the high plateau
glaciers are speeding up to wither away on the Qinghai-
Tibet Plateau. In a word, it is a pressing matter of the
moment to decrease coal burning by every possible
means to cushion deficient of resources and minimize
relating environment pollution. So, this is a major prem-
ise that should not be neglected when discussing and
studying the hydropower development issues.
4 AN INEVITABLE CHOICE FOR CHINA TO
DEVELOP HYDROPOWER
It is easy to understand the necessity of developing
hydropower with great efforts in China after we have
found out that China is facing with the two sever prob-
lems of resource shortage and environment pollution.
Renew-ability and cleanliness are two distinguishing
features of hydropower. Some persons are opposed to
the above formulation, but the fact is, hydropower can
be annually renewed as long as the Sun is not dying
out. At the international authoritative conferences and
forums, for example, the Governments Heads Confe-
rence held in Rio de Janeiro in 1992, the Summit
Conference in Johannesburg in 2002 and the Third
World Water Forum in Kyoto in 2003, hydropower
has been definitely placed into the list of renewable
resource because it does not emit waste gas, ash, waste
water or carbon dioxide. In addition, at present time,
hydropower is in fact the only renewable and clean
energy resource that can be exploited for commercial
utilization in a large scale. Of course, great efforts
must be given to studying and developing other sus-
tainable and clean energy resources such as solar
energy, wind energy, terrestrial heat, etc., but after all
it will cost more to develop them and the quantities
are limited in a foreseeable period. So, it is not wise to
give up taking advantage of rich hydropower resource
we own in China.
Some persons think that hydropower only accounts
for 20% of total electric power. It is a small, portion, and
it is not a renewable portion. Suppose that all the water
energy of 2,474 billion kWh can be utilized (surely it
can not be done in fact), it means to substitute 1.24
billion t of coal or 620 million t of oil each year. It can
replace 124 billion t coal or 62 billion t oil for 100 years,
and 248 billion t coal or 124 billion t oil for 200 years.
These quantities go far beyond the existing mineable
volumes of resources proved by means of precise
investigation in China. Furthermore, hydropower can
improve power quality, safety, and possess other sig-
nificant benefits of comprehensive utilizing.
Still other persons consider that coal burning cannot
be avoided anyhow, so taking advantage of hydropower
cannot solve the problem of carbon dioxide emission
thoroughly. In fact, carbon dioxide emission can be
acceptable if it is controlled below a certain limit. In
the years to come, utilization of hydropower and other
clean energy resources should be done to replace a part
of coal to reach the goal of controlled carbon dioxide
emission. I believe, people will manage to study a
method to use coal without carbon dioxide emission in
some day. It needs time to find out the method, and
hydropower development can just meet the demands
during this time gap.
From the above analyses, it is easy to understand the
power development policy set down by the Chinese
Government “to develop hydropower with great efforts,
to optimize thermal power, to develop nuclear power
appropriately, and to develop new energy resources
actively”. To put hydropower at the first place is a con-
sistent policy worked out through a careful consideration.
11
5 CONSTRAINED FACTORS FOR
HYDROPOWER DEVELOPMENT
However, hydropower development is facing with a
lot of constrained factors even if the hydropower
resources are very rich in China. Some of them are the
same with those in the world, and some factors caused
by the specific circumstances in China.
In the beginning period of the People’s Republic of
China (middle of 20 th century), the major constrained
factors were the low levels of technique and equipment.
In those days, several small-size hydropower plants
with capacity less than 10 MW were built. Due to poor
conditions of construction, machinery and economic
capability, it was just a dream to build large-size
hydropower stations. The difficult situation has passed
through the struggle for more than 50 years. Nowadays,
some international senior experts think that Chinese
engineers are able to build any scale of dams and
hydropower stations they are going to on any rivers.
However, there are still many gaps between Chinese
levels and international advanced levels in terms of
innovation, quality and management.
Another issue is about funds. During the planning
economy period, all the infrastructures projects were
invested by the governments. Hydropower projects
always needs larger capital investment and long con-
struction period comparing those thermal power pro-
jects. With the limited funds, priority was always given
to thermal power projects under a pressing demand of
rapidly increasing power and energy. In those days, a
large-size hydropower project should go through all
kinds of hardships and difficulties before it was given
an official approval for construction.
The difficult situation for hydropower has ended
with the swift development of the national economy
and great enhancement of the comprehensive national
power, especially after a deep reform of the electricity
industry system. Nowadays, all the large power gen-
eration group corporations, independent generation
companies, and numerous private companies com-
pete with each other in the sector of hydropower, and
financers and banks are also eager to invest power proj-
ects. An unprecedented situation arises for development
of large and medium size hydropower projects, which
is a little bit in disorder and should be regulated. On
the other side, it has greatly speeded the hydropower
development, which was hard to foresee previously.
The third constrained factor comes from the natural
condition of badly uneven distribution of precipitation
in time and space, which is unfavorable for hydropower
development and utilization. The uneven precipitation
in time not only makes river flow varying dramati-
cally within one year from flood season to dry season,
but also may result in continuous dry years or wet
years. Large reservoirs could be built to regulate river
flow, however, it would need tremendous storages,
and problems of investment and resettlement are dif-
ficult to solve. Uneven precipitation in space makes the
water energy concentrate in the western part of China,
and so power transmission should be built with super-
voltage and long-distance between the west and the
east, resulting in increase of investment and cost, as
well as many other problems.
The fourth constrained factor is the issue of reset-
tlement and negative impact on environment. Except
some low-head run-of-river power stations, hydropower
cannot be done without building dams and reservoirs,
which always inundate land, move some residents out,
and bring some effects on ecosystem. China is a coun-
try with a huge population and less land, its ecosystem
is very fragile. These factors would undoubtedly bring
about difficulties for hydropower development, and
may become the two most critical constrained factors
in the future for hydropower development.
6 HYDROPOWER VS. ELECTRIC NETWORK
In addition to the building necessary regulating reser-
voirs and supplying power to vicinity, a major meas-
ure to solving the problem of uneven distribution of
precipitation in time and space in China is to put the
hydropower stations connected with large electric net-
work for a integrated power dispatching. Only in this
way, hydropower and all the other power resources of
thermal, gas and nuclear can fully play their functions
at optimal positions to achieve maximum comprehen-
sive benefits, and hydropower can be utilized to the
greatest extent so as to drop the coal consumption as
much as possible. Therefore, it is reasonable to build
some overlap installation capacity.
Hydropower plants can produce a great deal of
energy during flood seasons in Summer, so it can be
operated fully as base load, while thermal power, gas
power and pumped storage power plants undertake
peak load. Also this period can be used for maintain-
ing or coal storing for thermal power plants. While,
during dry seasons, hydropower would produce less
energy, so it is operated as peak load or used as stand by
capacity, and/or be arranged for maintenance. Thermal
power, nuclear power and others can be operated as
base load. By means of optimizing dispatch through
network, all kinds of powers can act according to their
features and compensate each other, realizing maxi-
mum benefits from peak staggering. Generally speak-
ing, the greater the network is, the more favorable,
flexible and scientific dispatch would be. Strengthening
and expanding the networks up to a national integrated
one can also solve the problem of uneven distribution
of power plants among geographical areas. A former
minister of the Ministry of Energy Sources had a
famous word, “Electric network can not be separated
from hydropower, and hydropower can not be separated
12
form electric network either”, which described the
fact well.
Obviously, it is difficult to reasonably allocate all
kinds of power resources, optimize power structure,
and combine with network construction to carry out
optimization of dispatching if all the power group
corporations build hydropower projects at liberty and
in disorder. Therefore, development of hydropower
resources and construction of power networks should
be done in an order according to the national overall
planning and arrangement with macro controlling so
as to achieve the national benefits.
7 TWO ISSUES ABOUT INUNDATION
AND RESETTLEMENT
The two issues of inundation and resettlement are the
cost for hydropower development, which is one of the
key constrained factors, as well as one of the reasons
many persons oppose to build hydropower projects.
Surely, land is valuable and should be much cherished
in a country like China. However, we should notice
when building a hydropower project some land can be
inundated, and at the same time some new land could be
cultivated and some wasteland may be changed into
good farmland. Also some low-yield field may turn
into high-yield field. Therefore, hydropower can act
some positive functions in addition to its negative
influence in this aspect. For thousands of years, the
struggle for land between human being and water has
been going on and becoming more and more violent
with rapid growth of population. For example, the
Hubei province, being called a Yunmeng Swamp in
ancient time with thousands of lakes, now has few
rivers and lakes, and the Dongtong Lake, the biggest
water surface in the province, looks like an appen-
dices. Therefore, the central government has decided to
level dikes and to return fields to lakes. Construction
of reservoirs can be regarded as another type of lake
returning and concession to water by human being.
Reservoir regulation performance is much better than
that of lakes or flood-detention areas.
Obtaining means paying. We have to submerge
some land in order to obtain hydro-energy, which is
something like that a city has to set aside a certain land,
sometimes even a high-yield field with high price, to
set up a district for developing advanced and new
technique. The unit price of these fields is much higher
than that of land submerged in gorges. Analysis on
the issue should be done with strategic eyesight rather
than just regard it as an irreversible loss. It does not
mean that the issue of inundation is negligible, we
should try our best to reduce land inundation by every
means, such as to try to protect land, to recover tem-
porary construction-occupied land, to make land and
to increase agricultural production in order to obtain
maximum energy at the minimum land using. In the
future, hydropower development will be mainly in
mountainous areas of the southwestern China. The
cost of land inundation will be small comparing to the
huge energy benefit.
Resettlement is a more difficult problem, which
occurs along with the inundation problem. We should
learn lessons from the past time, when the ideology of
“man transform nature” and “man will conquer nature”
was guiding our practice, correct ourselves without
any hesitation. At present, a policy of “resettlement with
development” is promoted in China.
Resettlement is a complicated and difficult task, few
improper resettled transmigrants will lead to instability
of the society. However, problems can be solved if we
really take things seriously and conscientiously. The
World Bank, being known for its rigor on the issue of
resettlement, affirmed the projects using funds of the
bank, such as Er’tan and Suikou. The crux of the mat-
ter lies as follows. Firstly, a proper and practical reset-
tlement program should be well worked out, in order
to ensure the transmigrants able to move out, to settle
down and to be getting well-off gradually. Secondly, a
reasonably sufficient fund should be set up, which is
used under strict supervise, and 100% of the fund
should be used for the transmigrants. Thirdly, the trans-
migrants should be taken care with a thorough respon-
sibility from beginning to the end, even after the
project has been put into operation.
From now on, most of big hydropower stations will
be situated at gorges situated in the southwest China,
where people to be resettled will be few, local eco-
nomy lags behind and residents are poor. The local
government and people wish to take the opportunity
of hydropower development to change the situation,
and they usually would give their support to the devel-
opment. Best jobs have to be done for both the proj-
ects and resettlement, not failing their support. On the
other hand, excessive compensation for resettlement,
which deviates from local conditions and national gen-
eral benefit, will make the hydropower project non-
profited in economy and difficult in execution. This is
an extremely shortsighted and erroneous practice to
harm the country, locals and transmigrants themselves.
8 WHAT TO DO AFTER RESERVOIR
DEPOSITED?
Lots of rivers in China flow with high sediment con-
centration, and under un-disturbed condition, silt dep-
osition and silt flushing are usually balanced in a river
reach. When a reservoir was built, sediment will deposit
in it, so that, generally speaking, the lifetime of a reser-
voir is limited. If this problem is badly treated, it will
cause serious consequence. The Sanmenxia project was
a very bad example.
13
At the beginning of reservoir operation, silt depo-
sition is always more than flushing, and the reservoir is
gradually deposited. After several years, silt deposition
and silt flushing would become in a balanced state,
and reservoir will not deposited any further. How
long this period will last, it depends on the sediment
load, reservoir conditions and operation mode. Study
and practice for decades in China show that many reser-
voirs can carry out the operation mode of “to storage
clear water and release turbid water”. This mode is to
release flood flow through outlets at low elevation in
flood period when the flow is high-concentrated with
sediment, and store clean water with less silt in dry sea-
sons. For example, for the Three Gorges Project, it
will take 100 years to reach a situation of balancing
situation. By practicing a scientific operation mode, it
will not only minimize the reservoir deposition, but
also, more important, keep the reservoir’s effective stor-
age after reaching the balance situation. For instance,
the Three Gorges Project will have 80% to 90% of
effective storage of reservoir for a long period after it
reaches balance. In some cases, the reserved effective
storage maybe less due to unfavorable reservoir con-
ditions and bad operation mode, then the regulation
function of reservoir could be weakened and even lost.
Even so, the function of power generation can be still
maintained as a run-of-river power station. For exam-
ple, projects Yanguoxia, Bapanxia and Qingtongxia on
Yellow River are still normally playing role of power-
generation, irrigation and water supply.
Therefore, concrete problem are to be analyzed
concretely. Reservoir sedimentation does not lead to
reservoir doom.
9 AN OVERALL AND OBJECTIVE
EVALUATION OF HYDROPOWER IMPACTS
ON THE ENVIRONMENT
Hydropower development may cause positive impacts
and negative impacts on the environment. It is the fact
that in the past time we did not pay enough attention to
its negative impacts, and did not solve it well, which
are the important reasons for some persons to oppose
building hydropower projects. Recently, a series of
articles have been published, these articles just listed
negative impacts of dams and denied their significant
and positive contribution on national economy, soci-
ety and environment. In my view, impacts evaluation
of hydropower development should be conducted care-
fully, comprehensively and correctly, and conclusion
may change from country to country and from project
to project.
Considering the issues objectively means that we
should think of not only the positive contribution due
to dam construction and hydropower development,
including its significant contribution on ecosystem,
but also their negative influences. For the latter, the
severest problems are inundation, resettlement and
sedimentation. Other issues about impacts on ecology
can be listed also, such as fishery, landscape, cultural
relic, precious and rare species, hygiene, geological
calamity and local climate, etc. It can be lined up for
more than one hundred topics, some of them can be
decreased, some can be compensated, some can be
protected, and some are less influencing. We should
make a serious analysis on all the impacts for every
project, draw an impartial conclusion, and then take
effective and powerful measures. It is not wise to just
deny hydropower development. Surely, if disadvantages
of a project are indeed larger than its advantages,
I believe no one will insist in building the project.
10 HYDROPOWER DEVELOPMENT TO BE
FOSTERED WITH POLICIES IN CHINA
A study of the history of hydropower development in
many countries in the world shows that the govern-
ments should fostered hydropower development,
especially for those large and super hydropower proj-
ects, because of their significant benefits to the nation
and numerous constrained factors in development. In
China, purely commercial actions would not play good
functions in this sector.
What is called national fosterage is that the gov-
ernment regards hydropower development as a funda-
mental energy policy, or even one of the most important
national policies in a certain period, as Brazil has done.
In China, all the successive governments have drawn
up the electricity policies of “to develop hydropower
with great efforts”, and “to transmit electricity from
west to east”, which have greatly promoted hydropower
development.
However, hydropower development needs more sup-
port of practical policies including tax policy, financing
policy, price policy and resettlement policy, etc. The
key point is to make all the ministries and governments
at different levels realize the significant functions of
hydropower development, and support it from every
aspect. Hydropower projects are not to be regarded as a
great source of profits tax reservoir.
In fact, to develop hydropower industry, it just
requires to be treated impartially, i.e., (a) as hydropower
is primary energy resources, it should be provided with
the same policy of other primary energy development;
(b) as hydropower is clean, it should be categorized as
one of the clean energy resources; (c) as large-size
hydropower projects can make more benefits than small-
size ones, the present policies provided to small-size
hydropower projects should be equally given to the
large-size ones; (d) as hydropower is of great advantage
14
for the nation because it generates power using water
without any upper industry such as coal mining, its
value-added tax should be decreased properly; (e)
being a clean energy sources, it should not be bidden
with the same standard as power energies which pollute
environment severely, otherwise, it is obviously unfair;
(f ) as hydropower is an important measure for peak
load regulation and safety guaranteed in electricity
system, it should be given a proper capacity price and
a peak load price; (g) to fully utilize hydropower can
greatly decrease the coal consumption and pollution,
moreover, water regime is difficult to predict, so
hydropower should not be purchased in flood period
at a very low price or just rejected; (h) hydropower
development in fact brings about opportunities of
economy development to transmigrants and local gov-
ernments in reservoir areas, a completed feasible reset-
tlement law needs to formulate.
Unfortunately, the actual situation is not satis-
factory and some impediments exist in the course of
hydropower development. Taking hydropower taxa-
tion as an example, it is hard to understand collecting
“water resources tax” upon hydropower development.
Hydropower neither consumes a drop of water, nor
pollutes a drop of water. Is it reasonable to collect
resource tax to increase the hydropower cost?
11 CONCLUSIONS AND EXPECTATION
The hydropower development in China has a bright
expectation. It is planned that up to 2010 and 2020, the
total hydropower capacity in China will ascend to new
peaks of 150 million kW and 250 million kW, respec-
tively. By the year of 2050, most of the hydropower
resources that can be technically developed in China
will be utilized, which will contribute tremendously to
China’s economic development and the global envi-
ronmental protection.
At the same time, China will make great efforts to
use nuclear energy, develop wind energy, solar energy,
biologic energy and all other clean sources of energy.
All these energies, together with hydropower, will
amounts for half of the energy sources in China. Coal
will still be the major primary energy sources, but it will
be utilized in a way of cleanness, high efficiency and
transformation, even its discharge amount of carbon
dioxide may be nearing nil.
Furthermore, other energy resources will be exploited
from seas and moon, and from controlled nuclear fusion
to finally solve the problem of energy sources supply.
I believe, the hydropower stations in China will still be
in joyous operation at that time, and Chinese society
will be a well civilized one of cleanness, high efficiency
and thrift.
 ts
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The developing hydropower in China

Dabing Zhou
Chairman, China Society for Hydropower Engineering
Vice-president, Chinese National Committee on Large Dams, China

ABSTRACT: Dams, the main work of hydroengineering, make important contribution for the developments
of Chinese national economy. Although the quantity of Chinese dams accounts for only 52% of the world’s total,
only 24% of Chinese hydropower resources have been developed. As the Chinese economy developing at top
speed, the energy demand is growing day and day, in addition, the primary energies as coal and petrol etc are
very finite. Hydroelectricity will still be the main body of Chinese energy development. In 21st century, coor-
dinated developments between human and nature are wildly advocated, Chinese hydroelectric development
would apply the successful experiences proved successful in decades to improve the construction, operating and
administration of existing hydroelectricity, pay more attention to implement the strategic evaluation of environ-
mental impact during the basin exploiting,, set up the environment supervise system of dam, improve the reser-
voir immigrant policies, protect the immigrant’s legal rights and interests, achieve the coordination and sustained
development of society, economy and environment.

1 INTRODUCTION
China enjoys the special favors of nature in hydraulic
resources. The gross potential of hydraulic resources
ranks the 1st in the world. According to the brand-
new survey result, the annual energy generated by
all theoretical hydraulic reserves in China mainland
is 6082.9 TWh, and the average capacity of 694 GW;
the technically exploitable capacity is 542 GW, and
the annual energy is 2470 billion kWh. In 1950s,
hydropower development started in China and experi-
enced a complicated and zigzag course. By the end
of 2000, the installed hydropower capacity of China
amounted to 79.35 GW. Entering into the 21st cen-
tury hydropower development was accelerated when
Chinese government carries out Western Development
Project and West-east Power Transmission Project.
By the end of 2005, the national installed capacity
of hydropower reached 116.52 GW and the annual
hydropower generation reached 395.2 TWh, both rank-
ing the first of the world. It is estimated that up to
2010 and 2020 the installed capacity of hydropower
will reach 180 GW and 300 GW respectively, taking
up 33.2% and 55.4% of the total technically devel-
opable potential. The hydropower development enjoys
a broad and bright future.
2 HYDROPOWER DEVELOPMENT
ACHIEVEMENTS AND CHALLENGES
2.1 Achievements by China hydropower
In 1949 when the People’s Republic of China was
founded, the total hydropower capacity was 360 MW
only (excluding Taiwan, the same hereinafter), and
the annual energy was about 1200 MWh only. In the
past 50 years, the hydropower of China makes a great
development. The installed hydropower capacity and
generation keep growing rapidly. The dam construc-
tion, equipment manufacturing and extra-high voltage
grid construction technology make the rapid advance-
ments too.
During the large-scale hydropower development, a
batch of high dams at the world level has been built
up in China, such as Ertan double-curvature arch
dam on the Yalongjiang River in Sichuan province,
Longyangxia gravity arch dam in the upstream of
Yellow River in Qinghai province, concrete deck rock-
filled dam of Tianshengqiao Step I on the Nanpanjiang
River, concrete deck rock-filled dam of Hongjiadu in
the upstream of Wujiang River in Guizhou province.
Some high dams under the construction even get the
more attention of the earthling: The gravity dam of

15
Three Gorges Project is 185 m high, dam peak is
2335 m long, raking the highest and longest of
the world; Xiaowan double-curvature arch dam on
Lancangjiang River in Yunnan province and Xiluodu
double-curvature arch dam on Jinshajiang River is
respectively 295 m and 278 m high, counting as one
of the highest arch dams in the world. Shuibuya
hydropower station on upstream Qingjiang River in
Hubei province is a concrete deck rock-filled dam
of 233 m high, which is the highest slab rock-filled
dam of the world. Moreover, roller compacted con-
crete gravity dam of Longtan hydropower station on
Hongshuihe River, Pubugou vertical core rock-filled
dam on Daduhe River in Sichuan province, double-
curvature arch dams of both Laxiwa in Qinghai province
and Goupitan in Guizhou province are renowned for
the height in the world.
While a batch of large-scale hydropower stations are
built up in succession, it also promoted the development
of the voltage level upgrade of the national grid and the
extra-high-voltage grid development. After the 1980s,
with the completion of Gezhouba Dam Tianshengqiao
Step II, Yantan, Tianshengqiao Step I, Manwan, Ertan
and other hydropower stations, 500 kV connection
system (including AV and DV) promoted the inter-
connection among the grids of Central China, East
China and Guangdong, Guangxi, Guizhou, Yunnan
provinces. In order to transmit the electricity generated
from the hydropower stations in the upstream of Yellow
River, the first 750 kV transmission line was built by
September 2005 in north-west China Power Grid.
The mechanical and electrical equipment manufac-
turing and erection technology are constantly taking
the new step in the hydropower project. In the 1970s
after the operation of Liujiaxia and Longyangxia
hydropower stations, some hydropower generating
units with 300 MW above capacity were put into the
operation successively; in 1990s the unit of Lijiaxia,
with the single unit capacity of 400 MW, and Ertan
with the single unit capacity of 550 MW were put into
operation. In 2002, the Three Gorges Hydropower
Station, with the single unit of 700 MW, started com-
mercial operation. Besides, the axial-flow turbine and
through-flow turbine were widely applied in the low
water head and large runoff hydropower projects. All
above-mentioned showed that the hydropower equip-
ment design, manufacturing and erection technology
gradually reached the advanced level.
2.2 Challenges facing China hydropower
Hydropower, as a clean renewable energy, enjoys such
advantages as low operational cost, comprehensive uti-
lization. However, the hydropower development in
China has always walked through a heavy-footed way.
Before the 1990s, due to the special historical restric-
tion and the limit of “large investment, long period,
16
difficult resettlement”, the hydropower development
was quite slow. After the 1990s, with the developing
of economy, science and technology, gradually solved
were the problems of “large investment and long
period” existing in building up the hydropower sta-
tions. During the construction of the hydropower sta-
tions, with the optimized design, shortened project
term, and consequently reduced investment, the tech-
nology and investment are no longer the restrictions
to the hydropower development. However, how to
address the relationship between the hydropower
development and environment protection stands out
in our work. Therefore, when planning to build up a
dam, how to understand and appropriately deal with
the reservoir submersion, resettlement and ecological
environment becomes the key factor to decide whether
such a dam should be built or not.
3 TO ACTIVELY DEVELOP HYDROPOWER,
A DEFINITE CHOICE OF CHINA ENERGY
DEVELOPMENT
3.1 China energy consumption structure
requests to devote more to hydropower
The world economic development course tells us that
industrialization is the only way to grow from being
depending on the agriculture to a strong country. China
used to be a lagging agricultural country. The industri-
alization requires not only human resources and finan-
cial resources, but also the energy and other resources
support, and at an inevitable cost on environment. What
we should do is to minimize the cost. Considering the
environmental protection and the fact of reducing
reserves on fossil fuel, some developed countries grad-
ually become independent on coal in their energy con-
sumption, but give the priority to oil and natural gas
instead, and expand the renewable energy consumption
rate step by step to replace the fossil fuel finally.
According to some statistics concerned, China energy
consumption is ranking the 2nd place of the world, after
USA, and accounting for 11% of the world gross. The
energy consumption growth takes more than 50% of the
global primary energy consumption growth. Therefore,
it plays the key role in realizing the sustainable develop-
ment that whether the renewable energy proportion will
be expanded in the energy structure and we are no longer
being dependent on fossil fuel (especially on coal).
Hydropower is a clean renewable energy and, at
present and in a certain period of time, also the only
clean energy that can be economically developed on a
large scale during. China is abundant in hydraulic
resources. It is inevitable to actively develop hydropower
for the sake of alleviating the energy pressure. To note
that, it is unpractical to totally substitute hydropower
for oil and other mineral energy.
3.2 The sustainable development requests to units operate for 4000 hrs per year with the coal con-
devote more to hydropower development sumption of 350 g/kWh, the hydropower development
will reduce the consumption of coal of 252 million
Mr. L.R. Brown, a scholar from USA, brings forward the
tons and 420 million tons in 2010 an 2020 accordingly.
sustainable development idea in his book of Building
In a long run, active hydropower development is the
a Sustainable Society. It goes as fulfilling the require-
necessity for energy sustainable development.
ment of the contemporary but not doing harm to the
offspring requirement to fulfill their own development.
With the advancement of the society, people attach more 3.3 The dam construction technology and
and more importance to the sustainable development economy development and national policy
strategy. The significant topic we are facing now is to provide hydropower development with
study the inter-relationship among the population, favorable environment
resources, economy and ecological environment and to
Since the 1980s, China has successively built up types
promote the harmonious development of those factors.
of complicated medium and large sized hydropower
The sustainable energy supply is the important
stations. And many hydropower stations, such as Three
guarantee of national economic and social sustain-
Gorges, Xiaowan, Longtan, Goupitan, Pubugou,
able development. Coal accounts for over 70% in
Shuibuya and others under the construction, make the
China energy supply. However, coal is not renewable
new breakthrough in reconnaissance and design, con-
energy. The more coal we consume, the less it reserves.
struction and management. The hydropower technology
Hydropower, as a clean renewable energy, is taking an
has made the breakthrough and a great improvement,
important position in the energy sustainable develop-
such as high dam construction, flood discharge and
ment. The earlier and more we use hydropower, the
energy dissipation, large-scale tunnel group construc-
earlier and more we save coal. The sustainable strategy
tion, high side slope and complicated base handling
requests to set up a sustainable energy support system
technology, manufacturing and installation of the large-
and an energy consumption method which is not haz-
scale metal structural equipment, turbine, generator
ardous to the environment, and during the energy devel-
and the matching equipment. All these make it clear
opment progress, it devotes more to hydropower and
that China hydropower technology comes up to the
other clean renewable energy development and thus
advanced level of the world. The investment required
makes it less and less dependent on the mineral energy.
by hydropower construction has also been ensured as
The hydropower project might pose some negative
the national economy keeps growing stably and rap-
impacts on the environment. But they could be avoided
idly. Particularly since 5 large-scale power generation
or alleviated if the right measures are taken. Speaking
corporations were established in the year of 2003,
on a whole, the hydropower project brings both the
more market players appeared, such as power genera-
positive and the negative effects on the environment,
tion corporations, IPPs and private enterprises are quite
while generally the positive is dominant. First of all,
active in developing hydropower, which further accel-
the hydropower generation, without coal consumption,
erates the hydropower development.
will reduce emission of CO2 and SO2 and protects the
The project construction and management system
atmosphere environment. Meanwhile, the reservoir,
gradually becomes compatible with internationally
formed by the dam, could also be utilized for flood
accepted practice. Many good practices promoted the
control and other multi-purpose benefits. The total
hydropower development, for example, the legal person
capacity of the existing medium and large sized reser-
responsibility system, public bidding contract system,
voirs in China equals 1/6 of average annual runoff
project supervision system and contract management
gross of all rivers. In the past years of the flood con-
system. And an integrated and scientific management
trol, the reservoir, acting for flood regulating, brings
system has come into being. Meanwhile, China’s
the enormous benefits for disaster alleviation. Based
Western Development Project and West-east Power
on statistics in the year of 1998, the disaster allevia-
Transmission Project also provide the hydropower
tion benefits of 1335 medium and large sized reser-
development with a favorable environment.
voir of the whole country amounted to 700 billion
RMB Yuan (in equivalent to 87.5 billion USD).
It is substantially different between hydropower
4 HOW CHINA HYDROPOWER REPLIES TO
development and oil or coal development, which means
THE ENVIRONMENT PROTECTION ISSUE
the consumption while the hydropower development
is recycling use and saves the precious coal resources
4.1 Developing hydropower under the guidance
year by year. According to China’s strategic planning
of the scientific development ideology
of hydropower development, by 2010 and 2020, the
installed hydropower capacity will reach 180 GW and China’s rapid economy growth and sustainable develop-
300 GW respectively. Assumed that the fossil power ment request the development and exploitation of the

17
renewable energy, and to alleviate the energy shortage
and environment pollution and ensure the energy safety.
In a certain period in China, the scientific renewable
energy development, will be given the top priority in the
energy production and supply. And consequently, the
hydropower development will follow the scientific
way. While we are seeking the hydropower develop-
ment profits, we have to meet and deal with the nega-
tive effect brought by hydropower development. It is
the incidental problem when China’s economy has to
face in the industrialized and urbanized progress.
China hydropower development is following the
principle of “scientific planning, sustainable develop-
ment, full exploitation, harmonious matching”. That is
to say, based on hydraulic resources, exploitable condi-
tion and market requirement, we will make scientific
planning for the hydropower development, considering
the construction scale, speed and the auxiliary condi-
tions concerned, meanwhile taking the effective inte-
gration of inter-connection of the national grid,
multi-purpose utilization of water resources and eco-
logical environment into account.
Hydropower development in western area of China
makes the best use of the rich, clean, and renewable
hydraulic resources there, reduces the mineral energy
consumption, promotes the ecological environment
construction and protects the eastern environment. It
also brings along the regional economy development
and other concerned sectors and industries develop-
ment as well. Based on scientific development, we
stick to the optimized allocation of water resources,
focus on high-efficient utilization and effective pro-
tection, and the harmonious development among the
economy, society, resources and environment and pro-
mote the appropriate, sustainable utilization of the clean
and renewable hydraulic resources in all-around way
and consequently can serve the sustainable development
of all human being.
4.2 Putting effective environment protection
measures into practice
Building up the dam, especially the high dam will
bring the serious ecological problems, such as result-
ing in a great deal of submersion, compulsory reset-
tlement, change of the water life, reduction of the
oxygen-producing green plant and changing the rela-
tionship between the water and sand etc.
However, hydropower station construction is not
opposite to the ecological protection, but mutual-
dependent and reciprocal. Speaking on a whole,
hydropower development is good for the environment
protection and in line with the sustainable strategy.
Partially speaking, hydropower development will bring
some negative effects on the river ecological system,
especially during the previous time, when we were
not giving sufficient attention on environment and
18
insufficient ecological recovery measures which has
cast the shallow on the hydropower development.
We will continue to summarize the experiences and
lessons we got in previous hydropower construction
and environment protection. We have taken such mea-
sures as following: Firstly, to improve and innovate in
the environment impact appraisal method, to evaluate
objectively and scientifically the influence brought by
hydropower projects and to build up the ideas of envi-
ronmental-friendly; Secondly, to improve and execute
the law and regulations on the environment protection,
to promote actively and positively the research on the
environment protection measures and tackle the key
problem accordingly, and to push the environment
protection work for a new leap; Thirdly, in the stage of
the planning of cascade development along a river basin,
to apply the Environment Impact Assessment and give
the priority to the cascade development project which
has comparatively small impact on the environment,
to minimize the negative impact; Fourthly, in the stage
of the location selection and project design, to mini-
mize the impact on natural reserve, sightseeing area,
natural and cultural relics as well as the ecology along
the lower reaches of the river; Fifthly, to bring the
compensation and remedy measures into the effect
and try the best to avoid the vanish or huge damage
on the rare species, and species in severe danger and
species with the commercial and ecological value;
Sixthly, in the construction stage, to attach importance
to the environment protection and adopt the advanced
technology to make out the environment protection
planning and design, implement the planning well; to
control the emission of waste water, noise, dirt and
waste residue effectively, and to reduce the damage
from the construction, excavation and demolishment
on vegetation and water and soil; Seventhly, to adopt
supervision system on the environment protection
measures during the hydropower project construction.
4.3 Attaching great importance to the
resettlement for reservoir
During the hydropower development, the cost we
have pay is the resettlement of the farmland and the
local people, which is also an important restriction
against the hydropower development, as well as a rea-
son why some people are opposing the dam construc-
tion. The large-scale hydropower development in
western area of China will inevitably bring the prob-
lems of losing some land and resettling some unwill-
ing people. However, the key answer to address such
an issue is to do the resettlement well and compensate
the relocatees well. This is a complicated issue that
involves many parties concerned.
Due to some historical restriction, in the past, there
were some problems appeared in the resettlement work
in some reservoir projects, such as low compensation,
poor management of the compensation money and
the rough resettlement planning and design etc. In
recent years focusing on such problems mentioned
above, the central and local government, the resettle-
ment agencies and hydropower investors kept search-
ing for resolutions and adopted a series of measures
and methods. At present, they are sparing no efforts to
the relocation and trying to do the job well.
To be more detailed, it calls attention do well the
following work: firstly, carefully doing the investiga-
tion on the present relocatees’ assets and setting down
the fair and reasonable compensation standard and
content to satisfy most of the relocatees; secondly,
establishing and improving the resettlement fund
management system, strengthening the supervision to
make sure that all resettlement capital are used on the
relocatees; thirdly, establishing the long-term produc-
tion and living system for the relocatees, bringing the
after-resettlement support policy into the effect and to
make sure they do benefit from the project.
We are developing Daduhe River Basin in Sichuan
province in an all-around way. In order to do the envi-
ronment protection and resettlement well, we bring
forward at the early development stage the steering
development principle of “one way along the river, get
rich on both banks” to share all fruit with the relocatees.
4.4 Insisting on the principle of “River Basin,
Cascade, Rolling and Overall Development”
Danube, Rhone and Rhine in Europe, Volka, Yenisei and
Angara in former USSR, Tennessee River, Columbia
River and Colorado River in USA are all the successful
examples of the cascade hydropower development. Not
only these projects developed the local water resources,
but also improved greatly the local economy situation.
China insists on the course of “river basin, cascade,
rolling, overall development” in the hydropower devel-
opment. The cascade development in the upstream of
Yellow River, Hongshuihe River and Qingjiang River,
as the branch of Yantze River, are completing; the cas-
cade stations along Wujiang River and Lancangjiang
River are under the construction like a raging fire; the
hydropower development along Daduhe River and
Yalongjiang River has entered into the climax; the
large-scale and huge-scale hydropower stations along
Jinshajiang River were also inaugurated and the cas-
cade development along the main stream of Nujiang
River in Yunnan province is now in planning. The cas-
cade river basin development, based on the integrated
planning of the whole river basin, is to develop in an
orderly, appropriate, and scientific way addressing the
importance of the balancing reservoir for the regulat-
ing function and economic feature. Under the precondi-
tion of the integrated planning the rolling development
step by step will be transferred to development batch
by batch. During such a development progress, we
19
should consider power generation, flood control, irri-
gation, water supply, ship transportation, environment
and other comprehensive benefits to promote the social
and economic development.
5 LONG-TERM PLANNING OF CHINA
HYDROPOWER DEVELOPMENT
Most of hydraulic resources are scattering over the great
rivers in the western area of China, southwest particu-
larly. The present developed rate of hydraulic resources
is about 1/5 of the whole technically developable poten-
tial. Therefore, the developed rate is quite low.
In the coastal area of the east and central China,
with dense populations and booming economy growth
and electricity consumption rate, which are much
higher than the west, most of the valuable hydraulic
resources have already been developed. Meanwhile
the developed rate in west China is very low though
the hydraulic resources in such areas are very abun-
dant. On account of all differences between the east
and west, in order to optimize resources allocation
and regional development, it is necessary to exchange
the eastern technical and economic resources with
western energy resources. The project of West-east
Power Transmission, as a historic necessity, will not
only promote the hydraulic resources development
and ecological environment protection in the west but
greatly helps to improve the ecology and atmosphere
in the east. At present, west China has now become
the main area for the hydropower development.
Tibet is the area where is most abundant in hydraulic
resources of China, where the annual theoretical
hydraulic reserves generation is 1764 TWh and the
average power capacity of 200 GW, technically devel-
opable installed capacity is 110 GW and the annual
generation of 576 TWh. The whole hydraulic reserves
in Tibet account for 29% of the whole gross of China,
ranking the 1st place. The technically developable
potential takes up 20.3% of the total, standing the 2nd
in China. It is predicted that, around the year of 2020,
the main hydropower battlefield will gradually transfer
to the upstream of Jinshajiang River, Lancangjiang
River and Nujiang River, and finally enter into
Tibetan region. With the ongoing of the preliminary
work for Tibet Hydropower development, with power
industry sector developing and science and technology
advancement, the rich hydraulic resources in Tibet
will be further developed.
6 CONCLUSION
The Hydraulic resources of China stand the first
place of the world. We just kick off the hydropower
development and construction on a large scale. With
the implementation of West Development Strategy of
China, the present developing scale will be further
expanded. With the West-east Power Transmission
Project and optimized power supply structure in the
central and east China, the pumped-storage hydropower
station will also be developed rapidly. We are, actively
and in a scientific way, developing hydropower to
realize the harmonious and sustainable development
among the resources, society, economy, environment
and to provide economic and social development of
China as well as the advancement of all human being
with more clean renewable energy.
As Mr. Kaare Hoeeg, ex-president of the Interna-
tional Commission on Large Dams, has ever said:
When we are looking on the future, the dam construc-
tion is kept going on, because in most cases, the option
of dam and reservoir construction is the top choice in
many feasibility studies, and finally it turn out to be
20
the best choice to satisfy the people and the society. It
is also fully proven by the fact that China chooses to
give top priority to hydropower.
The economic development of China needs to
develop hydropower. China has been provided with
the full capacity to develop hydropower, which is the
definite choice for China. And the earlier, the better.
The faster, the better. Meanwhile we must understand
in a right way the ecological impacts brought by
hydropower development, we will take all possible
measure to minimize the negative impacts.
We believe, with better knowledge and more expe-
riences, we are confident that to well address the tech-
nical, economic and environment problems existing
in the hydropower development and we will devote
more to realize the ambitious goal of hydropower
development and build up a stable, economic and
clean energy supply system in China.
 ts
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Analysis of the role and strategic position of Dadu waterpower

development

Chen Gang & Ma Guangwen

School of Hydraulic Engineering, University of Sichuan, Chengdu, China

Fu Xingyou
Dadu Hydropower Development Co.Ltd (SP), Chengdu, China

ABSTRACT: The main rivers of Dadu are rich in the hydropower reserve and the technical potential quantity
is 25,876 MW. Dadu is the backbone to the national networking strategic target. Its development is the basic
project to realize the national regional resource optimization disposition and implement the strategy of “west-east
power transmission” and “outward power transmission of Sichuan project”. Water power development of Dadu
will be highly advantageous to the improvement of Sichuan power source structure and the guarantee of the
safely and steady operation of Sichuan electrical grid. Besides, it will accelerate the construction of “natural forest
protect project” and green ecological protective barrier of the upper reaches of the Yangtze River and promote
the economic development of Sichuan minority area and society stabilize. In the background of our country and
even world energy problem more and more serious, its development will surely play an important role.

1 INTRODUCTION
power system made by the national power company,
and the guideline of “west-east power transmission and
After the fifteenth National People’s Congress, the
north-south power bi-supply national networking”, we
Central Committee and the State Department have
will construct a national grid pattern which take the
made the Strategic plan to accelerate the development
Three Gorges project as the center and radiate to the
of the midland and the west. In the sixteenth National
east, the west, the south and the north. After this we
People’s Congress, a goal to construct a well-to-do
will built a power supply main route, which has inter-
society was proposed. The decision to accelerate the
connections between the south and north grid, and the
development of the west brings a historic opportunity
linkage of the lengthways routes are very close.
to the west which is abundant in water resource espe-
To 2005, the electric power transfer scale from west
cially to Sichuan electricity power industry and the
to east is supposed to be 20 million kw, and the area
construction of a well-to-do society.
large grid transfer capacity can be 15 million kw; to
As to the hydropower plants of Dadu, which are
2010, the transfer scale to be 40 million kw, and large
related to the overall situation, and not only could pro-
grid transfer capacity to be 30 million kw; to 2020, on
mote the sustainable development of the energy indus-
the basis of the national grid, the transfer scale will be
try but also turn the resource advantages to economic
80 to 100 million kw. During the course of the imple-
advantages and promote the “electricity transfer from
ment and the operation of the Three Gorges power sta-
west to east project” and national networking project,
tion, we will take the Three Gorges power station as
it is imperative that we should speed up the development
the center, and form the midland power grid first. To
and construction of such an essential river.
2010, the north, midland, and the south power grid are
finished on the whole, and the midland grid includes
2 THE MAIN RIVERS OF DADU ARE THE the Sichuan and Chongqing grid and central China grid.
SKELETON RIVERS TO THE NATIONAL According to the

the “eleventh five year plan” and
NETWORKING STRATEGIC TARGET the 2020 plan of the central China grid, the transfer-
ring channel of the central China grid will strengthen
With the construction of the Three Gorges power station, both the linkage between the Sichuan and the
we have drawn the curtain of the national networking Chongqing grid and the linkage between Chongqing
project. According to the networking rules of national grid and the grid of Hubei, Henan, Jiangxi, and Hunan.

21
All these ensure the transmission from Sichuan and
Chongqing, Hubei, Henan, Jiangxi, and Hunan to the
east. To 2010, on the basis of 2 channels and 3 loop-
lines the networking of Sichuan and Chongqing grid
will be 3 channels and 6 500 kv loop-lines. As to the
bi-transferring channel between the north and the
south, to 2005 the central China grid will have 3 loop-
lines between Hubei and Henan, 2 between Hubei and
Hunan, and 2 between Hubei and Jiangxi. With the
operation of the generators of the Three Gorges, the
transmission capacity from Sichuan to the east will
increase. Before 2010 the bi-transmission capacity of
the central China grid between the south and the north
will also be strengthened.
To make sure the safely and steadily operation of the
national grid, we have to have a number of skeleton
power stations which are used to modulate the peak
load and the frequency. There are 23 cascade power
stations programmed on the main rivers of Dadu (from
Xiaerxia to Tongzijie), with the total units installation
of 24.8 million kw, the guaranteed capacity is 9.812 mil-
lion kw, and the annual power quantity is 113.54 billion
kwh. Among the 23 cascade station, Pubugou is the
middle reach control reservoir, while Shuangjiangkou
is the upper reach control reservoir, and Xiaerxia is the
cock reservoir of the main river. The total modulatory
volume of the three reservoirs can be 7.85 billion m3,
and the estuarine modulatory coefficient can be 16.6
percent. Then we may realize the annual modulatory
to the whole river. Among the 23 cascade power sta-
tions, there are 7 stations of which their units installa-
tion are above 1million kw, and the total capacity is
15.16 million kw. In terms of the plan of Dadu cascade
station transmission system which was passed in Aug
2005 by national grid company, Dadu cascade station
was divided to 3 transmission groups. One contains
Dagangshan, Changheba, Huangjinping, and Luding
hydropower stations. The Dagangshan power station
connects with Yaan super grid transformer substation
with 2 500 kv loop-lines, and Changheba, Luding
hydropower station connect with Huangjinba station
with 2 and 1 500 kv loop-lines respectively, while the
Huangjinping and Luding stations link with Yaan super
grid which connects with Leshan super grid with 2
1million loop-lines transferring to the east China and
central China grid ultimately. One includes Pubugou,
Shenxigou, Zhentouba, and Longtoushi power stations.
The Pubugou station connects with the Simeng trans-
former substation with 4 500 kv loop-lines transfer-
ring to Sichuan main grid. The last one consists of
Shuangjiangkou, Jinchuan, Badi, Danba and Houziyan
power station. Jinchuan connects with Shuangjiangkou
station with 1 loop-line, and Shuangjiangkou connects
with Seergu station with 2 500 kv loop-lines transfer-
ring to Sichuan main grid ultimately. Badi, Danba and
Houziyan connect with Kaiguan station with 3 500 kv
loop-lines transferring to Mianzhu transformer
22
substation then join into Sichuan main grid. The last 2
groups cooperating with each other join the project of
outward power transmission of Sichuan, which includes
Chongqing, the east China and the east of midland
grid. After all these large stations are constructed, the
grid of Sichuan and the midland will be strengthened
effectively.
3 THE MAIN RIVER OF DADU IS THE
FOUNDATIONAL PROJECT TO OPTIMIZE
THE NATIONAL REGION RESOURCE, AND
TO IMPLEMENT THE STRATEGIC PROJECT
OF BOTH WEST-EAST POWER
TRANSMISSION AND OUTWARD POWER
TRANSMISSION OF SICHUAN
Our country is vast in territory; however the resource
distribution and regional economical development
are highly imbalanced. The coal and the waterpower
resource are distributed in the north and the west
respectively. The waterpower resource reserve of the
west take the part of 86.9% of the whole country in
theory and the technical potential quantity is 81.5%,
while the east only take 4.5% and 4.9% respectively.
From the reform and open policy on, the economy
of the east coastal area has been developed quickly, and
the power load increased rapidly, but as the resource
there is extremely deficient that the coal and crude oil
it need have to be transferred from the north or import
from other countries. Because the north-south coal
transmission is restricted to the traffic that we have to
increase the importation, and the large thermal power
plants there have polluted the local environment. So
in order to promote the coordinated economic devel-
opment of the east, midland, and the west, the central
ministries and commissions concerned indicated that
to develop the hydropower of our country actively and
to implement the west-east power transmission project
is a strategic act to optimize the resource of the country.
Besides, the development of the waterpower of west-
south and the implementation of west-east power trans-
mission project are considered to be urgent, and it will
accelerate the development of the west economy, pro-
mote the optimization of the national power structure
and the power resource, and improve the environment,
increase the internal demand and so on.
Dadu is one of the 13 main waterpower bases of our
country. To construct the large hydropower stations of
Dadu, and to implement the west-east power transmis-
sion project is significant to make the resource advan-
tage of Sichuan and the economic advantage of the east
may complementary each other, relieve the traffic and
environmental pressure of the east, and bring along
the development of Sichuan. According to the statistics,
from august 2001 on, Sichuan grid started to transfer
seasonal electric power to Chongqing and the east.
In 2002, it transferred 0.95 billion kwh to Chongqing
through the wire of Honggou-Chengjiaqiao, and 1.479
billion kwh through Wanxian~Longquan (the Three
Gorges) line to the east China. In 2003, it transferred
1.099 billion kwh to Chongqing, and 2.374 million to
the east China. With the outward transmission of power
gradually, it not only makes full use of the advantage
of the hydropower resource, but also supports the east
with the peak load in the summer. Thus, it profits the
both the supply and the demand sides.
4 THE DEVELOPMENT OF THE WEST AND
THE CONSTRUCTION OF A WELL-TO-DO
SOCIETY CREATE A FAVORABLE
CONSTRUCTION ENVIRONMENT
The Central Committee and the State Department pro-
posed the west development strategy on the corner of
the 21st century, and in the sixteenth National People’s
Congress brought forward the goal of constructing a
well-to-do society. The economy of the west is under-
developed while it is abundant in resource, by con-
traries; the east is flourishing in its economy and lack
of resource. To develop the west and construct a well-
to-do society across the board is an effective strategy to
diminish the difference between the east and the west to
realize the national affluence, increase the internal
virtual demand, and to implement the plan of the sus-
tainable rapidly increase of the economy. The west area
has abundant resource and tremendous development
potential. To develop Sichuan adjusting to the condi-
tion, make full use of the advantage of the resource
practically and realistically, and to accelerate the devel-
opment, attaching great importance to the development
of the reproducible and non-pollutive resource is of great
significance.
Hydropower is a kind of reproducible and clean
resource, that the developed countries put the hydro-
power construction in the first place. However the
develop rate in our country is very low, and there is a
great difference between the east and the west. Till
2003, the national develop rate is only 17.6% accord-
ing to the units installation, which ranks more than 80
falling behind India, Viet Nam, Thailand, Brazil,
Egypt and many other developing countries. But the
developing rate of the east is over 60%, and the east is
only about 10%.
Sichuan has abundant hydropower resource, and has
a tremendous developing potential. The waterpower
reserve is about 143.5147 million kw in theory and
the technical potential quantity is 120.04 million kw of
the whole country while the annual power quantity is
612.159 billion kwh. The economic developable quan-
tity is 103.2707 million kw, and annual power quantity
is 523.289 billion kwh accordingly. The developable
units installation of Sichuan province takes the part of
23
22.2% of the whole country, and the annual power
quantity takes 24.7%, which are the first in the coun-
try. The developable quantity of annual power is
7036 kwh per capital, which is 3.7 times of the corre-
sponding national quantity and 41 times of the east
China. The technical potential quantity of the three
main rivers Jinsha, Yalong, and Dadu is 83 million kw
in all, which takes the part of 69% of the province.
In recent years, Sichuan province has put the
hydropower industry as a backbone industry to
the implementation of the west development project.
The provincial party committee and provincial govern-
ment of Sichuan proposed

advices about accelerating
the development of the hydropower backbone indus-
try, which created a good policy environment for
the hydropower development and for the continuous
exploitation of Dadu.
5 THE HYDROPOWER EXPLOITATION OF
DADU IS AN EFFICIENT WAY TO PROMOTE
BOTH THE ECONOMICAL DEVELOPMENT
OF THE MINORITY AREAS IN SICHUAN
AND THE SOCIAL STABILITY
There are many minority areas in Dadu drainage basin,
includes most of the Tibetan nationality, Qiang national
minority, and the Yi national minority of our country.
It is close to Qinghai and Gansu province in the north,
and is the meeting-point of three provinces: Sichuan,
Qinghai and Gansu. It is also an important pathway
from Sichuan to Tibet, and is the economical and cul-
tural link between the Tibet and the Han.
The circumjacent exploitation of Sichuan can not
only safeguard Sichuan but also reinforce Tibet. To
enhance the national solidarity and consolidate the
border area has a significant political meaning. The
stability and development of Dadu is very important
to the stability of the minority areas in Sichuan as well
as to the Tibet and even the whole country. To exploit
the hydropower resource of Dadu to help the poor is
not merely a regional economic development problem
but a matter of the further development of Tibet. It is
a national matter to frustrate the internal and external
enemies’ cabal and to guarantee the safety of Tibet
and the border area of south-west China ultimately.
Without the exploitation of Dadu and the decrease of
the economic difference with the backland, we can
never reach the strategic goal of developing our econ-
omy of Sichuan, and the national solidarity and stability
will face an great challenge. Therefore, to accelerate
the development of Dadu, and keep up the flourish and
stability of the minority areas is a very important and
hot economic and political task.
Dadu has advantaged hydropower and mineral
resource, however the economy develops slowly. 2002
the GDP per capital of Ganzi canton is only 63% of
the average of the province, while the local financial
income is 59% of the average income. Because it is so
poor that the instability shouldn’t be neglected. If we
exploit the hydropower resource of Dadu as soon as
possible, and introduce more capital, it should benefit
the construction of Dadu and will assure the economic
development and political stability of the country by
bringing along the economic development of the nearby
province such as Yunnan, Guizhou, Sichuan, Qinghai,
and the Tibet.
The weakness of the infrastructure of Dadu is one of
the main factors which restrict the economy develop-
ment. Only by improve the situation radically can we
develop the economy better. The abundant waterpower
resource in the minority areas such as Ganzi and Aba
canton is a enriched resource of top-priority. The con-
struction of the hydropower project could bring along
the development of the related industry, and carve out
new exchequer to become rich. Firstly, as a industry the
hydropower construction project has a strong pull on
the infrastructure and the public affair, and related to the
local area closely. It can co-develop with the high
energy-consuming industry, and is of great benefit to
the coordinated development of the local economy. As a
matter of fact, I can bring along the progress of the peo-
ple, economy, information industry, and the national
culture. Besides, the hydropower exploitation cost of
Dadu is low, but the potential is great. The hydropower
construction should be a leading industry which is of
great practical and potential comparative predomi-
nance. In a word, to exploit the hydropower energeti-
cally will undoubtedly promote the development of the
Dadu drainage area and make the maximal benefit.
6 THE ELECTRICAL DEMAND MAKES IT
NECESSARY TO CONSTRUCT NEW
POWER SUPPLY, AS THE RAPIDLY
AND CONTINUOUS ECONOMY
DEVELOPMENT OF SICHUAN
Entering the 21st century, with China joining into the
world trade organization and the west development
project, the economy everywhere has been developed
rapidly, and the electric power demand becomes more
urgent. Sichuan province as to most area of the country,
the chasing and spanning developmental goal is very
exciting, in 2001 and 2002 the GDP increasing rates
were 9.2% and 10.6% respectively, and in 2003 it
reached to 11.8%, which was the highest of the recent
10 years. The rapidly development of the economy
brings along the demand of the electric power that the
increasing rate of the power demand were 11.37%,
13.11% and 13.95% respectively. From 2002, the elect-
ricity shortage came back after 5 years, and the grid
had switched off for 41 469 times to restrict the electric
consumption in that year. The greatest shortage was
24
1.5 million kw, and the daily shortage was about 2025
million kwh. Wide range of shortage of Sichuan grid
shows that it is urgent to accelerate the construction of
power supply.
According to the preliminary estimate of a well-to-
do construction of Sichuan province, to 2020 the units
installation all in the province is supposed to be 62
million kw (of which 25 million kw is for outward trans-
mission), that means the annual increasing net quan-
tity should be nearly 3 million kw, equaling to put a
Shuangjiangkou power station of Dadu into production
every year with the units installation of 2 million kw,
or a Changheba power station with the capacity of 2.4
million kw. So, except for the construction of other step
power station of other rivers, to accelerate the exploita-
tion of Dadu is very necessary.
7 TO EXPLOIT THE WATERPOWER
RESOURCE OF THE MAIN RIVER OF DADU
IS BENEFIT TO IMPROVE THE POWER
SUPPLY STRUCTURE OF SICHUAN, AND
ENSURE THE SAFELY AND STEADILY
OPERATION OF SICHUAN GRID
From the existing grid dispatcher of Sichuan, the power
supply structure of the grid is not so reasonable. There
are many run-off - river power station in the Sichuan
grid, of which the retention capacity is limited. Among
the existing hydropower stations, except for Baozhusi
(700 thousand kw), Ertan (3.3 million kw), and Daqiao
(100 thousand kw), the rest only have daily or weekly
retention capacity, some are even run-off- river power
stations. The output has great difference between the
high-water period and the low-water period, which
makes the operation of the grid very difficult. In addi-
tion, the units of small capacity take a large proportion
in the thermal power units installation which is of high
coal consumption and seriously pollute the environ-
ment. In view of the development of the power supply,
we need more new supplies especially supplemented
by hydropower of good control characteristic. Consi-
dering the demand, although we have taken many
measures to reduce the difference between the peak
and the valley, the difference is becoming more and
more big as the increasing demand of the peak, that the
existing retention capacity could not meet the demand
during the eleventh five-year.
Among the 23 cascade station planed in the main
rivers of Dadu, Pubugou is the middle reach control
reservoir, while Shuangjiangkou is the upper reach
control reservoir, and Xiaerxia is the cock reservoir of
the main river. The total modulatory volume of the three
reservoirs can be 7.85 billion m3, and the estuarine
modulatory coefficient can be 16.6 percent. To operate
separately, the total cascade guaranteed output is 4.173
million kw, and the annual power generation is 106.946
billion kwh. To operate jointly, the total cascade guaran-
teed output is 9.812 million kw with the increasing coef-
ficient of 1.08, and the annual power output is 113.54
billion kwh with 6% increased. Then we can almost
realize the annual regulation of the entire river. The
construction of the cascade power plant of Dadu
will greatly improve the power supply structure of the
grid and enhance the regulating ability of the power
system.
The present 500 kv grid of Sichuan is formed with
the construction of Ertan power station, of which the
transmission distance is too long and the structure is
weak, that the stability is poor. Especially the two
500 kv lines from Honggou of Zigong to Longwang in
Chengdu are sharing the same transmission steel tower,
which is the weakest part to the stability of the grid. The
formation of the grid relies on the construction of the
power supply. Because Dadu is near to the load center
Chenddu, Deyang and Leshan, that the power supply
construction of Dadu could near the 500 kv loop-lines
and grid in these places, which surely will improve the
stability of the grid in these load centers.
8 TO EXPLOIT THE WATERPOWER
RESOURCE OF DADU AS SOON AS
POSSIBLE, IS BENEFIT TO THE
CONSTRUCTION OF “NATURAL FOREST
PROTECT PROJECT” AND GREEN
ECOLOGICAL PROTECTIVE BARRIER OF
THE UPPER REACHES OF THE
YANGTZE RIVER
The environment is the foundation of our survival and
sustainable development. However, the environmental
status such as the over disafforestation, meadow degr-
adation and soil erosion have badly restricted the sust-
ainable economic development. The first one is the
vegetation destruction, and the decrease of the forests.
For thousands of years the nomads cut the trees to cook
and warm up. Because of the mass cutting, the natural
resource and the environment is destroyed severely.
Until now, the forest of west area of Panzhihua
decreases 20 thousand ha every year, and the consump-
tion is excess of the growth by 17.6%. The preserved
area to the planting area is less than 1/3, especially in the
xerothermic valley area, and the preserving efficiency
is only 5%. The second one is the meadow degradation.
Because the forests near the pasturing area are over dis-
afforested, the meadow can get enough water, a mass of
meadow degraded. This not only effect the sustainable
development of the stockbreeding and severely effect
the water preserving function of the Yangtze water sys-
tem. For example, the mouse disaster in Shiqu county of
Ganzi canton occupied 97.7% area of the available
meadow, and 2.7 million Chinese acre meadow has been
turned into a black earth bottomland. Some nomads
25
have to move because of the mouse. The last one is the
sever soil erosion and the frequent natural disaster. The
erosion area of the west of Panzhihua is 40.2 thousand
km2, takes 45% area of the county. Every year the silk
eroded into the Yangtze can be 103 million t barely from
Liangshan canton. Large numbers of upland disasters
hurt the human and domestic animals, block the traffic,
break down the houses, destroy the woodland and block
the rivers, which make the poor nomads suffered great
losses, even the deadly one. According to the statistic,
only in the 80th of 20 century the loss made by flood is
350 million Yuan. The worsening of the environment
has badly restricted the sustainable development of the
local economy.
To forbid the overcutting, improve the environment
and protect the environment, 1998, the central Com-
mittee decided to implement the natural forest protect
project and the taking back from agriculture returning
the forest project in Sichuan first. Form the implemen-
tation on, it has been confronted with the conflict
between the environment protection and the severe
lack of the resource. If the living fuel problem of the
country people can not be solved efficiently, the local
people will back to the poverty, and the sustainable
development strategic plan of the party and govern-
ment can not be implemented efficiently. Thus, to
accelerate the hydropower resource exploitation of the
Dadu, replacing the firewood with electricity to solve
the fuel problem, reducing destroy to the environment
and protecting the riverhead of Yangtze, is of great
importance to the construction of the natural forest
protect project and the green ecological protective bar-
rier of the upper reaches of Yangtze.
9 CONCLUSION
Dadu is an important river that passes cross Sichuan,
and the main rivers of Dadu are the backbone river to
the national networking strategic target. It is a basic
project to optimize the national region resource and
implement the project of the west-east power transmis-
sion and outward power transmission of Sichuan. The
hydropower exploitation of Dadu is an efficient way to
promote the economic development and the social sta-
bility of the minority areas in Sichuan. To exploit the
hydropower resource is benefit to improve the electric-
ity structure of Sichuan and make sure the safely and
steadily operation of the grid, besides, it is favorable to
the natural forest protect project and the construction of
the green ecological protective barrier of the upper
reaches of the Yangtze River. Because of its important
geographical position, convenient traffic condition and
the abundant hydropower resource, its development will
surely play an important role in the background of the
national and world energy problem more and more
serious.
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Functions of dams in ensuring drinking water safety in China

Dangsheng Zhu
Water Resources and Hydropower Planning & Design General Institute, Beijing, China

ABSTRACT: The major target of the 10-year international life water action is to provide clean and safe drinking
water for the public. On the basis of a comprehensive investigation of the status quo of drinking water and its sources
in China, a corresponding assessment system is established in this paper and a synthetic assessment has been made
on the safety of the drinking water and its sources. Accordingly, the irreplaceable functions of the constructed
dam projects in China have been addressed in ensuring the safety of the country’s drinking water sources in
terms of water quantity guarantee, water quality safety and anti-risk capability. A predication is made in this paper
to the future demand of drinking water in China, based on the economic social development and population growth,
taking into consideration of the status quos of the country’s population, resources, environment and economic
social development. Also a comprehensive solution plan is proposed of improving the existing water sources
and developing new sources. Consequently the important function of the dams is addressed in realizing the sus-
tainable use of water sources and meeting the future safety demands of drinking water.

1 STATUS QUOS water sources provide 69.3 billion m3, making up 77

1.1 The overall situation of water environment
According to the water quality surveillance results of
409 key monitoring sections in seven major rivers in
China, only 38.1 percent of the sections met the water
quality standard for grade I to III, which can be used
as central drinking water sources, while 30% of the
sections had water quality worse than grade V, which
were highly polluted and had lost their basic uses.
Assessment of 52 major lakes indicates that 26 lakes
are highly polluted and 75 percent of the lakes are
nutrient-rich to varied degrees. There are 164 regions
in China where ground water is excessively exploited,
covering a total area of 190,000 Km2. The annual exces-
sive exploited quantity is 10 billion m3 and, as a result,
ground settlement and seawater intrusion have taken
place in some of the regions.
1.2 The existing situations of the urban
drinking water sources
In 2004, an investigation was made to all those central
water sources with a daily water supply of over 1000 m3
or serving a population of over 10,000 in county towns
or cities in China, which covered 4490 water sources in
661 cities and 1759 county towns with a total popula-
tion of 417.7 million. The investigation results show
that the total water supply (consumption) for the city and
county towns is 89.55 billion m3, of which the surface
percent of the total; the underground water sources pro-
vide 18 billion m3, making up 20 percent, and non-
conventional water sources make up 3 percent. Of the
total water consumption, 28.3 m3 are for the urban
domestic consumption, 56.4 billion m3 for secondary
industry and 4.7 billion m3 for ecological use, making
up 31.6%, 63.1% and 5.3%, respectively.
In terms of water source types, the lake- and
reservoir-type provides a quantity of 14.7 billion m3,
making up 16.4% of the total; the river course-type
water provides 54.4 billion m3, making up 60.8%; the
ground water type provides 17.99 billion m3, making
up 20%. In terms of served population, the river course-
type makes up 41.3% of the total; the underground
type makes up 31.0%; the reservoir-type makes up
26.0%; the lake-type water makes up 1.7%.
Water sources for city use are different in different
regions. Surface water is the dominant source in the
southwestern, southeastern and central China regions,
making up 80 percent of the region’s total supplies.
Surface water and groundwater provide similar percent-
age of water sources. In north China and northwestern
regions, the groundwater makes up 72% and 66% of the
total sources, respectively.
1.3 The existing situations of the rural drinking
water sources
Water supply for rural use is not common in general.
Until now, the popularization rate of tap water in rural

27
area is only around 40% and most of the rural areas are
supplied in a dispersed way. The water supply estab-
lishments are poor and lack necessary water treat-
ment measures. There are 45,000 townships in China,
and at present around half of them are insufficient in
water supply. To the end of 2004, 320 million of rural
people in China were unsafe in drinking water, of which
227 million were unsafe in drinking water quality, and
96 million were unsafe in drinking water quantity.
For the populations with unsafe drinking water qual-
ity, 53.7 million drank water with fluorin and arsenic
exceeding the corresponding standard, 38.5 million
had to drink bitter and salt water, 90.8 million were
affected by highly polluted drinking water sources and
over 11million were threatened with schistosomiasis in
drinking water.
2 SAFETY ASSESSMENTS OF DRINKING
WATER AND EXISTING PROBLEMS
2.1 Safety assessments of water quality
A safety assessment system has been established for
the water qualities of water sources based on the
2004’s water quality surveillance data of drinking
water sources and water quality safety assessment has
been carried out for the water sources in terms of
common pollutants, toxic pollutants and rich nutrition.
The results indicate:
1 16 percent of the assessed water sources were dis-
qualified in water quality, with a water quantity of
4.8 billion m3, involving a population of 57 million.
Of the 661 major cities in China, 127 cities had safety
problems in water quality.
2 The major pollutant indicators of water sources
include toxic pollution, iron, permanganate index,
ammonia nitrogen (NH3-N), fluoride, volatile
hydroxybenzene and nitrate. The water sources in
the whole state are mainly affected by toxic pollution.
523 disqualified water sources are resulted from
toxic pollution.
3 In terms of water source types, reservoir-type water
source is best in quality, the underground water
comes second and river course water is the poorest.
The water quality of larger scale water sources is
better than that of small and medium scale sources.
4 In terms of regions, the water quality in north China
region is relatively poor. In general, the water sources
in the southern region are better in quality than the
northern region.
2.2 Safety assessments of water quantity
A safety assessment system has been established for
water quantities of water sources based on the 2004’s
28
water quantity surveillance data of water sources and
the water quality safety assessment has been carried out
for the water sources in terms of the incoming water of
water sources, the water-fetching capacity and opera-
tion conditions of projects. The results indicate:
1 Disqualified water sources make up 26% resulting
from insufficient inflow and project aging (involving
a population of 15 million). In terms of regions, the
southwestern, northwestern and northeastern regions
have a high percentage of unsafe water resources,
making up 31.8%, 32.0% and 32.6%, respectively.
The central China and North China have a similar
percentage, around 21.4%. The Southeastern region
has the lowest percentage, only 7.3%. Water quantity
safety is still a predominant problem that severely
affects urban water supplies.
2 There are 164 regions in the country where ground
water is excessively exploited, mainly concentrat-
ing in north China, Northeastern and northwestern
regions, covering a total area of 190,000 Km2. The
annual excessive exploited quantity reaches up to bil-
lion m3, As a result of long-term excessive ground-
water exploitation, the urban water sources areas that
have environmental geological problems account
for 18.5% of the total groundwater source areas.
Severe problems have occurred in some regions, such
as ground settlement, ground cracks, degradation
of groundwater quality, seawater intrusion and
saltwater intrusion. The ground settlement covers a
total area of 64,000 km2 in the whole country and
more than 50 cities have severe ground settlement
problems.
3 The water quality and quantity of river-course
sources are not stable, which is a key potential factor
affecting the safety of urban water supply sources.
In summary, there exist three major problems with
the country’s drinking water sources:
The first problem is insufficient water quantity. Of
the 661 major cities, more than 200 cities are insuffi-
cient in water quantity and 100 cites are severely insuf-
ficient in water quantity. In recent years, the north
China has successive years of drought, which further
intensified the water shortage problems in the North
China and northwestern regions and even led to water
shortage crisis in some cities. Around 26 percent cities
are insecure in water supply sources in China, and
the percentage even reaches as high as 53.7% in the
North China region. Water supply shortage problem has
not only brought about severe impacts on the daily
lives of city residents, but also impeded city’s integrated
development.
The second problem is water source pollution. Water
shortage problems of water quality-type have occurred
as a result of water source pollution in the densely
populated and economically developed regions such as
around Beijing-Tianjing region, Yangtze delta region
and Pearl River delta region. In addition that the com-
mon quality indicators exceed the drinking water stan-
dard, toxic organic substances have been found out in
some water sources. This kind of problem is very severe
in some regions. In recent years some serious water-
related endemic diseases have increased substantially.
There are more than 50 kinds of diseases resulted from
or transmitted by drinking water, which are threatening
the public health.
The third problem is incomplete emergency coun-
terplan and safeguard measures for drinking water
sources. The capability of dealing such emergency
problems as pollution incidents and unusual drought is
poor and preemergency water supply capability is very
insufficient. The safeguarding and monitoring systems
for water sources are imperfect; and as a result, sudden
incidents are common (such as the pollution incidents
of Songhua River that occurred not long before).
3 FUNCTION OF RESERVOIRS IN
SAFEGUARDING DRINKING
WATER SOURCES
The security issue of drinking water for urban and rural
use has attracted special attention from Chinese govern-
ment and broad concerns from the public. According
to the UN Millennium Declaration, the Chinese gov-
ernment has set a target for the year 2015 by reducing
half of the population with insecure drinking water
problems. As president Hujintao pointed out, “the first
and foremost task of water conservancy work is to
protect drinking water sources and ensure the public to
ghdrink water at ease”. Base on the existing conditions
in China and the “national drinking water safeguarding
plan” (hereafter refers to as safeguarding plan) which is
currently under drafting, reservoirs (or dams) play a
important role in ensuring abundant quantity, good
quality and positive cycle of water ecological system,
which mainly manifests as follows:
3.1 Water quantity securities
In 2004, the per capita water consumption for urban
residents is 136 L/day with the consumption in devel-
oped regions substantially larger than that of under
developed regions. Along with the economic develop-
ment in China and advancement of urbanization, the
urban domestic water consumption and per capita water
consumption will increase continually. According to the
predications made by authoritative departments, by
2010, the urbanization rate in China will be 44% and
the urban population will reach 600 million. The water
consumption for urban domestic use will grow to 60
billion cubic meters by 2010 with an annual growth of
2.5 billion cubic meters. In the past five years, the water
supply capacity in the whole country has grown by 40
29
billion cubic meters, of which the urban water supply
capacity has increased by 16 billion cubic meters.
According to a preliminary analysis, by the year 2030
and 2050, the urbanization rate in China will reach
50% and 60%, respectively. Accordingly, the urban
water demand will grow up to 122 billion cubic meters
and 154 billion cubic meters, respectively.
According to a synthetic analysis, at present, 26% of
cities in China are insecure in water sources. River
course-type water sources provide 60.8% of total water
supply. The unstable quantity and low dependability
of river course-type water sources are the principal
factors that attributes to the insecurity of urban water
sources. In addition, the ground water sources that have
been excessively exploited and insecure in quality
should be replaced in the future. To build reservoir-
type water supply sources with good regulating capa-
bilities and establish a complete urban water supply
system is an important measure for mitigating the
urban drinking water security problems. Since 1980s,
a large number of water storage, diversion and pump
projects have been built up in China, including the long
distance water transfer projects for urban water sup-
plies, such as Lanhe River to Tianjin city water transfer
project, Luanhe to Tangshan city water transfer proj-
ect, Zhuhai Modaomeng River to Macao water transfer
project, Biliuhe River to Dalian water transfer project,
Huanhe River to Qingdao city water transfer project,
Qinglonghe River to Qinhuandao water transfer project,
and other water diversion projects such as the third
phase Dongjiang River to Shenzhen city water supply
project, Songhuajiang River to Changchun water diver-
sion project, Huanghe River to Shanxi water diversion
project, Ehe River to Kelamayi city water diversion
project and Hehe River to Xian city water diversion pro-
ject. The eastern route project and the middle route
project of the South to North water diversion project
are now under construction. These water transfer
(diversion) projects have greatly improved the water
supply capacities for above water shortage cities and
effectively mitigated the urban drinking water secur-
ity problems. According to the “safeguarding plan”, a
number of reservoir-type water sources will be built in
the future.
In China, around 70% of the total territory is
mountain and hills, where the rural residents have very
poor water supply conditions. Due to lack of water sup-
ply projects, most of them fetch drinking water directly
from such sources as river courses, ponds, springs and
shallow wells, which have very low dependability, and
seasonal water shortage problems are very severe.
Since establishment of New China, the drinking water
problems have been solved for 273 million rural pop-
ulations. In recent five years, the state has allocated
9.8 billion RMB of national debts for solving drink-
ing water problems of rural residents, in addition to
around 10 billion RMB of counterpart funds provided
by local governments and self funds raised by the
public. As a result, more than 57 million rural residents
have gotten rid of drinking water problems, which
mainly benefits from over 800,000 various kinds of
rural drinking water source projects built in this period.
At present, there are still around 300 million rural
residents who have insecure drinking water problems.
By 2010, the rural population with insecure drinking
water problems is planned to reduce by one third, i.e.,
80 million. The focus of the work is to solve the
unqualified drinking water problems, such as fluorin
rich water, arsenic rich water, bitter & salt water and
polluted water, and highly-insufficient water supply
problems in some local areas. By 2015, the rural pop-
ulation with insecure drinking water problems will be
reduced by half. By then 420,000 villages and 400
million rural residents in the whole country will be able
to enjoy tap water and the popularization rate of tap
water will reach 57%. By 2020, the insecure drinking
water problems in the rural areas will have been basi-
cally solved. To reach the above said targets, it is
imperative to built water source projects so as to
improve water supply dependability and sustainability
of water supply projects and reduce water supply cost.
In densely populated regions, it is necessary to built
center water supply projects.
3.2 Water quality securities
According to assessments of drinking water sources,
reservoir-type water sources are best in water quality,
groundwater sources come the second and the river
course-type is poorest. Large-scale water source areas
are better than small and medium water source areas in
water quality. River course-type water sources are
poor and unstable in water quality, which is a principal
factor affecting the security of urban water sources.
Under the existing situation that water resources are
widely polluted, from the viewpoint of water quality
protection and recovering, reservoir-type water sources
are superior to other types of water sources in techni-
cal, economic and management aspects. According to
“safeguarding plan”, in future construction and allo-
cation of drinking water sources, priority will be
given to construction of reservoir-type water sources,
which will gradually replace river course-type water
sources. At present, a large number of water sources
have lost their function as drinking water due to
severe pollution or have major hidden safety defects in
water quality. Substitute water sources have to be
30
built for above sources if no feasible technical mea-
sures can be applied for treating them.
3.3 Anti-risk capacities
Since 1990s, the drought problem tend to become
aggravated in China, in terms of its frequency, severity,
duration, and impacts on the economic society and
daily lives of both urban and rural residents. The
north China has encountered the successive 7 years of
drought. The southern provinces such as Fujing and
Zhejiang have encountered successive years of drought,
too. As a result, urban water shortage problems are
increasingly aggravated. In addition, urban water sup-
ply sources are occasionally destructed by emergency
incident, which has posed substantial impacts on
urban daily lives, production and ecological environ-
ment. Many of the urban drinking water sources are
unitary and have poor anti-risk capabilities to succes-
sive drought, extreme drought and sudden pollution
incidents. According to safety emergency counter-
plan for urban drinking water sources in “safeguarding
plan”, it is imperative to construct urban emergency
drinking water sources and preemergency water source
projects, and to carry out, if necessary, trans-region or
trans-basin emergency water diversion so as to improve
the urban water supply and anti-drought capabilities.
In summary, by taking a overall consideration of the
country’s population, resources, environment and eco-
nomic social development, and on the basis of water
saving and pollution control, it is necessary to carry out
planning for constructing urban and rural water sources
according to the principle of combination of innovation
of existing water sources and developing new water
sources. Reservoir (dam) projects have played an impor-
tant role in this aspect.
4 CONCLUSIONS
1 Investigation and assessments of quantity and qual-
ity of urban and rural drinking water sources indicate
that around 320 million rural populations and 72
million urban populations are insecure in drinking
water in China.
2 In terms of water quantity dependability, water qual-
ity security and anti-risk capability, reservoir (dam)
projects have played an irreplaceable role in ensur-
ing the safety of drinking water sources in China.
 ts
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The role of dams performed in Japan and their future

M. Okano, N. Matsumoto, S. Jojima & H. Mori

Japan Commission on Large Dams, Tokyo, Japan

ABSTRACT: For over 1000 years, dams in Japan have played an important role as a critical part of the infra-
structure to sustain the development of this country. In recent years, unfortunately, issues related to both
the environmental and the social impacts of dams have arisen and come under intense discussion, and it is
vital to ensure that the public is informed and understands the beneficial role of dams through history and at pres-
ent. Hence, the Japan Commission on Large Dams (JCOLD) set up committee to cover the role of dams three years
ago, and completed the final draft of a report containing about 80 pages. This paper presents a brief summary.

1 INTRODUCTION
Since the beginning of recorded history, dams have
played many vital roles in Japan by supplying water
and controlling flooding, as infrastructures that sup-
port the nation’s growth under the conditions of par-
ticular social transitions. Yet, anxieties have arisen
concerning their cost-benefit balance and adverse
effect on social and natural environments as well as
the financial difficulties of the national and local gov-
ernments, and arguments and news reports question-
ing the existence of dams have attracted attention in
recent years.
This movement can be partly attributed to the fol-
lowing facts: the roles that dams have played in
response to the needs of the times are taken for
granted today and their past contributions have been
buried in oblivion; and the efforts taken by those
engaged in dam construction and management to pro-
tect social and natural environments are not fully
understood.
Against this background, JCOLD established an
Ad Hoc Committee on the Role of Dams to carry out a
survey and analysis on the role of dams in 2004. The
committee completed a report in December 2005, con-
taining nearly 80 pages and illustrated with many
simple diagrams. It is written in such a way that non-
specialists can read and understand it easily. This paper
introduces a summary of the report.
For dams to continuously perform their roles in the
future, efforts have to be made to enable the general
public to understand their functions correctly.
2 CHARACTERISTICS OF LANDFORM AND
DAM RESERVOIRS IN JAPAN
2.1 Characteristics of Japan’s landform
The Japanese Archipelago is situated on the eastern
edge of the Asian Continent, which belongs to the tem-
perate Asian Monsoon climatic zone, an area where
there are active orogenic movements.
The land is climatically characterized by a heavy
and irregular rainfall. Japan’s average annual rainfall
is 1,718 mm, which is high in temperate latitudes.
Furthermore, most regions have an irregular rainfall
throughout the year, in which there is little rain for a
while and then, at the end of the rainy season and with
the approach of a typhoon, there is heavy rain for a
short period. Also, in the region along the Sea of Japan
(Fig. 1), there is very heavy snowfall during winter.
The abundant volume of water secured from spring
to early autumn and the oceanic climate of high tem-
perature and high humidity during summer has
favored Japan’s rice farming, the staple that supports
its dense population. In addition, plentiful rainfall
including snow has enabled hydropower to develop.
Meanwhile, having suffered frequent flood disasters,
the nation was forced to prioritize the implementation
of flood control measures.
Although Japan’s average annual rainfall is as high
as almost double the world average, the quantity is
declining. The fluctuation range of annual rainfall is
tending to increase remarkably, registering 700 mm of
gap in fluctuation in the last ten years (Fig. 2).

31
 Topographically, river sources are situated at a high 2.2 Characteristics of dam reservoirs and river
elevation. The river distance from source to mouth is basins in Japan
short and the gradient is steep (Fig. 3).
Since rice farming was introduced to Japan in ancient
Such topographical conditions and fluctuations of
times, the labor intensive farming system has enabled
rainfall cause rivers to change their flow rate substan-
densely populated settlements and highly productive
tially. The annual ratio of the minimum flow rate to
rice paddies to develop from upstream valley floors
the maximum flow rate of the Tone River is 1 to 100
to downstream alluvial plains, and valley courses
(Fig. 4). With a catchment area of 16,840 km2, this is
have become important traffic routes. Such growth
one of the major rivers in Japan.
has supported Japan’s economic and cultural devel-
To stably secure water for agricultural, domestic
opment. Today, nearly 51% of the total population
and industrial purposes and safely control flooding by
and 75% of the gross assets are concentrated in the
taking advantage of the distinctive characteristics of
alluvial plains (lower than a flood water level of a
river water, the regulation of river flows by dam reser-
flooded river) which account for 10% of the total
voirs is highly effective and vitally important.
national land area. Rivers have been utilized to support
the large population and maintain high productivity

Figure 2. Yearly change of annual rainfall in Japan.

Figure 1. Yearly fluctuation of daily precipitation
(1971–2000 normal value).

Figure 3. Comparison of river slopes in Japan and other countries.

32
while the national land has been subject to flooding
(Fig. 5).
The natural environment of the land, particularly
its topographic features, forced the capacity of farm
ponds and dam reservoirs to be small. Construction
costs compared to capacity became relatively higher
than the cost of constructing large dams on continental
rivers. Although dam construction required advanced
technology and considerable costs, the investment
brought sufficient benefits to relevant areas. The river
basin management system with many small reservoirs
on each tributary consequently resulted in the cre-
ation of highly effective dam reservoirs. In addition to
the many small dams, the temperate climate helped
to minimize the impact of dams on their natural
environments.
Figure 4. Comparison between maximum flows and mini-
mum flows.
Figure 5. Utilization of national land.
33
3 ROLES OF DAMS HAVE PERFORMED
IN JAPAN
3.1 Development of agricultural water and
agricultural dams
The primary role of dams was performed by agricul-
tural dams in the development of the rice farming that
supported Japan’s economy and population from the
dawn of history until the late 19th century.
It is believed that farm ponds to irrigate rice paddies
were introduced to Japan from China via Korea, start-
ing from around the 3rd century AD. The Sayama-ike
Dam (Osaka, TE, H
18.5 m, L
997 m, early 7th
century), which is in use even today, shows many his-
torical signs of reconstruction. Earth and twigs were
arranged alternately and compacted to shape the dams
of these farm ponds.
From ancient times, farm ponds have played an
important role in developing rice farming. In the 17th
century, agriculture was sufficient to support the
national population of 30 million. The number of farm
ponds constructed for a benefited area of 2 ha and wider
was 17,000 by the mid 19th century. Today, the figure
amounts to 64,000 or 210,000 if small scale farm ponds
are included.
In the period of food production increase between the
end of World War II and present time, agricultural dams
with modern engineering technology have contributed
markedly to the stable supply of agricultural water.
In the report, two cases are introduced: the historical
achievements of a group of farm ponds in the Sanuki
region as an example of irrigation water preservation;
and the twice redeveloped Sannokai Dam (ER, H

61.3 m, L
241 m, last completion in 2001) as an
example of the effective utilization of an existing dam.
3.2 Development of modern cities and dams for
municipal water
The second role of dams as a source of municipal water
to hygienically benefit cities, particularly port cities,
was achieved in the period from the late 19th to the
early 20th century just after Japan was opened to the
world. Several dams constructed in this period, includ-
ing the Gohonmatsu Dam (Kobe City, PG, H

33.3 m, L
110 m, 1900) are still in operation today.
Water-borne infectious diseases (cholera, dysen-
tery and typhoid) broke out between 1877 and 1887,
sickening 820,000 people and taking a toll of 370,000
lives. As a prevention measure, improvements to
waterworks were encouraged in port cities that were
likely to be invaded by cholera. In Japan’s then three
major port cities, Nagasaki, Kobe and Hakodate, where
there was no stable water supply due to an insufficient
water source, dams were constructed as a storage facil-
ity for municipal water.

Figure 6. Amount of water source preserved and dam con-
struction for Tokyo metropolitan area.
From the beginning of the 20th century, in addition
to the traditional agricultural dams, the construction
of dams for municipal water and power generation
began. These made use of modern civil engineering
technologies, bringing about drastic reforms in eco-
nomic production and lifestyles.
In the Tokyo metropolitan area, in order to respond
to water demand boosted by a burgeoning population,
the nearly 15 km-distant Tone River was sought for
water sources, and multipurpose dams such as the
Yagisawa Dam (VA, H
131 m, L
352 m, 1967),
the Shimokubo Dam (PG, H
129 m, L
598.2 m,
1968), the Kusaki Dam (PG, H
140 m, L
405 m,
1976), and the Naramata Dam (ER, H
158 m, L

520 m, 1990) on the Tone River were constructed by
the Japan Water Agency. Today, nearly 70% of the
total municipal water provided for Tokyo depends on
a group of dams on the Tone River (Fig. 6).
3.3 Contribution of hydropower dams to the
development of modern industries
The third role of dams was performed by hydropower
dams, providing energy to support the daily lives and
industries of Japan from the 1910s to the 1960s. During
this half century, nearly 60% of the total electricity
relied on hydropower.
34
Along with the expansion of the electric industry
in the early 20th century, general households were
supplied with electric lighting and a power revolution
took place in the manufacturing industry. The diffusion
of electric light helped young people study at night,
eventually contributing to an improvement in the liter-
acy rate and a reinforcement of national strength and
cultural development.
The high-voltage long-distance transmission sys-
tem, which was introduced around the 1910s, caused
dam structures to shift from that of an intake dam
equipped with a low fixed weir, to a dam with a regu-
lating reservoir, promoting the development of large-
scale hydropower generation plants. This allowed the
power tariff to decline and encouraged manufacturers
to take advantage of electricity at a reasonable price.
In the 1920s, the dam-conduit-type large capacity
power generation at the Oi Dam (PG, H
53.1 m,
L
276 m, 1924) in the Kiso river system, and the
Shizukawa Dam (1924) on the Yodo river system con-
tributed to industrial development and urban modern-
ization in Japan’s major areas. From around 1925, a
series of development projects was carried out along
rivers, and dam type power stations were constructed
on major rivers as a core project of the entire river
development plan.
3.4 Postwar rehabilitation and multipurpose dams
The fourth role was fulfilled by multipurpose dams
during Japan’s rehabilitation after World War II.
Suffering a shortage of food and energy in an inse-
cure situation, Japan dealt with its urgent issues for
postwar rehabilitation by controlling floods, reinforcing
electric power and securing irrigation water for food
production. Thus, in order to solve these problems, a
dam-centered comprehensive national land develop-
ment plan was drafted by following an example of the
Tennessee Valley Authority (TVA) in the US. Although
the plan had been drawn up in the 1920s, the construc-
tion of multipurpose dams, suspended during World
War II, became key projects in the postwar compre-
hensive national land development plan.
The five large multipurpose dams on the Kitakami
River in the Tohoku region were the main components
of the Kitakami Valley Authority (KVA) that had been
modeled on the TVA, demonstrating far-reaching
effects as a developmental model by controlling flood-
ing to protect communities of local people, supplying
irrigation water for an increased food production, gen-
erating hydroelectricity for industrial promotion and
providing tourist resources for revitalization of local
areas.
The Sakuma Dam (PG, H
155.5 m, L

293.5 m, 1956, JPower) on the Tenryu River was a
pioneer of post-war large-scale hydropower develop-
ment, and brought a striking technical innovation into
the construction industry with a progressive dam con- Table 1. Number of large dams by countries (top ten).
struction method and large-scale construction mach-
inery introduced from the US. Percent of each
The Aichi Irrigation Project, with the Makio Dam country (based
1998 Data from on other sources)
(ER, H
105 m, L
264 m, 1961), conducting water
Country ICOLD data other sources (%)
over 100 km from the Kiso River to the Chita Peninsula
(30,675 ha of farmland), an area that had been severely 1. China 1,855 22,000 46.2
stricken by disastrous droughts in 1944 and 1947, 2. US 6,375 6,575 13.8
enabled local agriculture to be diversified by improving 3. India 4,011 4,291 9.0
quality and productivity. This project also contributed 4. Japan 1,077 2,675 5.6
to urbanization and the industrial development of the 5. Spain 1,187 1,196 2.5
area. 6. Canada 793 793 1.7
7. Korea 765 765 1.6
8. Turkey 625 625 1.3
3.5 Dams supporting the demographic and 9. Brazil 594 594 1.2
industrial growth in large cities and 10. France 569 569 1.2
nationwide urbanization Others 7,572 7,572 15.9
Total 25,423 47,655 100
The fifth role of dams is to be a source of municipal
water in urban areas in response to the demographic Note: “Data from other source” means “Data assumed to be
and industrial expansion in large cities as a result of near to correct number for dams over 15 m”, because number
high economic growth and as a flood control device of China and Japan in ICOLD Data is accounted for dams
to improve urban safety. over 30 m only.
Growing water demand triggered by demographic
expansion and industrial development in large cities 4 IMPACT OF DAMS ON SOCIAL AND
led to the exploitation of underground water, causing NATURAL ENVIRONMENTS AND
extensive subsidence in many places in Japan. As a COUNTERMEASURES
consequence, with the aim of regulating the intake of
underground water and converting it to surface water, Although dams have played an important role
several dam projects were planned and implemented throughout history, it cannot be denied that there has
in many rivers. been some impact on the natural environment and
Economic growth gave a rapid boost to energy social environments of river basin areas.
demand. After 1960, thermal power and nuclear power However, Japan has managed to avoid the serious
gained relative importance in power generation. Dams impact on natural and social environments that would
began to be used for large-scale hydropower deve- be expected from the construction of gigantic dams,
lopment and pumped-storage power generation in as relatively small-sized dams have been carefully
order to deal with peak demands in the power supply and deliberately constructed and managed one by one
system. to complement the natural and social environment of
From the economic growth period in the late 1950s each particular area. The measures that have been
to the stable growth period, the construction of multi- taken to mitigate the impact of dams can be roughly
purpose dams and hydropower dams continued for the grouped into the following categories:
main purposes of flood control, municipal water supply
– Measures to improve living conditions in reservoir
and hydropower production, in response to social
areas that relate to impact on the social environ-
requirements. Moreover, the dams that were con-
ment of dam catchment areas
structed were larger in size. Thus, Japan became one of
– Measures to systemize water utilization and secure
the largest dam nations in the world (Table 1). But its
maintenance flow that relate to the impacts of dams
overall reservoir capacity is 22.2 billion m3, falling
on the conditions of flow regimes in downstream
far short of one Hoover Dam with a capacity of 40
areas
billion m3. This is attributed to Japan’s topographic
– Measures taken in connection with reservoir sedi-
features containing many steep rivers.
mentation, cold water discharge, long-term turbidity,
As can be seen in the five roles of dams described
eutrophication as well as any impact that water stor-
above, the river development works that were con-
age may have on the living environment of natural
ducted through history to accommodate the needs of
organisms
the times constitute the nation’s current hydrological
– Response to growing civic movements regarding
cycle system. In other words, Japan can enjoy today
dam projects
the blessing of a long history of water use and land
use practice that its predecessors have shaped around In order to avoid any serious impact on the social
dams. and natural environments, those engaged in dam

35
construction and dam management have conducted
the following activities to make every possible effort
to avoid, mitigate and compensate for adverse effects
of dams:
– Institutional improvement, legal action, role shar-
ing and collaboration with the parties concerned
– Coordination and mediation for stakeholders
– Technical research and development
As typical measures to protect the living environ-
ments of organisms, two examples are introduced
here: the Unazuki Dam (PG, H
97 m, L
190 m,
2001) (Photo 1), where a large-scale flushing channel
and a flushing gate are installed in the dam body to
discharge sediment as naturally as possible during
flooding; and the Kanna Dam (PG, H
45 m, L

185 m, 1993) (Photo 2), in Okinawa, where mangrove
trees have been planted to maintain the unique land-
scape of the river mouth.
Photo 1. Flushing operation at the Unazuki Dam.
Photo 2. Mangrove trees along the downstream of the
Kanna Dam.
36
To cope with growing civic movements, it is impor-
tant that thorough, clear and responsible explanations
of the necessity for dam projects are given and their
assessment results accurately presented. Under the
River Law that was revised in 1997, a system was leg-
islatively formulated to reflect on the opinions from
local residents when a river improvement plan was
drawn up.
5 FUTURE ROLE OF DAMS
5.1 Social changes evolving around dams
The world population is projected to reach 9.3 billion
by 2050. There is a strong possibility that this demo-
graphic expansion will lead to serious international
problems concerning water and food.
Japan’s total population is 126 million as of 2001
and is estimated to decrease to 106 million in 2050.
Despite a decline in the total population, demographic
growth is expected to take place in large cities while
depopulation continues in rural areas. As a consequence,
the management level of woodland and farmland is
expected to drop, causing environmental deterioration
and hampering the inheritance of social, cultural and
natural values.
5.2 Agriculture and dams
While the worldwide food problem is assumed to
become more acute, Japan’s food self-sufficiency rate
on a calorific base is 40%, which is extremely low
among advanced countries. To put it simply, the food
problem will remain unchanged even if the national
population is reduced to half in 100 years. Under these
circumstances, if the world population increases and
problems of food shortage and global warming become
more serious, pressure for food self-sufficiency will
intensify as a matter of course.
The water problem associated with imported foods
is also pointed out. The water vital for the production
of grain and meat is called virtual water. The total quan-
tity of virtual water required to produce grain and meat
imported to Japan in FY 2000 is calculated as 64,000
MCM/year. The figure is quite voluminous when
compared with 58,000 MCM/year, the amount of agri-
cultural water used (on an intake base) in Japan.
In the future, when the pressure for food self-
sufficiency is expected to intensify, the role of dams
will become even more important to secure agricul-
tural water.
5.3 Energy and dams
Japan’s oil dependence as primary energy source in FY
2000 was about 51%. The share of electric power in
primary energy (electrification rate) in FY 2000 was
41% and the remainder was delivered directly to con-
sumers as fuel. With the minor exception of new energy
(about 1%), almost all energy sources other than elec-
tricity have their origin in fossil fuels. As measures
against the depletion of fossil fuels and against global
warming, it is desirable that secondary energy media
such as hydrogen be developed.
Although hydropower generation has only a small
share at 9%, its CO2 emission is far less than that of
nuclear power and wind power generation, ensuring a
stable supply of clean domestically-produced energy
that secures long-term economic efficiency despite a
relatively higher initial generation cost. Future
hydropower development is required so that eco-
nomic efficiency can be pursued and due considera-
tion given to the environment, while maintenance and
operations must be continuously and efficiently con-
ducted to prolong the life of existing hydropower
plants, which score high on long-term economy.
5.4 Abnormal weather and dams
A number of abnormal weather phenomena have been
observed in Japan.
The frequencies of hourly rainfall over 50 mm and
over 100 mm observed in the past 30 years are com-
pared by graphing them together in ten years. Figure 7
reveals a phased increase. The growing frequency of
hourly rainfall over 100 mm is particularly noticeable.
Figure 7. Annual total days of hourly precipitation (over
50 mm, 100 mm).
37
The yearly change of annual rainfall in Japan, as
Figure 2 indicates, tends to widen a fluctuation range
by breaking the lowest records. In addition, the annual
rainfall has reduced by 100 mm on average over a
period of 100 years from 1900 to date.
Meanwhile, it is expected that global warming
will reduce snowfall, hence the frequent occurrence of
abnormal rain shortage. As Figure 8 demonstrates, the
flow regime of the Kiso river system with 1/10 relia-
bility of water unitization in the past 20 years has been
deteriorating in comparison with that when the Basic
Plan for Water Resources Development was drawn up
in the 1960s. To deal with the problem of water avail-
ability in the Tokyo metropolitan area, the water sup-
ply plan for the Tone River has been carried out on the
assumption that the reliability of water unitization is 1/5
but there is a concern that the factor has already reduced
to 1/2 to 1/3.
To cope with these changes, projects that produce
an immediate effect in a short period, including effec-
tive use of excising dams, are regarded as important.
5.5 Water environment, water cycle and dams
There are both increasing and decreasing factors in
water demand. Some areas in Japan may face a decrease
in water demand due to depopulation, to large business
entities (e.g. colleges, hospitals and department stores)
moving out, and to qualitative change in the agricul-
ture and manufacturing industries. This means that a
potential for other water uses is created in a given
river basin.
Figure 8. Change in stable water supply in the Kiso river
system (in Chubu Region).
Photo 3. Lakeside of the Aimata Dam.
In a river basin where the quantity of water is insuf-
ficient for preserving the downstream environment,
for example, measures such as flushing enable the flow
regime to be reproduced almost naturally: in an area
which is suffering a shortage of agricultural water, a
capacity for another purpose can be reallocated to
supply agricultural water: and a flood control capac-
ity can be enlarged in an area where there is frequent
flooding.
Thus, existing dam reservoirs are valuable assets,
and their reallocation to protect the water environment
and water cycles is highly anticipated in Japan.
5.6 Reservoir areas and dams
A reservoir that is brought into existence by the con-
struction of a dam can be a newly produced asset for a
reservoir area. People may instinctively feel peace of
mind at the waterfront. Depending on geographic con-
ditions such as closer proximity to a big city and the
existence of hot springs, there is a good possibility that
a dam lake will provide a space for study, leisure activ-
ities, recreation and festivals as lakeside resort, vacation
villa, aquatic leisure base, and cherry-blossom viewing
spot (Photo 3).
More than 80 dams have been designated as wildlife
sanctuaries. Thus, dam lakes have been assimilated into
their natural environments, producing an attractive river
basin over an extended period of time.
6 PROMOTION OF PUBLICITY ACTIVITIES
The positive effects of dams can only be enjoyed when
they are recognized by river basin communities and the
awareness of an improved dam use is raised. For a
dam to steadily perform its functions, it is essential
that river basin communities recognize the benefits
given by dams.
38
Figure 9. Spaceship Earth and Roles of Dams.
Therefore, efforts should be made to enlighten resi-
dents in a river basin and bring about an understanding
of dam functions and their utility by disseminating infor-
mation about the achievements and functions of dams in
river basin communities wherever required.
In this context, publicity activities conducted in
Japan include:
– Information provision by means of publications
including “Necessity and Effect of Dams,” (Japan
Dam Foundation, 1997), and “Current Activities on
Dams in Japan,” (JCOLD, 2003, 2006), and web-
sites that explain the necessity of dams for the gen-
eral public
– “Spaceship Earth and Our Land; Living with Water
and Dams,” Association of Certified Chief Managing
Engineers for Dam Construction, 2002, Production,
distribution and lecture of VTR titled “Spaceship
Earth and Our Land; Living with Water and Dams,”
(Association of Certified Chief Managing Engineers
for Dam Construction, 2002. Fig. 9) oriented to
young people.
The research on the roles played by dams and the
presentation of this paper are a part of the publicity
activities of JCOLD. In order for the general public to
gain a better understanding of historically important
functions performed by dams and their necessity in the
future, the research results will be compiled for various
purposes and publicity activities through presentation
and publication will be promoted.
REFERENCES
JCOLD. 2006. Roles of Dams (in Japanese).
World Commission on Dams. 2000. Dams and Development:
A New Framework for Decision-making, The Report of the
World Commission on Dams. Earthscan Publications Ltd.
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Shikoku is one – roles of dams in Yoshino River Comprehensive

Development Project. Arrangements to realize one of Japan’s
greatest water diversion plan and flood control effect of dams

Yokito Sugimura
Incorporated Administrative Agency, Japan Water Agenc, Japan

ABSTRACT: Like dams in most Asian regions, the roles of dams in Japan are featured by the prevention of
floods caused by “too much water” during the typhoon and rainy seasons and a shortage of water supply caused by
“too little water” during dry season. These “too much water” and “too little water” are troublesome for Japan, par-
ticularly for Shikoku Island, which has 18,300 km2 of land and 4.2 million of population with 4 prefectures. The
Yoshino River is the biggest river, covering 4 prefectures in Shikoku Island. The Yoshino River Comprehensive
Development Project with the Sameura Dam has resolved the difficult problem of water friction among 4 prefec-
tures by flood control and water supply. As a good practice, this case study will contribute greatly to resolve water
friction, which is envisioned the occurrence as same as Shikoku Island in many places in the world in this century.

1 INTRODUCTION
This paper introduces a background of arrangements
for the Yoshino River Comprehensive Development
Project (YCDP), which realized historic large-scale
water diversion. The YCDP was based on the idea
“Shikoku is One” as a key to the social economy devel-
opment of the postwar Shikoku district across the
interests of the four prefectures. The paper also intro-
duces the effect of the Sameura Dam, which performed
the flood control of a water capacity of 248 million m3
over Typhoon No.14 in 2005. This was the greatest
flood control made by Japanese dams.
2 FLOOD CONTROL AND WATER
UTILIZATION ISSUES OF YOSHINO
RIVER VS. ARRANGEMENTS FOR
YOSHINO RIVER COMPREHENSIVE
DEVELOPMENT PROJECT
2.1 Rainfall characteristics and water resource
inventory in Yoshino River watershed and
its vicinity
Shikoku consists of four prefectures, i.e., Kochi Pre-
fecture, Tokushima Prefecture, Ehime Prefecture, and
Kagawa Prefecture, with a total area of 18,296 km2.
Shikoku has a population of approximately 4.1 million.
The Yoshino River has its origin in Kochi Prefecture
and heads east along the Shikoku Mountain Range.
The Yoshino River and its tributary streams, such as the
Dozan River and Iya River, enter the Tokushima plains
at Iwazu as a reference point for flood control, and flow
into the Kii Channel. The watershed area of the Yoshino
River is as large as 3,750 km2 in Tokushima Prefecture
(63%), Kochi Prefecture (28%), Ehime Prefecture
(8%), and Kagawa Prefecture (1%). The area occupies
20% of the whole Shikoku region (see Fig. 1).
The watershed of the Yoshino River lies in one of
the greatest typhoon-prone, rainy regions in Japan,
and the mountain-ranged area has an annual rainfall
of over 2,500 to 3,000 mm (see Fig. 2). A population of
approximately 450,000 (i.e., approximately 54%
of the population of Tokushima Prefecture) and assets
of approximately 5,800 billion yen concentrate in the
575-km2 flood fields of the Tokushima plains, where
people had been afflicted by floods since the dawn of
history. The region has abundant water resources with
an annual discharge of approximately 4 billion m3 at
the Ikeda point. The coefficient of river regime (the
ratio of the maximum flow to the minimum flow) of
the Yoshino River is as high as 361, while that of the
Tone River is 67, the Yodo River is 39, and the Kiso
River is 119. The discharge at Ikeda point is some-
times below 10 m3/s in summer and winter dry season.
The Yoshino River is characterized by disadvanta-
geous conditions of natural water utilization in com-
parison with other rivers.
On the other hand, the Uma area in Ehime Prefecture
and Kagawa Prefecture, which are located on the Inland
Sea side, are not blessed with natural water resources

39
Figure 1. Yoshino River comprehensive development project and related area map.
Figure 2. Map of annual average rainfall distribution
(Source: Japan meteorological agency)
Rough average values obtained from AMEDAS (Automated
Meteorological Data Acquisition System)
Unit: mm Statistics period: 1971 to 2000.
with an annual rainfall of approximately 1,124 mm to
1,132 mm. Although an effort for water reservation was
made, these areas suffered from a chronic water short-
age. Water was recognized as a bottleneck on social
economy development.
40
Water diversion from the Yoshino River basin was
the ardent wish of people historically. Furthermore,
water resources development as an infrastructure of
society was an urgent need during the postwar years of
spectacular economic growth in Tokushima Prefecture
and Kochi Prefecture.
2.2 Measure against flood of Yoshino River
For the cultivation of Awa indigo plants, almost no
river banks were maintained along the Yoshino River in
the Edo period in expectation of natural earth brought
from other places by the flooding of the Yoshino River
and mixed in the soil. In the 1880s, the Tokushima
plains were flooded and turned into a sea of muddy
streams three times. The river improvement started in
1907 on the condition that the design flood discharge
was 13,900 m3/s at the Iwazu point. A 40 km river bank
from the mouth of the Yoshino River to Iwazu was
completed in 1927. A flood recorded a discharge of
14,700 m3/s at Iwazu in September 1945, and the
design flood discharge was revised to 15,000 m3/s in
1949. Another flood, however, recorded a 15,000 m3/s
in September 1954.
The Specified Multipurpose Dam Law was estab-
lished in 1957 and the New River Law was established
in 1964. With these laws as a trigger, the unregulated
peak discharge was set to 17,500 m3/s in 1965, and the
Project Execution Basic Plan for the Yoshino River
System was decided with the design flood discharge
set to 15,000 m3/s and a portion of 2,500 m3/s under-
taken by the Sameura Dam and Yanase Dam. Then the
flood control of the Yoshino River started with the
dams started.
2.3 Circumstances of water utilization sector
[Tokushima Prefecture] Before the start of the YCDP,
Tokushima Prefecture depended on the Yoshino River
for 770 million m3/yr of water for unspecified pur-
poses as vested water. As mentioned above, the dis-
charge in the Yoshino River remarkably decreased in
dry season, when Tokushima Prefecture suffered from
a water shortage. Therefore, Tokushima Prefecture
remained firmly opposed to water diversion in the
upstream for a long time.
Later, Tokushima Prefecture changed its attitude
and approved of the YCDP. This great turning point
was caused by several reasons including the fact that
some cities of Tokushima Prefecture in the downstream
of the Yoshino River, such as Naruto and Tokushima,
were designated as new industrial cities and they
needed water for industrial use. Besides, the farmland
(approximately 7,000 ha in area) in the foothills of the
mountains along the north shore of the Yoshino River,
which consists of a river terrace and alluvial fan, was
deficient in water and the taking of water from the
Yoshiro River right under was a historical ardent wish.
Furthermore, countermeasures against the flooding
of the Yoshino River were an urgent need.
[Ehime Prefecture] The Uma area faces the Inland
Sea and its annual rainfall is as little as 1,321 mm.
The area had been suffered from a number of droughts
repeatedly, and water diversion from the Dozan River
had been the ardent wish of farmers since the 1850s.
The deliberations between Ehime Prefecture and
Tokushima Prefecture over water diversion and power
generation, which started in 1916, faced hard going
due to the strong opposition of Tokushima Prefecture.
It was in 1936 that they reached the first agreement on
river water diversion for irrigation water. The deliber-
ations of both prefectures continued. The Yanase Dam
(with a diversion quantity of approximately 100 mil-
lion m3/yr) completed in 1953 for the purpose of
water supply for industrial use and power generation
as well as flood control. The amounts of downstream
discharge were precisely specified in accordance with
the fifth agreement on water diversion. Response to
the demand of water for industrial use centering on
the paper manufacture industries in Iyomishima and
Kawanoe was still a big subject to Ehime Prefecture.
[Kagawa Prefecture] Kagawa Prefecture is located in
the north of the Asian Mountain Range with an annual
41
rainfall of 1,124 mm, which is the least rain area in
Shikoku. People had been constructed small farm ponds
from ancient times, and the number reached 18,620 in
1970, which was ranked second among all the prefec-
tures with farm ponds in Japan. Kagawa Prefecture
made efforts toward the development of water resources
by the construction of dams within the prefecture in
view of the difficulty in water diversion from the
Yoshino River. Kagawa Prefecture completed a total of
17 dams between 1947 and 1974 (with an effective stor-
age capacity of approximately 30 million m3 in total).
Kagawa Prefecture, however, still had a serious shortage
of water. Due to the increasing demand of water supply
for domestic and industrial purposes as well as irriga-
tion use, it was Kagawa Prefecture that placed more
expectations than the other prefectures on the YCDP.
Incidentally, the shortage of water in 1973 was so seri-
ous that the area was called “the Takamatsu Desert.”
[Kochi Prefecture] The head of the Yoshino River is
located in Kochi Prefecture. In the YCDP, Kochi Pre-
fecture had problems resulting from the construction of
dams in the rest of the prefectures. It was urgently nec-
essary for Kochi Prefecture to take measures for pre-
venting the flooding water of the Kagami River in the
City of Kochi and reserving municipal water. There-
fore, Kochi Prefecture was advancing a plan to con-
struct a multipurpose dam in Kagami River. This plan
was closely related to the Kochi Water Diversion
Project, which was led by the power generation sector
to divert water from a tributary stream of the Yoshino
River to the upstream region of the Kagami Dam.
Kochi Prefecture needed this diversion of water.
2.4 Arrangement results of decision on Yoshino
River Comprehensive Development Project
As mentioned above, the Yoshino River caused flood
damage whenever a typhoon hit, and an effective flood
countermeasure was the constant source of worry to
Tokushima Prefecture, which is located in the down-
stream area of the Yoshino River. On the other hand,
Kagawa Prefecture and Ehime Prefecture, which
are located along the Inland Sea, had been suffered
from droughts for years with little precipitation. For
these reasons, it had been a big problem for Shikoku
to find how to use the abundant water resources of
the Yoshino River.
Japan reached the bottom of desolation at the end
of the war in 1945 with its main cities burned down to
the ground and mountains and rivers ruined. In the
postwar period, the Head Office for Economic Stability
took the lead in starting a comprehensive development
investigation of the Yoshino River by using examples
from the TVA (Tennessee Valley Authority). Based on
the Comprehensive National Land Development Law,
which was establishment in 1950, the Shikoku District
Figure 3. Location of water resources development facilities and water use supply area of Yoshino River.
Comprehensive Development Council was established
in 1951 in order to successfully lead Shikoku out of its
backwardness. The Council made a tentative adjust-
ment plan in 1954 based on a variety of proposals
including the Yasumoto proposal that became the pro-
totype of the YCDP later. The plan, however, stagnated
because there was difficulty in building a consensus
with each party concerned.
As for the reaction of each prefecture to the adjust-
ment plan in those days, Kagawa Prefecture and Ehime
Prefecture as the water reception side were very inter-
ested. On the other hand, Tokushima Prefecture as the
water diverting side was prudent. It seems that water
diversion and cost were two major elements that
obstructed the conclusion of the adjustment plan.
Furthermore, time was further taken for each sector
concerned to make its own investigation and exami-
nation and iron out differences in opinion in pursuit
of the rationality of the plan.
Since the first council was held in 1960, delibera-
tions over the plan with adjustments were repeated. At
last, the YCDP was finalized with the consent of the
four prefectures at the Fourth Yoshino River Develop-
ment Committee in June 1966.
In the metime, the efforts of the Shikoku Regional
Construction Bureau of Ministry of Construction
(now the Shikoku Regional Development Bureau of
Ministry of Land, Infrastructure and Transport) as river
42
administrator toward the mediation of the parties con-
cerned were beyond description. The long adjustment
work bore fruit as a result of these efforts as well as the
exertions of business leaders who wished a breakaway
and development of the backward areas under the slo-
gan of “Shikoku is One” and the cooperation of four
prefectures that finally reached an agreement in order
not to miss the nationwide wave of development follow-
ing the enactment of relative laws including two laws
related to water resources, new River Law, and Law to
Promote the Construction of New Industrial Cities.
3 OUTLINE AND EFFECT OF YOSHINO
RIVER COMPREHENSIVE
DEVELOPMENT PROJECT
The YCDP is a plan centering on the Sameura Dam in
the upstream of the Yoshino River. The project aimed
at the construction of three dams including the Shingu
Dam in the Dozan River and the Ikeda Dam in the mid-
stream of the Yoshino River, the Kochi Canal for water
diversion, the Kagawa Canal to take water from the
Ikeda Dam for water diversion, and two estuary bar-
rages in Kyuyoshino River (see Fig. 3). Table 1 shows
the specifications of these facilities. Figure 4 shows
the distribution of newly developed water from the
Sameura Dam to the four prefectures.
Table 1. Specifications of Water Resources Development Facilities.

Year of Total canal Total barrage

Facilities Purpose Model completion Height (m) length (km) length (m) Remarks

Sameura Dam FNWP G 1975 106 – – Total water storage:

316,000,000 m3
Shingu Dam FAWP G 1976 42 – – Total water storage:
13,000,000 m3
Ikeda Dam FNAWP G 1975 24 – – Total water storage:
12,650,000 m3
Kagawa Canal AW C 1975 – 47 – Max, flow: 15.8 m3/S
Kochi Canal WP C 1978 – 14 – Max, flow: 6 m3/S
Kyuyoshinogawa FNW M 1976 – 192 –
Estuary barrage
Imakiregawa FNW M 1976 – – 220 –
Estuary barrage

*F: Flood control; N: Maintenance of normal functions of running water; A: Water for irrigation; W: Water for domestic and
industrial use; P: Power generation.
*G: Gravity type concrete dam; C: Canal M: Movable barrage.

Table 2. Situation for water utilization of the Yoshino River.

Annual discharge of Yoshino River: 4,050 million m3

(at Ikeda Point)

Before YCDP After YCDP

Acquired
Water diversion 573 million m3 573 million m3
Water for unspeci- 772 million m3 772 million m3
fied use
Newly developed – 926 million m3
water use3
Figure 4. Distribution of new yielded supply. Total 1,345 million m3 2,271 million m3
Annual discharge 4,050 million m3
Utilization rate 33% 56%
The annual discharge of the Yoshino River was
4,050 million m3 at the Ikeda Point, and the quantity of
water used before the start of the comprehensive devel-
opment was 1,345 million m3/yr (with a utilization of water in wide areas. Based on these two laws, the
rate of 33%). After the comprehensive development, Water Resources Development Public Corporation
the quantity raised to 2,271 million m3 (with a utiliza- (now Japan Water Agency) as an organization across
tion rate of 56% of rates) as shown in Table 2. The the water utilization sectors completed three dams, two
YCDP made it possible to take a vested unspecified canals, and two estuary barrages within a period as
purpose water of 772 million m3/yr constantly through short as 11 years (from 1967 to 1978). It is significant
all seasons including dry spells. In addition, a capacity that the Japan Water Agency unitarily manages these
of 863 million m3/yr was newly developed for water facilities in the YCDP.
use. It can be said that a pioneering role of water diver-
sion in Japan was played by the project that diverted a
total of 453 million m3/yr, in particular. 4 FLOOD DAMAGE MITIGATION EFFECT
The jurisdiction authorities for the development of OF SAMEURA DAM
water resources in Japan differ according to the use of
water. The Water Resources Development Promotion It has passed 31 years since the operation of Sameura
Law and the Water Resources Development Public Dam started in 1975. During the period, a discharge
Cooperation Law were enacted in 1961 to allow proj- of 15,700 m3/s was observed, which was the greatest
ects across these water utilization sectors to make use rate ever recorded at the Iwazu Point. The discharge

43
Table 3. Major flood control of Sameura Dam in the past.

Average total
Max.inflow Max.outflow Highest water rainfall in
Rank Date of floods Cause of floods (m3/s) (m3/s) (EL.m) watershed (mm)

Plan – 4,700 2,000 343.00 –

1 August 17, 1975 Typhoon No. 5 7,240 2,517 341.80 678
2 September 6, 2005 Typhoon No. 14 5,639 695 338.68 708
3 September 16, 1997 Typhoon No. 19 5,137 1,961 334.21 419
4 September 12, 1976 Typhoon No. 17 4,762 3,510 343.25 1,724
5 August 10, 1993 Typhoon No. 7 4,266 1,891 336.01 484
6 August 30, 2004 Typhoon No. 16 4,006 1,781 335.17 374
7 August 27, 1982 Typhoon No. 13 3,943 1,915 333.60 445
8 September 29, 2004 Typhoon No. 21 3,938 1,760 333.47 418
9 October 20, 2004 Typhoon No. 23 3,883 1,734 334.88 428
10 September 4, 1993 Typhoon No. 13 3,809 1,891 336.01 292
11 August 17, 2004 Typhoon No. 15 3,575 1,634 333.12 688
12 August 2, 2004 Typhoon No. 10 3,394 1,584 334.10 717
13 September 15, 1999 Typhoon No. 16 3,360 1,516 331.78 320
14 September 25, 1982 Typhoon No. 19 3,339 1,547 330.82 296
15 October 17, 1998 Typhoon No. 10 3,303 1,580 334.54 293

would have been 19,300 m3/s if there had been no

upstream dam. The Sameura Dam made flood control
for a total of 81 times including flood control in
October 2004 (at the time of Typhoon No.23), thus
contributing to the mitigation of flood damage to the
downstream area as shown in Table 3. This section
introduces the flood mitigation effect of the Sameura
Dam in September 2005 (Typhoon No.14).
The main flood defense zone of the Yoshino River is
75 km long between the estuary and the Ikeda Point.
Presently, 97% of the bank (with a required length of
79 km) in the downstream area, where population and
property concentrate, has been completed according to Figure 5. Path of Typhoon No. 14. (Source: Japan weather
a planned scale (i.e., 18,000 m3/s at the Iwazu Point), association)
while 64% of the bank (with a required length of 43 km)
between Ikeda and Iwazu has been completed.
Typhoon No.14, which developed near the Mariana
Islands, approached Kyushu at a bicycle’s speed and second highest discharge ever recorded. Due to the
reached Nagasaki Prefecture a little past 14:00 on lowest water level of the Yoshino River recorded since
September 6. The rainstorm radius of this typhoon was 1996, the water use capacity of the Sameura Dam was
240 km to the east and 200 km to the west. The typhoon zero at that time. The Sameura Dam held a flood con-
remained strong (with a central pressure of 960 hPa trol capacity of approximately 248 million m3 in total
and a maximum wind speed of 35 m per second) and including the water use capacity (173 million m3),
went north slowly (at a speed of 30 km/hr). The which was 2.8 times a flood control capacity of 90 mil-
typhoon passed near the City of Fukuoka to the Sea of lion m3, and mitigated flood damage to the down-
Japan (see Fig. 5). Figure 6 shows the rain distribution stream area.
map of the Yoshino River watershed at the time of The flood caused by Typhoon No.14 was compara-
Typhoon No.14 passing between September 4 and 6. ble to the flood (with a peak discharge of 19,300 m3
Figure 7 shows the flood control of the Sameura Dam per second at the Iwazu Point with no dam) caused by
against Typhoon No.14. The amount of rainfall in the Typhoon No.23 in 2004, which was said to be the
upstream of the Sameura Dam reached approximately greatest flood ever recorded since the end of the war. If
700 mm. The peak inflow exceeded the planned inflow the Sameura Dam had not existed, an flood area between
(4,700 m3/s) and recorded 5,640 m3/s, which was the Ikeda and Iwazu would have been approximately

44
Figure 6. Rain distribution map of Yoshino River watershed during Typhoon No. 14. (5:00 on September 4 to 24:00 on
September 6). (Source: Shikoku Regional Development Bureau of the Ministry of Land, Infrastructure and Transport)

Figure 7. Food control and capacity distribution of Sameura dam during Typhoon No. 14.

620 ha larger and the number of flooded houses in the
area would have been approximately 2,100 larger. The
water level at the Iwazu Point would have been
approximately 1.0 m higher and inundation inside the
levees to the downstream of the Iwazu Point would
have been increased. *1 (See Fig. 8).
5 POSTSCRIPT
The YCDP realized the diversion of water as much as
450 million m3 annually, served as a key to the social
economy development of Shikoku, and played a
pioneering role of large-scale water diversion in Japan.
We must not forget that there were painful efforts of the
parties concerned over a long period in the backgrounds
of this success and that there were people who had
to abandon their land inherited from their ances-
tors because their land was sank in the bottom of
the dam.
It should be noted that a multi-purpose dam in
actual operation makes use of water use space emp-
tied for flood control in addition to the allocated flood
control capacity of the dam, thus demonstrating the
effect more than planned on the mitigation of flood
damage to the downstream area.

45
Figure 8. Flood area and number of flooded houses mitigated by Sameura dam. (Source: Shikoku Regional Development
Bureau of the Ministry of Land, Infrastructure and Transport)

BIBLIOGRAPHY
November 2, 2005: Data on the 5th Shikoku District River
Improvement Convention, the Shikoku Regional
Development Bureau of the Ministry of Land,
Infrastructure and Transport
May 31, 1987: Water Control and Usage of Yoshino River,
supervised by the Shikoku Regional Construction
Bureau of the Ministry of Construction
October 2005: Website data of the 20th Subcommittee for
Examination of Fundamental River Management Policy

46
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Flood evaluation and management after the High Dam Reservoir

Mhmod M. Sayed
Chairman of the Public Authority of High Dam and Aswan Reservoir – (HADA), Egypt

Medhat M. Kamal
General Director of Hydrology (HADA), Egypt
Public Authority of High Dam and Aswan Reservoir (HADA), ASWAN, Egypt

ABSTRACT: The control of fluctuating river floods is not only achieved by building dams across water
courses, but also by the optimum choice of the Dam site to utilize the geological and geographical nature of the
dam site and the surrounding area to maximize the benefits from the dam construction and minimize the side
effects along the water course from its sources to its debouchments, This achieves the following objectives:
– Flood management and flood control.
– Maximize water storage capacity upstream the dam.
– Dam safety.
– Improve the environment and maximize the benefits from valuable water resources.
The River Nile is a good example for that, where its flood fluctuates from very high flood (150 milliard cubic
meter per year) to high (120 milliard cubic meter per year ) to medium (84 milliard cubic meter per year ) and
finally to low floods (40 milliard cubic meter per year ). Moreover it is observed that high flood comes strong,
giant in the peak months (August, September, October and November), weak in months (March, April, May,
June) and narrowly cover the requirements. This nature of the River Nile has been subject for monitoring and
evaluation by the Egyptians along the history. Since the Egyptians discovered the sources of The River Nile,
they kept collecting hydrological and meteorological data. These include water levels, discharges, water depths,
morphology and nature of the basin and the valleys, winds, precipitation, and the nature of the area around its
course from the upper reaches in the Ethiopian and lake plateaus to its debouchments at the Mediterranean Sea.
The River Nile became one of the most ideal rivers with this great amount of data with numerous studies and
researches. Processing the available data, a great amount of information was deduced which helps the Egyptians
to control the lower floods to maximize the benefits and avoid harmful effects.The High Aswan Dam was con-
structed during the years 1960–1970. It was provided with supplementary works such as Toshka spillway.
Toshka spillway is a free canal spillway, 22 km long and connects Lake Nasser at khur Toshka with a group of
four natural depressions in the western desert named (Toshka Depressions).The spillway canal lies at 250 km.
south of the High Dam.The aim of this paper is to clear the importance of this spillway, and its role in the River
Nile flood management.

1 INTRODUCTION of data about the Nile, the Egyptians thought how to

Since The River Nile sources were discovered in the
19th century the Egyptian started collecting the mete-
orological and hydrological data about the River. These
include water levels, discharges, water depths, nature
of its basin, its valleys, winds, rains, and the nature of
the area around its course from the river sources in the
Ethiopian and lake plateaus to its debouchments to
the Mediterranean Sea. The river Nile became one of
the ideal rivers with significant data studies and
researches. (Fig. 1) Being aware of these huge amounts
treat its natural flow, and how to control its water to
take its benefits and to avoid damages and famine.
The River Nile is the second longest River in the
world, after the Mississippi Missouri River in America.
Its length is 6700 kilometers from its source in the south
near Tanganyika Lake at latitude 4° N, till its debauch-
ment at the Mediterranean Sea at latitude of 31° N.
The area of the river Nile basin is 2,900,000 km2,
it stretches within countries of Kenya, Tanzania,
Rwanda, Burundi, Zaire, Democratic Congo, Eritrea,
Sudan, Uganda, Ethiopia and Egypt.

47

Figure 1. Map of the River Nile.
Many projects had been constructed on the River
Nile such as: Victoria Lake Dam (Owen reservoir),
Gabal Elawlia Reservoir (on the White Nile), Albert
Lake Dam, Sonar Reservoir (on the Blue Nile), a
Budget Barrage near the outlet of Kuga Lake and
Geognosy Canal at the east of Bahr El-gable and Bahr
Elzaraf.
At the north, the High Dam is the most important
and largest project on the River Nile, and it is the ideal
example as an artificial work was constructed for the
flood management. The geography of surrounding area
with its nature was utilized to gain the maximum ben-
efits of valuable resources. The High Dam is consid-
ered one of the largest projects as a defense line to
manage floods.
1.1 The High Dam
The dam construction started in 1960 and completed in
1970. The 1st stage was finished in May. 1964. During
this stage the lower part of the dam was set up under
water from bed level to elevation 128 m. Also diversion
canal and tunnels under the mountain of eastern bank
were implemented. The upper part of the Dam and the
grout curtain were completed in the 2nd stage.
The construction of the dam creates a large artificial
lake of 500 km long, with an average width of 12 km
over a surface area of 6500 km2. It is considered one of
the largest man made lakes in the world. Its maximum
capacity, amounts to 162 milliard cubic meter. The High
Dam is a rock fill dam with a total length of 3830 meter
of which 530 m are within the river channel and the rest
in the shape of two wings inside the two banks of the
river. The length of the right wing is 2520 meter while
the left wing is 780 meter. The dam is built in the shape
of a pyramid where its width at the bottom of the river
bed is 980 meter and 40 meter at the crest. The height
of the dam above the river bed is 111 meter. The bulk
of materials used in building the High Dam reached
43 million cubic meters, about 17 times the size of the
great Giza pyramid.
48
Figure 2. High Dam cross section.
The body of the dam was constructed of granite
rocks, sand and clay. The clay core is connected in the
front part with a horizontal blanket of clay. Together
were constructed to prevent the seepage of water
through the dam body.
Since the Nile bed, on which the dam is built, con-
sists of sedimentary deposits, it was provided with a
vertical injected curtain extending 170 meter under
the main core until it reached the solid rock layer. The
width of injected curtain various from 40 meter under
the main core to 5 m at the lowest part at the point where
the solid rock layer.
Three inspection galleries, were constructed inside the
core are connected with a vertical curtain. These galleries
are used now for inspection and maintenance purposes.
Various measuring apparatuses have been installed in
these galleries to measure vertical and, horizontal dis-
placement, pore pressure in clay and seepage. The dam
is provided near the end of its toe with a row of vertical
relief wells to decrease the hydrostatic pressure on the
dam body in case of decreasing the vertical grout cur-
tain efficiency to the lowest limit and drain the seepage
water to the downstream, (Fig. 2).
The diversion canal on the eastern bank of the Nile
is composed of an upstream and a downstream canal
linked by the main tunnels dug in the rocks underneath
the eastern rocky bank of Nile. The total length of the
diversion canal is 1950 m, of which 1150 m in the
upstream side, 485 m in the downstream side, and
315 m the tunnels and the hydro-electric power station.
Six spillway tunnels have been constructed to link the
upstream and downstream canals. The average length
of each tunnel is 282 m with 15 m circular cross-section
of internal diameter with reinforced concrete of a mini-
mum thickness of one meter.
Each tunnel is divided vertically into two branches
before its connection with the electric power station.
These branches are divided again by a horizontal wall
into water passages, one of them supplies water for
generating power and the other is controlled by sector
gates for passing the surplus water needed during the
period of peak water requirements. The six tunnels
Figure 3. High Dam power station.
were designed to release discharge of 11,000 m3 per
second, about one milliard m3/day (Fig. 3).
When the water level upstream the dam reaches an
elevation between 178 and 183 m. The surplus water will
be released, if necessary, by means of 30 sluices emer-
gency spillway, on the western bank of the Nile, to allow
the release of 5000 m3/s of water. This water pours back
into the Nile course downstream of the dam.
1.2 Lake Nasser
This huge lake consisted of an average width of 12 km,
500 km long, and 6500 km2 surface area at the maxi-
mum water level (182.00 m).The storage capacities is
allocated as follow:-
The lower part amounts to 31 milliard m3 between
bed level (85 over sea level) and 147 levels use to accom-
modate silting.
The middle part between 147 and 175 levels amounts
90 milliard m3 for various water requirement.
The upper part between levels 175 and 182, amounts
to 41 milliard m3 is allocated as emergency storage
(high flood protection capacity).
The middle part was calculated by “Hurst equation”.
Hurst equation for century storage. (H.C.S.E).
(1)
R: Max. Storage for both average discharges
: Stander deviation (18)
N: Number of years (100 years)
K: Static’s variable for rivers (0.72)
(The Result: R
300 mild. m3)
“Modified equation” (M.H.C.S.E)
(2)
D: Down average discharge {from 1870–1953}
S: Available storage (storage for both ordinary
discharges)
49
Figure 4. Shows the Plan of Toshka depression.
R: Max. Storage (storage for both average discharges

300)
(The result: S
90 mild m3 live storage in the lake).
1.3 The Toshka spillway project
The problem of protecting the Nile course down-
stream Aswan against erosion after the construction
of High Dam and reserving the Nile silt in the reser-
voir, was the interest of those who have been engaged
with the project. The results of the observation showed
that the rate of degradation decreased significantly
since the year 1968, where the discharges released con-
strained by irrigation requirements with a maximum
of 230 million m3/day. According to rules of operating
the High Dam reservoir, the water level in the lake is
lowered to level 175 m. before the arrival of the next
flood; this will result in releasing high discharges,
which may reach 350–400 million m3/day. In this case,
further degradation is expected. This may affect the
river bed, downstream the control structures existing on
the river, the canal intake and water pumping stations
etc. To avoid these effects was decided to link the lake
Nasser at (Khur Toshka) to (Toshka depression) in the
western desert by an artificial canal to act as additional
spillway as shown in (Fig. 4).
Toshka project includes:-
– Digging Toshka canal, 22 km length, to connect
Nasser Lake to Toshka depression.
– Canal inlet as a free sill at Elev. 178 with a width of
750 m. located at 250 km south of High Dam on the
left side of the Nil.
– The maximum discharge of Toshka spillways canal
is 250 million m3/day at Elev. 182.70.
– Out let Ogee type weir at the connection of the canal
with Toshka depression.
– The project was executed during 1978–1982.
– The total cost of the project was L.E. 46.6 million.
 The project parts: Khur Toshka, Toshka canal & 2.3 Flood of 1998/1999
Toshka depression.
It was the first flood in which Toshka spillway played an
1.3.1 Khur Toshka active role in flood management. Flood of 1998/1999
It is a natural Khur before the construction of the was a high flood with the following Hydrologic data:
High Dam, it was an old water course in the Nile, and
it is 56 km. long far from the center line of the course Upstream High Dam water level on 174.75 m.
of Nile. (1st August)
The natural discharge of the flood 120.00 mild. m3.
1.3.2 Toshka canal
Maximum water level upstream
Canal cross section was designed to pass 250 million High Dam 181.30 m.
m3/day as a maximum discharge.
An ogee weir was constructed at the end of the Water arrive Aswan 89.443 mild. m3.
canal (km 20.5) with sill level (175.0 m). Discharge passed through
Toshka spillway 12.60 mild. m3.
1.3.3 Toshka depression Additional excess discharges
It is natural depressions in the western desert consist to the Nile 15.93 mild. m3.
of 4 basins. Flood classification High flood.
It lies 250 km. south of the High Dam and 56 km.
west of Lake Nasser.
It is a large basin, between contour (112.00) and Flood management through Toshka spillway achieved
(180.00)m. above sea level. the following:
It is connected with Toshka canal at the southern
side and the New Valley at the northern side. – Avoiding the release of additional discharge to the
Its surface area is 6000 km2 at level (180 m.) where Nile course D.S Aswan, to keep the water level U.S
it is surrounded by mountain edges. high dam below (182.00 m).
The total storage of the depression is 120 milliard m3 – Saving a 5.4 mild. m3 instead of derange it to the
at level (169.00 m.), in case of closing the gap to the Mediterranean Sea.
New Valley. During that flood season and due to releasing extra
quantities of water D.S. Aswan (15.97) mild. m3, minor
2 TOSHKA SPILLWAY AND ITS IMPORTANCE damage were recorded along the river course and with-
IN FLOOD MANAGEMENT out the Toshka Spillway, this damage would have been
very harmful. Table 1 show the actual water release and
2.1 Flood of 1996/1997 levels. (Fig. 5) shows the satellite 7 image for Toshka
depression 1999.
The flood of 1996 was above medium with a natural
inflow (100 mild. m3) raises the lake level to (178 m.) 2.4 Flood of 1999/2000
for the first time.
Characteristics of this flood: It was the second season for water to flow to Toshka
spillway. This flood was high flood with the following
– High Dam upstream water level on (1st August) characteristics:
was 172.76 m.
– The natural discharge of the flood: 100 mild. m3.
– Water arrive Aswan: 69.898 mild. m3. Upstream High Dam water level on 175.79 m.
– Flood classification: above medium flood. (1st August)
– Maximum upstream water level: (178.55) on 16/11/ The natural discharge of the flood 111.00 mild m3.
1996, this level exceeded 0.50 m only above the sill Maximum water level upstream 181.60 m.
of the spillway. High Dam
Water arrived Aswan 81.46 mild. m3.
2.2 Flood of 1997/1998 Discharge passed through Toshka 14.09 mild. m3.
spillway
In that year, water arrived Aswan was less than a
medium flood, and water did not flow to Toshka spill- Additional excess discharges to the Nile 11.56 mild. m3.
way, although the High Dam upstream water level Flood classification High flood.
was higher 2.79 m. than the year before, and the max-
imum lake water level was the same of the previous From the above table it can be seen that without the
year, due to the existing of coffer dam, which played Toshka Spillway an extra amount of 27.4 mild. m3
an active role as a temporary flood management. would be released D.S. Aswan instead of 11.56 mild. m3.

50
Table 1. The actual water release and levels-flood 1998.

Excess Total U.S.W.L.

Water Discharge Inflow inflow Storage storage at the Av. monthly
arriving D.S. Average to to the during at end end of discharge
Month ASWAN ASWAN U.S.W.L TOSHKA Nile month of month month m.m.^3/Day

Initial 0.00 0.00 174.75 0.00 0.00 0.00 120.00 174.75 0.00
Aug. 22.21 6.45 176.25 0.00 0.00 15.76 135.76 177.69 208
Sep. 25.53 4.24 179.20 0.83 2.70 17.77 153.53 180.64 231
Oct. 13.24 3.50 180.91 2.912 3.33 3.50 157.04 181.18 220
Nov. 7.95 3.40 181.13 3.005 2.26 0.71- 156.32 181.08 189
Dec. 2.82 2.12 180.79 2.55 1.76 3.61- 152.71 180.51 125
Jan. 1.92 2.68 180.22 1.85 0.98 3.58- 149.13 179.94 118
Feb. 1.62 3.30 179.63 1.02 1.03 3.72- 145.41 179.33 154
Mar. 1.38 4.51 178.97 0.40 0.78 4.31- 141.10 178.60 171
Apr. 1.67 4.54 178.26 0.04 1.19 4.10- 137.00 177.90 191
May 2.68 5.94 177.52 0.00 1.05 4.31- 132.68 177.14 225
Jun. 2.20 7.56 176.63 0.00 0.17 5.54- 127.15 176.11 258
Jul. 6.23 7.27 175.95 0.00 0.69 1.74- 125.41 175.78 257
Total 89.44 55.50 12.60 15.93 5.41

Figure 6. Sat. 7 image for Toshka depression 2002.

Figure 5. Sat. 7 image for Toshka depression 1999.

2.5 Flood of 2000/2001 2001/2002 3 UPGRADE TOSHKA SPILLWAY

– During these years the water flows continuous to
dispose to Toshka spillway. After the second flood on the end of 1999, High
– Discharges passed through Toshka spillway were Aswan Dam Authority (HADA) decided to upgrade
8.3, 5.4 mild. m3 respectively. the toshka spillway canal because actual discharge to
– Total water released into Toshka Spillway during toshka canal was 130 million m3/day at level
years 1998–2002 shows as: 181.60 m instead of 200 million/m3 day due to the
design discharge. The upgrade design executed by
Flood Water released into Toshka spillway “Hydraulic Research Institute” as the following: –
Deepening the canal by 2 m and widening to 500 m.
1998/1999 12.60
1999/2000 14.00
Deepening the khur by 2 m and widening to 700 m.
2000/2001 08.60 The expected release will be 370 million m3/day.
2001/2002 05.70 HADA decided to construct a head regulator for
Total 41.00 water control to a chive better management of the
flood.

51
4 CONCLUSIONS
Toshka spillway is important in flood management as
a hydraulic structure besides the High Dam, therefore
it became essential to increase the capacity of Toshka
spillway to 370 million m3/day instead of 150 million
m3/day, and that will help to manage flood with in
flow of 150 mild m3.
The had regulator on the spillway canal will help to
save water in lake Nasser instead of releasing it as
free flow to the depression during time of low and
medium floods.
REFERENCES
Abdel Azeem Abu Elata (1978). Egypt and the Nile after the
High Dam construction Ministry of water recourses and
irrigation. (EGYPT).
52
The High and Aswan Dam Authority (1976). Toshka spillway
Studies and Researches. Unpublished report. (EGYPT).
H.E. Hurst & Black & Simaika (1968). The Nile Basin
Encyclopedia part No (X). (EGYPT).
HADA (1981). Toshka multipurpose Reservoir Project pre
feasibility Study, Final Report. National water research
senter. (EGYPT).
Hydraulic Research Institute Report (1999). Development
of Toshka spillway, (Deepings & Widening). (EGYPT).
The Remote Sense Center (1977). The Remote Sensing
Center report. (EGYPT).
Internet 2001 Land Sat. 7 Photos. (U.S.A).
HADA, (2002). Toshka spillway and its role in flood man-
agement. Unpublished report. (EGYPT).
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Role of Sardar Sarovar Narmada Project in water management,

hydro power and flood control

B.J. Parmar
Former Secretary, Water Resources Dept., Govt. of Gujarat, and Consultant, Water Resources Projects, India

ABSTRACT: Gujarat state of India has 6.39% of geographical area of the country but just 2.28% of the sur-
face water resources. Against UN criteria of 1000 m3 per capita, average availability of water is only 876 m3 per
capita. Over the next 25 years, Gujarat is expected to have a shortfall of at least 7000 MCM of water. Harvesting
of waters of the river Narmada is imperative for sustainable development. The Sardar Sarovar Narmada Dam is
expected to benefit 19.05 mha of land by assured irrigation in Gujarat and it’s neighbouring states. It will also
provide drinking water to 8215 villages and 135 urban centers. The dam would provide protection to vast areas
from floods, besides generating 1450 MW of eco-friendly power. Those affected by the project are being taken
care of by the Gujarat government and compensatory afforestation too has been completed. The project is eco-
logically sound and is already changing the landscape of Gujarat.

1 WATER SCENARIO IN GUJARAT
1.1 Water scarcity in Gujarat
Demand for water has grown so much in India that it
has become a precious natural resource. India has
about 4.45% of land resources of the world and about
4% of the world water resources. In contrast, India
has about 16% of the world population, which means
per capita water resources are only about a fourth of
the global average.
Per capita availability of water is deteriorating at a
fast rate in India and it is assessed that India will expe-
rience water scarcity from year 2007 onwards. This
means that per capita availability will fall below the
United Nation’s criteria of minimum 1000 m3 of per
capita water availability. This may lead to ecological
degradation, apart from limiting the growth prospects
of the country.
Across the country from West to East, the annual
rainfall varies from 100 mm to 1100 mm. Almost 76%
of rainfall occurs in 40 days between the months of
June to September. Thus, there are long dry spells.
Total annual utilisable water resources are 1122 km3
(690 km3 surface water 432 km3 ground water).
1.2 Predominantly agrarian
India is predominantly an agrarian country and more
than 80% of the water is used by the agriculture sector.
Over exploitation of ground water is a very serious
problem and water tables have been steadily depleting
in many parts of the country. There are more than 4.8
million electric pumps and 7.5 million diesel pumps
drawing ground water across the country.
Though Gujarat is a progressive state in India, it has
very limited water resources. In the state of Gujarat,
actual availability of water is only 407 m3 per capita in
the northern part of the state whereas in south and cen-
tral Gujarat it is 1378 m3 per capita (Fig. 1). The State
accounts for 6.39% of the geographical area of the
country and about 5% of the country’s population but
only 2.28% of the country’s surface water resources.
Even now, the average availability of water in Gujarat
is only 876 m3 per capita against the UN criteria of
1000 m3 per capita, which reflects scarcity of water.
The state has an area of 19.6 m ha, of which 12.4 m ha
is cultivable area.
1.3 Need for harvesting Narmada waters
In Gujarat there are 184 rivers but only 8 rivers are
perennial and all of them are located in the southern
part of the state. The emerging water scenario indi-
cates that in the next 25 years, even with normal mon-
soon, the state would face shortage of 7000 MCM of
water. In North Gujarat, ground water level has gone
down to 250 m to 300 m and has been dropping further
at the rate of 3 m every year. Due to water scarcity,
mass migration of human and cattle population from
water scarce areas to water surplus areas has become a
regular feature.

53
Figure 1. Per capita availability of water in Gujarat.
Figure 2. Utilisable surface water (31500 MCM) in Gujarat.
Availability of surface water and the storage facili-
ties in dams in different regions of Gujarat give a
skewed picture comprising water surplus, as well as
water scarce regions. Narmada river basin alone con-
stitutes about 40% of the surface water resources of
the state and, therefore, regional transfer of water has
become imperative for the state’s survival (Fig. 2).
Considering these aspects, Government of Gujarat
has decided to harvest Narmada waters for sustainable
development by undertaking the Sardar Sarovar
54
Narmada Project, which is expected to benefit the
states of Gujarat, Rajasthan, Madhya Pradesh and
Maharashtra.
2 SARDAR SAROVAR DAM
The Sardar Sarovar Narmada dam, which is the termi-
nal dam on river Narmada in Gujarat State is presently
under final phase of construction (Fig. 3). An integrated
plan of Sardar Sarovar Narmada Project has been drawn
for meeting water needs of the river basin areas, as well
as for transfer of surplus water to water scarce regions
of North Gujarat, Kutch and West Rajasthan.
2.1 Project outline
The Sardar Sarovar dam, 1210 m long, is a concrete
gravity structure with 163 m height from the deepest
foundation level. The total volume of concrete to be
laid is of the order 6.82 MCM. By now, 95% of the
concreting has been completed. The project provides
for an underground power house of 1200 MW in the
river bed, with six reversible turbines of 200 MW each
and also a 250 MW canal head power house with 5
Figure 3. Sardar Sarovar Narmada dam under construction.
conventional turbines of 50 MW each. The canal head
power house has already been tested by commission-
ing of each of the five conventional turbine units.
Similarly, the river bed underground power house also
is under final phase of construction and three units
have already been tested.
The project has a vast command area of about
1.905 M ha which also includes 37,500 ha in
Maharashtra, to be irrigated by lifting water from the
reservoir and 75,000 ha in the State of Rajasthan. The
concrete lined main canal with 45 branches would
have a 60,000 km long distribution system. The canal
has been designed keeping in view different agro-
climatic zones of the command area and it is designed
for extensive irrigation with only 53 cm water depth
for maturity as against 60 to 100 cm water depth nor-
mally provided for maturing of crops in other irriga-
tion projects.
2.2 Scientific irrigation, distribution
The design has assumed scientific methods of irriga-
tion involving conjunctive use of surface and ground
water, keeping in view 13 different agro climatic zones
in the command area. The system is designed with Con-
trol Volume Concept of Operation by Computer Aided
Remote Monitoring and Control Systems so that about
52% of small and marginal farmers at the tail end of the
command area get timely and equitable share of water.
Water Users Associations are to be formed in each vil-
lage service area of 200 to 500 ha.
Allotment of water is to be made on volumetric
basis, on a Rotational Water Supply Calendar, so as to
55
ensure just and equitable water distribution to every
farmer in the command area. Thus, the project has
inbuilt measures to prevent possible adverse impact
in the long run caused by water logging etc. and pro-
vide permanent irrigation for agriculture.
2.3 Social impact
Some social impact of this developmental activity is
inevitable. Physical displacement of people in the
submergence area, involuntary re-settlement causing
emotional trauma and transition to entirely a new and
sometime distant place that disturb the social fabric
are the major issues of concern. The eco-romantists
have always criticised this. These issues are actually
being addressed quite effectively.
In this connection, Indian Agricultural Operations
Division of the World Bank in April 1990 amply clar-
ifies in its report as under:-
“A widespread myth is that the tribal people to be
resettled from the submergence area are living in pris-
tine forests in a traditional manner as hunter gatherers
in harmony with the environment. This is not correct.
As satellite imagery shows and field observation con-
firms, the tribals live in mostly barren farm, stony,
steep and increasingly degraded hillsides with a small
and decreasing part of their income derived from the
forest land.”
Many of them (affected persons) welcome the
opportunity to improve their lot in more fertile and
more sustainable command areas. While there may be
considerable social costs for some families, many of
them have tribal connections in the resettlement areas
in Gujarat which helps them re-settle. A substantial
proportion of tribals appear to see little future in the
increasingly degraded submergence area. Indeed it is
within this tribal group that there is the least opposi-
tion to the Project.
“Towards Sustainable Development – Struggling
over India’s Narmada River” a book edited by William
F. Fisher (Rawat Publications, 1997), Page 286 states
as under:
“To insist that people must neither change nor
learn non-traditional skills is putting a premium on
preciousity. It is no less than asking the tribal people
to remain in a museum, to become fossilized. This is
a demand that outrages all human values, all demo-
cratic rights. It can, in fact, end up destroying them
just as surely as forcible displacement will.”
2.4 Re-settlement of project affected persons
In case of Sardar Sarovar Project, for the project
affected persons a detailed mechanism of pari-passu
re-settlement and rehabilitation has been adopted
with the aim that life is improved or at least they
regain the standard of living they were enjoying prior
to their displacement and they fully integrate with the
community in which they are re-settled.
An internal approach to re-settlement is being fol-
lowed and monitored by independent bodies as directed
by the Supreme Court of India. Apart from the normal
compensation for the property lost, focus is being laid
on people-centric development and the concept of
land for land (minimum 2 ha) is being implemented.
This benefit is not only for the affected persons
alone but also to joint holders, landless labourers and
encroachers and is in addition to adequate monetary
benefits. Minimum infrastructure facilities like drink-
ing water supply, roads, schools, health services etc. are
being provided at the rehabilitation and re-settlement
sites.
3 ROLE OF SARDAR SAROVAR NARMADA
PROJECT
3.1 Water management
3.1.1 Irrigation
Sardar Sarovar Project will assure irrigation to
1.905 m ha of land which comprises 1.793 m ha in
Gujarat, 37,500 ha in Maharashtra and 75,000 ha in
Rajasthan. Gujarat’s 75% drought prone area will be
covered in the command area of Sardar Sarovar Project.
The command area will be covering 14 districts where
3500 villages will be benefited by irrigation water. It
will also irrigate 75,000 ha of land in the strategic
desert districts of Barmer and Jalore in Rajasthan, near
the India-Pakistan border and 37,500 ha in the tribal
56
hilly area of Maharashtra through lifting. The entire
command area of Rajasthan is drought prone area and
irrigation water in this area from Sardar Sarovar Project
is expected to make this area drought proof.
Majority of farmers in Gujarat, located in the com-
mand area, where Sardar Sarovar Project will give
irrigation benefits, are small and marginal farmers and
a sizable part of them are Schedule Cast and Schedule
Tribes:
Marginal farmers (1 ha): 28.0%
Small farmers (1 to 2 ha): 24.4%
Scheduled Cast farmers: 9.1%
Scheduled Tribe farmers: 8.7%
Enhanced irrigation by Sardar Sarovar Narmada
waters is expected to increase the state agricultural
production by 9.5 million tonnes per annum, worth an
estimated Rs. 85 billion (US$ 1.89 billion). Of this,
food grains, edible oils and cotton would be about 4
million tonnes. Because of the irrigation facilities, agri-
culture is likely to become an year-round activity, gen-
erating significant employment in the 3500 villages
of the command area. Large rural population will be
productively employed by multiple cropping of the
land. Due to abundant agricultural production in dif-
ferent categories, agro based and other industries will
come up in the area and will help idle rural labour to get
employment. Generation of employment is expected to
result in significant social upliftment. It is estimated
that Sardar Sarovar Project alone will generate one
million full time jobs.
Presently, in Saurashtra region of the state, 40% of
the dams’ storages are reserved for drinking water.
Once the Narmada water is supplied for drinking
region can be released for irrigation, benefiting
around 250,000 ha of arable lands.
3.1.2 Water supply
The Narmada Water Dispute Tribunal has allocated
3582 MLD (1.06 MAF) of water for domestic and
industrial use, out of the 30,413 MLD (9 MAF) water
allocation from the Narmada dam. Out of 3582 MLD
water 2921 MLD (0.86 MAF) has been allocated for
drinking water needs of 8215 villages and 135 urban
centres and 661 MLD (0.20 MAF) has been allocated
for the industrial use.
The project will provide water to a projected popu-
lation of 24.3 million in the year 2011 and 29.06 mil-
lion in the year 2021. The project will provide safe and
potable drinking water to 7491 “No Source” villages,
out of which 2281 villages have excessive nitrates and
641 villages are under the grip of salinity.
The women of water scarce areas of Saurashtra and
Kutch, who have to undergo the daily drudgery of
fetching water from up to 8 km will be one of the
biggest beneficiaries of the Sardar Sarovar Project.
 There are reported instances of women risking their
lives by lowering themselves down the semi-dried up
wells for taking out a few buckets of water. Lack of
access to safe drinking water, loss of time in collecting
available water, effects of head loads on women’s and
girl child’s health and the burden of household respon-
sibilities of the women – these all have an adverse
impact on their health and general family welfare,
including their income earning abilities.
In such gloomy situations, where social tensions
and water wars are becoming common, the sustainable
development offered by the Sardar Sarovar Project
will solve the issue of drinking water.
Not only this, the people of chloride affected areas
of North Gujarat and Saurashtra, who suffer untold
miseries, including incidents of flourosis which crip-
ples human beings and for which so far there are no
remedies in the medical science, will be saved by
Sardar Sarovar Narmada waters.
In many villages water supply in summer has to be
sustained by supplying water through tankers, which
is costly and paltry. This will be forgotten for all time
to come when the Sardar Sarovar Narmada waters are
made available to these villages. In fact, the water
supply to these villages has already been started with
the partially constructed dam.
During the summer of 2000 in Gujarat, 13,200 vil-
lages were declared under scarcity and partial scarcity
and about 20 million people in the state (1600 villages
and 35 urban centres including major cities like
Ahmedabad, Vadodara, Rajkot, Bhavnagar, Amreli and
Junagadh) were provided with the Narmada waters by
lifting the water from partially constructed Sardar
Sarovar Dam (RL 85 m) into the canal with a battery of
115 pumps of 7000 HP capacity.
Thus, the Sardar Sarovar Project will provide water
for drinking and domestic uses in the arid and semi-
arid regions of Gujarat and Rajasthan, providing much
succour to the people.
3.1.3 Micro water harvesting and recharging
For construction of the vast canal net work of Sardar
Sarovar Project, there is a policy to deepen the nearby
village tanks and utilise this borrowed earth in the
construction of canal embankments. Ultimately 3393
village tanks have been planned to be deepened with
a corresponding increase in the storage capacity of
213.60 MCM. Thus, creation of micro water harvesting
structures is an integral part of planning and implemen-
tation of Sardar Sarovar Project.
It also plans to effect transfer of Narmada canal
waters into 12 rivers when the canal waters are in excess
of water requirement. This has been done already dur-
ing the year 2002 for large rivers like Mahi and
Sabarmati and for river Saraswati during the year 2005.
These rivers have been re-charged/rejuvenated by effec-
tive transfer of Narmada Canal waters.
57
3.1.4 Prevention of migration from scarce areas
Statistical data indicate that every 3rd year is a water
scarcity year. This naturally creates the problem of
scarcity of drinking water and also the problem of
producing fodder for the livestock. Forced migration
of hundreds of thousands of people from their home-
lands in arid and semiarid regions of Gujarat and
Rajasthan, with their livestock, in search of water and
livelihood, has become almost customary. This phe-
nomenon not only over-stresses them but also breaks
their social and economic fabric. Obviously, their
human rights are not attained because their right to
life, right to development, right to participation, right
to health, right to food, right to education and right to
work as enshrined in U.N. Declaration for right to
Development, cannot be achieved and of course this
cannot be evaluated in monetary terms.
It has been the endeavour of the planners of the
Sardar Sarovar Narmada Project to provide water for
drinking and domestic use in these arid and semiarid
regions of Gujarat and Rajasthan preventing forced
migration of people with their livestock.
3.2 Protection of environment and its improvement
Because of inadequate availability of water the South
Western part of Gujarat has been forced to overex-
ploit ground water resources causing salinity ingress
in the area. This area of salinity is increasing and
encroaching the inland areas. In North Gujarat, the
ground water exploitation has resulted in the water
level dropping at the rate of 3 m every year – it is now
around 250–300 m below ground level. The North
Western part of Gujarat i.e. Kutch also faces problems
of non-availability of water resulting in advancement
of desert, environmental degradation and a serious
threat is posed to the preservation of ecology. The only
solution is that adequate water is made available to
the area.
The planners have kept the above issues in mind
and efforts have been made to transfer water to these
areas through Sardar Sarovar Narmada canal. Thus the
transfer of water will take care of the ecology and the
environment, apart from creating irrigated agricultural
development in a large chunk of land all over Gujarat.
The other beneficiaries of Sardar Sarovar Narmada
water from environmental point of view will be the
Nal Sarovar Birds Sanctuary, Shoolpaneshwar Wild
Life sanctuary, Velavadar National Park and Little Rann
of Kutch Wild Ass Sanctuary.
While according approval to Sardar Sarovar
Narmada Project, for diversion of forest land going
under submergence, as per the Forest Conservation
Act 1980 MOEF, the Government of India, had put
one main condition that for every hectare of forest
land submerged or diverted for the Project use, there
should be compensatory afforestation on one hectare
of non-forest land plus replenishment of two hectare
of degraded forest.
In compliance to this, an Action Plan was prepared
and accordingly, Government of Gujarat undertook
compensatory plantation in 4650 ha of non-forest
areas and 9300 ha in degraded forest areas against the
likely submergence of 4523 ha of forest land in Gujarat.
This compensatory afforestation has been completed
in 1994–95, well before the reservoir filling. The
afforested area has also been declared as forest under
the Forest Conservation Act 1980. 9300 ha of degraded
forest area has been also afforested by required
plantation.
Due to above measures, the local habitat of wild life
like Chinkaras, Nilgai, Wild boar, Wildcat, Jackal,
Porcupine etc. has considerably improved. The Bird
species like Great Indian Bustard, Lesser florican,
Houbara Bustard, Painted Patridge, Black Patridge, etc.
have also increased in number with improved habitat.
The good quality of palatable grasses which are 1000 kg
per hectare in average rainfall year are also yielded by
these areas.
As per condition of environmental clearance for the
Project, the Catchment Area Treatment measures have
also been completed in 27,204 ha of forest land and
1953 ha of non-forest areas. This has been done well
ahead of reservoir filling. Remote Sensing Imagery
shows that there is an improvement trend in density
status due to implementation of CAT plan, Phase-I.
It is also observed that the closed forest land and
open forest areas have increased by 13% and 11%
respectively, whereas degraded forest area has
decreased by 22%. Soil moisture conservation works
like Gully Plugging, Brushwood Plugging, Contour
dykes, Contour trenching, Gradonies, Check dams
and Check walls, Earthen bunds have really served
the intended purpose. Tree development has been
very fast and availability of non-wood forest produce
like grass Mahuda flowers, Doli, Ambla, Behda fruits
have increased. Wild life has increased manifold.
Afforestation of 235 hectare at the dam site vicinity
area has been carried out, apart from afforestation in
255 ha in the Project area. By now totally 1.2 million
trees have been planted. Similarly, in the Canal land
width also plantation in total area of around 5300 ha
has been planned and out of this plantation in 3510 ha
has been completed. The Project Colonies have been
gifted with 0.22 million tree plantations apart from tree
plantation in 111 Rehabilitation Colonies. Plantation
in 200 ha of riverines of Sabarmati river has been
completed.
3.3 Flood protection
Though the state suffers from drought frequently, the
fury of flood has also to be faced a number of times
and large rivers like Narmada do bring heavy quantum
58
of waters during floods. Even during a short spell of
spate in river Narmada, more than 6000 MCM of
Narmada water flows down to sea. Even in normal
monsoon years, in quantitative terms, the per day
spillover quantity is sufficient to satisfy the water
needs of the state for 10 days. Incidentally, control of
floods due to Sardar Sarovar Dam will provide pro-
tection against floods to riverine reaches, measuring
about 30,000 ha spread over 210 villages and also pro-
tection to the city of Bharuch in Gujarat, covering a
total population of 0.4 million. The damage to life and
property due to disastrous floods cannot be evaluated
in monitory terms. Sardar Sarovar Narmada Project
eventually will help control the floods and misery cre-
ated by disastrous floods.
3.4 Hydro power generation
Eco-friendly clean hydropower to the extent of
1450 MW will be generated by Sardar Sarovar
Narmada Project. This will be renewable and environ-
ment friendly hydropower to the tune of 1007 million
kwh in a surplus year and 856 million kwh even in
a deficit monsoon year. While this energy output of
856 to 1007 million units per year can be evaluated at
Rs. 40 billion to Rs. 50 billion (US$ 89 to 111 million),
its real value is much more on account of it being
totally indigenous and saving import of petroleum,
making India self reliant in energy to that extent.
This hydropower so generated will be obviously
economical as compared to thermal power and there-
fore this makes the industries more competitive.
Presently the State’s agriculture sector accounts for
around 42% (2700 MW) of the total power consump-
tion of the State. Once the Narmada waters are avail-
able for surface irrigation, thus recharging the ground
water aquifers, it is estimated that power consumption
by agriculture would decline by about 50%. It is
assessed that in order to have about 2700 MW power
at the delivery point, a power project of 6000 MW
(65% plant load factor and 20–25% transmission and
distribution losses) is required. Current capital cost of
hydro-power plants is estimated at Rs. 60 million per
MW, implying a cost of Rs. 360 billion (US$ 8 bil-
lion) for this project. This is a big compensation by
itself, for the cost of the project.
It is assessed that generation of 1 billion units
hydropower through Sardar Sarovar Project per year
eventually will result in saving of 8.45 BCM of water.
Generation of 1450 MW of power would require 4.35
million tonnes of standard coal or 2.2 million tonnes of
crude oil per year. The generation of power by standard
coal can generate pollution in the atmosphere to the
tune of 25,700 tonnes of sulphur dioxide and 10,780
tonnes of suspended particulate matter per year. This
will be avoided by Sardar Sarovar Project.
 Thus the contribution of such a large hydropower
project like Sardar Sarovar Narmada Project will pro-
vide renewable, environment friendly, dependable
hydropower, reducing the power deficit of the Western
part of the country and also reducing the pressure on
the natural resources like coal, lignite, crude oil etc.
and in turn will boost the country’s economy by saving
on precious imports.
4 CONCLUSIONS
Considering the present scenario of water resources in
Gujarat State and the rate of increase in the water
demands for drinking and domestic use, agriculture and
other purposes, the State has no option but to harness
the Narmada waters for sustainable development of
Gujarat State. The plan has been accordingly drawn up.
Planning has been designed to keep the negative
socio-economic impact to the minimum and manage-
able. This has become possible with the help of scien-
tifically carried out extensive studies right from the
conceptualization stage of the Project and proper
implementation of conclusions thereof.
59
Evaluation of the Project has been done for its sus-
tainability, considering full social, economic and
environmental cost of development vis-à-vis the cost
of failure to develop new water resources projects.
Sardar Sarovar Narmada Project seeks to resolve
the dichotomy between the dominant interventionist
paradigm of development and participative and
decentralized model, by using a balanced sustainable
strategy of generating and distributing the water
resources in a just and equitable way.
The project seeks to fulfil the Right to
Development, Right to Food, Right to Life, Right to
Work and a whole range of economic, social and cul-
tural rights contained in the UN Declaration on Human
Rights, International Covenant on Economic, Social
and Cultural Rights, UN Declaration on Right to
Development and other International Human Rights
Instruments.
Sardar Sarovar Narmada Project indicates that sus-
tainable human development through harnessing water
resources has to be accepted and adopted as the Mantra
for the New Millennium Global Socio Economic
Advancement.

res R dna m D v srio nE d a seit coS ,
© 60 2
Dams as a tool for integrated water management in Sahelian Africa
Nombre Adama & Millogo Founémé
Civil engineers Committee on Dams, Burkina Faso
ABSTRACT: The Sahelian countries in Africa are facing important challenges in the beginning of this mil-
lennium regarding water resources management and energy harnessing to impulse a process of modernization.
The large rivers systems existing in the region are not yet developed and groundwater is very scarce and diffi-
cult to mobilize. The construction of multipurpose dams appears as a necessity to harness water and energy
resources for the development. These dams constitute a key infrastructure to develop the approach of integrated
water resources management.
1 GENERAL SITUATION OF SAHELIAN
COUNTRIES
The Sahel is the region of Africa lying between the
Sahara desert and the forest zone boarding the gulf of
Guinea and central Africa. It extends from Senegal in the
west to Chad in the east and from Mauritania in the north
to Cameroon in the south. The nine states located
in this region are: Burkina Faso, Cap-Vert, Gambia,
Guinea Bissau, Mali, Mauritania, Niger, Senegal, and
Chad. Since the severe drought of the 1970’s the
Sahelian countries have settled a regional organisa-
tion name CILSS (Permanent Committee for struggle
against drought in the Sahel). Its current mandate is
“to invest in the research of Food Safety and the fight
against the effects of the dryness and the turning into
a desert, for a new ecological balance” of the Sahel.
Figure 1 shows the position these countries:
Figure 1. Sahelian countries.
ts
12 eht ni m or v rutneC g
reB Ð y )sde( la t
T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L
2 MAIN CHARACTERISTICS OF THE
REGION
2.1 Socio economic characteristics
This zone is one of the most dry regions of Africa and
the countries are part of the less developed in the world,
with a population of almost sixty millions people for
an area of 5.6 millions km2, this region has an UN
development index less than 0,5.
The Table 1 shows the economic situation of these
countries.
2.2 Access to water, energy and food
The access to water resources is very limited in this
region. Less than one half of the population has access to
clean water mostly in the rural areas where the majority
of the populations live. This situation results in periodic
epidemic and diseases which threaten the populations
specially the young ones and women. Table 2 shows
the situation of the access to water and sanitation.
The principal energy use in this region is wood with
large deforestation and desertification as a result.
The access to modern energies like electricity and
oil is very limited and their costs are very high. Only
four countries (Mauritania, Niger, Chad and Senegal)
have some crude oil reserves but these have been newly
discovered and are not highly exploited. Table 3 shows
the situation of the access to energy in this region.
The agriculture of the region is mostly rainfed agri-
culture in all the countries; less than 10% of the arable
area is irrigated. As result of mainly the leak rainfall
and the less developed agricultural methods and
famines technologies, the populations of the region
face every two or three year.
Table 4 shows the percentage of arable and irrigated
lands in sahelian region.
61
Table 1. The socio-economic situation in sahelian region.

Per capita
Population UN development domestic
Country Area (km2) Capital-city (2001) index revenue (US$)

Burkina Faso 274,000 Ouagadougou 12,300,000 0.320 240

Cape Verde 4,030 Praia 428,000 0.708 1207
Gambia 11,295 Banjul 1,400,000 0.398 498
Guinea Bissau 36,125 Bissau 1,300,000 0.339 160
Mali 1, 240,190 Bamako 11,000,000 0.378 240
Mauritania 1,025,520 Nouakchott 2,700,000 0.437 390
Niger 1,267,000 Niamey 10,400,000 0.274 190
Senegal 196,722 Dakar 9,700,000 0.423 500
Chad 1,284,000 Njamena 8,700,000 0.359 210
Total 5,664,007 57,928,000

Source: CILSS.

Table 2. Percentage of the population covered by the water Table 3. Situation and access to energy.
and sanitation equipments.
Crude oil
Urban reserve Per capita
water Rural Total 2003 Electricity electricity
supply water sanitation millions consumption consumption
Population coverage supply coverage Country of barrels Gwh (2001) (Kwh/year)
Country (2001) (%) (%) (%)
Burkina Faso 0.00 460 35.50
Burkina Faso 12,300,000 84 66 29 Cape Verde 0.00 –
Cape Verde 428,000 64 89 71 Gambia 0.00 – –
Gambia 1,400,000 80 53 37 Guinea Bissau 0.00 0.05 –
Guinea Bissau 1,300,000 29 55 47 Mali 0.00 450 40
Mali 11,000,000 74 61 69 Mauritania 200 150
Mauritania 2,700,000 34 40 33 Niger 300 382
Niger 10,400,000 70 56 20 Senegal 700 1410
Senegal 9,700,000 92 65 70 Chad – 121 14
Total/average 57,928,000 66 57 47 Total

Source: ECOWAS. Source: World Hydropower Atlas 2004.

Table 4. Arable land and irrigated lands.

Total
Irrigation Total area irrigated
Arable area potential irrigated vs. potential
Country (ha) (ha) (ha) (%)

Burkina Faso 3,800,000 164,460 24,330 14.79

Cape Verde 39,000 2,987 2,779 93.04
Gambia 230,000 80,000 1,670 2.09
Guinea Bissau 300,000 281,290 17,115 6.08
Mali 4,630,000 560,000 78,620 14.04
Mauritania 488,000 221,000 49,200 22.26
Niger 4,490,000 270,000 66,480 24.62
Senegal 2,362,000 400,000 71,400 17.85
Chad – – – –
Total 16,339,000 1,979,737 311,594 15.7

Source: ECOWAS.

62
 The necessity to harness the water and energy 12000 Gwh and less the 10% of the this capacity has
resources to satisfy these urgent needs is an important been exploited as the data available shows in Table 7.
challenge for these countries in this Century.

2.3 Water resources and hydro potential 3 WATER RESOURCES PROBLEMS AND
2.3.1 Large rivers system CHALLENGES
The region of Sahel is endowed with large water sys-
tem with as shown in Table 5. 3.1 Limited and decreasing water resources
The figure below shows the main river basin of Despite the existence of large river system in the
Africa and the sahel region. region, the per capita water renewable water availabil-
ity (1312 cubic meter per year) shows that the region
2.3.2 Countries water resources is water stress one. Since the 1970’s there is tendency
The situation of water resources for the countries is of water resource decreasing due to the rainfall deficit.
shown in Table 6. The Table 8 shows the variation of rainfall and rivers
flows compare to the mean flows and rainfall of the
2.3.3 The hydro potential 1951–1989 period in percentage.
The Hydro potential is not well known in the sahelian At the same time the ground water resources are
region, the gross technically feasible capacity is around also declining due to the duration of drought period
since the 1970’s. The level of ground water in the inter-
esting aquifer is still going down since this period.

3.2 Undeveloped water and energy potential

The main characteristic of the region is the insuffi-
cient of water resources mobilisation to supply people,
develop irrigation and produce energy. The hydropower
development represents only around 10% of the poten-
tial. The water consumption is just around 3% of the
renewable water potential.

3.3 Difficulties to mobilise groundwater resources

The region is characterised by an ancient basement of
magmatic and metamorphic rock on which alternating
Figure 2. River discharges. layers of primary and quaternary sediments are deposed.

Table 5.

Basin area
Basin Mouth in: (km2) Number of countries in the basin and their respective parts in km2

1. Senegal Senegal 436,000 4 Mauritania (219100); Mali (150800); Senegal (35200);

Guinea (30800)
2. Gambia Gambia 69,900 3 Senegal (50700); Guinea (13200); Gambia (5900)
3. Comoe Côte d’Ivoire 78,100 4 Côte d’Ivoire (58300); Burkina Faso (16900); Ghana (2200);
Mali (700)
4. Volta Ghana 412,800 6 Burkina Faso (173500); Ghana (166000); Togo (25800);
Mali (18800); Benin (15000); Côte d’Ivoire (13500)
5. Niger Nigeria 2,113,200 11 Nigeria (561900); Mali (540700); Niger (497900); Algeria*
(161300); Guinea (95900); Cameroon (88100); Burkina
Faso (82900); Benin (45300); Côte d’Ivoire (22900); Chad*
(16400); Sierra Leone (50)
6. Lake Chad Endoreic Basin 2,388,700 8 Chad* (1079200); Niger (674200); Central African Republic*
(218600); Nigeria (180200); Algeria* (90000); Sudan*
(82800); Cameroon* (46800); Chad*, claimed by Libya
(12300); Libya* (4600)

63
 Table 6. Water resources in sahelian region.

Per capita
Total renewable
Average Ground Surface renewable water
precipitations water water water (m3:per
Country (mm) (109 m3) (109 m3) (109 m3) capita/year)

Burkina Faso 748 9.50 8 12.50 1,084

Cap Vert 423 0.12 0.18 0.30 703
Gambia 836 0.50 3.00 3.00 6,140
Guinea Bissau 1577 14 12 16 25,855
Mali 282 20 50 60 8,810
Mauritania 92 0.30 0.10 0.40 4,278
Niger 151 2.50 1 3.50 3,107
Senegal 687 7.60 23.80 26.40 4,182
Total 600 34 71 76 1,312

Source: COWAS.

Table 7. Hydroelectric potential in sahelian region. 3.5 Difficulties to sustain the ecosystems

Technically To improve the ecosystems there is need for river

feasible Installed Percentage flows regulation during the year to store water during
hydropower hydro of hydro the wet season and sustain flows during the dry one.
potential capacity developed The necessity to protect wetlands is also an important
Country (Gwh) (MW) (%) challenge.
Burkina Faso 600 32 21 3.6 Threat from pollution
Cape Verde – – –
Gambia – 0.0 – The most important problem concerning the ground-
Guinea Bissau 300 0.00 0 water quality is without any doubt the bacteriological
Mali 5,000 150 19 pollution due to insufficient sanitation. The domestic
Mauritania – 30 wastes are not all collected (the level is less than 50%
Niger 1,300 0.0 0 in most of the towns in the region. The collective or
Senegal 4,250 64 6
individual sanitation is very weakly developed. Thus,
Chad 150 0 0
a third of the population in Ouagadougou lives in zones
Total 11,600 276 not covered by the sanitation network. Thus, the exc-
reta are often let out in the natural environment and
Source: Hydropower and dams.
latrines are constructed without control. The risk of
pollution is therefore very high. A study made in 1985
The ensemble is penetrated by volcanic events of on 982 water wells in Burkina Faso showed that,
which the most recent are still active: Cape Verde and 10–20% of the boreholes, 70% of the traditional wells
the Cameroon/Nigeria border. and 15% of the reinforced wells, were polluted.
The sedimentary formations with high capacity are
rare. The mobilisation of water in the most part of the
3.7 Weak institutional and regulatory frame
region is linked to fractures. The altered formations,
work for water resources management
often clayish, are less productive.
The water resources database and assessment are insuf-
ficient and most of the countries do not have an ade-
3.4 Highly increasing water demand
quate institutional and regulatory framework for
The increase of the water demand is due to several water management. The process of integrated water
phenomena for which the effects cumulate: resources management is new in all of the countries.

– The demographic growth

– The high rate of urbanisation and the raising living
standard
– The need to increase food production and livestock
– The need of electricity and energy
– The industrialisation process
4 NECESSITY FOR INTEGRATED WATER
MANAGEMENT
The sahelian countries are facing difficult challenges
related to water resource management as the needs

64
Table 8. Variations of rainfall and flows per decade compare to the means of the period 1951–1989.

1951–1960 1961–1970 1971–1980 1981–1989 1971–1989

River system (%) (%) (%) (%) (%)

Senegal-Gambie Rainfall 23 13 8.5 16.5 25

Yields 32.6 23.6 24.1 35.7 59.8
Mano Rainfall 10.3 5.2 3.5 13.3 26.8
Yields 19.6 15.7 9.3 28.8 38.1
Niger Rainfall 11.3 3.1 4.2 11.2 15.4
Yields 14.8 13.4 8.7 21.5 30.2

Source: IUCN.

for the people for clean water, cheap and reliable elec-
tricity, food security and modern conditions of live
are huge and urgent.
The sahelian countries are situation in the semi-
arid and zone of Africa. Despites this situation, they
are endowed with large rivers which are all interna-
tional shared rivers. There are too many difficulties to
mobilize groundwater to satisfy the needs of the peo-
ple as shown above. This in an opportunity to harness
these rivers as common wealth for the development;
in this way there are many international rivers agen-
cies: Senegal River organisation, Niger River basin
agency, Volta river technical committee, Gambia
River organisation, etc.
Due to the vital necessity of water for people, Dams
are points of concentration of many activities related
to water supply, agriculture, livestock development,
energy production, construction activities and so on.
This situation leads to numerous conflicts with the
sharing of resources as the base problems. In many
parts of the Sahel, the lakes created by dams could be
the only wetlands and water sources for a large area
for several months each year.
The necessity to implement an integrated and holis-
tic approach in dam designing exploitation is impor-
tant. This is why most of the dams in Sahelian Africa
are multipurpose ones.
To create the conditions to implement the integrated
water management, in march 1998, at the West African
Conference on Integrated Water Resources Manage-
ment (IWRM) the ministers in charge of water and the
Heads of delegation of the West African countries
adopted solemnly the “Ouagadougou Statement” by
which they urge their governments to:
– Implement in their respective countries a process
of integrated water resources management based
on National Water Action Plans; Create a frame-
work for regional co-operation on integrated water
resources management; harmonisation of policies
and legislation on water issues and exchange of
experience;
– Create or re-vitalise the consultative frameworks
between riparian countries for joint management
of shared basins;
– Prepare national and regional strategies for mobili-
sation of financial resources required for integrated
water resources management.
The dams, because of their roles can be considered
among the tools to succeed the implementation of the
integrated water resources management in West Africa.
5 MULTIPURPOSE DAMS AN IMPORTANT
TOOL FOR INTEGRATED WATER
RESOURCES MANAGEMENT
In the situation of integrated water management frame-
work, the large and multipurpose dams help to tackle
the challenges that the Sahelian Africa is facing. To
illustrate the tendency, two cases studies are pre-
sented:
5.1 Manantali dam on the Senegal River
(Figure 3)
This dam is a project of the Senegal River Organisation
which is an international agency for the development
of the river. The dam is located on the Senegal River
in Republic of Mali. It is a composite dam with a cen-
tral concrete buttress structure and side embankment
dams. The height of the dam is 65 m and the storage
capacity is 11 millions of hm3.
The main purposes of the dam are:
– Generate 800 GWh per year to supply Mali,
Senegal and Mauritania
– Develop 255,000 ha of irrigated land in Mali,
Senegal and Mauritania
– Allow the navigation on the Senegal river all the
year from St Louis in Senegal to Ambidédi in Mali
– Improve water supply to cities and villages along
the river course
– Improve the river flows regulation to mitigate floods,
and sustain the low flows in dry season
The construction of the dam started on 1982 and
the dam was commissioned on Mars 1988.

65
Figure 3. Senegal river basin.

Since the construction of the dam the power grid

have been extend from Mali to Senegal and Mauritania
with has improve the electricity availability for the three
countries. The villages and cities along and remote
from the river are now linked to the power grid. The
agricultural projects are ongoing in the three coun-
tries which will improve food security. Figure 4. Volta river basin.
This dam is the key infrastructure on the Senegal
River and was designed as a common asset for the
riparian countries: Mali, Senegal and Mauritania. This – Develop 30,000 ha of irrigated lands;
project has strengthened the cooperation between the – Improve the river flows regulation to mitigate floods,
three countries which were on trouble some years ago. and sustain the low flows in dry season;
– Develop fishing to product 10,000 tons of fish per
5.2 Bagré dam on Nakanbé River year;
– The Bagre dam offers also the possibility in the
The Nakanbé River is a tributary of the Volta River future for the water supply of Ouagadougou the cap-
which is shared by six countries: Ghana, Burkina ital city at 150 km.
Faso, Togo, Benin, Cote d’Ivoire and Mali. The main
The construction of the dam started on 1989 and
part of the Volta basin lies in Burkina Faso and Ghana.
the dam was commissioned on 1992.
Since the 1960’s, the river was harnessed in Ghana
Since the construction of the dam the power grid
with the construction of Akossombo and Kpong Dams.
has been extended which has improved the electricity
At the same time in Burkina Faso an important pro-
availability for the country. The villages and cities along
gram of small dams construction started. Today more
and remote from the river are now linked to the power
than 400 small dams have been built. From 1990 to
grid.
2000, two large dams were built on the river in Burkina
The agricultural projects are ongoing in the region
Faso: Bagré and Ziga dams. They are now many proj-
and more than 3000 ha are already irrigated which will
ect of large dam on the Volta River: the Bui dam in
improve food security.
Ghana, the Samendeni and the Bougouriba dams in
With the operation of the power plant, the Nakanbé
Burkina Faso and the Noumbiel dam on the border of
River is now permanent all the year downstream
the two countries.
Bagré dam until Akossombo Lake in Ghana.
The Bagre dam is a project of the government of
In the Framework of Integrated water resources
Burkina Faso. The dam is located on the Nakanbe
management adopted by the Government of Burkina
River at 150 km from the capital city. It is an earth fill
Faso on 1998, a water law and water plan was adopted
dam with a central core. The height of the dam is 40 m
by the government on 2001 and 2003.
and the storage capacity is 1.7 millions of hm3.
The water law of 2001 chose the river basin c basin
Figure 4 shows the general layout of the Volta river
as the suitable framework of planning and managing
basin and the main dams
water resources; Rivers basins agencies will be cre-
The main purposes of the dam are:
ated in each of the four national basins. The experi-
– Generate of 45 GWh per year to supply cities and vil- ence of the pilot Nakanbé River Committee, working
lages along the transmission line and the capital city; since 2001 in the Nakanbé basin, will help to well

66
plan and organise the settlement of the very future
basin agencies.
In the implementation of the integrated water
resources management, a water plan was adopted by
the government in 2003. The plan is a vast building plan
of institutional innovations of which the actions struc-
ture, for the thirteen next years, the agenda of deep
reforms of the water management framework of the
country. Its implementation should constitute the base
for the sustainable management of the water resources.
A national water committee was created in 2003
and is working. Gathering at the national level, the
administration at the national and local level, the tra-
ditional authorities, the water users (associations and
NGOs) and the technical and scientific organizations,
the committee assist the government in the definition
of the general objectives and orientations of the national
policy for a sustainable management of the water
resources.
At a local level, especially for the lakes of the dams,
to discuss and solve all the conflict points “local water
committees” have been settled.
In the case of the Bagré dam a local water commit-
tee was installed on 2005. This committee comprises:
– the local administration,
– the stakeholders (farmers, fishers, etc.)
– the electricity supply company.
All the water matters are discussed within this com-
mittee to solve problems at the local level and to share
and use wisely the assets constituted by the water
store in the lake.
At the regional level the dam is generating cooper-
ation between Ghana and Burkina Faso in the manag-
ing of the water resources of the Volta River. More
than that, the six countries sharing the Volta river basin
decided in December 2005 to create the Volta basin
67
authority to manage together the shared water resources
of the Volta river.
6 PRESPECTIVES OF DEVELOPMENT
Regarding that in the Sahelian Africa:
– the main rivers are transboundary rivers,
– the groundwater resources do not exit in important
quantities and are difficult to mobilise,
– the decreasing tendency of the rainfall.
It appears that the integrated water resources man-
agement methods will help a lot to manage the water
resources to satisfy the growing needs. And in this way
dams have a key role to play.
It is happy to notice that all the river agencies of this
region are revitalising and most of them have multi-
purpose and multinational dam projects.
REFERENCES
Towards Integrated Water resources management in West
Africa. Volume 1 Regional Synthesis. Proceedings of the
West African Conference on Integrated Water resources
management Actions plans. Ouagadougou, 29–31 October
2003.
Towards Integrated Water resources management in West
Africa. Volume 2 Country reports. Proceedings of the West
African Conference on Integrated. Water resources man-
agement Actions plans. Ouagadougou, 29–31 October
2003.
Réduire la vulnérabilité de l’Afrique de l’Ouest aux impacts
du climat sur les resources en eau, les zones humides et la
désertification. Eléments de stratégie régionale de prépa-
ration et d’adaptation. Madiodo Niasse, Abel Afouda and
Abou Amani. UICN – Bureau régional pour l’Afrique de
l’ouest.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Holistic approach to dam safeguard and reservoir operation in Sicily

M. Mauro
President of the Italian National Authority for Dams, Roma, Italy

G. Curto, S. Giunta, I. Melisenda Giambertoni & R. Jappelli

Consultant of the Regional Water Emergency Office, Palermo, Italy

M. Cassarà, D. Di Ferro, C. Gambino, M. Loria & F. Piazza

Manager of the Regional Water Emergency Office, Palermo, Italy

A. Catalano & V. Pascucci

Manager of the Italian National Authority for Dams, Rome, Italy

ABSTRACT: Concern about long-term performance and safety of a large dam population and need of search for
causes of defects (ageing, cracks, obstructions, siltation, landslides, pollution) arose dramatically in Sicily during
the last years. Hence, an exceptional effort aiming at the control of as much as 49 dams is in progress in a region
characterized by scarce and irregularly distributed rainfall. The operation of the relevant 47 reservoirs, which are
vital for the multipurpose water supply to the five millions inhabitants, depends upon the efficiency of these dams.
Removing the obstacles to the full operation of such a large reservoir system demands an unitary strategy. The
awkward enterprise is supported by a long-term action requiring integration of different aspects, selection of
human resources, overcoming of constraints and prejudices, attainment of public consensus, identification of
restraining factors and priorities, with due respect for a multi-millenarian cultural heritage.

1 PREMISES studies and experiments carried out by University

Water supply is a matter of increasing concern, even
in the most advanced countries, where full-grown bod-
ies of rules and widespread environmental sensitivity
govern such a complex activity. Recurrent crises
affect supply and demand for known reasons under
unpredictable circumstances.
A number of large dams create 1  109 m3 water
storage to the nearly 5  106 inhabitants of the largest
Island in the Mediterranean Sea. The relevant system
of reservoirs, almost completed during the XX cen-
tury, represents nowadays an invaluably rich heritage.
The administration of such an heritage deserves the
best care and involves great responsibilities concerning
both safety and safeguard. In fact, the difficult situation
prevailing in Italy owing to the fragmentation of author-
ities exhibits higher complexity in Sicily, on account
of the state of long lasting imperfect maintenance and
incompleteness of some water work systems.
The Symposium offers the opportunity of review-
ing the matter with remarks on the results of a
long course of efforts, thanks to the strenuous activity
of agencies and authorities. Achievements are due
to expert engineers and qualified firms, as well to
Departments.
Authors submit the paper with the conviction that,
in some circumstances, a synthesis, even though
apparently premature, could render a better service
than a number of detailed analyses.
2 RAINFALL AND FLOODS
The climate of Sicily is typically Mediterranean.
Long periods of drought are followed by intense pre-
cipitations concentrated in fall and spring, when rain-
fall attains 50% of the annual amount (Fig. 1).
The average annual rainfall over the whole surface
of the Island (26.000 km2) is of the order of 760 mm;
it varies from 1100 ÷ 1300 mm on the highest moun-
tains over passing the elevation of 3000 m a.s.l.
(M. Etna) to 300 ÷ 500 mm on the coastal plains. Rains
are often concentrated in a few weeks and cause occa-
sionally disastrous floods.
Watersheds divide the territory into three versants
V: in (NV) rivers flow in the Thyrrhenian Sea; the
(SV) mouths discharge in the Mediterranean Sea; the
(EV) waters are conveyed in the Ionian Sea.

69
Figure 1. Rainfall distribution in Sicily.
Figure 2. The small Grotticelli masonry weir; the original
artefact (1563) reconstructed in 1785 is in operation in the
fertile plain irrigated by Disueri (Photo C. Gambino).
With the possible exceptions of Simeto and Salso,
rivers are short but numerous. Their regime is inter-
mittent with long periods of dryness. The conspicu-
ous and brief floods are governed by the short length
of the rivers, the small catchments area, the bed steep-
ness, the soil permeability.
In Eastern Sicily the water regime is governed by
the Simeto, the major semi-perennial river of the Island.
The average Simeto rate of flow is of the order of
20 m3/s; it drops to some m3/s during summer time; it
attains some thousands of m3/s during the wet season.
Floods and relevant damages in Palermo area are
historically recorded (Villabianca 1743–1802).
3 WATER RESOURCES
Until 1950 cities and villages were supplied almost
exclusively by springs and wells. Resort for irrigation
was made to the same sources and to small derivation
works from the streams (Fig. 2). The annual average
volume flowing in the hydrographical net or feeding
70
Figure 3. A pastoral scenery along Pozzillo shores.
the underground basins is estimated 6  109 m3; 2/3
of the inflow are retained or lost for evapotranspiration.
Underground water contributes with 1  109 m3;
1  109 m3 is supplied by artificial reservoirs at max
level. The loss due to leakage from conduits or other
reasons attains up to 40% of the supplied amount.
The high number of reservoirs is related to the
minute subdivision of the hydrographical net in catch-
ments of small extension. The max capacity of the
reservoirs is small, ranging between 0.05  106 m3
(Mulinello) and 127  106 m3 (Lentini).
The water supply of cities, villages and industries,
and the development of a modern agriculture are
dependent upon the efficiency of the reservoirs (Fig.
3) and integrated distribution networks. The natural
lakes have no practical importance as resource.
4 SITES AND MATERIALS
In the extremely complex geology of Sicily three areas
should be distinguished. The oldest is the Peloritani
chain, where metamorphic rocks (gneiss, micaschists,
phyllites) prevail. A second defined area is the Iblean
table-land, mainly composed of carbonate rocks. The
third highly complex zone belongs to the Appennino-
Maghrebide chain, formed by units of hard and soft
rocks of different ages and characteristics. Volcanic
formations, basalts and pyroclastic rocks, stand out
mainly in the area of the active volcano Etna, the
richest natural underground water reservoir. Recent
soils of various grading are distributed along valleys
and plains.
The variously and intensively fractured rocks show
large dislocations and discontinuities; clays are inten-
sively tectonized and are affected by joints and fractures
to an extent that the material appears as an agglomer-
ate of minute scales.
Complex sites and unstable slopes are frequent.
Figure 4. Location and classification of large dams in Sicily (2005) (Computer Graphics by S. Conoscenti).
Seismic activity is relatively intense. Major earth-
quakes have been recorded in the last century (Messina,
1908, 11 R, Belice 1968 and S. Lucia, 1990, both 6 R)
with disastrous effects.
Dams are often sited on the complex soil/rock for-
mations of the third mentioned geological area,
resulting from intricate, but not necessarily disordered
associations of geotechnical units of different deforma-
bility and strength (Jappelli 1978).
On account of the situations, dams of height rang-
ing from about 10 to over 100 m, from early hand
placed masonry to modern rolled earth, were built.
Concrete dams are sited in the few propitious gorges.
Materials for embankment were quarried close to the
dam sites (Jappelli et al. 1988, 2005).
The water barrier is generally a core founded into a
clay formation; lacking suitable material, a bituminous
concrete facing has been designed (Castello, Olivo).
With an exception, where the core is inclined for
foundation reasons (Poma), the watertight structure is
in central position.
Embankment materials range from stiff fissured
clays, silts, sands and gravels of alluvial or detritic
origin to weak rocks, mainly calcarenite, sandstone or
evaporitic limestone of poor mechanical quality. The
core is frequently made of a fine grained alluvial soil
of medium plasticity (Disueri, Nicoletti, Villarosa),
exceptionally clay of high plasticity (Blufi, Rossella,
Scanzano) (Valore 1991) or simplified mixtures
71
(Guadalami, Rubino). Shells are formed with sand
and gravel of alluvial origin at Don Sturzo, Nicoletti,
Villarosa; detritus of assorted grain size at Comunelli,
Guadalami, Rubino; sand for Scanzano, Rossella; soft
rocks for Don Sturzo, Poma, Santa Rosalia, Trinità.
5 DAMS AND RESERVOIRS
The tradition of water regulation in Sicily dates back
to the Arabs (Jappelli 2005); but, the creation of
reservoirs with large dams has received a strong
impulse in the last century (Fig. 4).
The reservoirs are conceived with the aim of trans-
ferring an irregularly distributed resource to a time
appropriate to satisfy a continuous demand.
Initially the creation of reservoirs was governed by
the hydroelectric, afterwards irrigation or industrial
and recently hydro-potable demand. Nowadays, not-
withstanding a promiscuous demand, many plants are
still devoted to a single use.
Owing to the irregular rainfall distribution, water use
is conditioned by a pluriannual regulation. Hence, in
areas affected by severe water deficiency great import-
ance is attributed to junctions between reservoirs.
On account of the low ratio of reservoir to dam
volume, the unit cost of the stored volume of water is
generally high; however, the investments were found
still convenient (Fig. 5) owing to the intrinsic value of
Figure 5. Staged construction at Don Sturzo: (a) the embank-
ment, 1st, 2nd stages, (1), (2) max level; (3), (4) downstream
toe; (b) the morning glory spillways: (b1) 1st stage con-
struction (1965); (b2) the raised structures (1984).
the stored water and other benefits of the reservoirs
for land protection from (a) the sudden disastrous floods,
(b) the environment conservation, (c) the develop-
ment of recreational activities.
At present, the large dams in operation are 49,
nearly 9% of the national population (548). The 47
reservoirs regulate 1/6 of the Island’s surface flows.
The concentration of reservoirs in the south-western
part of the Island can be partly explained by the lack
of underground resource.
Most of the 33 out of 49 modern artefacts exhibit
special interest for the general design, the construc-
tion procedures, the interaction with the foundation
ground, the construction details.
Dams in Sicily are aged, because nearly 50% of the
population overpasses 50 years; the remaining group
is approaching 20 years.
The old Piana dei Greci operates since 1920–1930
for hydroelectric purpose (Mangiagalli, 1921). How-
ever, the majority of large dams was erected during
the years 1960–1980; among them the hollow but-
tress Ancipa overpasses 100 m.
A small pilot hydroelectric pumped storage plant
(80 MW) was installed by SGES at Guadalami in
1960 (Argiroffi 1961). After the nationalisation (1962),
ENEL accomplished the construction of a second
much larger (500 MW) hydroelectric pumped storage
plant nearby the Anapo river.
The performance of dams and reservoirs is essen-
tially governed by rainfall distribution, morphological
features, soil erodibility, mechanical properties of soils
of rocks, slope stability and seismic activity. These
factors are described by numerous parameters, which
are extremely variable, depending upon geology and
hydrology.
As a consequence, the dam population offers in
Sicily a variety of different structural types: concrete
72
Figure 6. The Pozzillo dam under construction in 1957 on
the river Salso; the dam body is composed of large concrete
blocks separated by joints filled with gravel.
(gravity, hollow buttress, arch), hand placed squared
masonry, concrete blocks with lubricated joints and
metallic facing, zoned embankments with central or
inclined core, homogeneous embankments with bitu-
minous concrete facing and diversion weirs. The choice
has been suggested mainly by the site features and the
availability of suitable materials within reasonable
distances from the dam sites.
The early rigid dams have been superseded by flex-
ible types, revealing a trend of conforming the struc-
ture to deformable site features. In the last fifty years
the progress of knowledge has promoted embankment
dams, that are nowadays about 75% of the total
(N
49); this ratio is much higher than the national
figure (181/548  33%).
In Western Sicily the arch gravity Rosamarina
(H
84 m) terminated in 1992 creates a storage of
93  106 m3 of great value for the deficient Palermo
City (Baldovin et al. 1991). In Eastern, the recent
Lentini (V
127  106 m3), encircled by an embank-
ment of the length of 8 km, has been created through
the conversion of a former natural lake. The supply is
ensured by the Simeto River, piped to the site by means
of a diversion aqueduct of 24 km.
Unconventional solutions for both concrete and
embankment dams can be found; among them, the two
old Fanaco and Pozzillo (Fig. 6) composed of large
concrete blocks separated by gravel joints with metal-
lic facing (Marcello 1957); the multiple line of seis-
mic defence for the embankments of Ponte Diddino and
Monte Cavallaro (Jappelli et al. 1988) and for the
internal diaphragm of Gualtieri.
The severe rainfall hypothesis imposed on design
floods bears much importance, in so far as the cost of
outlet works for embankments equals or exceeds the
Figure 7. Since 1963 a landslide is moving gradually into
the Ragoleto reservoir; the rate of displacement is correlated
to the rate of water level fluctuation in the reservoir (Musso,
Provenzano, Selvadurai, 2003).
cost of the dam body. In fact, according to the rules in
force, unprotected embankments should not be over
passed by floods; as a consequence, the max estimated
flood must be fully evacuated through the spillway
without the contribution of the bottom outlet, which
could be out of service. Moreover, experience has shown
that an overfall spillway is safer than a gated one.
Until about 1980, floods have been forecasted with
reference to a peak envelop of the events observed in
the Island. More recently a different criterion is fos-
tered, that is the tendency of referring the computation
to events with return periods of 1000 years. The selec-
tion of the most severe result after both criteria has
also been proposed. Diversion outlets are generally
assigned dimensions appropriate to evacuate floods
with return periods of 10 years. This criterion is not
sufficiently safe when the work is suspended for a
long period of time.
Notwithstanding the advanced age of dam popula-
tion, experience gained after long term observation
demonstrates a trend of excellent performance in agree-
ment with predictions (Croce et al. 1964), (Jappelli
et al. 1988). Major incidents during operation have not
been recorded; however, some defects with relevant
impact on the service level should be mentioned.
A syngenetic defect is under observation at Ancipa,
a 104 m high hollow buttress concrete structure in service
since 1950’s for hydro-electric production and hydro-
potable supply in Central Sicily. The defect concerns
essentially a spread state of cracking, progressing slowly
with time. Damage dates back to the original solution
dictated by the obsolete criterion of concrete saving.
Remedies after exhaustive discussions are (a) the
grouting of the cracks with resins and (b) the mitiga-
tion of the severe thermal gradient with an insulation
panel on the downstream face (Giuseppetti et al. 1997).
Slope instability has been a major problem during
construction requiring costly solutions. In some cases
the problem was solved by means of ante mortem meas-
ures (Blufi, Disueri, Garcia); in other situations the
matter required long interruptions and post mortem
provisions consisting of large earth movements and/or
stabilizing fills (Castello), drains of various types
(Nicoletti, Trinità), reconstruction of the abutments
(Laura, Pietrarossa) and installation of diaphragms.
During operation the slope movements demand
careful observation (Fig. 7). The 50 years old Disueri
73
Figure 8. The Disueri construction yard in 1990: the 
12,5 m shafts were sinked to 20 m through the sliding clay
mass around the left abutment as a stabilizing measure in
advance of the earth movements for the new embankment
replacing the damaged old masonry dam (right).
masonry dam (Contessini 1951) acted upon by a slide
(Vecellio 1960) has been dismantled after replacement
with a new embankment dam terminated in 1995 (Fig.
8) (Di Berardino et al., 1997).
In some cases (Arancio, Rossella, Villarosa) flaws
caused by corrosion, destruction, or minor mechanical
defects of the bottom sluice valves, or the spillway gates,
requiring replacement of some component, have been
registered.
Great importance is attributed to the efficiency of
junctions between strategic reservoirs. The enduring out
of service of the ancient water line between Ancipa
and Pozzillo creates concern, insomuch as this struc-
tural defect impairs the diversion into Pozzillo, where
water could be used for irrigation for the period esti-
mated for Ancipa’s rehabilitation.
Notwithstanding the relatively high seismic activ-
ity, only minor consequences of earthquakes to dams
and appurtenances have been registered so far even
for the most aged structures (Arancio, Piana dei Greci,
Rossella, Scanzano, Trinità) in operation at the time
and in the area of the last strong event (Belice, 1968).
At Piana dei Greci, the damaged original concrete fac-
ing was integrated by a metallic membrane after the
1968 Belice earthquake (Fig. 9). At Pietrarossa, the
S. Lucia earthquake (1990) was probably responsible
for a partial collapse of the outlet tunnel through a
structurally complex formation with consequences for
the stability of the right abutment of the embankment.
Sedimentation afflicts many reservoirs of the Island
(Fig.10); however, the phenomenon becomes an actual
problem in few cases, when the original reservoir’s
Figure 9. The installation of a metallic over the existing
concrete facing of Piana dei Greci hand placed masonry
dam after the Belice earthquake, 1968 (Vecellio T., 1969).
Figure 10. A conduit clogged by the sediments at Olivo.
volume is low and/or when siltation restraints the
efficiency of the bottom outlet.
Pozzillo has been affected by a gradual siltation
during its half century life with the result that at pres-
ent nearly 20% of the reservoir’s capacity is lost; the
bottom outlet can not be operated and the capacity is
further penalized, safety requiring that the water level
be kept well under the max. Comunelli was damaged
in Sept. 1971 by a severe sudden rainfall, causing the
filling up of reservoir (V
6  106 m3) in 8 hours;
rain impact on the downstream slope of the embank-
ment produced erosion of the earth protective revet-
ment; the silty sand flowing into the reservoir from a
very erodible catchments obstructed progressively the
bottom outlet (Fig. 11); restoration is under study.
Silt and vegetation invasion in the stilling basins
demands frequent maintenance (Fig. 12).
A non negligible general problem concerns the pro-
gressive transformation of the almost dry riverbeds
and pertinent downstream areas. Scarcity of rainfall,
rarity of water discharges, non compliance to laws
and rules, have caused the occupation of river beds
74
Figure 11. Sinkhole in the silt of Comunelli reservoir
under the action of the bottom outlet (Photo C. Gambino).
Figure 12. Removal of sediments and vegetation from
Nicoletti tailrace canal.
with increasing risk in the event of sudden water dis-
charge.
Notwithstanding the excellent performance, the
average operative level of dams and reservoirs is still
low (Fig. 4), owing to a number of minor structural
and/or non structural ascertained or faired defects
impairing safety. As a consequence, water level is kept
temporarily well below the max. Financial problems
and bureaucratic constrains slow down the application
of remedial measures.
The fully designed dams of class (D) are in a stand
by position, in as much as priority to rehabilitations has
been given; the enterprises (E) have been cancelled,
even though nowadays the relevant technical reasons
could be overcome.
6 WATER QUALITY AND WATER SUPPLY
The overall current demand of water in Sicily is of the
order of 1  109 m3 (hydro potable 60%  irrigation
30%  industrial and hydropower 10%) with an
increasing tendency. The water supply from reservoirs
satisfies 10 ÷ 15% of the hydro-potable and 50% of
the irrigation demand. The demand in some well known
tourist localities during the summer season increases
dramatically.
The resource covers the request, provided the arti-
ficial reservoirs be efficiently operated on the basis of
a long term regulation.
An index of the overall efficiency of the reservoir
system can be expressed in % by the ratio of the aver-
age volume of water actually accumulated over the
theoretical capacity; such an index has increased in
the last four years from nearly 25 to more than 80.
The main aqueducts are supplied by artificial reser-
voirs, which in Southern Sicily are not sufficient and
must be integrated by desalination plants; the same
measure is being adopted for the small islands (e.g.
Pantelleria), where it is intended to replace the old
costly transportation by means of water supply ships
(Curto et al. 2004).
The surface water intended for hydro-potable pur-
poses requires as a rule ordinary physical, chemical,
and disinfection treatments (Dlgs, 2001).
The surface waters used for irrigation are generally
of fairly good quality, with the possible exception of
some rivers, like Salso and Platani, crossing the ges-
soso solfifera formation; in limited stretches of their
course, waters exhibit a medium-high salt concentra-
tion. However, the last is seldom so high as to prevent
its use, provided that cultures, cultivation modes and
irrigation techniques be suitably chosen on the basis
of the long-lasting local experience (Fierotti 1975).
Use of water for irrigation is not regulated, but the
matter has been the subject of several scientific and
experimental studies. Results show that for a rigorous
approach a number of intrinsic (physical, chemical,
microbiological) and complementary parameters (soil
type, culture qualities, irrigation modes and periods )
should be considered. It follows that the variety of situ-
ations encumbers the issue of a guideline. In actual
cases, the problem can only be approached on the
basis of acquired experience. Risks of the use of
unsuitable water for agricultural development, sanitar-
ian consequences, environmental impact and damage
to installations or equipment are possibly evaluated.
Consideration of polluting agents is necessary.
In the frame of a general water saving program for
civic and agriculture uses, care is given to an appro-
priate evaluation of demand, a severe delivery sched-
ule, a rigid control of actual withdrawal.
7 LEGISLATION AND ADMINISTRATION
Design and construction of dams are regulated in Italy
by a Code issued in 1959 and revised (Min. LLPP 1982).
75
Figure 13. The quarry for the rockfill of Poma in 1963–68.
The Code has the force of law over the Italian territory.
A central authority is entrusted to its observance and to
the surveillance of dams and appurtenances. In the
Code, great attention is paid to safety under very severe
conditions during design and construction stages; but,
the governance of the existing ageing dam population is
not sufficiently considered. The problem of safeguard-
ing water resource and environment is neglected.
Items not considered in the Code are dealt with in
successive ordinances issued by different national
authorities in different times; among them, the effects
of hypothetical dam failure on downstream areas
(1987, 1989), the verification of existing dams under
seismic actions (2003), the criteria for reservoir man-
agement plans (1999, 2004).
The relevant additional provisions accumulate in
front of owners, managers and concessionaires in a
somehow inorganic, incomplete and even contradictory
set. Dam operators are waiting for a clear and organic
treatise of the whole matter. Actually, the Italian Dam
Code is obsolete under many respects, so much that it
is being revised.
In AA. opinion, the very complex matter should be
reconsidered under a new holistic approach founded on
analyses of known consequences of the so far experi-
enced defects. Moreover, the unrestrainable tendency to
compile very strict codes should be mitigated and much
of the material better left to flexible recommendations.
The Regional Government operates in autonomy
in the realm of many administrative items (Special
Statute, 1948). The concessions for “small intakes”
(Q  100 l/s) are under jurisdiction of the Region; the
“large intakes” (Q  100 l/s) are assigned by the
Ministry of Environment.
The Region itself has promulgated a law (1980,
1991) dictating a generalised interdiction to the quar-
rying activity (Fig. 13); the measure, intended primar-
ily to the environment’s protection, has caused the
abrupt interruption of the construction of some large
embankment dams.
The initiative concerning the operation of the numer-
ous existing small dams is left to the Parliament of
Sicily since 1983, which nevertheless has not yet con-
fronted itself with the problem.
8 SOCIAL ASPECTS
As in the rest of Southern Italy, social progress is
strictly dependent in Sicily on water control for human
uses. In fact, water shortage has always prevented
sound urban expansion, modernisation of agriculture,
increase of tourism.
However, during the last century, the community
has undergone some major transformations; the steps
of these transformations should be mentioned on
account of their relevant impact on the subject.
The first step is the agricultural reform, actuated in
1950 with the goal of (a) restoring the productivity by
allotting the abandoned large estates to the farmers
and (b) revising the rural legislation. The reform was
followed by an increase of water demand. The demand
was partially satisfied by the construction of reser-
voirs and water-works during the years 1960–80 with
the support of the Development Fund for the South, a
post-war Agency for the promotion of the southern
regions.
A second step falls at the time of the nationalisa-
tion of the formerly private production of electrical
energy. This significant transformation stimulated pub-
lic investments for an industrial program partially car-
ried out by the Region itself.
The third critical event was the abrupt cancellation
(1993) of the Development Fund for the South. The
consequences of this improvident measure were the
interruption of the financial flow pro many promising
enterprises, the closure of some large yards at various
stages, the extinction of an experience lasting half
century (Jappelli 1998).
The impact of these recurring events is marked by
the fact that some reservoirs initially conceived for
hydro-electric production, were converted to irriga-
tion, to the detriment of the former, which was gener-
ally shifted towards the irrigation season.
In the mean time, the demand of potable water also
increased; therefore, the hydro-electric production was
necessarily conformed to this new primary requirement;
e.g., the centrally located.
Villarosa reservoir was originally conceived with
the aim of supporting the mining industry. After the
crisis of this activity its use was discontinued. Owing
to the fact that its water (NaCl  400 mg/l, NaS04 
700 mg/l) is not suitable for irrigation, an hydro-
potable use after adequate treatment is considered.
This conversion would meet the predictable precari-
ousness of the operation of either of the three impor-
tant aqueducts connecting in a strategic junction in
central Sicily.
The first signs of an awareness of the non second-
ary role of reservoirs for the hydraulic defence of the
territory can be caught. Consensus (Consiglio 1991)
is increasing as indicated also by an incipient recre-
ational activity in some reservoirs.
76
In spite of the evidence that natural agents have
progressively mitigated the negative effects of large
excavations, the environmental impact of the quarries
for some large embankment dams is the subject of
lively discussions, irrespective of promising modern
renaturalisation measures.
9 CONSTRAINING FACTORS
The governance of the dam population of Sicily is
constrained by some general and local factors.
The first group of questions arises from the dam
age, reaching by now half a century in about 50% of
the population. Age involves known defects (ICOLD
1994); it affects primarily concrete structures and
metallic appurtenances. Moreover, it is felt that the
concept of ageing should be generalised to include in
a system catchments, reservoirs, slopes, downstream
river beds; design and execution criteria should also
be included in the definition, owing to the fact that aged
structures do not possibly comply with modern rules.
A second dramatic constraining factor is the interdic-
tion of the quarrying activity. This constraining measure
obliges either to reconsider some interrupted enterprises
or to search for acceptable reasons for a derogatory.
A third problem is Archaeology. Whoever under-
takes a whatever large construction in Sicily should
account for the actual possibility of an accidental dis-
covery of archaeological remains of a multi-millenarian
culture. Such an event hampers since 10 years the com-
pletion of the almost terminated Pietrarossa embank-
ment dam (Fig. 14). For the same reason, building
activity has been prevented with costly consequences
even in the case of a fuzzily forecasted finding at Piano
del Campo.
The last constrains and delays originate from the
adjustment of water uses; these inexorable transforma-
tions have created harsh conflicts among hydro-potable
Figure 14. Archaeological traces on the bottom of
Pietrarossa reservoir; in the back, the uncompleted embank-
ment dam.
and irrigation users. The relevant damages have been
partially restored to the parties with still unsatisfac-
tory results. Junctions between reservoirs attenuate
the problem.
Conflicts and onerous disputes between contract-
ors and concessionaires date back also to the sudden
interruption of the construction programmes; the
general lack of local experience in the surveillance
and management activity is a source of controversies
between concessionaires and National Dam Authority.
An overall analysis of the main defects with a rele-
vant classification (e.g. syngenetic vs. acquired, per-
manent vs. temporary, ascertained vs. presumed,
physiological vs. pathological) has been recently
attempted (Jappelli 2004).
Likewise in the rest of Italy (Angelucci et al.
2000), the multi-faced constrains have dramatically
slowed down the rate of dam construction.
10 THE STRATEGIC APPROACH
The word Holism, derived by the Greek hólos
(whole), designates a biological theory assigning to
an organism in its entirety a degree of completeness
and perfection much higher in comparison with that
resulting by the sum of its constituents. The concept
of prevalence of the entirety over the single elements
has been progressively extended from science to
human and social areas. Holism in dam engineering is
appropriately mentioned among the questions of the
Symposium; as a matter of fact, an holistic approach
should always be recommended when safe and effi-
cient operation of reservoirs, in regions suffering
periodical water shortage, is seeked. In such an
approach the reservoirs are conceived as subsystems
Figure 15. The appeal of dams in Sicily is increased by the
proximity to monumental sites: the tailrace canal od the new
Disueri dam integrates harmoniously in the environment of
M. Canalotti necropolis (Photo C. Gambino).
77
of large complex physical systems including catch-
ments, dams, appurtenances, slopes and river beds,
junctions and environment (Fig.15).
The attainment of an optimum efficiency requires
the consideration of a variety of local and territorial
factors proper to different areas of knowledge; among
them, the factor temporarily preventing the actual
operation should be identified and its removal given
priority in the governance of the system.
The Water Emergency Office, created in Sicily under
the pressure of periodical crises, operates under diffi-
cult boundary conditions concerning recurrent short-
age of water, need of ensuring safety to the discontinued
constructions, urgent demand of maintenance, vanish-
ing education of managers and technicians, dilemma
between private and public management; but the work
in progress is supported by the conviction that the role
of artificial reservoirs will grow in importance for the
conversion of old social habits and of primitive agri-
culture traditions into modern approaches.
Solutions are searched in the light of experience
gained by full awareness of past errors, in the faith
that the necessity of long term efforts be realized by
the public opinion. A strategy based on actions inspired
by three rules is contemplated, even though constantly
adjusted on an observational basis.
Primarily, a continuous stimulation to peripheral
agencies responsible for the operation of single reser-
voirs has been actuated .
Equal importance is given to a strenuous endeavour
aiming at unifying efforts of the local Water Emergency
Office and the central Italian Dam Authority; the for-
mer is primarily concerned with safeguarding water;
the second is responsible for safety; joint efforts are
felt essential.
The third attempt concerns the progressive trans-
formation of the conventional into an overall approach.
The conventional approach involves that measures be
left to different agencies operating with distinct cri-
teria imposing by institutional duties or goals, contin-
gent financial capacities, or others. With an holistic
approach the actual best measure is chosen on the
basis of a lump consideration of the circumstances
progressively entering into the problem of identifying
the governing parameters.
Such an approach requires that new concepts about
drought be accepted by the community. Water short-
age should actually be attributed partially to natural
causes deriving “strictu sensu” from lack of rainfall,
high temperature and/or moisture deficiency, and partly
to intrinsic defects of reservoirs and distribution sys-
tems, deficiencies of management and to an increas-
ing water demand.
In fact, the experience of the water emergency
governance in Sicily demonstrates the need of a defi-
nition of a “drought severity index” accounting for
demand from one side as well as supply from the

Figure 16. Since ancient times Sicily has been a “reservoir
of diversities” fostering the dialogue among civilizations, as
testified by the inscription in four languages (Hebrew,
Greek, Latin, Arab) over a tombstone in the Zisa, Palermo.
other; such an holistic approach would require appro-
priate parameters to weight and characterize natural
and anthropic defects of different origin.
It is felt that a careful unified consideration of such
parameters could possibly result in a better gover-
nance of the system and in a global benefit for the
balance and adjustment of remedial measures.
On account of the fact that the present system
enables the regulation of merely 20% of the average
surface flow, the improved operation of the existing
plants, the expansion of the relevant junctions, and the
creation of new reservoirs, could largely contribute to
the economic and social development of the Region.
The proposed holistic approach conforms with the
history of constructions in this extreme part of Europe,
crossroads of dialogues and conflicts of populations of
different origins, creeds, and languages in the centre of
the Mediterranean Sea (Fig. 16).
ACKNOWLEDGEMENT
The far-seeing action of General R. Iucci, former
Commissioner for the Water Emergency in Sicily, is
warmly acknowledged.
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nell’Italia Meridionale ed in Sicilia. Rassegna dei carat-
teri meccanici delle formazioni argillose di base. XIII
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ICOLD, Q63, R23.
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completamento delle dighe. ITCOLD, Roma, 22 maggio.
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dighe in Italia. RIG, XXXVII, 2, aprile-giugno.
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Dighe. Acc.Lincei, 26 Febbraio, L’Acqua 1, 2005.
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A. 1979. Behaviour of a core spillway block contact during
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Mangiagalli, L. 1921. Dighe in muratura a secco e sbarra-
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di un decennio di vita E.S.E..
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Simp. Int. dell’Acqua, Cannes.
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gestione del rischio di deficienza idrica. L’Acqua 3.
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Valore, C. 1991. A tectonized variegated clay as core mate-
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Vecellio, T. & De Pellegrin, P. 1969. Intervento eccezionale
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 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Analysis of the viability of dams and their alternatives –

The case of Cyprus

S. Stefanou & K. Kyrou

Water Development Department, Nicosia, Cyprus

ABSTRACT: Water in Cyprus is a scarce recourse and its only source of replenishment is rain. The development
of the surface water resource and the construction of dams has been a major target in the last fourty years of the 20th
century. Currently the island has one of the highest concentrations of large dams in the world. Undoubtedly dams
had a major contribution to the development of the island in the sectors of agriculture, domestic water supply,
tourism and industry. A retrospective examination of the outcome of this policy shows serious deviations from the
targets originally set at planning stage. The recent reduction of rainfall, the adoption of sea water desalination,
the underutilization of irrigation schemes, the urbanization of the countryside, the difficulty of adding treated
water to the water equation balance as well as issues of social equity, are discussed and analysed in this paper.

1 INTRODUCTION variable, being as low as 300 mm in the central plains

and reaching 1200 mm on the Troodos mountains.
Cyprus is the third largest Mediterranean island with Records since 1900 show a significant annual vari-
a typical semi-arid climate and without any rivers of ability in rainfall with dry years recording as low as
perennial flow. Water is thus a scarce resource. The few 42% of the average annual amount. Most important,
aquifers of the island, have been exploited in an unsus- the records show 2 to 3 consecutive dry year periods.
tainable manner and they started to show signs of Recent records show a substantial reduction in precip-
depletion and sea intrusion since the early 1960’s. itation and average values in the past 30 years indicate
The government of Cyprus recognized very early, that this reduction is of the order of 14% compared to
after independence in 1960, that water was a necessary the first seventy years of the 20th century (fig. 1). The
ingredient for development and the exploitation of diachronic variation of rainfall does not only have an
rain, the only remaining source of water, was a matter affect on the surface water resources but it has an ampli-
of urgency. It embarked on a major dam building pro- fied effect, since the relation of rainfall to runoff is
gramme which started being implemented in the 1960’s not proportional. This is clearly demonstrated by the
and reached a peak in the 1980’s. Today, Cyprus has generalised Cyprus rainfall to runoff variation diagram
the highest concentration of large dams in Europe.
The development of surface water resources was
expected to rectify the situation, provide water supply
for the increasing population and its increasing per
capita demand due to higher living standards and for the
rapidly rising tourist industry. But above all, it was
intended to vastly expand irrigated agriculture, which
was profitable at the time (citrus and potatoes, fruits,
vegetables, etc). However several problems appeared to
forestall such expectations, not anticipated at the plan-
ning stage.

2 PRECIPITATION

The yearly precipitation in Cyprus is low, averaging Figure 1. Cyprus annual precipitation. (Area under Gov-
500 mm over the entire area of Cyprus, but highly ernment control).

81
Figure 2. Generalised rainfall to runoff relation diagram for
Cyprus (after Kypris, 1995).
in Figure 2, presented by Kypris (1995). The diagram
was based on riverflow-rainfall records between 1965
and 1995 and demonstrates that normal rainfall pro-
duces 87% of average runoff. At the beginning of the
century when rainfall was 14% higher than normal,
runoff was 132% of average, i.e. the surface water
resources at the beginning of the century were about
50% more abundant than today.
Cyprus has good rainfall records since 1900, but
runoff records, were obtained after 1965, with the intro-
duction of measuring weirs on many streams. However,
even a few years of runoff records suffice to give a good
idea of runoff patterns by coupling them with rainfall
data through hydrological models.
3 IMPLEMENTATION OF DAM PROJECTS
Most dam projects in Cyprus have been sized to cope
with two years drought periods and their capacity is
2.0 to 2.5 times the average yearly runoff. The feasi-
bility studies for most of the dams were carried out in
the 1960’s and 1970’s when average precipitation in the
government controlled areas was about 540 mm. In the
occurrence of 3 year drought periods, like in 1931–33
and 1971–73, operation models show that in the third
year, the dams would empty and the whole system
would enter a severe crisis. With a reduced supply
from the dams, so that they could cope with 3 year
drought periods, the projects would have become
uneconomic. It was considered that, in view of the
rare occurrence of these consecutive drought periods,
these could be ignored on the pretext that the proba-
bility of these drought periods occurring within the
40 year economic life of the projects, was very small.
This approach received the approval of the funding
organizations, like the World Bank.
At the time the water projects were formulated i.e.
in the 1970’s and 1980’s, there were already some signs
of a tendency for a decrease in rainfall, but there was
82
Figure 3. Storage curve of major dams.
insufficient evidence of this tendency and most impo-
rtantly a link to climate changes. In retrospect, the
decrease of rainfall of about 14% since 1970, resulted
in a decrease in runoff of about 40%. So in effect the
projects, which were designed to cope with higher
demands, had collapsed when the dry decade of the
1990’s arrived. This is demonstrated by the very low
storage in the dams during this period (fig. 3). It is
important to note that it was not so much the large
number of dry years of that decade that gave rise to
this collapse, but the absence of wet years. In any
decade it is expected to have 3 dry years, 4–5 average
years and 2 to 3 wet years. If these wet years are
replaced by average years, then dams simply do not
stock up the water needed to cope with multiple dry
year periods.
The normal way to face such crises would be to
extract more groundwater, which would have a cush-
ioning effect on such natural variabilities. However,
when this crisis arrived, there was little groundwater
left and the aquifers were strained even more.
4 DESALINATION
By the 1990’s the concept of climatic change was being
accepted worldwide (Obesi, 1997). In Cyprus this phe-
nomenon was widely publicised and a continuous
decreasing pattern of rainfall was predicted. The graph
showing a decreasing best fit straight line in figure 1
was widely used. Such a behaviour on the part of nature,
implied that the island was heading towards desertifica-
tion. The only way to address the issue was to safeguard
the water supply of all urban areas by desalination.
Under conditions of panic and urgency, no proper study
was carried out to formulate this policy.
The first desalination plant of capacity 40,000 m3/
day was installed at Dhekelia, on the south eastern side
of the island, in 1997 and another plant of capacity
52,000 m3/day was installed in 2000, near the city of
Larnaca. The drive to install more plants in Limassol
and Paphos was forestalled by reactions from environ-
mentalists, who claimed that this policy was unsust-
ainable and alternative measures could have been taken
to manage the water resources, before arriving to the
solution of desalination. There were also strong reac-
tions from locals in relation to the installation of plants
in their vicinity. This policy was finally abandoned after
a series of 3 wet years that resulted in overspilling of
nearly all the dams in 2004.
5 THE IMPLICATIONS OF THE
DESALINATION POLICY
The policy of covering all urban centers with desal-
inated water implied that most of the surface water
resources of the island were in effect allocated to agri-
culture. The average citizen, who is a town dweller, and
as a taxpayer had paid for all the infrastructure (dams,
conveyors, treatment plants), was thus deprived of his
rights on the most important natural resource of the
island. Also, as a result of this policy two treatment
plants were shut down and one, just completed, was
working at a fraction of its capacity. The beneficiaries,
the farmers, who were traditionally been heavily subsi-
dized by the state, were in effected encouraged to con-
tinue to produce non-marketable products, using water
that is indirectly produced with an expensive process,
which also causes CO2 emissions. Clearly this policy
violates the principles of equity, social justice and sus-
tainability. In addition, the city dweller pays for the
desalinated water very dearly and subsidizes irriga-
tion water. With the exception of the environmental-
ists, the average citizen did not react to this policy as
the supply of desalination water followed many years
of curtailment of water supplies to most of the urban
areas.
An important implication of desalination policy is
related to the way the contracts for the desalination
plants were set up. The desalination contracts were
based on a BOT (Build Operate Transfer) agreement,
whereby the contractor would sell water to the gov-
ernment for 10 year periods, irrespective of the actual
needs. In adopting this policy it was taken for granted
that dams would never fill up and that the supply of
water from the dams would augment desalinated water
supply.
The assumption of a continuous decline in rainfall
was proved wrong however, during the winters of
2001–2, 2002–3 and 2003–4 where significant river
flows resulted in overspilling of the dams. Due to pub-
lic reaction, one of the contracts was recently revised
and the new contract for the first plant, at Dhekelia, pro-
vides for stoppage of production when the government
decides, and also for mutual benefits from any impro-
vements in desalination technology. With this new
arrangement, desalinated water becomes auxiliary to
83
the water supply from the dams and not the other way
round.
6 THE ROLE OF RECYCLED WATER
The only resource that has a good prospect for aug-
menting the water resources of the island, is recycled
water. Wastewater treatment plants are expected to
cover all towns, in line with the relevant European
Directive and there are plans to expand them to cover
all urban and certain rural areas. While part of the
water that is presently produced is used for irrigating
green areas of the towns, the intention is that the bulk
of the water will be used in existing irrigation areas of
government schemes, thereby improving the water
balance. This is done to a small degree at present, but
larger quantities will be available in the forthcoming
5–10 years. In this way, less surface water from the
dams will be allocated to agriculture and more water
will thus be made available for water supply. As a result,
water produced through the expensive and unsustain-
able desalination process, will be reduced.
The task of substituting surface water with recycled
water, is a difficult one. This can be done either in
times of water shortage or by treating the recycled
water to such a degree, so that its quality is at least
comparable to the quality of water from the dams. The
success if this endeavour in the near future will depend
on many factors, including acceptance of treated water
by the public in general.
An alternative to the direct use of treated water, is the
recharge of aquifers and the reuse in existing irriga-
tion schemes. There are difficulties however as, there
is opposition by locals to this solution, as they clearly
prefer surface water. Another difficulty, is due to the
fact that not all aquifers can be recharged in this way.
With the reuse of treated water, not only will there
be savings from desalination but the burden on the
dams will decrease and the reliability of supply will
increase.
7 DAMS AND COUNTRYSIDE
URBANIZATION
For most dams projects, water supplied for irrigation
represents 50 to 100% of their yield. Irrigation implies
land consolidation, and construction of roads, piped
irrigation systems and modern on farm equipment,
such as sprinklers. In this regard Cyprus has been in
the forefront of economic utilization of water. However,
some of the irrigation schemes have been grossly
underutilized. One of the reasons was the diminished
water supplied from the dams in drought years, but
other more fundamental reasons point to totally differ-
ent directions. These include the reduced profitability
of agriculture, alternative employment in other sectors
of the economy, such as tourism, but also reasons such
absentee land owners. As a consequence the demand
for water on some of the dams has reduced, and during
droughts the crisis is less severe compared to the case
of complete utilization of the networks.
One would expect that demand for new irrigation
projects involving dam construction (where there are
still streams available for damming), would diminish
with time. Far from it; the coverage of the land with
irrigation systems increases land value several times,
not for its agricultural production capabilities but for
resort housing availability. It fulfills the dream of
many Cypriots to own a resort house with an orchard,
where they would be able to escape from the town
during weekends and on vacation periods. They like
to have their own produce and do not bother about
commercial cultivation. Also, large parts of the irrigated
land is being sold to developers who build houses for
renting or selling to foreigners, who like to retire on
the island (Fig. 4).
The tendency of course for urbanization of the coun-
tryside exists, even in areas without irrigation water, but
its supply through a proper irrigation network, speeds
up such development, considerably.
Another side effect of the water policies pursued, that
violates the principle of social equity, is the fact that
the average citizen who resides in towns and who pays
of the taxes that finance water, gets no real benefit
from these developments. The prime incentive of those
demanding the implementation of new water projects,
is the increase of land value and in effect, their imple-
mentation benefits those who have land and excludes
those who do not. The collapse of the stockmarket in
2000, has also exacerbated the situation, as people con-
sider buying land as a better investment. Irrigated land
has become prohibitively expensive for agricultural use
and truly professional farmers cannot afford to increase
the size of their plot to make it move viable. One of
the route causes of this phenomenon is lack of taxation
and also the flexibility of the law, that allows people
to build on agriculture land.
Figure 4. Direction signs for villas and tourist developments
in an irrigation scheme.
84
Thus, while all water projects with an irrigation com-
ponent, would by all economic standards be considered
a failure due to underutilization, by considering the
property increase of the land they are a huge success.
It is not however a policy or a practice that is envi-
ronmentally sustainable, but it can not be easily
reversed, not only due to objections of the land owners
but also the reaction from land traders and other related
professionals.
8 ENVIRONMENTAL EFFECTS
Most dams were built at a time when there were no
requirements for environmental impact studies. There
is no doubt that things could have been done in a better
way. The application of the Water Framework Directive
is expected to rectify to some extend this deficiency.
Despite the damage done to the river valleys from
the construction of the dams and the prevention of
water from flowing downstream, the benefits are sig-
nificant. Cyprus has acquired freshwater lakes where
none existed. These are a heaven for aquatic birds,
and provide amenities for the population such as fish-
ing and picnicking. They also bring closer the local
people to their most precious resource. A lot of areas
have greened up as a result of irrigation from these
dams, in an island, which is normally dry outside the
forest areas in the summer. Helicopters often use water
from the dams to fight fires in nearby areas that break
up every year.
Dams constitute an instrument of water control, that
if used wisely can benefit the environment as they can
make available water in the dry season for the ecosys-
tems that did not exist before dam construction. It is
expected that with the application of management plans
on a basin wide basis as per the Water Framework
Directive, the benefits provided by the dams will be
even greater.
9 CONCLUSIONS
Dams are essential for the utilization of the scarce and
hence precious water resources of the island. However
dams by themselves can not cope with the variabil-
ity of rainfall and stream flow, to supply a reliable
quantity of water. As groundwater bodies have been
depleted, the only way to ride off multiyear droughts,
is the use of desalination as a complimentary means.
Recycled water reuse is also extremely helpful, as it
can improve the water balance without creating more
demand.
Dams have helped increase irrigated agriculture but
not to the extend planned. The viability of a lot of irri-
gation crops and practice is in doubt due to low prices.
On the other hand dams have contributed to the
urbanization of the countryside, as the irrigation areas REFERENCES
facilitate construction of resort houses.
Future water policies and water resources manage- Obasi, G.O.P. 1997. Climate change and fresh water man-
ment, must address social issues such as social justice agement. Hydropower & Dams, issue Four: 33–38.
and equity and must take into account the fact that Kypris, D.C. 1995. Diachronic changes of rainfall and the
water resources of Cyprus. Tsiourtis (ed), Water resources
water is a resource belonging to everyone and not just management under drought or water shortage conditions:
the people who have land. 11–18. Rotterdam: Balkema.
Dams have improved the landscape of Cyprus by
providing freshwater bodies and greening dry areas.
If used wisely the environmental benefits will far out-
weigh the negative effects.
No one today, can imagine the island without dams.
They have been firmly entrenched in the life of the
people of Cyprus.

85
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Reservoirs and their role in economical and social development of

Tajikistan and Central Asia region

I.Sh. Normatov & G.N. Petrov

Institute of Water Problems, Hydropower and Ecology Academy of Sciences, Republic of Tajikistan,
Dushanbe, Tajikistan

ABSTRACT: Reservoirs, as implement of regulating water flow, were built from the ancient times, are built
now and of course will be built in future too. But in this case, in each historical period and in each region they
differed with their peculiarities and served for differed function. Therefore it is very important to look into this
question – to determine significant of reservoirs and their role in social life in our time, when from one side
technical and technological possibilities and opportunities of his interference on nature have extremely
increased, on the other hand deficit of drinking water and access to it by population in many regions of the world
have suddenly become aggravated and continued to increase. Taking not upon oneself the tasks on working out
any absolute estimation and criteria role and place of reservoirs in the work to consider only one country –
Tajikistan, and region, where it is situated – Central Asia. But this about we mentions that turned out situation
here and existing problems in many respects are typical for another countries and regions.

1 INTRODUCTION The general established capacity of all power stations in

Water basins as the tool of regulation of a river drain
were constructed by people since the most ancient times,
are constructed today and, certainly, will be constructed
in the future. But thus, during each historical epoch and
in each region they differed the features and carried out
different functions. In all Central Asia and in Tajikistan
the basic branches consuming and using water resources
are irrigation and water-power engineering.
Occurrence of irrigated agriculture in the Central
Asia concerns to the sixth – seventh century B.C. Since
then and down to present time its role constantly raised,
the irrigated areas increased, methods were improved.
At the beginning of 20-th century in region it was
already irrigated about 3,5 mln. ha. Especially the
intensive development of irrigation in region began in
the period of U.S.S.R. (basically from 60 till 90th
years). In result, by ninetieth years the general area of
the irrigated grounds in region has increased up to 8,8
mln. ha, including:
– In Uzbekistan – up to 4,2 mln. ha
– In Kazakhstan – up to 2,8 mln. ha
– In Kyrgyzstan – up to 1,1 mln. ha
– In Tajikistan – up to 0,7 mln. ha
The same sharp growth during the Soviet period was
observed and in energetic. It is possible to note, that
as a matter of fact, since 30th years of our century, in
region has been created electric power industry com-
pletely new to it the modern key of economical branch.
region has reached to the middle of 90th years – 37,8
mln. KWt., including:
– In Uzbekistan – 11,3 mln. KWt
– In Kazakhstan – 18,5 mln. KWt
– In Kyrgyzstan – 3,8 mln. KWt
– In Tajikistan – 4,4 mln. KWt
Unfortunately, all of these impressing results have
led to the same large negative consequences. Intensity
of processes of an ecological balance disruption in the
region, especially strongly shown in a zone of Aral sea
has sharply increased, also has increased salinization
of the land and their desertification, has worsened the
quality of water, practically in all sources. Thus,
by 70-th years, water resources of a river basin of
Syr-Darya appeared almost completely exhausted.
During the existence of U.S.S.R. circuits of use of
water pools were developed and specified repeatedly,
with attraction of tens design and scientific research
institutes, on scientific base. Examination of them
was carried out at all levels, both in the central depart-
ments, and in all republics.
2 CURRENT PROBLEMS OF WATER
RESOURCES IN CENTRAL ASIA
As evaluation of quality of these works can serve that
their base – water balances use till now, practically
without serious changes.

87
 It has not been missed in problems of use of a drain nature on the one hand have sharply increased, and on
of water resources of region and a problem of the Aral the other hand – it was sharpened and deficiency of
Sea. It was clear to developers, that its volume will be fresh water and access to them of the population in
decreased sharply. But the decision was accepted proved many areas of the world continues to grow.
economically navigation, fish and other accompanying First of all, it is necessary to note, that both water,
economic branches for the benefit of cotton breeding. and power resources are distributed in region extremely
The question has been considered also salt at the drying non-uniformly (Tables 1 & 2).
of Aral sea; it was supposed, that it will depart joint with The relation of total amount of resources and vol-
water. umes consumed annual energoresource gives represen-
Thus, the problem arise not that enough attention, tation about a level of water power provision region of
that it was not given. Simply it was very difficult, con- the data views of mineral fuel (the period of exhaustion
nected to deep and sharp changes in all branches of a of a resource). On the reconnoitered stocks of coal
social and economical life. Also was too great the belief time of their exhaustion made more than 600 years on
in opportunities and power of the person in “to struggle oil – 65 years, to natural gas – approximately 75 years.
against the nature”. In a history of mankind there are no It is much higher then world middle parameters.
similar examples. Besides, all this was aggravated with The same concerns and to water resources. And
a demographic situation in region – sharp growth of the here, in addition to territorial non-uniformity of their
population. distribution it is added also time. Fluctuations of last
After obtaining in 1991 all republics of U.S.S.R. of shows, are very essential – minimally observation of
independence and the state sovereignty, the situation water (and, hence, and manufacture of the electric
with use of water-power resources in region has even power) can be in 1,8 times less maximal and in 1,3
more become complicated. To problems existing dur- times less average. Moreover hydraulicity of the rivers
ing the U.S.S.R. were added new. It has essentially is poorly predicted.
changed logic of managing, criteria of acceptance of Joint and effective utilization of water resources of
economical decisions in region. the Central Asia having transbordering character for all
Therefore it is very important to understand with possible purposes: irrigation, water-power engineering,
this question – to determine value of water basins and protection against high waters and so forth it is possible
their role in a life of a society during our concrete only by means of construction of large water basins.
time when technical and technological opportunity of Thus there is a lot of questions of legal, economical,
the person and opportunity of its intervention in the technical, ecological and administrative character.
It is very important, that interstate relations between
Table 1. Formation of water resources of the countries of the countries of the Central Asia in questions of sharing
the Central Asia, km3/year.[1] of water resources developed within the framework of
international law. Unfortunately, there are many indef-
Basin of Basin of Total on initeness in this question.
Amudarya’s Sirdarya’s basin of The concept of “transbordering waters” according to
Country river river Aral’s sea
Helsinki “Conventions on protection and use of trans-
Kazakhstan – 4,5 4,5 bordering water-currents and the international lakes”
Kyrgyzstan 1,9 27,4 29,3 (1992) is determined, as any superficial or underground
Turkmenistan 62,9 1,1 64,0 waters which designate, cross borders between two or
(with Iran) pains the states or are located on such borders ….
Uzbekistan 4,7 4,14 8,84 This definition is not settled and standard in world
Afghanistan 6,18 – 6,18 practice. All of this makes ambiguous reference of the
Total 78,46 37,14 115,6 concrete rivers to categories of internal or transborder-
ing and results in disputes.

Table 2. The resource potential of mineral fuel some of Central Asia countries in 2000
years and in prospect.[2]

Country Kazakhstan Kyrgyzstan Tajikistan Uzbekistan

Years 2000 2020 2000 2020 2000 2020 2000 2020

Coal, bln. t 34,1 34,1 1,34 1,27 0,67 1,0 4 4

Oil, mln. t 2760 2760 11,5 10,2 5,4 10 81 81
Gaz, bln. m 1841 1841 6,54 6,2 9,2 10 1875 1875
Uranium, th. t 601 601 – – – – 83,7 83,7

88
 But, the most important, that such disputes have no
basic value. It is possible to be convinced, that all
above-stated definitions are based only on a geograph-
ical arrangement of the river and do not carry in itself
any unconditional obligations on their use.
And such obligations do not contain in these Con-
ventions. They have frame character and established in
them the positions of fair and reasonable participation,
the conscientiousness, appropriate protection, preven-
tion of drawing of significant damage to other states,
achievements of optimum use, absence of the integral
priority among all kinds of using carry the most
general, even declarative character.
Does not exist in international law and such concept,
as “the historical right”. To be really “historical”, such
right, at least, should be based on the long period, as for
example in a case with Turkey, Syria and Iraq where the
last in the requirements based on 4 thousand-year, start-
ing from civilization Shumers, existence of irrigation in
the territories with approximately same volumes of an
irrigation. As against it, Kazakhstan, Turkmenistan and
Uzbekistan base in the requirements only on a situation
of 80th years of the last century. Thus, is done to fix the
attempt in quality of the “historical” right achieved all
once in a history the maximal quotas, and achieved in
the period which all republics of Central Asian, both
now, and already during existence of the U.S.S.R. have
unequivocally recognized erroneous concerning use
of the water-power resources, resulted to ecological
accident of Aral Sea.
Also argument of international law used frequently,
its most known position “do not do much harm” cannot
be recognized, too. Abundantly clearly, that this princi-
ple should operate not only concerning other side, but
also concerning the country which is carrying out any
actions. Working in not optimum mode for itself, the
state “harms” to itself.
More fair is the known principle of WTO “to pay the
user” (UPP). This principle recognizes that in the price
for natural resources of all kinds of the expenses con-
nected to their use, including expenses for liquidation
of influences for an environment should be taken into
account in connection with operation, processing and
use of the given kind of resources.
Concrete conditions of sharing of water resources
transbordering rivers should be established by the states
by the way of consultations, negotiations and conclu-
sion of agreements. Thus there are no standard circuits
of such mutual relations.
It is necessary to consider in more detail only within
the framework of international law a question on allow-
able actions of the sides in case of occurrence between
them of any contradictions.
Today at all levels, including the Governments of the
countries of the Central Asia, there was somehow a rep-
resentation, that absence of legally made out Agree-
ments between the states in itself forms the sufficient
89
basis for preservation of former mutual relations and,
moreover, obliges all countries to adhere to it. In the
certain measure this was promoted by the formations
of the new independent states of the Central Asia made
in a transition period:
– The agreement between Republic of Kazakhstan,
Republic of Kyrgyzstan, Republic of Uzbekistan and
Turkmenistan about cooperation in sphere of a joint
management of use and protection of water resources
of interstate sources. Alma-Ata. 18.02. 1992.
– Nukus declaration of the states of the Central Asia
and the international organizations on problems of
steady development of pool of Aral sea. Nukus.
20.09. 1995.
In first of them it is written down: “Recognizing
a generality and unity of water resources of region, the
Parties possess identical rights of use and the respon-
sibility for maintenance of their rational use and
protection”.
In the second it is declared: “we agree that the
Central – Asian states recognize earlier signed and
agreements in force, contracts and other statutory acts
regulating mutual relations between them on water
resources in pool Aral and accept them to steady
performance”.
Formally it as though speaks about impossibility to
the states independently to operate use of water resources
in the territory as signed earlier, at the USSR, contracts
took into account the general interests. But today neces-
sity to be guided in water resources management by
normative-legal acts of the period of U.S.S.R. does not
exist any more. Signing of Alma-ta agreement and
Nukus declarations has been caused during that diffi-
cult period of becoming of the new states by aspiration
to not break, and smoothly to reform system, to not
admit anarchy, and to provide continuity in decisions,
that, certainly, has been justified.
Thus, today, preservation of former mutual relations
between republics concerning water resources is not
certainly obligatory. They can be changed. It is neces-
sary to warn of it other parties beforehand only. By the
way, not only the opportunity, but also necessity of such
changes has been established still in:
– The agreement on joint actions under the decision
of a problem of Aral Sea and Pre-Aral, to ecologi-
cal improvement and maintenance of social and
economic development of Aral Sea. Kizyl-Orda.
26.03. 1993.
In it is marked: “States – participants recognize as
the general problems: ordering of system and increase
of discipline of water use in pool, development corre-
sponding interstate legal and the statutory acts provid-
ing application of general for region of principles of
compensation of losses and losses”.
 One of the most painful questions of the legal char-
acter, existing today between the states of the Central
Asia is the question of division between them of
water resources. Positions of Uzbekistan, Kazakhstan
and Turkmenistan in this question consists in the
requirement of preservation of existing limits of
water-division and allocation of additional limits for
Aral Sea and Pre-Aral. A position of Kyrgyzstan and
Tajikistan in revision of these limits with increase in
the share (not for today, but in the long term). Thus
Kyrgyzstan and Tajikistan demonstratively prove the
requirements on increase in limits of water resources
that they during existence of the U.S.S.R., valid quite
objective reasons, have been deprived at water-divi-
sion, but received for it indemnifications. In result
now they have the smallest in comparison with other
republics the specific area of the irrigated ground on
the person and due to own manufacture of agricul-
tural products cannot provide to the population even a
minimum level of consumption.
Does not cause doubt and validity of requirements of
the countries of the bottom current about necessity of
increase in limits of water resources for Aral Sea. By the
way, in this respect with them were always agree both
Kyrgyzstan and Tajikistan as today’s situation in a zone
of Aral sea negatively influences and them. It is con-
nected to dusty and salty winds from territory of the for-
mer seas which are distributed down to glaciers and
cause their intensive thawing. Causes objection only
you division as the additional water-consumer along-
side with Aral Sea also Pre Pre-Aral. Apparently, it sim-
ply attempt to increase own limits. To exclude it and
besides taking into account, that today there is no reli-
able and objective control over an expenditure of water
inside the next republics, can be it is meaningful elimi-
nate as water-consumers not only Pre-Aral, but also
Aral sea and instead of it to establish limits to Uzbekistan
and Kazakhstan with their account. And, certainly, it is
impossible to agree with the equal responsibility of all
states for “drying” of Aral Sea and their equal partici-
pation in allocation to it of water limits.
The contradictions existing in region directly in
connection with questions of limits of water-division,
separate experts, and, first of all foreign, suggest to
solve the help of increase of efficiency of use of irri-
gation water, efficiency of an irrigation. Hopes for it
are appreciably exaggerated. Such reforming of water-
economic sector demands huge financial assets, today,
both at Kyrgyzstan, and at Tajikistan they do not suf-
fice even for normal operation of the water-economic
objects. Resulted more often for a substantiation of
such approach the example of Israel will simply disori-
ent. Israel presumes introduction of the most advanced,
modern technologies as behind it stand U.S.A. and
other western countries with all economical power. Our
republics do not go in any comparison with Israel con-
cerning attraction of external investments.
90
Thus, the unique decision of a problem of water-
division in region is a revision of existing limits. And
in it there is nothing unusual. In modern conditions as
world practice shows, limits, needs on water are the most
mobile, changeable element of mutual relations between
the countries. They are determined by concrete condi-
tions and strategy of development, dynamics of the
population and much another depend on reforms
spent for the states. As the good proof of it can serve
Kazakhstan. From 1998 up to 2001 its need on water
during the vegetative period in a river basin Syr-Darya
due to carrying out of market reforms and the revi-
sion of structure connected to it agriculture already
has decreased from 1100 mln. m3 up to 700 mln. m3.
Necessity of change of existing limits of water-
division is connected and to a situation in the neighbor
Afghanistan. After stabilization of conditions in it has
designated the requirements of water in a river basin of
Amu-Darya in volume from 6 up to 25 km3 in one year.
Today in water-economic balances of Central Asian
region these volumes are not taken into account in
general.
Well and, at last, revision of limits of water-division
between the states of the Central Asia is necessary even
simply because they till now legally are not fixed at all.
Limits working today are established by Reports of sci-
entifical and technical Board of Ministry of land recla-
mation and Water Conservation of the U.S.S.R. in 80th
years of the last century. Even at that time they carried
not state, but only departmental character. Today, when
there is no not only Minvodkhoz of U.S.S.R., but also
the Soviet Union, they simply have no any validity.
3 ROLE OF RESERVOIRS IN WATER
SUPPLIMENT OF IRRIGATION AND
PRODUCTION OF ENERGY
Certainly, it is necessary to realize, that revision of
limits, it is a complicated question demanding very
cautious approach. But on the other hand any attempt
of it to break off will aggravate a situation even more,
and finally can result and in conflicts between republics.
And besides requirements about revision of limits of
water resources on the part of Tajikistan, Kyrgyzstan
and especially Afghanistan as already was marked, con-
cern not to today, and to the remote prospect. Therefore
today still there is time for the analysis of a situation,
consultations and negotiations, for preparation and
the conclusion between them of corresponding agree-
ments. Taking into account special complexity of
a question and its great political value, it is expedient
to get to take part in this work of the international
organizations.
The important question of interstate relations
between the countries of the Central Asia in questions
of construction of water basins and sharing water
drainage are contradictions in use of a water drain by
the countries of the top and bottom current. Interests
of the countries of high rivers (Tajikistan and
Kyrgyzstan) consist in its use for development of the
electric power, mainly during the cold winter period,
interests of the countries of a lower reaches of the
rivers (Kazakhstan, Turkmenistan, Uzbekistan), on the
contrary – in its use for irrigation during the summer
period. Today, in conditions of existence on space of the
Central Asia of the new independent states and their
orientations to market economy to solve this contra-
diction it is possible only economic methods.
The most different economic mechanisms of interac-
tion a boundary the countries and managing subjects in
sphere of sharing of water-power resources are essen-
tially possible.
Apparently, one of the best variants for this purpose
is the variant of the joint property. It could not only to
solve in the most painless way a question of complex
use of a water drain, but also to serve the purposes of
association, integration of the states. Absence of such
problems in the former of U.S.S.R. also speaks, just,
existence then common property. It instead of ideology,
a policy, etc. united then peoples of the U.S.S.R., and
division of this property, and as consequence, having
dug economic relations, is the reason of today’s eco-
nomic difficulties of the countries of CIS. The general
property of the countries of the Central Asia can be
generated at construction of new objects, and also in
result sharing working.
Kyrgyzstan suggests to solve the problem sharing of
a river drain on the basis of goods-market relations –
giving to water of the status of the goods and sale to
its other states. Most likely, this question has no real
prospects. First of all, river flowing water is not the
goods in usual sense. It cannot be packed, marked,
certificated. Delivery of it cannot be stopped for only
physical reasons. And, at last, completely not clear, as
transit of the water – goods through the third countries
should be considered, be coordinated and be paid, for
example, by its delivery from Kyrgyzstan to Uzbekistan
through Tajikistan, or to Kazakhstan through Tajikistan
and Uzbekistan.
The offered palliative frequently for sale of water
is as individual share in operation of water-economic
objects, also is proved insufficiently. First of all, because
result of functioning of any object are not only expenses
for its operation, but also profit on sale of developed
production and services. Therefore to consider only
expenses and to not take into account profit, simply
incorrectly.
Today, the most real and proved variant of the coor-
dination of interests irrigation of the countries of lower
reaches of the rivers and power of the countries is the
circuit of indemnifications as it and is stipulated in the
Agreement on use of water-power resources of the river
Syr-Darya (1998).
91
In general view this variant looks as follows. The
countries of a zone of formation of a drain as base for
calculation of indemnifications develop a national
treatment of work of the hydrounits (Kyrgyzstan – for
Toktogul, Tajikistan – for Kayrokum) without taking
into account interests of the mentioned bellow coun-
tries. Then they develop the second variant of operat-
ing modes of the same hydrounits, but already in view
of interests of the countries of a lower reaches. An
economic difference a boundary of two these variants,
losses and the damages connected to transition from
the first variant to second in monetary or the physi-
cal expression also determine necessary volume of
indemnification.
Appreciably, existing contradictions between the
countries of the Central Asia in a question of use of
water resources – for irrigation in the countries of
lower rivers or for water-power engineering in the
high countries – are connected to the accepted state
strategy of economic development. Today practically
the unconditional priority in these strategies is given
all countries of region to agriculture – irrigated agri-
culture. Apparently, it is determined by that general
situation of a survival in which they are situated.
From a point of sight of global economic it is visible,
that the countries, a basis of which economic devel-
opment is rural economy, so-called banana republics,
always lose in comparison with the countries, which
basis of development are power resources (even as
raw material) and the modern industry based on high
technologies. Therefore in long-term prospect orien-
tation of the countries of region to economic develop-
ment, at which an unconditional priority is an irrigated
agriculture, is unjustified risk.
In any case it is necessary to note, that today’s
contradictions between irrigation and water-power
engineering are connected by that in each of river
pools – Amu-Darya and Syr-Darya today is present
only on one large hydrounit. Naturally, they cannot
work at once in two different modes. Therefore to divide
functions in use of a water drain it will be possible only
due to new construction. Therefore the cardinal deci-
sion of the conflict of interests between water-power
engineering and irrigation in the countries of Central
Asia is new construction of large hydroelectric power
stations with water basins.
All problems of technical character are to some
extent connected to regulation of a river drain. In the
most full kind they are shown today in a river basin
Syr-Darya.
Risks concern to the technical risks connected to
water basins, first of all, natural and technogeny failures
of dams (their destruction as a result of loss of dura-
bility, internal erosion, washout or overflow of waters
through a crest of a dam) and occurrence as a result of
it a destructive wave of break, and ecological risks,
one of basic of which is resettlement of the population
from a zone of flooding of a water basin. Concerning
these risks the estimation of their general size and com-
parison of it, as with the risks arising in connection with
refusal of construction of water basins, and risks of
other kinds of activity of the person is important. For
example, really marked risk of destruction of people
in road accidents in Russia in 2004–2005 years made
0.02%, and risk of a mutilation 0,2% one year.
But anybody at all does not bring an attention to the
question on refusal of automobilization of the country
as the risk from it is essentially higher – a paralysis of
economy and social degradation of the population. The
risk of failures of dams at a today’s level of their reli-
ability (and existing methods of designing allow to
increase even more them, the truth at corresponding
expenses) is certainly lower, than from use of automo-
biles. As if to risk of refusal of construction of water
basins, that is from use in Tajikistan hydraulic power
it can lead to the same consequences, as refusal of use
of automobiles – to destruction of economy.
One more of technical problems are development
of optimum modes of use of water-power resources.
Till now on this account there are the most various
points of view.
For example, by many experts is actively supported
arisen even during existence of the U.S.S.R. the point
of view, as today the decision of all problems would
be development of common regional model of opti-
mization of complex use of water-power resources.
The criterion of optimization in it offers economic
efficiency of all national economy of region that is
maximization of the aggregate profit or the profit.
Not speaking already about huge technical complex-
ities of development of such model, there are many
other moments which make its development and appli-
cation, practically unreal. As the basic from them it is
possible to specify the following:
– In the general model it is impossible to take into
account the market conditions being today a basis
of functioning of economy of all republics. It is
connected by that market relations assume trade
that is an element of uncertainty and in such kind
cannot be mathematized.
– At uniform for all region criteria of optimization,
in the general model the question of mutual losses
and prizes of separate republics as for them simply
there is no initial base is not considered at all.
Accordingly, are not taken into account in them
and questions of indemnifications.
Therefore such general optimization model if had
any real chances in conditions of a uniform planned
economy and the uniform country – U.S.S.R. today it
has lost not only any urgency, but such model simply
does not have users.
All this shows impossibility of development and
use in modern conditions of regional models of any
92
type. It is connected by that now on the first plan
reground, certainly, national interests of republics act,
and such models of them completely ignore. Today
regional interest can exist only as the coordination of
national interests.
As to global and especially regional change of a
climate and influence of these processes on water
resources for the Central Asia this question is ambigu-
ous. First of all, fears stated frequently about intensive
thawing of glaciers and sharp, on 30 % of change of
their volume for the last a quarter of a century, appar-
ently, are a little bit exaggerated. We shall make sim-
ple calculation. The total amount of ice, as is known,
is equal glaciers of Tajikistan 456,9 km3. At their
reduction by 30% for 25 years, the annual volume of
water formed at it would be equal 5,48 km3.
All this water should fill up the river drain formed
in territory of republic, having increased it during all
this period on the average almost on 10%. It is rather
serious increase and it should not be noticed. But
actually hydraulicity all rivers of Tajikistan for last 25
years on the average were within the limits of norm.
Besides, as it was already marked, any use of a
drain provides its regulation, that is leveling of its nat-
ural and casual fluctuations: in a cut of day, a season,
year and the long-term period. That is one of the basic
conditions at development of water resources is
reduction of vulnerability of all of its objects concern-
ing variability of parameters of a river drain which in
turn, certainly, are determined by climatic factors.
As an example it is possible to result that fact,
which all constructions of water-power engineering
pay off on charges of water many times exceeding
their average values. In particular for objects of the
maximum class of solidity, as settlement freshet
charges with repeatability of times in one thousand
years for normal and time in ten thousand years for
extreme conditions of operation are accepted. The large
stocks are pawned and in constructive elements of con-
structions – earthen, concrete and metal. In a result all
objects of a water management differ very high relia-
bility under the relation to all influencing factors,
including climatic.
According to the analysis made by Meteorological
service of Tajikistan within the framework of projects
GEF, processes of change of a climate observable today
in region can lead at worst to small rise in temperature
and increase quantities of sediment. Thus the increase
in quantity sediment increases the general hydraulicity
rivers, but reduces freshet charges (Figs.1 & 2). The last
speaks distribution of change hydraulicity and tem-
peratures on one year, bringing to their greater align-
ment on seasons. From here it is clear, that in today’s
conditions in most effective way of reduction of adverse
influence, both natural variability of a river drain, and
its changes connected to global warming of climate,
construction of new large water basins, but under con-
 1.0 a river drain due to increase in a time log between
water inflow in water basins and decision-making on
changes hydraulicity of Vakhsh's river km3/year

its use. Finally, at sufficient volumes of water basins

0.8
in river pool dispatching schedules of management of
their work can be developed being based on middle
0.6 long-term drain.
One more environmental problem is connected with
0.4
resettlement of people from a zone of flooding. Really,
thus the population sustains the certain losses, as in
social, so sometimes and the economic relation (though
0.2 the last it is quite possible to avoid, by granting reset-
tled indemnification due to the profit from work of
0.0 Hydroelectric power station). But on the other hand,
today in Tajikistan at sharp deficiency of the electric
power during the autumn-winter period (in rural areas
-0.2 the electric power moves at this time all 2 ÷ 4 hour per
day), the population has no work and is compelled to
-0.4 search for it to other countries, first of all in Russia.
-10 0 10 20 30 Thus, in Tajikistan alternative to construction of HPS
quantity sediment mm/year and to resettlement of the population in the next areas
of republic, on distance, in limits 100 ÷ 200 km, with
Figure 1. Dependence of hydraulicity Vakhsh’s river from granting to it of material indemnification, can be and
changes quantity sediment.
insufficient, labour migration in other countries, on dis-
tance 2000 ÷ 3000 km, and is entirely at own expense.
And already today number of such labour migrants
changes freshet charges of Vakhsh's river, km3/sec

140
person, at an aggregate number of the population of
120 republic makes about one million of 6,4 mln.
Very important question causing today very big
100 uncertainty is the question of interstate water resources
80 management.
The structure of management in the Central Asia is
60 kept by a water-economic complex today practically
40 in the same kind in what it has been created during
existence of the U.S.S.R.
20 One of variants of increase of efficiency of use and
0 management of water-power resources of water basin
of Aral Sea is creation of a water-power consortium.
-20 The offer on its creation has been put forward in
-40 1997 by the President of Kazakhstan N. Nazarbaev and
then it is maintained by Presidents of all republics of
-60 Central Asia.
-10 0 10 20 30
It is represented, that more real could be creation of
changes of sediment, mm/year
a water-power consortium as the commercial organi-
zation.
Figure 2. Dependence of changes freshet charges of
Vakhsh’s river from change of sediment.
Its primary goal thus would be the coordination of
interests of power and irrigation due to maintenance
of mutual indemnifications. It could look as follows.
dition of their sharing by all interested countries of Consortium, ensuring the functioning into HPS of
region is. Kyrgyzstan and Tajikistan in an irrigational mode in
interests of the countries of a lower reaches –
Kazakhstan, Turkmenistan and Uzbekistan, make pur-
4 RESERVOIRS AND STRATEGY OF chase at them passing with water and the excessive
INTEGRATE MANAGEMENT OF WATER electric power for them under the prices providing an
RESOURCES IN CENTRAL ASIA opportunity to compensate by it the losses and giving
to them an opportunity in turn to buy the same quantity
Construction of new large hydrounits will allow to of the electric power in winter, during the most scarce
lower also influence of discrepancy of the forecast of period.

93
 For this purpose the price of the summer elec- of region is necessary. The large role in development of
tric power which will buy the Consortium from such program, and the most important in its realizations
Kyrgyzstan and Tajikistan should be higher market could play the world community. Thus, at changes con-
during this period. tinuously occurring today in the world, such program
This difference in the prices of the summer electric cannot have static character. It should be ready to take
power should become covered to the Consortium for into account these changes and adequately to react to
the account agriculture producer, receiving thus water them. It speaks about necessity of the organization of
necessary for them. Payment of delivery of water by permanent monitoring the program.
them could be made in a monetary or natural view. In Table 3 are not shown opportunities of construc-
The coordination of all these questions and organi- tion of small HPS. At the same time it is necessary to
zational interstate part of work it could be provided note their large opportunities in republic. The general
thus with already working interstate organizations. potential resources of small water-power engineering
Except for simplicity it is possible to note and in Tajikistan make:
other essential advantages of such variant:
• On capacity – 21057,0 MWt;
• It does not demand development of the new circuit • On development of the electric power –
of mutual relations in water-power sphere, and use 184,5 TWt h. in per year;
already developed which operates already more
Development of all these resources of the large and
than five years. Thus the existing circuit essentially
small rivers except for reliable regulation of a river
improves due to replacement of barter relations
drain in all its aspects, including for needs irrigation,
monetary;
will be equivalent to decrease in consumption of
• It bypasses very complicated question about intro-
duction of a payment for water between the states,
and at the same time already uses generated circuit
of paid water supply in the countries; Table 3. Existing possibility of the development water
resource of Tajikistan.
• Territorial borders of activity of a consortium
become insignificant. Formally they cover all basin
Useful volume
of Aral sea, actually (at least, in the beginning) they Cascade of Power, Production, of reservoir,
will be limited to the river basin Syr-Darya; HPS in MWt. TWt h/year km3
• The consortium does not replace existing adminis-
trative and managing structures, and works in par- Panj’s river 18322,5 84,918 17,36
allel and in close connection with them. But at the Vakhsh’s 9178 35,36 13,229
same time it has an opportunity, both to cooperate, river
and to compete to them; Syrdarya’s 126 0,6 2,5
river
• The structure of a consortium can be very simple.
Obkhingou’s 3700 9,3 1,55
But at the same time it supposes its further devel-
river
opment in any forms. Surkhob’s 2100 8,7 1,45
Summarizing, it is possible to draw a conclusion, river
that the decision of a question of increase of efficiency Zarafshon’s 640 3,01 1,64
river
of sharing of water resources of the countries of the cen-
Fandarya’s 510 3,18 0,78
tral Asia in modern conditions and on prospect is their river
further development with a view of power. irrigation Matcha’s 500 3,02 1,21
and other branches, that is construction of new water river
basins and HPS. The list of perspective hydrounits for Kofarnigan’s 1570 4,98 2,695
such construction in Tajikistan is resulted in Table 3. river
Thus the decision of questions of construction of Bartang’s 581 5,04 3,85
water basins in Tajikistan and region cannot be con- river
sidered separately. It is necessary to develop the target Varzob’s 870 3,05 0,084
river
program of complex use and the integrated manage-
Gunt’s 284,4 1,758 0,212
ment of all water resources. Taking into account trans- river
bordering character of all large rivers of basin of Aral
Sea, the historical past and traditions of the countries Total 38366,5 162,916 46,56
of the Central Asia, and also feature of their economy, From them:
in a significant part of U.S.S.R. created during exis- Acting 4043,4 16,158 7,084
tence as parts of a uniform complex, development of Constructing 4390 16,48 9,22
such program cannot be executed by forces of one
republic. Attraction to its development of all countries HPS – Hydropower station.

94
organic fuel in volume 100 million tons of conditional
fuel one year. It in turn will lead to decrease in issue of
hotbed gases (CO2) on 350 million tons one year. Thus
once again we shall emphasize, that these hydropower
resources are annually renewed, that is as against oil
and gas, inexhaustible. Their essentially cheaper price
is important also, is especially in conditions of a sharp
rise in prices observable now on organic energy carri-
ers. And all this is possible in one very small country –
Tajikistan, the area of 143,1 th. km2 and the popula-
tion 6,4 million person, but all this only at construc-
tion of HPS with large water basins in mountain
sparsely populated areas. The general {common}
useful volume of all water basins of Tajikistan
(46,56 km3) thus will be equal almost 50% of all mid-
annual drain of all region of the Central Asia
(115,6 km3) that one only, without participation of
other republics can provide all necessary kinds of reg-
ulation of a drain, in all his aspects, both for irriga-
tion, and for protection against high waters.
The important moment for Tajikistan is that con-
struction even several let even large water basins in
republic cannot be considered as inadmissible inter-
vention of the person in the nature is cannot lead to
any cardinal change of an environment. In Tajikistan
more than 25 thousand rivers and more than 150 lakes
of the most different volume including comparable
with the largest artificial water basins, and construc-
tion several new cannot affect a little appreciably the
general situation in the nature.
And construction of new HPS and water basins in
republic of Tajikistan after long, almost 15-years break,
today again renews.
95
Russian company RUSAL starts construction of
Rogun HPS. Established capacity of Rogun HPS
3600 MWt, annual manufacture of the electric power
13,1 billion KWt h, necessary additional volume of
financing 1286,4 million dollars of U.S.A.
Also the Russian company of Russian Open Society
“UES of Russia” is under construction of Sangtuda
HPS No 1. The established capacity of its is 670 MWt,
annual manufacture of the electric power 2,73 billion
KWt h, cost of construction of HPS – 482,7 million
dollars of U.S.A.
There is an arrangement with the Government of
Iran about its participation in construction Sangtuda’s
HPS No 2. Its established capacity is – 220 MWt.
Due to own and credit resources of Tajikistan began
realization of the large program of construction of
small HPS. Also is conducted the cascade of HPS on
the Zeravshan’s river.
REFERENCES
Mezhgossovet on problem Aral Sea. The Project 1.1
“General strategy, water dividing, rational water
Using and guard of water resource of basin of Aral’s basin”
Alma-Ata – Bishkek – Dushanbe – Ashkhabad – Tashkent,
September, 1996y.
United Nation Organization. Special programs of UN for
economy of Central Asia “SPEKA”. Project EEK UN/
ESCATO “Rational and effective use of water power
recourse in Central Asia”. Center of energetical politics,
Institute of energetical research RAS. Moscow. 2002.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Improved dam operation in the Amu Darya river basin including

transboundary aspects

J. Froebrich, O. Olsson & M. Bauer

Water Quality Protection and Management, University of Hannover, Hannover,
Germany

I. Normatov & G. Petrov

Institute of Water Problems, Hydropower and Ecology AS RT, Dushanbe, Tajikistan

ABSTRACT: Glacial and snowmelt is essential for the well being of all the states of Central Asia and provides
over 90% of their water requirements. Unfortunately, climate change is causing rapid recession of the glaciers,
which in the short-term helps meet the states ambitious water requirements, but in the long term, will result in
decreased runoff and increased evapotranspiration from higher temperatures. Because of the comparably geo-
logical young nature of the mountain ranges their instability result in rapid siltation of existing reservoirs and
leading to very limited life expectances, also for potential reservoir sites. Vast quantities of water are wasted also
by inefficient and poorly managed irrigation schemes in the entire basin. The water resources of the region are
already overstretched and hence, in the foreseeable future the very existence of their agricultural economies is
at stake. Large dams at the two Aral Sea tributaries, Amu Darya and Syr Darya, control and regulate the annual
flow regime and water availability at the downstream regions. Results of past project studies for the Amu Darya
river point out, that the multi-reservoir system of the Tuyamuyun Hydro Complex (6.8 km3) provide attractive
capabilities to improve the availability of high quality water by applying modified release and filling strategies.
The Nurek dam (10.5 km3) and the Rogun dam (under construction, height of the dam: 335 m) provide further
options for improving the rational operation and sustainable management of water resources.However, the cur-
rent rational management of transboundary water resources in the Amu Darya basin is hampered by difficulties
to have reliable hydrological data and to predict the short and long term availability from the glacier run-off.
Major uncertainty has been identified for knowledge on current capacity losses of dams, located in the upstream
part of the basin. The development of risk-management strategies for securing future water supply under varying
conditions of water shortage needs therefore (i) to revise the existing storage capacities, (ii) to improve the fore-
casting methods, (iii) to associate possible water saving mechanisms and improved crop growth patterns at the
downstream areas, and finally (iv) to adapt the dam operation at upstream and downstream regions accordingly.

1 INTRODUCTION
1.1 Background
Under the Soviet system, river basin management was
integrated so as to provide for regional requirements of
water, energy and food (Wegerich, 2004). The majority
of dams in the Amu Darya and Syr Darya basins were
built upstream where geological (Lange, 2001) and
hydrological conditions were suitable. Before the inde-
pendence of the Central Asian republics, the predom-
inant water use was for irrigation along the middle and
downstream water courses of the Aral Sea tributaries.
The area under irrigation increased dramatically from
1960 to 1994 when, based on the 1995 TACIS report,
the total irrigated area in the Aral basin reached a
maximum of 7,400,000 ha. (Tanton & Heaven, 1999).
Water from the upstream dams was mainly released
during the summer months. Because all the republics
were part of the USSR, energy was provided during the
winter from regions which were rich in energy resources
and integrated management provided sufficient water
for intensive agriculture (Wegerich, 2004).
The political and economic independence of the
Central Asian republics resulted in a number of changes.
While the downstream republics Uzbekistan and
Turkmenistan sought to maintain their intensive irri-
gation, the upstream republics Tajikistan and Kirgistan,
having few other options for improving energy supply,
built new dams and modified the operation of existing
dams to increase hydropower generation.

97
 Currently Tajikistan has just over 4 GW of hydro
capacity installed. The plants under construction will
add another 4.6 GW. Assuming the successful instal-
lation of another 11.8 GW (Hydropower & Dams World
Altlas, 2001), Tajikistan will reach a total hydro capac-
ity of over 20 GW (Lafitte, 2001), becoming one of the
world’s largest hydropower producers. The tensions
caused by pressing water scarcity, shifts in the dam
operation regimes, and the need to meet the water
demands of other parties has been widely reported
(e.g. Wegerich, 2004).
While it is clear that Tajikistan has not maintained
past operating regimes, it is unclear how exactly the
monthly releases have been modified and what further
changes are to be expected in the future. Information
is kept at different institutions in the former Soviet
Union and is often reported in fragments, aggregated
in official reports, or remains unpublished. In most
cases an assessment of the applicability and uncer-
tainty of the given information is rendered impossible
by a lack of comparative information.
To provide more precise information for the devel-
opment of enhanced reservoir operation strategies, this
paper addresses the introduction of recent information
on the operating regime of the Nurek reservoir. Related
to past operation during the period of the Soviet Union
Based the operation regime received some recent
changes. The initial compilation of information should
reflect the current state of operation, but also provide
a basis for supporting the future analysis of data and
the development of enhanced operating rules in the
context of transboundary water management. This is
regarded as essential to achieve more sustainable water
management of the Aral Sea basin.
The work presented was carried out during the ini-
tial part of the project JAYHUN, which is funded by
the European Commission within the INCO program.
The main aim of the project is to identify adapted risk
management in both the short and long term. A par-
ticular focus is given to the interaction of upstream and
downstream dam operation, especially related to the
Nurek reservoir and Tuyamuyun Hydro Complex at the
lower reach of the Amu Darya (Fig. 1). A more precise
understanding of the Nurek operating regime will help
in assessing management options during dry years and
the impact of climate change on water availability
during the next 50 years.
1.2 Hydrological background information
With a total length of 1415 km (GRDC/UNH)
(Froebrich & Kayumov, 2004), the Amu Darya is the
biggest river in Central Asia and its basin includes
territories in Afghanistan, Tajikistan, Uzbekistan and
Turkmenistan.
The Amu Darya is formed by the confluence of its
main headwater tributaries, the Vaksh and Pyanj rivers.
98
Figure 1. Aral Sea tributaries and location of Nurek reser-
voir in the Amu Darya basin.
The Vaksh river originates in the alpine regions of the
Pamir Alai in the north-west territory of Tajikistan,
where parts of the Abramov glacier and the Fedchenko
glacier contribute to run-off generation. The Pyanj orig-
inates at the glacier in the Vakjdjir Pass in southeast
Tajikistan, close to the borders of Pakistan’s northern
territories.
The Amu Darya receives water from the Kunduz
(from Afghanistan), the Kafirnigan (from Tajikistan),
the Sherabad and Surkhandarya (from Uzbekistan)
rivers. All its natural tributaries enter the Amu Darya
within 180 km of its source.
Estimates of the relative proportion of runoff genera-
tion coming from the Tajikistan vary widely. McKinney
& Akmansoy (1998) estimated that Tajikistan provides
80% of the total discharge to the Aral Sea (including the
Syr Darya); Giese et al. (2004) report a contribution
of only 63% to the Amu Darya.
Giese et al. (2004) reports for the Amu Darya tribu-
tary Vaksh an annual mean discharge of 20.0 km3/a and
for the Pyanj river a mean discharge of 34.3 km3/a,
which corresponds to 68% to the total mean Amu Darya
discharge of 79.3 km3/a. Kayumov (unpubl. 2003)
reports for the Pyanj (Low Pyanj) 33.4 km3/a and for
the Vaksh (Tigrovaya balka) 20.2 km3/a, or a total of
about 69% of their estimate of 78 km3/a for the mean
Amu Darya discharge. These estimates reflect the
importance of the mountainous region in Tajikistan for
the water supply of the Amu Darya river basin. In the
Tajikistan part of the Amu Darya basin there are at pres-
ent 14 dams, with 7 dams in the Vaksh, 4 in the Pyanj
and 3 in the Kafrinigan river basins (FAO, 1994). A num-
ber of dams are also under construction or just in plan-
ning stage. Table 1 provide information on hydro power
stations (HPS) which are currently under operation.
The upstream part of the Amu Darya basin is dom-
inated by the Nurek reservoir. The Nurek Dam is a
Table 1. Overview on operating hydropower stations (HPS) 1,0
at the Amu Darya tributaries Pyanj and Vaksh (Petrov, 2003). 10,
9,0
Parameters Desi gncapity
8,0
Curentcapiy,201
7,0

3
Electricity Usable 6,0
Hydropower production Head volume 5,0
Name (MW) (TWh/a) (m) (km3) 4,0

Volume,k
3,0
Vaksh river 2,0
Nurek 3000 11.2 250 4.5 1,0
Baypaza 600 2.5 54 0.08 0,
Golovnaya 240 1.3 26 0.004 650 70 750 80 850 90 950
Perepadnaya 30 0.3 39 Waterlv,m(.s)
Central 18 0.1 22
Total 3888 15.4 391 4.584 Figure 2. Volume elevation rating curves of Nurek reservoir.
Pyanj river
Barsha 300 1.6 100 1.25 there are four main reservoirs: the Channel Reservoir
Anderob 650 3.3 185 0.1 (Amu Darya main stream), the Kaparas reservoir, the
Pish 320 1.7 90 0.03 Sultansanjar reservoir, and the Koshbulak reservoir.
Horog 250 1.3 70 0.01 Initially, THC had a total storage capacity of 7.8 km3
Yazgulem 850 4.2 95 0.02 but due to siltation losses, by 2001 the total storage was
Granitevorota 2100 10.5 215 0.03 reduced to 6.8 km3. The operation of the THC depends
Shirgovat 1900 9.7 185 0.04
Hostavs 1200 6.1 115 0.04
largely on the inflow regime, and this is strongly influ-
Jumars 2000 8.2 155 1.3 enced by releases from the Nurek reservoir.
Moscow 800 3.4 55 0.04
Kokchins 350 1.5 20 0.2
Nizhnee-Pyanj 600 3.0 2 RESULTS AND DISCUSSION
Total 11320 54.5 3.06
2.1 Current status of the Nurek reservoir
The river basin upstream of the Nurek reservoir is sub-
large earth-fill dam with a height of 300 m. It controls ject to frequent land slides and avalanches. In addition
the Vaksh River and is located about 75 km east of the mean slope of the Vaksh is very high resulting in a
Dushanbe. The reservoir of the Nurek Dam, is the very high transport capacity and scour. Together the
largest reservoir in Tajikistan with a capacity of potential loads of suspended matter and sediments are
10.5 km3. The reservoir length is over 70 km and sur- high and lead to a continuous loss of storage capacity.
face area is over 98 km2. In addition to electricity gen- There is no reliable database for estimating sedi-
eration, the reservoir supplies irrigation water for about ment delivery to the Nurek. Nevertheless, as a first
70,000 hectares. Irrigation water is transported 14 km approximation, a recent survey of the reservoir
through the Dangara irrigation tunnel. bathymetry provides an indication of potential stor-
Construction of the Nurek’s hydro unit was begun age capacity losses.
in 1961 and the first turbine began operation in 1972. Figure 2 show the original design capacity of the
The original power plant had 9 turbines, with a capacity Nurek reservoir for different water levels (bold line).
of 300 MW each for a total of 2700 MW. The project Processed data were obtained from the WB/GEF
capacity was reached in 1979 and the hydro unit was project – Security of the dams and reservoirs, 2003.
completed in 1985. In 1988 the hydropower capacity Since the initiation of impoundment of the Vaksh in
was increased up to 3000 MW. The long term average 1978, at the maximum water level of 910 m, storage
of the annual hydropower production is 11.2 TWh. capacity has been reduced from 10.5 km3 to 8.7 km3,
In 1994, the hydropower generation by Nurek was a loss of 1.8 km3 or 17% in storage capacity. This is an
three quarters of the nation’s 4 GW hydroelectric average of slightly over 100 million m3/a.
generating capacity, by which 98% of the electricity
demand of Tajikistan was met.
2.2 Past operation regime
The only dam downstream of the Nurek is the
Tuyamuyun Hydrocomplex (THC), located 300 km Basically the operation of the Nurek reservoir is
south of the Aral Sea. THC was constructed to provide characterized by water level variations between the
water for irrigation, industry, and drinking water for maximum water level of 910 m (a.s.l.) and minimum
the lower Amu Darya region. During the period of 1981 operating level of 857 m (a.s.l.). Within this range the
to 1983, the construction was completed. At present active storage comprise 4.7 km3, while in total the

99
 920, 250 920

910, 910
20 Outflow

l.s . )
90, Inflow 90
W aterlv e l
890, 150

m .a,
890

)s/
3
m
80, pastoerin gime 80

(lev
10

lF ( wo
870,

W a et elr
modifer gimeaftrWPI 870
Waterlv(m.s)

860, 50
860
850,
1 2 3 4 5 6 7 8 9 10 1 12 0 850
Month 01. 01. 3 30. 4 29. 06 28. 0 27. 10 26. 1
Date

Figure 3. Comparison of past Nurek operating regime (1998)

and recommendations of the Institute of Water Problems Figure 4. Daily water level variations, in- and outflow for
(Tajikistan) for adapted operation. Nurek reservoir for 2004 (Ministry of Energy RT, 2004).

supporting energy production. The additional release

inactive storage and dead storage amounted to 4.0 km3 to support the natural flow maximum continues until
according to the design capacity. July but the water level is not lowered below 895 m
As stated above, during the Soviet period, the Nurek (a.s.l.). Refilling is scheduled during the period from
operation served mainly to the provision of irrigation August to November.
water during the summer months. Even if the results are still under revision to include
Figure 3 shows mean monthly averaged water levels more realistic details regarding flood protection,
(bold line) during this time, based on monthly water hydropower production and irrigation, the figures pro-
levels from 1998 (Institute of Water problems, Hydro- vide an outline of the potential range of adapting the
power and Ecology AS RT, 2004). The past operation operational regimes.
maintained the maximum water level of around
905–910 m a.s.l. from November until May. From May 2.3 Recent actual operation
to August there was intensive release for irrigation and
a rapid lowering of the water level to the minimum Data provided by the Institute of Water Problems,
operational level of 860 m. The period of refilling and Hydropower and Ecology were also used to review
rise of water level occurred thereafter until November. the current actual operation. A major aim of this exer-
Figure 3 (dotted line) show the results of calculations cise was to determine the actual modification to oper-
made at the Institute of Water Problems (Institute of ations since the demise of the Soviet Union and to
Water problems, Hydropower and Ecology AS RT, provide more precise data for supporting the develop-
2004). They present a first attempt to integrate both, ment of a transboundary water allocation strategy.
hydropower production (national energy needs) and For the year 2004 daily water level variations of the
irrigation requirements. An optimisation of varying Nurek reservoir were based on data provided by the
the water levels h1 (minimum operation level) and h2 Ministry of Energy.
(maximum storage level) was carried out on the basis Figure 4 shows the 2004 daily values for water
of two main considerations: first, the resulting duration levels, inflow and outflow. The water level variation
of hydropower production t and secondly the released (dashed line) is characterised by a continuous decrease
discharge Qo, determining the water availability and during the winter and spring months until the mini-
its impact on the irrigation economy. These require- mum level of 856 m, which is reached on 6 May 2004.
ments may be expressed as: Directly after passing the minimum level refilling of the
reservoir commenced and the maximum water level
of 910,5 m was reached on 11 September. Subsequently
(1) there was a continuous decrease until May 2005 (not
shown here).
Both the inflow and outflow in Figure 4 are daily
and average values. The minimum inflow, 64 m3/s, occurred
during February, with a rapid increase of inflow begin-
(2) ning in March. There is a characteristic sequence of
individual flood events leading to a continuous increase
of the average flow. The absolute maximum of 1916 m3/s
More details are given in (Petrov et al., 2003b). occurred on July 4.
The operational strategy developed results in a lower- The releases of around 500 m3/s were relatively
ing of the reservoir water level from March onwards, constant during the winter months. After April there

100
 02 019 Table 2. 2004: Monthly aggregated data for the water bal-
3
wolftu m)nae ( /s
0 81
3 3 /s /s
09 ance of the Nurek reservoir (Ministry of Energy RT, 2004).
inflow (mean),
0 61 098
w aterlv e l,m(a.s)
0 41 08 Date Q infl V infl Q outfl V outfl
2004 (m3/s) (km3) (m3/2) (km3)

.l
0 21 078
/s)

) .s a
3

01 068

08 058
Jan 181.4 0.49 550.1 1.47

e lev rm(
w o l mF (

06 048
Feb 148.6 0.37 496.8 1.25

taW
04 038
Mar 278.7 0.75 474.8 1.23
Apr 591.3 1.53 626.5 1.62
02 028
May 936.5 2.51 765.4 2.05
0 018
Janu ry F ebrua y March April May J une July Au gust
Jun 1437.2 3.73 832.9 2.16
Month Jul 1502.4 4.02 939.4 2.52
Aug 1203.1 3.22 817.0 2.19
Figure 5. Water level, inflow and outflow for spring and Sep 662.7 1.72 905.5 1.90
summer 2005. Oct 334.2 0,90 483.2 1.29
Nov 251.3 0.65 466.3 1.21
Dec 243.8 0.65 560.1 1.50
was an increase in reservoir release with a period of Total 20.54 20.43
high outflows from May to mid September of about
800 m3/s. The summer maximum of 1234 m3/s was Table 3. 2005: Monthly aggregated data for the water bal-
measured on July 16. After the maximum filling of ance of the Nurek reservoir (Ministry of Energy RT, 2005).
the reservoir, an additional flood event occurred, lead-
ing to an exceptional release of 1295 m3/s, 963 m3/s Date 2005 V infl (km3) V outfl (km3)
passing through the turbines and the remainder being
discharged directly to the downstream river. Jan 0.50 1.50
For comparative purposes, data from 2005 provide Feb 0.29 1.42
the most recent information. Unfortunately only data Mar 0.95 1.16
up to August has been available and were obtained Apr 1.39 1.63
May 2.22 2.14
from the Ministry of Energy. Water levels, inflows and
Jun 4.60 2.28
outflows are given only as monthly averages and are Jul 4.80 3.09
shown in Figure 5. Aug 3.73 4.09
As in 2004, the water level (Fig. 5, solid line)
Total 18.49 17.36
declined until April/May reaching a level of 857 m
(a.s.l.). A significant increase in storage volume
occurred from June to August. As the maximum level ranged from 1.2 km3 in March and November to 2.5 km3
of 910 m (a.s.l.) was reached August, there is no fur- in July.
ther increase in the remaining months of the year. The The seasonal pattern was similar in 2005. In March
inflow (Fig. 5, black bars) in 2005 shows a compara- the monthly releases provided 1.2 km3 to the down-
ble seasonality to 2004. Lowest flows are in February stream region. However the maximum releases were
with a mean value of 120 m3/s. Maximum mean inflows higher than in 2004, resulting in 3.1 km3 in July and
of around 1800 m3/s were recorded in June and July. 4.1 km3 in August. Up until August a total of 17.4 km3
As in 2004, in 2005 the winter and spring months had been provided to downstream areas.
are characterized by comparable constant releases with
mean flows of around 600 m3/s (Fig. 5, black bars).
From May to August similarly to 2004 a significant 2.5 Review of calculated storage volumes
increase of outflow up to 1500 m3/s is indicated. The data provided for 2004 also indicate the total
available storage capacity of the Nurek reservoir, calcu-
lated on a daily basis, balancing the inflows and out-
2.4 Actual discharges provided to the Amu Darya flows, the evaporation losses and cumulatively adding
lowers the computed volume differences. These results were
As both 2004 and 2005 showed similar operation compared with estimated reservoir volumes using the
regimes, it is of interest to review the available data volume elevation rating curves. (Fig. 6).
on monthly discharges to the downstream regions. To enable a continuous calculation of the reservoir
Table 2 indicates for 2004 a total inflow volume volumes, the V
f(z) relationships were either gener-
of 20.5 km3 and a total release volume of 20.4 km3, ated by an linear interpolation between the data given
which represents more than a quarter of the total mean for the volume elevation rating curves or represented
annual Amu Darya flow volume. The seasonal variation by 2nd and 3rd order polynomial regressions. This

101
 12,0
10,
20 4
8,0
3
6,0
lume k
4,0
Vo
2,0
0,
1. 1 31. 1 1 .3 31.
Figure 6. Estimated seasonal reservoir volumes based on
reported water levels for 2004.
was generated both for the information related to the
original bathymetry as well as for the recent data of
the 2001 bathymetric survey.
The results for the different seasonal variations of
reservoir volumes are presented in Figure 6. All meth-
ods to represent the volume elevation rating curves pro-
vide nearly identical results. However, the reservoir
volumes as calculated by WPI (bold line with circle
symbols) indicate differences to those calculated reser-
voir volumes. Deviations are less distinct in the absolute
minimum and maximum volume than in a phase shift.
Much more evident is the deviation from the figures
used in the WPI calculations to those considering the
reduced storage capacity. While the minimum reservoir
capacity differs from 4.5 km3 to 6 km3, the estima-
tions for the status of full storage differs from 8.5 km3
to 10.5 km3.
2.6 Discussion and conclusion
The results presented give a first approximation to the
capacity losses. A comparison between the water bal-
ance and the reservoir volumes as a function of depth,
revealed significant uncertainties in the available hydro-
logical information. Without further comparative infor-
mation in reservoir bathymetry it is impossible to have
a more reliable estimate of the capacity losses and to
reduce discrepancies in the volume calculations. This
is of particular importance if water level variations are
used to estimate the actual inflow volumes accounting
for evaporation losses and recorded releases.
Currently, capacity losses have a marginal impact on
the operable volume between water levels, due mainly
to the very large non-operational “dead level volume”
with around 4.0 km3 between the water levels of 645
and 855 m. For the moment the operational volume
corresponds to 4.0 km3, so the dam capacity of around
8.7 km3 is not fully used. However the impact will
become significant, if there is a need (e.g. to cover
multi-annual water deficits) to enlarge the operational
volume to water levels below 855 m. The findings
underline the need to focus on future trends in siltation
losses in international discussion on sharing water
resources in the Aral Sea basin, which until now has
been predominantly based on old planning capacities.
To narrow these uncertainties and to provide more real-
istic planning data an additional bathymetric survey is
W P Icaluted scheduled in the framework of the ongoing EC project
desi gncapity ,Vol=f(z)3rde
Jayhun.
desi gncapity ,Vol=f(z)2ndre840-91
desi gncapity ,Vol=f(z)ineartp The data reviewed suggest an extension of the release
201capity ,Vol=f(z)2ndre period from around May–August to September–April.
201capity ,Vol=f(z)ineartp
Compared to the past operating regime, where the
3 30. 4 30. 5 29. 6 29. 7 28. 8 27. 9 27. 10 26. 1 26. 12
Date reservoir releases were superposed on the natural high
discharges, the present regime leads to a more equalised
seasonal distribution. However, neither the past nor
current regime contributes to a balancing of the spring
water deficits in the lower Amu Darya region, where
the water is needed for leaching irrigated fields. Related
to the current irrigation practice at the Amu Darya,
a significant water deficit frequently occurs during
February and March (Froebrich et al., 2005).
Due to a lack of other substantial natural resources,
Tajikistan has to rely in the future on hydropower pro-
duction. The results show that a combination of
hydropower production during the winter months and
the provision of irrigation water cannot be exclusive.
However, reducing water losses and energy demands
will support a more rational use of limited resources.
Ways must be developed to store additional water
during wet years and to release additional water in dry
years.
A revised knowledge of actual reservoir capacity
and operation is considered to be an essential first step
towards the development of adapted risk management
strategies in the Aral Sea basin. Together with more
refined information on recent siltation losses and ade-
quate tools to simulate the water transfer from the
upper Amu Darya to the lower part of the basin, the
results presented will be used to investigate potential
adaptations of the reservoir operation and its impact
to both hydropower production in Tajikistan and water
availability downstream.
ACKNOWLEDGEMENT
Special thanks belong to all participants of the project
JAYHUN, who contributed to this initial paper. Thanks
also to the EC for providing funding of the project
JAYHUN (Contract No.516761) within the INCO
programme.
REFERENCES
Centre for International Projects 1991. The modern condition
of nature, population, and economy of the Aral Basin:
Diagnostic study. Centre for International Projects, Moscow
(in English and Russian).
102
Food and Agriculture Organization for the United Nation,
FAO, Tajikistan Geography and Population. www.fao.org/
docrep/W6240E/w6240e17.htm.
Froebrich, J., Olsson, O., Babajanov, K., Crosa, G. 2005.
Enhanced reservoir operation strategies for the Kaparas
reservoir, Tuyamuyun Hydroengineering Complex areas.
Aral Sea Basin Water and Food Conference:, 1–4 September
2005. Almaty, Kazachstan.
Giese, E. et al. 2004. Transnational Wateruser Conflicts in
Central Asia – Zwischenstaatliche Wassernutzungskon-
flikte in Zentralasien. Discussion Papers: The Center for
International Development and Environmental Research
(ZEU) Giessen, Volume No.18.
Institute of Water Problems, Hydropower and Ecology
Tajikistan 2005: Reports of the Institute of Water Problems,
Hydropower and Ecology. Annual Report 2005. Dushanbe.
Kayumov, O. unpublished 2003. Final report of Scientific
Center Clean River (STC). DFG/EU-INTAS (FR1607-1/1,
1046) project: IWMT Development of integrated water
management tools for the Tuyamuyun Hydroengineering
Complex.
Lange, K. 2001. Energy and Environmental Security in
Central Asia: the Syr Darya. Centre for Strategic and
International Studies (CSIS). Washington, DC. http://
www.csis.org/ruseura/cs010220lange.htm
Lafitte, R. 2001. Survey of Energy Resources, Hydropower.
International Hydropower Association. World Energy
Council http://www.worldenergy.org/wec-geis/publica-
tions/reports/ser/hydro/hydro.asp
103
Ministry of Energy, Tajikistan 2004: Annual report of the
Ministry of Energy, 2004. Dushanbe.
Petrov, G. 2003a. Tajikistan`s Hydropower Resources.
Central Asian and Caucasus Journa, Vol. 3, 2003. Lulea,
Sweden.
Petrov G., Shermatov N., Batirov S. 2003b. To the question
of optimization of the working regime of hydrounits with
reservoirs. The Reports of The Academy of Sciences
Republic of Tajikistan, 2003, Volume XLVI No. 11–12.
Tanton, T. and Heaven, S. 1999. Worsening of the Aral Basin
Crisis can there be a solution? Journal of Water Resources
Planning and Management. Vol. 125, No. 6, November/
December, 1999.
Technical Assistance to the Commonwealth of Independent
States (TACIS). 1995. “Irrigation crop production sys-
tems.’’ Water resources management and agricultural
production in the Central Asian Republics. Vol. IV, Rep. of
European Commission, DG1. WARMAP Project, Phase
1, European Commission, Brussels.
UNESCO 2000. Water related vision for the Aral Sea Basin.
Report. Imprimerie des Presses Universitaires de France,
Paris, France.
Wegerich, K. 2004. Coping with disintegration of a river-
basin management system: multi-dimensional issues in
Central Asia. Water Policy 6 (2004), pp. 335–344.
World Bank 1996. Fundamental provision of water manage-
ment strategy in the Aral Sea Basin. Report.
World Atlas & Industry Guide 2001. International Journal
on Hydropower & Dams. April 2001.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

La Loteta Dam. A strategic location

R. Lafuente
Civil Engineer, Confederación Hidrográfica del Ebro (River Ebro Basin Water Authority) Spain

J. Granell
Civil Engineer, Empresa Consultora Jesús Granell Ingenieros Consultores, S.A., Spain

I. Poyales & V. Flórez

Civil Engineer, Fcc Construction, S.A., Spain

ABSTRACT: La Loteta Dam is located in the Province of Zaragoza, 44 km North West of the capital. It was
originally constructed mainly to regulate the Canal Imperial de Aragon, but was later to become a key factor in
supplying the City of Zaragoza with quality water, and the water coming from Yesa Reservoir will be regulated
by the La Loteta Reservoir. This reservoir is probably the first one in Spain to be constructed overlying consid-
erable proportions of gypsum and other salts. However, its construction has been justified by the exceptional top-
ographical conditions, the minimal effects upon the environment and its proximity to both the Canal Imperial
and the City of Zaragoza. Furthermore, a major reservoir with a storage capacity of more than 100 Hm3 has been
obtained with a moderately high dam (34 m). It is a heterogeneous embankment dam with a wide central clay
core, and fill taken from the terraces of the River Ebro. The core runs horizontally under the upstream shell in
a thick impervious blanket whose far end links up with a plastic bentonite-cement curtain. The paper describes
the characteristics of the environment, the strategic properties of the site and the technical solutions adopted for
building it.

1 INTRODUCTION

Dams are large engineering works that have major eco-

nomic, social and environmental effects. Striking a bal-
ance between the positive and negative impact partly
establishes the feasibility, effectiveness and suitability
of the works.
La Loteta Dam is a clear example of engineering and
technical questions putting themselves at the service
of the strategic value of the works, of their requirements,
their needs and their location. In this case, there is a
specific need for it to perform a twofold function: to
serve as a regulating reservoir for the Canal Imperial
de Aragon and to help to provide the City of Zaragoza
with its water supply. Figure 1. Dam location.
The construction of this dam was justified by the
fact that the exceptional topographical conditions would
make it possible to have a reservoir with a storage capac-
ity of more than 100 Hm3 with a dam only 34 m high, Zaragoza, which is supplied by the reservoir, are further
covering a surface area of 11 km2 in an endorrheic basin. arguments for justifying this location. (Fig. 1)
Furthermore, the fact that it is located close to the Canal The technical challenge consisted of overcoming the
Imperial de Aragon, which flows into the reservoir, cou- determinants imposed by the ground so that the dam
pled with it is located not very far from the City of could be constructed.

105
 The problematic factors concerned were, how to
lay foundations on gypsum and other soluble salts,
and deciding which materials could be used for the
embankment.
It is probably the first dam to be built in Spain on
considerable proportions of gypsum and other salts.
This paper shows the location of the dam, its
basin, the geotechnical environment, especially the
dam axis plane, together with the different elements
and solutions that were used when constructing it, in
an attempt to overcome all the challenges posed by
the ground.

Figure 2. Straits geological section.

2 THE ENVIRONMENT SITUATION

The Dam is located in the Province of Zaragoza, 44 km

North West of the capital. The reservoir covers part of
the Boroughs of Boquiñeni, Luceni, Pedrosa, Gallur
and Magallón.
The basin, which is endorrheic in nature, is drained
by the Carrizal Stream and covers a total surface area
of approximately 30 km2, of which 11 km2 fall under the
maximum flood surface of the reservoir.
The reservoir bottom is flat, with gentle slopes and
a very slight gradient. These morphological charac-
teristics mean that a relatively low dam height can store
a major volume of water.
The water flowing into the reservoir is pumped
directly from an outlet leading from the Canal Imperial
de Aragon, located close to the strait. The Carrizal
Stream itself supplies very little water. Figure 3. Karstification in the left abutment.
The size of the reservoir enables it to regulate not
only the discharges from the Canal Imperial but also
the resources flowing in from the Yesa Reservoir, and
in doing so it contributes to the water supply of the City – Brown and reddish-brown clays with little evidence
of Zaragoza. of gypsum.
The reservoir capacity is such that it is possible to
route completely the floods flowing from the Carrizal Furthermore, karstification processes can take place
Stream, in view of the fact that, for example, the max- as a result of the gypsum being dissolved and subsi-
imum flood for a return period of 1000 years is 1.42 Hm3 dence, with the presence of both ancient and more-
and the storage capacity achieved almost reaches recently formed sinkholes. There is considerable
105 Hm3. evidence of very hard alabastrine gypsum strata in the
vicinity of the right abutment. (Fig. 3)
The way the different layers behave in the subsidence
zones depends on their characteristics. Thus, the marls
3 THE GEOLOGICAL ENVIRONMENT
and the clays that are more plastic in nature can adapt
to the new surface, whereas the alabastrine zones frac-
La Loteta Reservoir lies on the Tertiary fills of the River
ture, because they are more rigid.
Ebro Depression. It was formed in a continental evap-
At greater depths there is a halite (salt gem) for-
oritic episode during the Miocene.
mation, which was detected 70 m below the dam in one
From a lithological and stratigraphic point of view
borehole and at a depth of 90 m when drilling in the
the dam foundations and associated works for the lie
reservoir basin.
on two alternate layers of subhorizontal series. (Fig. 2)
The ground is generally impermeable, and its uncon-
– Grey marls with abundant first formation gypsum fined compressive strength (qu) is high, exceeding
and second formation gypsums that fill in the cracks 25 N/mm2 in gypsiferous zones. However, there are
and cavities. also decompressed zones in the marls that lie close to

106

Figure 4. Lugeon test results.
dissolved zones, due to the fact that part of the gyp-
sum layer in the upper level is removed in the struc-
tures with alternating layers. This decompression brings
about an increase in volume and a greater porosity.
(Fig. 4)
The complex nature of this ground was studied in
detail by carrying out exhaustive geological – geotech-
nical research work that enabled those involved to
prepare an extremely accurate stratigraphic map.
Practically all the available Ground Engineering tools
were used, namely, stratigraphic cartography, structural
tectonics, geophysical tests, gamma radiation, con-
ductivity, seismic refraction, electrical logging, bore-
hole logging, permeability tests and strength tests. These
resources were completed with hydrogeological, hydro-
chemical and hydrodynamic studies.
Nevertheless, it was direct observation of the exca-
vated rock mass that made it possible to understand
better the gypsum dissolving process. As part of the
general excavation activities it was planned to remove
the soil and the Quaternary deposits, as well as the
first levels before laying the dam support, but the
appearance of a rather large sinkhole in the left abut-
ment zone made it essential to lower the foundation
elevation by approximately 5 m, with a view to not
only to overcoming the subsidence problem, but also
to improve the entire surrounding area. Soft Quaternary
deposits were removed from the central zone and con-
cealed sinkholes were detected, one of which collapsed
when the overlying blanket layer was removed. The
excavations were dug down to such a depth that the
most active zone was removed.
4 JUSTIFYING THE DAM DESIGN
Therefore, the dam designed was aimed at preventing
water from flowing through the ground, reducing the
hydraulic gradient and ensuring that the salt content
did not become dissolved. The solution adopted was a
typical section earth dam with an impervious blanket,
107
Figure 5. Typical section.
and a continuous diaphragm wall. The core, impervi-
ous blanket and diaphragm wall-assembly managed
to reduce the hydraulic gradient to values as low as
0.2%. An outer gallery under the core was ruled out
on the grounds that it would increase the gradient.
The dam is 1472 m long and the top stands 34 m
above its foundations. With the outer walls sloping at
2.50 H:1 V, the volume of material needed to perform
the works was over 3 million m3, so it was essential to
conduct a study of the local materials so that they could
be used for the typical section of the dam. Therefore, the
typical section was designed for a heterogeneous earth
dam with a coarse clay central core (width 1.20 of the
height) and shells made of material extracted from the
terraces of the River Ebro close to the works site.
Downstream from the core lies a transition zone
composed of one fine filter and one coarse filter, each
of which is 2.50 m thick. These filters run under the base
of the downstream shell, where they are thinner. (Fig. 5)
The core extends below the upstream shell in the
form of a large impervious blanket that reaches 150 m
long in the central zone from the dam axis. It is 6 m
thick and covered with a 4 m thick gravel blanket.
The end of the impervious blanket links up with a
continuous wall of plastic bentonite material made up
of cement and flyash.
The diaphragm wall is 0.80 m thick and its maxi-
mum depth is greater than 30 m, the average depth being
23 m; it is embedded in the marly clay levels where
there is no gypsum. The diaphragm wall is about 1580 m
long and the impervious surface covers an area of more
than 35,000 m2. It is of the single-wall type, constructed
with a trench cutter using drilling slurry. (Fig. 6)
4.1 Clayey material for the core and
impervious blanket
Subhorizontal stratified marls from a zone on the left
slope lying within the reservoir basin and close to the
work site were used for the clayey core material and
the impervious blanket, in view of the fact that their
sulphate content was within the accepted limits. They
were extracted in horizontal strata, because these proved
to be more homogeneous. The strata whose sulphate
content exceeded 0.5% were completely removed.
Figure 6. La Loteta Dam ground.
Densidactm3
Figure 7. Density-moisture diagram. Area to be accepted.
The carbonate content was very low (ranging from
9 to 10%), as was the case with the chlorides (0.15%)
the material being non-dispersible.
One of the greatest concerns was being able to set
a control criterion for the acceptance of layers of this
material, so a series of Proctor references were estab-
lished for the material extracted from the quarry, from
the stockpiles and at the work site, – the latter being
established indirectly on the basis of the plasticity –, a
final Proctor then being estimated, and if it did not
coincide, a Reference Proctor was calculated.
The following procedure was used (Fig. 7):
1. The quarry was split into extensive zones to make
extraction easier.
2. The first indication of similarity was obtained by
establishing the natural moisture content and the
plasticity.
3. The material from each zone was characterized by
establishing the Atterberg-Limits, the natural
moisture and the Normal Proctor. This is referred
to as Quarry Proctor.
4. The material was extracted, broken and wetted to a
value close to the optimum value, before being
piled up and left in stacks for 10 days. A new Normal
Proctor was established, known as the Stockpile
Proctor.
108
Figure 8. Sand processing plant.
5. The material was taken to the work site, where it
was compacted into layers 25 cm depth. The plas-
ticity was obtained and the Estimated Proctor was
obtained indirectly.
If the results obtained in the different Proctor tests
conducted happened to be different, the Reference
Proctor was calculated as the weighted average taken
from the different Proctor values referred to above.
If the compaction is to be accepted, the results
obtained as seen in a density-moisture diagram, have
to lie within an area formed by the saturation curves
of 80% and 95% and confined by the straight opti-
mum moisture lines plus 1% (wop  1%) or minus 2%
(wop  2%).
The saturation degree is limited between 80 % and
95% because for values lower than 80% the fill could
be deformable. Furthermore, a high degree of satura-
tion could cause considerable pore pressure.
4.2 Filter and drain material
Materials extracted from the terraces of the River
Ebro in the proximity of the works were used to man-
ufacture the filters and drains.
These natural sands are very fine, with very few
proportion over 0.5 to 5.0 mm, so it was decided to use
two layers of filter, one fine and one coarse layer,
which would make it possible for any filtrations to seep
through.
A plant was installed on the works site to process
these filters, which required approximately 200,000 m3
of material. (Fig. 8)
The material from the plant was used in 3 size ranges
to make the fine filter with sizes from 0 to 1 mm and
from 1 to 5 mm, 50% of each one, whereas for the
drains 50% of the sizes ranged from 5 to 12 mm, 45%
were between 1 and 5 mm and the remaining 5% ranged
from 1 to 5 mm.
A transition material was placed upstream from the
core and attached to the back of it. It was obtained by
screening the river sediments from the terraces in

Figure 9. Mallacan face upstream.
Figure 10. Grass seeds downstream.
order to remove the coarse elements (
5 cm), thereby In view of the size of the wall, with 35,000 m2 of
preventing the formation of “pockets of gravel” caused
by segregation.
4.3 Exterior protection
The upstream face of the shell is protected with a mate-
rial known as “mallacán”, which comes from the ter-
races; it is a kind of highly-cemented conglomerate
that forms large blocks and it was laid on the slopes as
“rip-rap”. (Fig. 9)
Grass seeds were sown on the downstream slope so
that the resulting vegetation would give it a natural
look and which enable it to harmonize with the
environment. (Fig. 10)
5 IMPERVIOUS BLANKET AND DIAPHRAGM
WALL ASSEMBLY
La Loteta Dam foundations must be highly imperme-
able, because as has already been pointed out the water
in the reservoir is of great economic and social value,
and if it filters through it could erode the foundations.
109
The impervious blanket and the diaphragm wall are
especially useful in helping to make it more imperme-
able. It is important to ensure that the blanket behaves
correctly, because any deficiency in it cannot be cor-
rected by the wall. That is why it was designed to be
thicker than necessary and the upper layer of gravel was
compressed.
Furthermore, the diaphragm wall has become an
element that has to prevent the small streams of water
formed to drain away the natural seepage from flow-
ing through the marly formation and creating karstic
formations which is almost impermeable.
The diaphragm wall is not only the biggest one ever
to have been constructed in Spain, but also the most
singular one, because of its size, the composition of the
mix, the way the slurry is treated and due to the fact that
a trench cutter was used in the construction process.
The plastic wall is made up of three components in
the following proportions:
• Bentonite 50 kg/m3 de mix
• Cement 225 kg/m3 de mix
• Flyash 100 kg/m3 de mix
The mix was required to have an unconfined com-
pressive strength ranging from 0.4 to 0.6 N/mm2 in
order to make sure that it could withstand the erosion
caused by hydraulic gradients, and to make sure that
the permeability was less than 106 cm/s.
Boreholes were drilled through the wall axis into
each one of the cross sections, and then thorough
research work was conducted to check its state at each
point. The research enabled those involved to find out
the optimum depth for the diaphragm wall.
material, two separate plants were erected to manufac-
ture the mixes and to process the slurry.
Two types of slurry were used, both with water and
bentonite:
– Work slurry. This serves to support the excavated
walls and make it possible to remove the detritus
by means of a pump that is placed between the cut-
ting wheels of the trench cutter. This bentonite is
taken to the desanders and decanters to be recy-
cled. (Figs. 11,12)
– Clean bentonite. Once the excavation process is
completed, the slurry and its detritus are replaced
with clean bentonite that, assisted by the trench
cutter, finishes cleaning the module. It will eventu-
ally be removed by the final mix, which is denser.
The way that the diaphragm wall – impervious blan-
ket contact point works is also considered to be of vital
importance, and it has to enable the head of the wall
to embed itself into the impermeable blanket. This
was done by removing the guide walls constructed for
the trench cutter work; the head of the guide walls was
cut down by a height of approximately 1.50 m; and a
Figure 11. Trench cutter detail.
Figure 12. Slurry treatment.
sufficient width of ground was excavated to enable the
fill material, which is exactly the same as the blanket
material, to be compacted mechanically.
6 TREATING THE GROUND
Apart from these elements, blanket and diaphragm wall,
which are incorporated into the dam typical section
itself, the watertight structure was made using the clas-
sical grouting system.
The grouting was used to enhance the ground per-
meability in the zones where evidence of karstifica-
tion had been detected.
The grouting courtain was located at the toe upstream
from the core, a first row following this alignment, a
second one was located at 3.50 m, holes being drilled
alternately every 7 m.
110
Figure 13. Diaphragm wall.
The pressure and intake control was carried out
following a criterion similar to the GIN method. The
grouting was performed in two zones that more or
less coincided with the abutments, and they were 300
and 375 m long.
7 CONTROL & AUSCULTATION
An exhaustive auscultation plan was carried out with
a centralized data taking system that enables the users
to control a series of parameters including the follow-
ing: the pressure and deformations during the construc-
tion process, and the filling and operating of the works,
so that the effectiveness of the elements and systems
involved can be checked.
The following instrumentation devices are also worth
mentioning:
• Hydraulic settling cells.
• Total pressure cells.
• Large base extensometers.
• Rod extensometers.
• Piezometers.
• Meteorological station.
8 CONCLUSIONS
This is an exemplary dam because all the materials
needed to its building were obtained 6 km around.
The strategic location of this large capacity reser-
voir with minimum environmental impact and great
social and economic interest for the development of the
zone, has became these works into a strategic dam, in
which the very latest Ground Engineering resources
and techniques have been used to make this major proj-
ect not only possible but also feasible.
Figure 14. La Loteta Dam. Upstream face.

Lafuente, R. et al. 2002. En Jornadas de Presas. Los princi-

pales materiales de construcción de la presa de La Loteta
(Zaragoza)
Terra-Bauer. 2001. Informe solicitado por Loteta UTE. Pan-
talla plástica impermeable de tres componentes
(Bentonita-cemento-cenizas) ejecutada con hidrofresa.

Figure 15. La Loteta Dam.

REFERENCES

Lafuente, R. et al. 2002. En Jornadas de Presas. La presa de

la Loteta (Gallur, Zaragoza)
Lafuente, R. et al. 2002. En Jornadas de Presas. Re-
conocimiento Geológico-Geotécnico de la cimentación
de la presa de La Loteta (Zaragoza)
Lafuente, R. et al. 2002. En Jornadas de Presas. Pantalla de
impermeabilización de la presa de La Loteta (Zaragoza)

111
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Consequences of the regulating dams at the head of the Tagus River in the
management of water supply, hydropower and flood prevention

F.J. Flores Montoya

Doctor Ingeniero de Caminos, Canales y Puertos. Ministerio de Fomento Madrid, Spain

G. Liébana del Pozo

Ingeniero de Camino, Canales y Puertos. Confederación Hidrográfica del Tajo Madrid, Spain

M.A. Ortiz de Andrés & J. Mora Colmenar

Ingenieros de Caminos, Canales y Puertos. Initec Infraestructuras S.A.U., Madrid, Spain

ABSTRACT: In this paper we study the direct and indirect effects of the construction and exploitation of two
dams: Entrepeñas and Buendía, analysing the functions for which they were built them and many others that
appeared once the dams and all the related infrastructures around them were built. Their capability for regula-
tion leads to the availability of around 80% of the mean total resources in natural regime from the head of the
Tagus, with guarantees close to 100%. The water from these reservoirs has the following uses: it guarantees a
flow at Aranjuez of about 200 hm3/year, it is used to cool power reactors, gives 1 kWh/m3 at different down-
stream waterfalls, irrigates big surfaces of land, helps with the population supply for millions of people in dif-
ferent basins (Tagus, Guadiana, Segura, Jucar and Sur) and also helps to preserve Tablas de Daimiel. Their
privileged location has given Entrepeñas and Buendía a huge potential for several uses that hadn’t been planned
when they were designed. This fact should make us think carefully before taking decision about building new
dams. They have also reduced the flood risk downstream, in the Tagus’ fertile valley.

1 INTRODUCTION However, initial necessities have changed and the

Entrepeñas reservoir, placed at the Tagus’ head, has a
maximum exploitation capacity of 803 hm3 and a sur-
face at that level of 3213 ha. The 446000 m3 concrete
dam, 87 m high from foundations, was built by the
Spanish administration in 1956.
Buendía reservoir regulates the Guardiela River. Its
maximum capacity at exploitation regime is 1638 hm3
and its surface 8195 ha. Its dam was also built by the
Spanish State, and finished in 1957. The volume of
concrete of the 79 m high dam is 496000 m3.
The investments related to these reservoirs (build-
ing the dams, maintenance, affected users, environ-
mental actions, compensations to nearby villages, and
so on) total around 233.8 m€, present value calculated
for the 1st Jan 2005.
The reason for building the dams was to regulate
the head of the Tagus River, to satisfy the demands in
its own basin, hydropower uses, flood prevention and
some other demands in the Southeast of Spain, as
planned in the National Plan of Hydraulic Works
(1933) and developed in the planning after 1940.
reservoirs have been used for some uses that hadn’t
been considered: environmental demands, industrial
and leisure demands, helping to maintain the National
Park Tablas de Daimiel and some other demands in the
Tagus and Guadiana basins. Building the dams has
effectively avoided any flood downstream. Nowadays,
they are seen as a solution for the urban supply in
Madrid and Castilla La Mancha.
2 DEMANDS
2.1 Consuming demands
2.1.1 Tagus River basin
Entrepeñas and Buendía reservoirs, placed in
Guadalajara and Cuenca counties (Spain), regulate
most of the water resources in the Tagus’ head, with a
surface of 7418 Km2 and an average interannual flow
in natural regime of 1176 hm3/year.
The joint capacity is 2400 hm3, leading to the
availability of 80% of the mean total flows in natural
regime, being almost 100% guaranteed.

113
 The regulation by the Entrepeñas-Buendía system LOSARIGdna D

makes possible to attend consumer demands in the

Tagus basin, estimated to be 350 hm3/year, with a guar-
antee of 100%. It has also allowed some public lands to
be irrigated (Estremera, Aranjuez, bottom of the irri-
gated land in Jarama River, La Sagra, Castrejón M.D.
and M.I., Valdecañas, Azután, Alcolea de Tajo, etc.). SETIM L
Limtedcuna
Limtedpro vinca
meti L u lapic n
2.1.2 Southeast of Spain MANCOUID A DES
lA gorod
The Entrepeñas-Buendía system is also used to satisfy riG a los
demands in the Southeast of Spain. The Law 21/71 0 1 0 2 0 3 0 4 0 5 0 6 0 7 0 8 0 9 0 1 0 0 sret moliK

from 19th June permits the transfer of up to 600 hm3

once all the demands in the Tagus basin are satisfied. Figure 1. Algodor and Girasol communities.
The volumes from the Tagus basin that can be
potentially used by the receptors of the transfer “Tajo Table 1. Installed power in hydropower stations regulated
Segura Transfer” (TST) are: in the Tagus basin.
– Irrigations in the Southeast: 400 hm3 (Law 52/80, Generation
article 14) power
– Urban supplies in the Southeast: 110 hm3 (Law Dam Powerhouse River (Mw.)
52/80, article 14)  30 hm3 (Law 52/80 and criterion
taken by the Transfer Commission that states that Entrepeñas Entrepeñas Tajo 36,9
fewer wastes permit more supplies for the southeast) Buendía Buendía Guadiela 55,3
Bolarque I Bolarque I Tajo 28,0
Most of the population supply in the southeast is sat- La Bujeda Bolarque II Tajo 208,0
isfied with water from the Tagus through the “Canales Zorita Zorita Tajo 10,6
de Taibilla” Community, organization that depends on Almoguera Almoguera Tajo 10,6
the Ministry of Environment and that supplies to 95% Burguillo Burguillo Alberche 48,8
of the population of Murcia and to 55% of Alicante’s Charco Puente Nuevo Alberche 16,2
(a total of 2 million people). In 2002 the Canales de del Cura
Taibilla Community managed 207 hm3 of water from San Juan San Juan Alberche 33,4
Picadas Picadas Alberche 20,0
which 119 hm3 (58%) came from the Tagus. Castrejón Castrejón Tajo 76,8
The water from the TST is of vital importance for the Gabriel y Gabriel y Alagón 110,0
irrigated land in the Spanish southeast because a big per- Galán Galán
centage of the water resources used in the Segura River Guijo de Guijo de Alagón 54,0
basin come from the Tagus. The National Hydrological Granadilla Granadilla
Plan (document “Análisis de sistemas hidráulicos”, Valdeobispo Valdeobispo Alagón 12,9
page 235) estimates a flow of 400 hm3/ year from the Azután Azután Tajo 180,0
TST and 54 hm3/year of urban wastewater, as said Valdecañas Valdecañas Tajo 225,0
before most of it from the TST, out of the total Torrejón Torrejón Tajo 130,0
Alcántara J. Mª Oriol Tajo 934,0
1432 hm3/year to irrigate land in the Segura basin. To Cedillo Cedillo Tajo 473,0
sum up, it can be said that, when the transfer is working
at full capacity, around 30% of the water for agricul- Total 2663,5
tural uses in the Segura basin comes from Tagus.
include towns in the Guadiana basin. The community
2.1.3 Guadiana River basin of Algodor has more towns in the Guadiana basin
The Entrepeñas-Buendía system, together with the than in the Tagus basin.
TST and new infrastructures that are being built, will
improve the urban supply of the towns of Castilla La
2.2 Non-consuming demands
Mancha that are located in the Guadiana basin. This
will be achieved transferring resources from the Tagus’ There are several power stations related to the
basin to the Guadiana’s. Entrepeñas and Buendía reservoirs: Entrepeñas with
The Law R.D.L. 8/1995 set the maximum volume at 37 Mw of installed power, Buendía with 55 Mw,
the end of the transfer from the Entrepeñas-Buendía Bolarque I with 28 Mw and Bolarque II with 208 Mw.
to the Guadiana basin in 29787 hm3 every year. As it is shown in Table 1, 12.3% of the total
Apart from the above mentioned transfer from Tagus hydropower in the Tagus basin corresponds to stations
to Guadiana, there are two communities, Algodor and related to the Entrepeñas-Buendía system and the
Girasol, which receive water from the Tagus and 88,9 % is also somehow related.

114

Figure 2. Hydroelectric waterfalls downstream Entrepeñas-
Buendía system.
Table 2. Installed power in thermal power stations in
Tagus’ basin.
Powerhouse Power (Mw)
Aceca 627
José Cabrera (nuclear) 160
Almaraz I (nuclear) 974
Almaraz II (nuclear) 983
Trillo I (nuclear) 1.066
TOTAL BASIN 3.810
Total SPAIN 15.659
The reversible station of Bolarque II is remarkably
important with its 208 MW of installed Power and
close to 400 MW of oscillating? Power because it
helps the electrical network to get over peaks and val-
leys. It is a power station located in the central area of
Spain that contributes in a noteworthy manner to the
balance of the spanish energy network.
As shown in figure 2 above, around 1 kWh/m3 can
be obtained from the waterfalls downstream the
Entrepeñas-Buendía system, due to its high regula-
tion capacity.
Finally, one conventional thermal power station
(Aceca, installed power 627 Mw) and one nuclear power
station (Zorita o José Cabrera, installed power 160 Mw)
are cooled by resources regulated by the Entrepeñas-
Buendía system. The power stations cooled by this sys-
tem produce 20.66% of the total installed power from
all the thermal power stations in the basin and 5% of
the total installed power in Spain, as it is shown in
Table 2 above. Currently, there are several cogeneration
stations being built that will use these water resources
for cooling.
2.3 Environmental demands
The social and economic development of Spain has
brought a big increment of public’s concern on envir-
onmental issues since the Entrepeñas-Buendía system
was built. This has changed the environmental demands.
The Entrepeñas-Buendía system, thanks to its high
regulation capacity, is able to keep a minimum flow in
Aranjuez of 200 hm3/year.
115
Table 3. Main dwellings and summer houses in Chiloeches,
Horche and Sacedón (Source: Padrón de Viviendas de 2001.
Instituto Nacional de Estadística).
Population No. Main
Town 2005 dwellings
Chiloeches 1.875 512
Horche 1.871 600
Sacedón 1.700 597
No. Summer
Town houses No. Shops
Chiloeches 492 38
Horche 662 104
Sacedón 952 141
Tablas de Daimiel, a RAMSAR wetland in the
Guadiana basin, has the highest degrees of protection
(National Park and Biosphere Reserve), but it is sub-
jected to a big human pressure due to the exploitation
of aquifer 23 (western Mancha). The result is less
resources for the wetland and a severe reduction of
flooded surface.
The Entrepeñas-Buendía system, together with the
TST infrastructure, are maintaining the amount of
flooded surface, supplying water from the Tagus
basin. The R.D.L. 8/1995 (Royal Decree) sets a max-
imum volume for Tablas de Daimiel of 19858 hm3
annually from the Entrepeñas-Buendía reservoirs.
2.4 Leisure activities
Entrepeñas and Buendía reservoirs are intensely
utilised for leisure activities and as tourist attraction.
This is especially important, both social and econom-
ically, for the towns located by the side of the reser-
voirs. Their proximity to Madrid and the phenomenon
of summer houses encourage these activities.
To illustrate the importance of these uses, we show
in Table 3 above the statistics about the population of
Sacedón (by the side of Buendía reservoir) and two
other towns of similar population in Guadalajara
(Chiloeches and Horche).
3 FLOOD PREVENTION
The regulation at the head of the Tagus by the
Entrepeñas-Buendía system has reduced significantly
the flood risk downstream, in the Tagus’ fertile valley.
The traditional critical points are Aranjuez and
Talavera de la Reina. There have been 58 big floods in
Aranjuez during the last 500 years. The number of
floods in Talavera de la Reina in the last 500 years is 19.
Since the Entrepeñas and Buendía dams were
built, and thanks to their regulating effect, these two
critical points (Aranjuez and Talavera de la Reina)
haven’t suffered floods from the Tagus River.
4 CONCLUSIONS
Entrepeñas and Buendía are essential in the water
management of the Tagus basin and for the whole
Spain, due to the transfer Tagus-Segura. The regula-
tion at the head of the river supplies water resources for
more than 2 million people in the southeast of Spain,
allows the irrigation of tens of thousands of hectares
in the Tagus and Segura basins, provides water for
environmental purposes, cools down two power sta-
tions and permits the functioning of a reversible
208 MW hydroelectric station in the middle of the
Iberian Peninsula among some others stations along
the Tagus-Segura Transfer canal.
In the future, these reservoirs, together with the
TST and some new infrastructures under construction,
116
will improve the urban supply of several towns in the
Guadiana basin.
It is important to note that the present value (2004)
of the total public investment to date in the whole sys-
tem before is 233.8 m€, that is, less than 0.1€ per
cubic metre (m3) of reservoir capacity. Considering
that the system is providing more than 800 hm3 per
year for different purposes, the investment’s cost-
effectiveness is clear, 50 years after its creation. It
wouldn’t be easy to find more profitable public
investments than the regulation system at the head of
the Tagus, as the annual capital cost is less than 1
peseta per regulated m3.
Their privileged location gives these reservoirs a
great potential for utilisations that are different from
those that they were built for, like environmental
demands, new population supplies and leisure activ-
ities. They may be vital in the near future to help with
the supplying and energetic problems in the centre of
Spain.
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Azúa Valley Lake and integrated water resources management in

Vitoria-Gasteiz

R. Mujeriego
Universidad Politécnica de Cataluña, Barcelona, Spain

J. López
Técnicas y Técnicos, S.A. (TYPSA), Vitoria-Gasteiz, Spain

ABSTRACT: The Azúa Valley Lake is the most emblematic element of the Integrated Water Reclamation and
Reuse Plan for the Vitoria region that began in 1992. The off-stream lake has a capacity of 7 hm3, satisfies the
latest environmental requirements, and is located at 75 m above and 2 km distance from the surface water reservoirs
supplying the regional areas of Bilbao and Vitoria. The lake will be able to store the winter-spring excess of
reclaimed water produced at the Vitoria-Gasteiz water reclamation facility, so it can be used for agricultural and
landscape irrigation during the summer, and also for in-stream ecological flow substitution. The use of reclaimed
water will result in equivalent surface water flows available for urban water supply, improved protection against
flooding, and an additional production of 2 million kWh annually of hydroelectric energy.

1 INTRODUCTION component of the IWRR Plan, when it becomes opera-

tional by the end of 2006.
The city of Vitoria-Gasteiz is the capital of both the
Álava Foral Territory and the Regional Government
2 OBJECTIVES
of the Basque Country in Spain. With a population of
220,000 inhabitants, it includes a very diverse indus-
The main objective of this paper is to assess the role of
trial activity that contributes about 30% of its waste-
the Azúa Valley Lake as an essential component of the
water flows. The city of Vitoria-Gasteiz shares its water
IWRR Plan of Vitoria-Gasteiz, with particular empha-
supply system with the city and the regional area of
sis on: 1) the quality of the reclaimed water that will be
Bilbao, with a population of 1 million inhabitants,
stored in it, 2) the environmental and economic benefits
through the conjunctive use of the water reservoirs of
that will be derived for the region, 3) the improvement
the Zadorra River, which have a total useful capacity
in water supply reliability that will provide for the cur-
of 180 hm3.
rent water supply system, 4) the reduction of flooding
The urban water supply requirements of Bilbao and
risks associated with the current management policies
Vitoria-Gasteiz have being exceeding the storage capac-
of the surface water supply reservoirs, 5) the implemen-
ity of the existing reservoirs in a steady increasing
tation of future strategies for using the reclaimed water
manner during the last few decades. This situation has
stored in it, and 6) the definition of water quality man-
prompted the need for the current water users to provide
agement strategies to be followed for maintaining the
additional water resources, particularly by Vitoria-
aesthetic and environmental status of the reclaimed
Gasteiz, the user with the largest deficit. An Integrated
water stored in the lake.
Water Reclamation and Reuse (IWRR) Plan for Vitoria-
Gasteiz was prepared by the Álava Regional Govern-
ment in 1992 (Diputación Foral de Álava et al., 1995) as 3 WATER RESOURCES AND WATER USES
a coordinated response to the water demands of urban,
industrial, and agricultural users in the Vitoria region. Table 1 summarizes the storage capacity of the Zadorra
The main objectives of the plan were to improve water river reservoirs and the water demands of the surround-
supply reliability, to decrease the risk of flooding, and to ing populated areas. The water demands include urban
ensure the environmental protection of the tributary and industrial supplies, and also the in-stream flows
streams. The Azúa Valley Lake will become an essential (ecological flows) that the reservoirs have to provide,

117
Table 1. Available water resources and water allocations
from the Zadorra River reservoirs.
Reservoir capacity
Urrunaga 67 hm3
Ullibarri 139 hm3
Total 206 hm3
Authorized maximum volume 180 hm3
Current allocations
Water supply to Bilbao 145 hm3
Water supply to Vitoria 25 hm3
In-stream flows of the Zadorra y
Santa Engracia Rivers 30 hm3
Total 200 hm3
downstream from the reservoirs, to the Zadorra River
and its tributary the Santa Engracia River.
Table 1 clearly shows two basic and important facts:
1) the flows provided by the reservoirs are devoted
exclusively to urban water supply and to preservation of
the rivers environmental conditions, and 2) the annual
water demands corresponding to those two uses exceed
the useful capacity of the reservoirs.
Considering that the average rainfall intensity for
the area is close to 800 mm/year, the contributing
watershed has a surface area close to 400 km2, and the
water fraction infiltrating in the soil can be estimated
at 30%, the average annual water contribution of the
Zadorra river watershed to the storage reservoirs can
be estimated at 220 hm3. This estimate does not have
into account the agricultural practices applied in the
surface area of the watershed above the reservoirs,
which could further reduce the water volume actually
collected. It is evident that an average annual contri-
bution of 220 hm3 of surface water cannot provide,
during years of below-average rainfall, a volume of
stored water sufficient to provide the 200 hm3 of water
necessary to supply the Bilbao and Vitoria regions.
This inadequate water supply reliability, histori-
cally estimated as a minimum deficit of 20 hm3 per
year, has resulted in serious difficulties over the last
few decades for the Inter-regional Watershed Agency
(Confederación Hidrográfica del Ebro, CHE), the
Regional Governments of Álava y Vizcaya, the City
Councils affected, and the Irrigation Districts in the
area. Those difficulties usually reach a particularly
critical point at the time of establishing the operational
water level conditions of the reservoirs that ensure
a reliable water supply to the Bilbao regional area,
while taking into account the upper protection water
levels in the reservoirs necessary to prevent the flood-
ing episodes that periodically affect the urban, indus-
trial, and agricultural activities in the lower areas of
the Vitoria region. Water levels adequate to satisfy the
water supply needs of the Bilbao region have resulted
in the past in inadequate water levels to accommo-
date the large water volumes generated in the upstream
118
watershed during heavy rains, or sudden snow melt-
ing episodes.
4 PLANNED WATER REUSE AND
INTEGRATED MANAGEMENT
PROGRAM
In contrast to the traditionally proposed solutions, such
as dam’s height increase, or expansion of the Zadorra
river bed so it can accommodate up to 150 m3/s, (9
times larger than its current maximum flow rate),
the Irrigation Districts affected, in cooperation with
the CHE and the Álava Regional Government, have
been implementing since 1996 an Integrated Water
Reclamation and Reuse Plan, with the following main
objectives:
1 To use reclaimed water for irrigation of 10,000 ha
of several food crops, including orchards and raw
eaten vegetables. Irrigation started in 1996, and cov-
ered initially a surface area of 4,000 ha. The addi-
tional 6,000 ha began irrigation with surface water
during the summer of 2005, waiting for the corre-
sponding volumes of reclaimed water that will be
stored in the Azúa Valley Lake, by the end of 2006.
2 To replace a fraction of the in-stream ecological
flows currently provided from the surface water
reservoirs by the corresponding flows of reclaimed
water, with the quality level required for support-
ing fish life, namely salmonid and cyprinid waters
(European Council, 1978). Those replacement flows
would be introduced just below the water supply
dams, using the pumping stations and the pipelines
of the existing irrigation network.
By replacing a fraction of the water flows dis-
charged from the surface water reservoirs by equiva-
lent flows of reclaimed water, three main objectives
will be reached: 1) to increase surface water avail-
ability for supplying the Bilbao region, 2) to pro-
duce a additional amount of hydroelectric energy,
taking into account the decrease in elevation expe-
rienced by surface water when traveling to Bilbao,
and 3) to lower down the upper protection water
level of the surface water reservoirs, and conse-
quently offering a larger capacity for retaining the
high flows that can be produced by the Zadorra
watershed areas, and thus preventing the potential
flooding episodes in the lower areas of the Vitoria
region.
In-stream water flows replacement in the Zadorra
River will begin in early 2006, by providing re-
claimed water flows equivalent to a 20% fraction of
the in-stream water flows customarily provided
from surface water reservoirs. This fraction will be
gradually increased until it reaches a 50% of the
total in-stream flow of 1 m3/s established by regula-
tory requirements.
Table 2. Surface water consumption for urban water sup- Table 3. Integrated water reclamation and reuse plan for
ply and landscape irrigation in the city of Vitoria-Gasteiz. Vitoria-Gasteiz.

Landscape Urban Urban irrigation, Capacity and uses Objectives

Year area, ha supply, hm3 hm3 (% total use)
Reclamation capacity (2003) 12,00 hm3/year
2003 460 24,6 3,1 (13) Agricultural uses (2003) 2,40 hm3/year
2002 437 24,6 2,5 (10) Agricultural uses (2006) 7,00 hm3/year
2001 402 25,2 2,8 (11) Storage capacity 7,00 hm3/year
2000 402 24,8 2,5 (10) Existing irrigation network 350 km pipelines
1999 400 24,5 2,4 (10)
1998 380 25,3 2,0 (7,9)

Table 4. Physico-chemical quality of reclaimed water pro-

duced at the water reclamation plant of Vitoria-Gasteiz,
3 To use reclaimed water for landscape irrigation of from 1996 to 2006.
parks and public gardens in the city of Vitoria-
Gasteiz. Table 2 shows that landscape irrigation Turbidity 2 NTU Boron 1,50 mg/l
in Vitoria-Gasteiz represents more than 10% of Electrical 1,000 S/cm Cadmium ND
the city’s surface water supply. When the currently conductivity
proposed new landscape areas become operational Ammonia 1,5–19 mg N/l Chromium 0,02 mg/l
in the forthcoming years, that fraction will reach nitrogen
an estimated 15% value. BOD5 5 mg/l Copper 0,05 mg/l
The irrigation water demands for the agricultural NO3 2–15 mg/l Mercury ND
COD 20 mg/l Nickel 0,40 mg/l
areas of the Vitoria region and the landscape urban Oxygen 7 mg/l Lead ND
areas of the city of Vitoria-Gasteiz become a real- demand
ity mainly during the summer season, from early Selenium ND
June to late September or even October, depending Zinc 0,40 mg/l
on the spring rainfall pattern. Usually, the rainfall
received from October to June is sufficient to ND: non detectable, lower than 0,01 mg/l
cover the water requirements of the agricultural
crops grown in the area, as well as the basic main-
tenance of the city’s landscape areas. Similarly, the Guidance Manual prepared by the California State
the water requirements for in-stream flows in the Water Resources Control Board (Mujeriego, 1990).
Zadorra River become especially necessary during The optimal operation of the water reclamation plant
the summer season. was limited by the ability of the system to store the re-
claimed water produced during the fall-winter-spring
seasons. The flow capacity of the water reclamation
plant allows irrigation of a maximum of 4,000 ha
5 WATER RECALAMATION PLANT (1,300 ha effective) under a continuous operation re-
gime during the summer season. However, storing the
The water reclamation facility of Vitoria-Gasteiz began reclaimed water produced during the rest of the year
operating in 1995, and has a capacity of 35,000 m3/day, would provide enough water supply to irrigate up to
equivalent to 12 hm3/year. That water volume is suffi- 10,000 ha (3,300 ha effective). To achieve that objective,
cient to irrigate 10,000 ha of agricultural land during the IWRR Plan of Vitoria-Gasteiz included the con-
the summer season. The edaphic characteristics of the struction of an off-stream reservoir, where reclaimed
agricultural areas of the Vitoria region render summer water could be stored during the fall-winter-spring sea-
irrigation a recommended practice under a schedule son, and subsequently used for irrigation during the
of once every three consecutive years. This practical summer season. Table 3 summarizes the water flow pro-
requirement results in an agricultural surface area actu- visions included in the IWRR Plan of Vitoria-Gasteiz.
ally irrigated during a summer season close to 3,300 ha, Tables 4, 5 and 6 show the water quality achieved
just about one third of the 10,000 ha available to the by the water reclamation plant of Vitoria-Gasteiz
Irrigation Districts. since 1996, when it became operational. The reclaimed
The water reclamation plant of Vitoria-Gasteiz was water produced satisfies the quality criteria specified
designed according to the quality criteria for reclaimed in the Title 22 of the California Water Code (Asano et al.
water required by the Title 22 of the California Water 1991), the health guidelines recommended by the World
Code (Asano, 1998, Asano et al. 1991). Planned water Health Organization (1998) y and the water reuse crite-
reuse for agricultural irrigation was designed accord- ria proposed by the US Environmental Protection
ing to the guidelines and technical criteria included in Agency (2004).

119
Table 5. Organic and microbiological quality of reclaimed
water produced at the water reclamation plant of Vitoria-
Gasteiz, from 1996 to 2006.

Bromodichloromethane 5 g/cm
Bromoform 1 g/l
Chloroform 30 g/l
Dibromochloromethane 1, 0 g/l
Chlorophenols Non detectable
Total coliforms Absence
Nematode eggs Absence
Giardia lamblia Absence
Cryptosporidium Absence
Legionella Absence
Salmonella Absence Figure 1. Air view of Azúa Valley Lake during construc-
tion in 2004. The Ullibarri surface water reservoir appears in
the background.
Table 6. Quality of the water produced at the water reclama-
tion plant of Vitoria-Gasteiz, during the summer of 2006.
a water quality equal or better than that of the surface
Turbidity 0,5 NTU water reaching the reservoirs through runoff from its
Electrical conductivity 900 S/cm natural, urban and agricultural watershed. The intro-
Ammonia nitrogen 1,5 mg/l duction of highly treated reclaimed water flows into
NO3 7 mg/l the surface water reservoirs, currently used for urban
Phosphorous 1 mg/l water supply, would offer a possibility to partially close
BOD5 5 mg/l de O2 the water cycle at the regional level, in the terms, with
COD 10 mg/l de O2 the scope, and the schedule that may be considered
Permanganate oxygen 5 mg/l de O2
appropriate in the future.
demand
Metals 0,1 mg/l Construction of the Azúa Valley Lake was completed
Trihalomethanes 15 mg/l by late 2004, pending the implementation of the com-
Chlorophenols Absence pressed air diffuser system and the photovoltaic panels
Microbiology Absence of microorganisms necessary to generate the electric energy for driving
analyzed (see Table 5) them. The regulatory approval process for Emergency
Plans and the Filling Protocols are being completed dur-
ing first semester of 2006.
6 AZÚA VALLEY LAKE The Azúa Valley Lake is an essential component of
the IWRR Plan of Vitoria-Gasteiz, for the following
The Azúa Valley Lake is the last significant construc- reasons:
tion included in the IWRR Plan of Vitoria-Gasteiz. Is
it an off-stream storage reservoir, formed by two earth 1 It provides the reclaimed water volumes required for
dams that result in an artificial lake with a capacity in-stream flow substitution in the Zadorra River, in
of 7 hm3. The lake has been designed and built consid- case of a prolonged failure of the biological treatment
ering the environmental requirements applicable to a processes of the municipal wastewater treatment
high value natural landscape environment. The lake is plant of Vitoria-Gasteiz, or the physico-chemical
located 75 m over the water level of the nearby surface processes of the water reclamation facility of Vitoria-
water reservoirs of the Zadorra River, and just about Gasteiz.
2 km from them. This topographic situation offers a 2 It ensures the water flows necessary for agricultural
unique condition to contemplate the possibility for and landscape irrigation of the regional and the urban
future water contributions from the Azúa Valley Lake to areas of Vitoria-Gasteiz during the summer season.
the Ullibarri reservoir, after applying the water purifi- 3 It provides a mechanism for nutrients removal from
cation processes that may be considered necessary at the reclaimed water stored in the lake, by alternating
that time. Figure 1 shows an air view of Azúa Valley anoxic and aerobic conditions in the water column,
Lake during the construction process in 2004. The and the addition of atmospheric oxygen through a
Ullibarri reservoir appears in the background. deep aeration system, using compressed air that will
Synthetic membranes for ultrafiltration, nanofiltra- be generated by photovoltaic energy panels located
tion, and reverse osmosis offer the technical means in inland slopes of the earth dams.
to contemplate at the present time the possibility for
decreasing the salinity concentration of the available Table 7 summarizes the main characteristics of the
reclaimed water well below 500 S/cm. This represents earth dams forming the Azúa Valley Lake.

120
Table 7. Main characteristics of the earth dams forming the Vitoria-Gasteiz, according to similar water resources
Azúa Valley Lake. management initiatives widely adopted in Southern
California (Mujeriego, 2004, 2005). The Azúa Valley
Main purpose To store reclaimed water Lake promotes a more sustainable use of the hydro-
produced at the
electric energy generated with the surface water stored
Vitoria-Gasteiz water
reclamation plant (Title 22 in the Zadorra river reservoirs, and also results in an
of California Water Code). overall lower generation of carbon dioxide (Sala &
Beneficial uses To irrigate 10,000 ha of food Serra, 2004, Mujeriego, 2005).
crops, urban landscape areas, The water reclamation plant of Vitoria-Gasteiz has a
and substitution of in-stream design capacity of 12 hm3 per year, which is sufficient to
flows of the Zadorra River. satisfy the water required for agricultural and landscape
Watershed surface: 1 km2 irrigation, and to contribute a flow of up to 0.4 m3/s
Lake surface area 50 ha for substitution of the in-stream (ecological) flows
Storage capacity 7 hm3
discharged from the surface water reservoirs. That flow
Dams height Dam 1: 35 m; Dam 2: 29 m
Dam type Earth dams with impermeable contribution represents just 40% of the 1 m3/s in-stream
core. flow currently established by regulatory requirements.
Inlet and outlet Through a pipeline installed in The indirect benefits of this flow substitution are:
systems a tunnel with inlet-outlet under 1) the availability of the corresponding 0.4 m3/s of
Dam 1, located 30 m below the surface water that can be diverted from the reservoirs
dam’s highest point. and used for urban water supply in the Bilbao region,
Filling system Pumping from the water and 2) the production of an additional amount of
reclamation plant, with 110 m hydroelectric energy, generated by that same flow
of hydrostatic pressure
when descending the 300 m altitude difference exist-
Other facilities Deep aeration system for
(under design) injection of compressed air ing between the surface water reservoirs and the
produced by photovoltaic hydroelectric power station in the Bilbao region. The
energy panels. hydroelectric energy generated by those flows will be
Construction costs 11,8 million € (1, 7 €/m3) close to 2 million kWh annually.
In summary, by promoting the use of reclaimed
water, the IWRR Plan of Vitoria-Gasteiz allows the
substitution of in-stream flows in the Zadorra River
6.1 In-stream flows (ecological flows) and
during the summer, which represents a total water vol-
agricultural and landscape irrigation
ume of 3,1 hm3, and also the availability of 5 hm3 of
The substitution of the ecological flows currently dis- reclaimed water for agricultural and landscape irriga-
charged from the surface water reservoirs by future tion in the Vitoria region during the summer season.
flows of reclaimed water must be based on a reliable Those irrigation water flows will be provided in equal
water source, protected from the potential failures and amounts from the water stored in the Azúa Valley Lake
shutdowns that can affect the wastewater treatment and and the reclaimed water produced at the water recla-
water reclamation processes. Furthermore, the regu- mation plant of Vitoria-Gasteiz.
latory requirements applicable to the Zadorra River
are those of fresh waters capable of supporting fish life,
6.2 Deep aeration system
namely salmonid and cyprinid waters, as set forth by
Council Directive 78/659/CEE (1978). Among the The reclaimed water discharged into the Azúa Valley
imperative limits established in that Directive, it has Lake will be of excellent physico-chemical and micro-
to be pointed out a dissolved oxygen level higher than biological quality (see Tables 4, 5, and 6). However, it
9 mg/l during 50% of the time, a non-ionized ammo- contains significant concentrations of nutrients (ammo-
nia level lower than 0,025 mg/l, a total ammonia nitro- nia nitrogen, nitrates and phosphorous). Those nutri-
gen level lower than 1 mg/l, and a total residual chlorine ent concentrations need to be controlled, to prevent
level lower than 0,005 mg HOCl/l. To satisfy those the development of anoxic conditions during ammonia
flow and quality requirements, it became necessary to nitrogen oxidation, and thus to ensure suitable biolog-
have a water reservoir of adequate capacity, provided ical and aesthetic conditions in the lake. An ammonia
with the technical means to achieve and to maintain nitrogen limit of 0.5 mg N/l (equivalent to 2.3 mg/l of
the required water quality levels, and also to ensure the dissolved oxygen) has been adopted to ensure that the
availability of the water flows required by the Zadorra biological quality of the water in the reservoir and its
River and the agricultural and landscape irrigation potential to maintain aerobic conditions remain accept-
systems. able at all times in the lake.
The reclaimed water storage reservoir was To achieve that objective, the Azúa Valley Lake
considered a basic element of the IWRR Plan of design project incorporates a deep aeration system,

121
using compressed air diffusers located at 1 m above the
bottom of the lake, with a capacity to maintain a mini-
mum dissolved oxygen concentration of 3 mg/l. This
aeration system includes an underground pipeline, which
surrounds the lake along all its service road. Lateral
conduits placed every 25 m will go into the water, reach
the bottom of the corresponding area, and finalize in an
air diffusers section. Each lateral conduit will be pro-
vided with an automatic electrical valve, to allow open-
ing and closing of the air flow by remote action,
depending of the dissolved oxygen concentration in
the water and the protocols of aeration adopted.
The dissolved oxygen introduced by this network of
bottom diffusers has a multiple objective: 1) to add the
oxygen necessary for the oxidation of ammonia nitro-
gen to nitrates, 2) to satisfy the oxygen demand pro-
duced by the organic matter (BOD5 y COD) remaining
in reclaimed water, and 3) to promote vertical mixing
of the lake waters, preventing the detrimental effects
that may be caused by common density stratification,
or even light stratification due to algal blooms in the
upper water layers.
By alternating aerobic phases, when ammonia nitro-
gen will be oxidized to nitrates, with anoxic phases,
when nitrates will be reduced to nitrogen gas, the over-
all result will be a net reduction of the nitrogen content
of the water. Opening and closing of the electrical
valves will be programmed according to the continu-
ous field measurements of dissolved oxygen concen-
tration in strategic points of the lake, both in vertical
profiles and also in different bottom locations.
The compressed air system has been designed with
a capacity to provide the dissolved oxygen required
daily by one of the 10 surface units of 5 ha each in
which the 50 ha surface area of the lake has been
divided. That strategy will allow continuous aeration
of one surface unit for up to 24 hours daily, with a
minimum frequency of once every 10 days. It has to
be pointed our that the usual operation of the lake
along its yearly cycle will result in water levels fluc-
tuations from its highest level at the end of the spring
season, to its lowest level (practically empty) at the
end of the summer season. At that time, all the reclaimed
water stored in the lake will be used, together with
that produced by the water reclamation plant, for agri-
cultural and landscape irrigation in the Vitoria region
and for substitution of in-stream flows in the Zadorra
River.
6.3 Energy supply
The considerable amount of compressed air that will be
required to satisfy the oxygen demand of the lake water
makes necessary to consider an inexpensive energy
source, with a low carbon dioxide emission rate. Con-
sidering that the inside slopes of the earth dams face
North and South, the most appropriate option was to
incorporate a large surface area of photovoltaic plates,
that will be installed on the inside slopes of the dams,
preventing any undesirable aesthetic impact from the
outside.
The top line of the earth dams has a length of 900 m,
which allows for a total surface area of photovoltaic
plates of 1,800 m2, with a power capacity of up to
150 kW. The direct current produced by the plates will
be stored and subsequently converted to alternate cur-
rent, which will be used for running the air compressors.
This photovoltaic energy supply system has a lower
aesthetic impact than a windmill energy system, and
is more reliable than the latter one, as it ensures a
minimum daily production of energy. Although main-
tenance of a photovoltaic power system is simpler that
a windmill energy system, the operation cots are likely
higher than those of the latter.
7 CONCLUSSIONS
The Azúa Valley Lake is the most emblematic ele-
ment of the ambitious Integrated Water Reclamation
and Reuse Plan of Vitoria-Gasteiz that began in 1992.
The significant development experienced by the urban,
industrial, agricultural, and landscape activities in the
Vitoria region, with a population of 222,000 inhabi-
tants in 2005, has resulted in a steady increase of
water consumption in relation with the allocations
established in 1957, when its population was only of
60,000 inhabitants. The increasing water supply deficits
experienced by Vitoria-Gasteiz have been satisfied by
additional withdrawals from the allocations to other
users of the watershed, rising numerous and increas-
ing difficulties for managing the overall water resources
of the watershed.
Construction of the Azúa Valley Lake was completed
in June 2004, and full operation is expected by late
2006, once the required safety and operation protocols
are completed and approved. The off-stream lake has a
capacity of 7 hm3, satisfies the latest environmental
requirements, and is located at 75 m above and 2 km
distance from the surface water reservoirs supplying
the regional areas of Bilbao and Vitoria. The lake has
been designed to store the winter-spring excess of
reclaimed water produced at the Vitoria-Gasteiz water
reclamation plant, so it can be used for agricultural
and landscape irrigation during the summer, and also
for in-stream ecological flow substitution. The Azúa
Valley Lake is a unique infrastructure in Spain, but
similar to others built in Southern California and
Israel to store reclaimed water for multiple uses.
Operation of the Azúa Valley Lake will serve the
following main objectives:
1 To provide the reclaimed water flows necessary for
substitution of the in-stream (ecological) flows of

122
 the Zadorra River, especially during the summer
season.
2 To provide the reclaimed water flows necessary for
agricultural and landscape irrigation in both the
Vitoria region and the city of Vitoria-Gasteiz dur-
ing the summer months.
3 To promote nutrient removal from the stored
reclaimed water, mainly in the form of ammonia
nitrogen and nitrates.
4 To provide a future option for complete recycling
of a fraction of the reclaimed water produced by the
city of Vitoria-Gasteiz. This could be achieved by
applying an advanced treatment process to the
water stored in the Azúa Valley Lake, and its con-
trolled discharge and mixing with the water stored
in the surface water reservoirs supplying the Vitoria
and Bilbao regions. It is expected that water treat-
ment systems using ultrafiltration and reverse
osmosis membranes, together with other advanced
treatment processes that may be considered neces-
sary, will provide an effluent water of equal or bet-
ter quality than that currently entering the water
supply reservoirs from its natural watershed areas.
Furthermore, operation of the Azúa Valley Lake
will satisfy the following secondary objectives:
1 To gradually restore the water allocations of the
Bilbao region, which have been increasingly used
for drinking water supply in the Vitoria region.
Those returns will be generated by partial replace-
ment of current in-stream flows of the Zadorra
River with reclaimed water flows produced by the
city of Vitoria-Gasteiz.
2 To allow for a more sensible management proto-
cols for the water levels in the surface water reser-
voirs, as to ensure a higher protection level with
respect to flooding episodes in the Vitoria region.
3 To produce an additional 2 million kWh annually
of hydroelectric energy, by allowing larger surface
123
water flows to be transferred to the Bilbao region,
and using the 300 m altitude difference between
the surface water reservoirs and the existing hydro-
electric power station of the Bilbao region.
REFERENCES
Asano, T. (Editor) 1998. Wastewater Reclamation and
Reuse. Water quality management library, Vol. 10.
Technomic Publishing Co. Inc. Lancaster, PA, USA.
Asano, T., Richard, D., Crites, R.W. & Tchobanoglous, G. 1991.
Evolution of tertiary treatment requirements in California.
Water Environment and Technology. vol. 4, no. 2.
Council of the European Communities 1978. Council
Directive 78/659/EEC of 18 July 1978 on the quality of
fresh waters needing protection or improvement in order
to support fish life. Official Journal L222, pp. 0001–0010.
Diputación Foral de Álava, Gobierno Vasco y Aguas
Municipales de Vitoria 1995. Plan de Recuperación y
Reutilización Integral de las Aguas Residuales de
Vitoria-Gasteiz. Diputación Foral de Álava, Vitoria.
Mujeriego 2005. La reutilización, la regulación y la desalación
de agua. Ingeniería y Territorio, No. 72. ISSN: 1695-9647.
Spanish Civil Engineering Association. Madrid.
www.ciccp.es/revistait/
Mujeriego, R. 2004. La gestión del agua en el sur de California.
Ambienta, no. 38, pp. 31–38. Ministry of the Environment,
Madrid. www.mma.es/publicacion/ambienta/
Mujeriego, R. (Editor) 1990. Guidance Manual on Irrigation
with Reclaimed Municipal Wastewater (in Spanish).
Universidad Politécnica de Cataluña, Barcelona.
Sala, L. & Serra, M. 2004. Towards sustainability in water recy-
cling, Water Science and Technology, vol. 50, no. 2, pp. 1–8.
United States Environmental Protection Agency (USEPA)
and United States Agency for International Development
(USAID) 2004. Guidelines for Water Reuse. EPA/625/R-
04/108, September 2004. Office of Water, Washington,
D.C., y Office of Research and Development, Cincinnati,
Ohio.
World Health Organization (WHO)1989. Health guidelines
for the use of wastewater in agriculture and aquaculture.
Technical Report Series 778. Geneva, Switzerland.
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The Canales dam on the river Genil (Granada), a key element in

guaranteeing the water supply to the city and its metropolitan area

M. Vizcaíno
Civil Engineering of Water Agency Andalusian, Granada, Spain

ABSTRACT: In 1885, when cholera had almost been eradicated from Europe, an epidemic struck Granada,
killing 5,500 people (7% of the population) and leaving a further 5,000 stigmatised. For many years “Granada
diarrhoea” was the name given to an intestinal disorder that led the few outsiders daring enough to visit the city to
leave hurriedly. The problem was one of the water supply in the city, despite the purity of the water at its source.
A solution was not found until 1951, although the supply could not be fully guaranteed until 1986, with the com-
missioning of the Canales dam, which regulated and guaranteed the demand for the water drained from the Sierra
Nevada peaks by the river Genil. These two factors – high quality and a guaranteed supply of drinking water – have
both played a role in development of the driving force of the local economy: the influx of tourists to Granada,
where not only the Moorish palace of the Alhambra but also Europe’s southernmost ski resort are located. Several
leisure areas have been set up along the banks of the reservoir for the use of visitors who come to enjoy a day out
in the country. Today the Canales reservoir has become fully integrated in the life of local people, as part of a spec-
tacular landscape at the feet of the imposing Sierra Nevada mountains.

1 INTRODUCTION What would have become of much of Spain if

Today it is considered perfectly normal for a person at
home to make the insignificant effort of turning on a tap
so that water comes out, turning on a shower so that
water comes out, or flushing a toilet so that water comes
out. There are, of course, times, although they last only
a matter of hours, when the water supply has to be inter-
rupted to enable the water mains to be maintained, but
these cuts are announced in the local media days in
advance to give people ample time to store the water
they will need for the day. But one cannot help feeling
upset when making that insignificant effort of turning
on a tap and, for once, water does not come out.
This would be less miraculous in countries where
nature has provided large masses of fresh water or rivers
carrying enough water to satisfy demand almost natu-
rally, all the year round. Unfortunately, this is not the
case on much of the earth’s surface, including Spain
and, particularly, the southern part of the country.
Two thousand years ago, Strabo said of the Iberian
Peninsula, “most of it is barely habitable, because it is
almost all covered with mountains, forests and plains
with poor, unequally irrigated soils”. Even today, two
millennia later, the natural scenario of unequal irriga-
tion has not changed.
major efforts to regulate its rivers with reservoirs –
especially during the 20th century – had not been
made?
Andalusia is the southernmost region of Spain,
covering an area of 86,400 km2. It borders onto south-
ern Portugal to the west and spreads eastwards as far
as the province of Almería. The annual rainfall varies
between almost 2,000 mm in the western provinces of
Huelva and Cadiz to only 120 mm in Almería, where
the average annual evapotranspiration is 2,000 mm.
Within the Andalusian region the province of
Granada is joined by Malaga, Almería and Jaén to make
up what is known as Eastern Andalusia.
The city of Granada and its metropolitan area sit at
the feet of the Sierra Nevada mountain chain, which
includes the peak of Mulhacén, 3,482 metres above sea
level and the Iberian Peninsula’s highest point.
2 CANALES DAM
The water supply in the city has always been based on
the waters of the river Genil, one of the major tributar-
ies of the river Guadalquivir, which drains the north-
western face of the Sierra Nevada. Since a considerable

125
amount of the precipitation in autumn and winter falls
in the form of snow, this supply is to a great extent
regulated naturally. Much of the rock in the moun-
tains higher 1,200 m above sea level is crystalline, with
little or no possibility of percolation, so there are no
aquifers of significant size.
The minimum, maximum and average annual pre-
cipitation figures for the period between 1986 and
2004 are 165.70, 815.00 and 456.00 mm, respectively,
generating supplies at the beginning of the plain section
of 35.740, 118.940 and 61.000 hm3, respectively.
The annual distribution of the supply is cyclical over
the course of the years, with minimum flow rates over a
five-month period between July and November and
maximum flows between April and June, coinciding
with the snow melt from the mountains. The guarantees
of supplies for both irrigation and drinking-water pur-
poses are affected equally by this cycle.
To counter this situation, the Canales dam was
planned, designed and finally built in 1986, with the
capacity to cancel out the irregularity of the water sup-
ply. This dam, which was designed by the engineer
Guillermo Bravo Guillén, is the highest rockfill dam in
Spain (156 m).
The improvements for irrigation and especially the
city’s drinking-water supply have been notable, in
terms of assuring the quality and quantity of water
available. This became clear during the unusually
severe period of drought between 1993 and 1995.
What would the situation be if the water supply had
not been regulated by this dam and demand had to be
catered for by flow waters?
The flow waters are shared between users on the
Granada plain and the city council, which is responsible
for the city’s supply, under an arrangement that dates
back to 1942 (the “Brugarolas agreement”, so named
after the person who acted as arbitrator between the
parties), and determines the distribution ratio as 52%
for irrigation and 48% for the drinking-water supply
(figures refer to the natural flow rate in both cases).
The population of the city of Granada currently
stands at a quarter of a million people. If we assume a
daily supply quota of 250 litres per person, the annual
demand is therefore 22.81 m3. We have studied the
monthly supplies from the river Genil between 1986
and 2004. Of the 204 observations made, in 117 cases,
the demand could not have been satisfied. In
1990–1991 the shortfall would have lasted eight
months, in 1991–1992 nine months, in 1992–1993 ten
months, in 1993–1994 eleven months, in 1994–1995
all twelve months, in 1998–1999 ten months, in
1999–2000 eight months, and all the months in the
period from 2004 until July 2005.
The demand for irrigation would have failed in
similar proportions.
It could be argued that in situations such as this
the irrigation resources could be transferred to the
126
drinking-water supply, and this option is indeed cov-
ered by the current Spanish water legislation, but com-
pensation must be paid to any farmers affected to cover
their losses.
This, then, is the scenario that 250,000 people would
otherwise have had to face. The building and commis-
sioning of the Canales dam has enabled the natural
supplies to be regulated, eliminating the uncertainty
involved in the natural year-on-year distribution. As a
result, many of the surveys that are now so in vogue
show that the city’s water supply is among the most
highly valued in terms of its quality and guarantees.
It is worth noting that in 1885, when cholera had
virtually been eradicated from Europe, a terrible epi-
demic took 5,500 lives in Granada (7% of the popula-
tion) and left a further 5,000 seriously affected. Indeed,
for many years “Granada diarrhoea” was the name
given to an intestinal disorder that led the few outsiders
daring enough to visit the city to leave in great haste.
Another factor to be taken into account, which is
often overlooked or at least not given the attention it
deserves, is the flood absorption factor. As occurs with
all rivers all over the world, when human settlements
appear along the banks, the use of the river water for
farming, etc., is widespread, and the Granada area is no
exception. Such local towns as Pinos Genil, Cenes,
the city of Granada itself, Santa Fé and Loja are regu-
larly saved from flood damage thanks to the flood
absorption effect produced by the Canales dam.
An ambitious plan is currently underway for the
whole Granada metropolitan area, which includes 15
local towns and doubles the population of the city
proper. Most of these towns are supplied by under-
ground waters in the alluvium of the plain of the river
Genil, which is rich in resources but carries the risk of
contamination because of the use of crop fertilisers. In
2001, the water supply to of these towns had to be sus-
pended because they were found to exceed the maxi-
mum nitrites limit, and urgent measures had to be taken
to treat the water, involving not only considerable extra
costs but also greatly reducing the amount of water
available to cover people’s basic needs.
In the light of forecasts that accidents of this type
could be repeated in the future, the Guadalquivir
Hydrographical Confederation [public water author-
ity] has drafted a water-use plan to cover the joint use
of supplies from the Colomera–Cubillas and Canales–
Quentar reservoirs. Under this plan, by undertaking the
necessary works to correct the quality and repair con-
duits an integrated solution will be provided to the
problems not only for the city but also for the 15 towns
in the metropolitan area, so that everyone can enjoy the
same guarantees in the quality and quantity of their
drinking-water supplies. This plan is scheduled for com-
pletion in 2007.
The traditional rights other water users, most of
whom demand water for irrigation purposes, will not
be negatively affected under the plan, because the
resources rerouted for the drinking-water supply willbe
replaced by wastewaters treated at the area’s high-
capacity treatment plants, thus complying with the
requirement of the Framework Directive to optimise the
efficient use of water resources.
Finally, the Guadalquivir Hydrographical Confed-
eration has encouraged the creation of natural leisure
127
areas, water-sports facilities and restaurants at local
reservoirs (principally Canales and Cubillas, and in the
future also at Colomera). As a result, people from the
city and its metropolitan areas flocking to the local
reservoirs for a day out in the country is now a common
sight at weekends.
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Computerised management of the safety, operation and maintenance

of the dams belonging to the Canal de Isabel II

J.A. García Pérez & V. Gaitán Santos

Canal de Isabel II, Madrid, Spain

ABSTRACT: The Dam Department at the Canal de Isabel II, which is responsible for the safety, operation
and maintenance of the surface water extraction facilities for the Comunidad de Madrid (Autonomous Region
of Madrid), uses a Computing Application that enables the users to program and control the activities involved
in the daily running and to assess, at any given time, the degree of Safety and the production capacity of the
Dam facilities. The application is known by the acronym “GOMA” (Gestión de Operation, Mantenimiento and
Auscultation) (Operation, Maintenance and Auscultation Management). A computerised management system
has been designed on the basis of the Inventory of installations and facilities, the annual Planning of tasks, the
description of Programmed Actions, the expected dam behaviour values on the basis of the external conditions,
the Information flows and the role of each component; this system is integrated into the set of technological
environments inherent to the Canal de Isabel II, with respect both to on-line operation (in the office) and off-
line operation (in the installations). The System was implemented at the beginning of 2005, after a period of 6
months of adjustments, validation and the training of the personnel who use it. While this system has been in
operation, checks have been made to ensure that the control is effective, that the operation and maintenance
tasks are properly performed and controlled, that the decision-making centres know how each dam behaves
immediately after the auscultation tasks are carried out and that the corrective measures, if they do not have to
been planned beforehand, are established hours after those responsible become aware that an incident has taken
place. This paper contains a description of the complete Application preparation process, starting with the ori-
gins, going through the Conditions that are required, the Functional Analysis, its “architecture”, a detailed descrip-
tion of the Application and the history of its implementation and the way the daily management takes place, as
well as the Personnel training processes and the management of the documents. Incorporating new technologies
into traditional procedures makes it possible to integrate activities, speed up the processes and find out what has
happened in real time – regardless of the distance from the place concerned -, as well as improve the manage-
ment processes, reduce the risk factors and increase safety.

1 INTRODUCTION over Structures and Regulations. The first of these is

The Canal de Isabel II is the Public Company that
is responsible not only for supplying water to the
entire Comunidad de Madrid (Autonomous Region of
Madrid), with more than 6 million inhabitants, but
also for the Treatment and Purification of its sewage
and waste water.
The Dam Department at the Canal de Isabel II is in
charge of the safety, operation and maintenance of the
surface water extraction facilities (the dams and reser-
voirs) in the Autonomous Region of Madrid, which con-
sist of 16 large storage dams, 4 large diversion dams,
5 small diversion dams and 4 inter-basin transfer tun-
nels. The total storage capacity is 946 Hm3.
The Department is composed of three func-
tional Units: Operation and Maintenance, Control
responsible for operations, maintenance work and for
carrying out direct work on the dams, as well as for
supplying the data that are needed by the other Units.
The second one controls the way the structures behave
by calculating and analysing those data. The third unit
is responsible for guaranteeing compliance with any
legislation that comes into effect in matters concern-
ing safety and emergency.
The obligations that the Department has to each
dam, as established by the Regulations currently in
force, and for each particular dam, its own specific
Operating Standards and its Emergency Plan, can be
summarised as follows:
• Running the installations by applying the Operating
Standards currently in force, and making sure that

129

Figure 1. Dams Department Organization.
this is invariably done in compliance with the estab-
lished safety limits.
• Ensuring that all the elements are permanently func-
tional by carrying out periodical preventive main-
tenance and corrective maintenance.
• Controlling the state and behaviour of the installa-
tions as a whole and of their elements in particular,
through periodical inspections and by studying the
values obtained from auscultation.
• Controlling the quantitative values and the qualita-
tive aspects that could lead to a normal situation
turning into an emergency situation.
• Informing the Body with powers in the matter about
the operations carried out, and about the behaviour
and state of each dam, by submitting the “Annual
Inspection and Auscultation Report”.
• Permanently updating the Technical and Historic File.
2 THE “GOMA” APPLICATION
At the beginning of 2005 a “tailor-made” Computing
Application known as “GOMA” (Gestión de Operation,
Mantenimiento and Auscultation) (Operation, Main-
tenance and Auscultation Management) was con-
structed and implemented, which enables the user to
program and control the actions taken during the daily
operation and maintenance activities and to evaluate
the Dam Safety situation in an ongoing way.
2.1 Imposed Conditions
The result of the analysis of the requirements to be ful-
filled, the way the units were organised, the geographical
location of the installations and the personnel who
look after them led to a decision being taken that the
Application would have to comply with the following
conditions:
1. Being able to control the state of the structural
safety and the Maintenance for all the installations
and facilities.
130
2. Allowing all the personnel to have access to the
Application so that they can use the Program for
performing the work that each one of them has to
undertake.
3. Establishing fluent communication in real time
between the functional Units and the Dams with
regard to taking decisions about what actions are to
be taken, the results and the incidents that have
occurred.
4. Making the Operations Manager aware of the quan-
titative values and qualitative aspects that provide
information about a situation arising that might
make it necessary to declare that a normal situation
has become an emergency situation.
5. Keeping a written record of what has been done or,
when in order, what has not been done, and the rea-
sons.
6. Providing the reports needed to control the man-
agement.
7. Keeping the historical information that is needed
to manage the dams.
2.2 The Functional Analysis
The functional analysis began by pinpointing the
needs of each user: what the System must provide, the
installations to which it applies, the fields of activity,
types of users, type of Work Order to be performed,
controls to be made and reports to be obtained, etc.
Then the following was established for each type
of activity that had been identified: the work process,
its control points, the transaction times between each
“item”, the type/s of Order/s that applied and the users.
The System was then broken down into modules and
the content was established for each one of them,
together with the actions to be carried out and, where
necessary, the enquiries. A specific process was fol-
lowed for the report module, in which the data to be
extracted from each type of Work Order were analysed,
and both the type of report to be obtained (graph,
table, etc.) and the way it was to be presented were
defined for each one.
Finally, in matters concerning communications, a
decision was taken to use digital support for transmis-
sion instead of paper and, as a result, it became neces-
sary for the Application architecture to take the fol-
lowing questions into account:
1. The operating personnel would work off-line with
a laptop PC that would enable them to take with
them all the Work Orders programmed and to col-
lect and enter the data “in situ”. The Application,
would transform the auscultation data into engin-
eering values. The next time the PC was connected
to the company network would enable the user to
send the control results on-line to the decision-
making centres.
2. The person responsible for the Application func-
tioning should be equipped with a Formula Manager
that would enable them to define, simulate (before
validating) and modify the formulae that trans-
form the auscultation control data into engineering
values.
3. Given that many of the Work Orders are exactly the
same or partly the same for different dams, they
would be created, through a managing program, as
the sum of “n” number of forms, which would make
it easier not only to create and modify them, but
also to use the different company network band-
widths at a suitable discharge rate (because of their
limited “weight” in kB), and also make it possible
to collect the data directly.
4. The verbal procedure never guarantees the trans-
mission “in time” or “in form” of the end of an Figure 2. Operation System Scheme.
item within a process for launching the start of the
next one, so it would be necessary to replace that
procedure an e-mail brought into existence auto- The process of integration with the document man-
matically by the Application. ager takes place through an ODBC connection and
5. The Application should automatically inform about the use of the Invesdoc object model.
the exceeding of limit or any other urgency by
means of e-mail and an SMS telephone message to
the decision maker.
6. The file for each document would be associated 3 IMPLANTATION AND FORMATION
with the installation tree node to which it belongs,
so location would be easy, and it would be man- In view of the fact that the Application constructed
aged by implementing document management. envisaged two different work systems (with a desktop
PC and a laptop PC) and the problematic idea, because
it was new, of the workers using the laptop PC tool, a
2.3 The System Architecture decision was taken to carry out the implementation
The Computing System constructed is an essential process and the training process in two phases. The
part of the standardised environments at the Canal de first stage involved trying out the Application, detect-
Isabel II; these are standardised on a “distributed” ing the faults and rectifying them, and ensuring that
model, developed in Visual Basic (Version 6), in the users were familiar with it, for the purpose of
which different technologies that already exist at the which the desktop PC phase was executed. Once it was
Company are integrated: e-mail (Lotus Notes, Version found that everything was operating according to plan,
5.1), Document Manager (Invesdoc), the object model the second phase was undertaken with the laptop PCs.
IdesAsp and the SMS service belonging to the com-
pany Intranet.
3.1 1st Phase. With the desktop PCs
In the case of a virtual server with a Windows 2000
Server operating system, the programs that carry out First of all the operating manual was handed over to
all the batch processes planned for automatic execu- the office personnel and the team chiefs of the work-
tion are executed at certain hours of the day and/or at ers, and the reasons for having the new Application
regular periods in time. and its advantages were explained to them, together
The data model is constructed on the basis of with the processes and the tasks that everybody had to
Oracle 9i data that interact with Microsoft Access 2002 carry out. A specific course was also given to the
databases by linking and remotely copying files in users of the Work Order and formula generators.
the portable equipment. The clients connect through Then those involved began to work with the Appli-
ODBC. cation in test mode. The workers began to execute, fill
The annual loading of data and the replanning in and fax to the Application Administrator, the
are carried out by using the Microsoft Project 2002 Work Orders that they had already printed out. The
object model. The formula generator uses the Administrator not only played his own role, but also
Microsoft Excel 2002 object model. The report gen- the role of the workers and inserted, from their desk-
erator uses the Access 2002 report manager object top, the Order data, while at the same time teaching
model. the Responsible to perform this task. When incidents

131
cropped up, the Department Helpers took over and
explained the process of corrective measures to the
team chiefs.
3.2 2nd Phase. With the laptop PCs
The Managers taught their workers how to use the
laptop PC and how to enter the Work Orders that they
had already learnt how to fill in on paper. After that,
groups of two workers were formed, at least one of
the group members having already learnt how to
operate the laptop correctly. They then began to apply
the Work Orders on the dam.
3.3 The Basic Data
First of all, the basic data with which the Application
has to work were entered. The following are the most
important:
• Installations: An encoded arborescent diagram of
the installations. The main branches begin with the
Unit (Dam), which is subdivided into Systems (spill-
ways, outlets, etc.), and these are split into Equip-
ment (gates, valves, etc.) and, finally, Components
(hydraulic circuit, obturator, etc.). The code for each
component is a node on the tree.
• Work Order: Description of the actions to be taken
to complete a particular preventive maintenance,
inspection or auscultation task. Every action con-
tains its identifying number, the node to which it
applies, the list of activities to be performed, one
section to note down the irregularities that have
been detected and another section for entering the
time and the consumption levels that have to be
controlled.
• Work Teams: List of the teams and where they
belong organically
• List of users: List of people who can work with the
Application, which also contains the data for iden-
tifying personnel so that they can be recognised,
messages can be sent to them, etc.
• Profiles: List of the “roles” and the degree of
dependence that the Application will use to order
the flow of information, enable access (depending
on the responsibilities of each user) to its different
sections and permit the delegation of functions.
• Parameterizable values: the initial work force values,
the mileage covered and the performance deadline
that can be allocated to the corrective measures for
each priority, etc.
4 THE INITIATION
The process is started by entering in the system, the pro-
gramming of the preventive maintenance, inspection
132
and auscultation Work Orders for every dam and for
each class of work to be performed (operation work
or inspection work, direct performance or carried out
by external contract). Apart from the initiation and
completion dates, the orders contain the identifying
number, the node and the executing equipment. The
Application reads all of them, checks that the data
entered are correct, informs about the errors that have
been found and, once they have been corrected, it
records them in the database. Finally, the system
makes contact with the laptop PCs and transfers the
planning and the Work Orders to their local database.
5 THE DAILY MANAGEMENT
The workers collect their laptop PC at the operating
centres at the beginning of the working day, they open
them, select their team number and the Application
shows them the auscultation Work Orders that they have
to carry out on that day and the name of the installation
where they have to be performed.
After that, the worker go to the first installation, take
the data, fill in the Work Order, insert (where necessary)
the incidents that have occurred and save the Work
Order. The Application transforms the reading into the
engineering value and obtains the allowable limit for the
value on the basis of the variables that are external to
the dam, compares the two and, if the limit has been
exceeded, it removes the data entered. The worker takes
the reading again and enters it, and the Application
admits it regardless of its content. The worker then goes
immediately to the office of the installation on which
the work is being done, connects up to the central data-
base and sends the Work Order that has been filled in.
When the Application has received the ausculta-
tion Work Orders for controlling all the dams, it sends
the daily report to those responsible for the functional
units both automatically and by e-mail; this report con-
tains the “auscultation results obtained with the detect-
ing apparatus”. In the event of any maximum limit
being exceeded in any detection apparatus, it also sends
an SMS mobile phone message to the Structure Control
Manager informing about the incident. The latter will
then proceed to study the evolution curves for the val-
ues obtained from the Application, together with the
data supplied by the detection apparatus and the val-
ues from the “auscultation report archives” or any
other data that the Structure Control Manager might
think necessary for explaining the event, and he will
then inform the Operations Manager. If the incident
ought to be recorded, either because of its seriousness
or because of the nature of the experience, the report
is then included in the Application by being entered in
the document manager repository.
Once the auscultation phase has been completed,
the laptop PC provides the workers with the rest of the
Work Orders to be carried out and also informs them
where these are to be performed. The workers con-
cerned go to these locations, do the work that is ordered
and enter the data that is required of them. Finally,
they fill in the “observations” section making refer-
ence to the incidents that have taken place. When they
have completed their work they go back to their centre
of operations, leave their laptops connected to the
central database and leave the batteries to recharge.
When in night-time mode, the server transmits
from the laptops to the central database, all the data
and the Work Order observations made during the
aforementioned phase, and also sends e-mails to each
Manager, telling them which Work Orders contain the
observations made by the workers, before using the data
collected to update the basic tables that are the source
of the different reports that could be requested.
6 THE INCIDENT REPORTS AND THE
CORRECTIVE MEASURES
As soon as the next working day commences, the team
chief opens his e-mail, checks to see if there are any
Work Orders with observations in his facilities and, if
necessary, enters the Application. If he then considers
that it is advisable to take any Corrective Measures,
he creates an Incident Report that describes the inci-
dent, the cause thereof and specifies the installation
node to which it applies.
If it happens to be the Managers or the technical
personnel from the Department that observe any inci-
dent, the process of taking corrective measures starts
immediately through the creation of an external inci-
dent report that includes the same data as in the one
described above. In both cases the Application sends
the Incident Report by e-mail to the Helper at the
functional Unit concerned.
The Helper studies the incident and fills in a pro-
posal for a Corrective Measure, which also contains
the technical solution, the priority, the person respon-
sible for carrying it out and the team that performs it.
The Application e-mails the proposal for the correct-
ive measure to the Unit Manager concerned, who then
gives his approval to it or modifies it and establishes,
when in order, the type of report that has to be made
about it. The Application inserts the Corrective Measure
– for which approval has now been given -, into the
Programmable Task Planning, together with its start-
ing date and completion date, before e-mailing this
information to the person responsible for carrying it
out. If the priority indicated happens to be urgent, the
Application also sends an SMS by telephone to the
Unit Manager responsible.
The person who is responsible for performing the
corrective measure understands the task he has to carry
out, which team has to do it, the deadline concerned
133
and, when in order, the type of Report that has to be
made out about the action. Once this has been com-
pleted he enters the consumption involved in carrying
it out and, if he has been asked to do so, he sends the
report that has been asked for to the Document
Management Repository. The Application inserts the
date of completion into the Programmable Task
Planning and assumes that the task is completed.
7 THE REPORTS
The Application picks up certain pre-established values
from those that have been entered in the Work Orders,
and stores these values in tables on a daily basis. It then
makes available to authorised users the documents that
are needed to find out the results of the Management,
making them available via report management.
There are two types of reports: evolution and global
reports. The first are X, Y graphs that show how a spe-
cific parameter has evolved and compare it with the
limit value (how a drain discharge has evolved, the
movement of a pendulum, electricity consumption,
etc.). The second type of report yields the result of a
specific aspect of management (costs, times taken,
number of incidents that have taken place, etc.).
The reports can be queried by dam and by the con-
trolled parameter for however long the user wishes,
and they can be both displayed or printed out on paper.
They can also be extracted and entered on the hard
disk of every individual PC for study purposes, added
to specific reports or incorporated into the Document
Management for the Application itself. Extraction
enables the user to change the format or to present the
results in graph form, because they are carried out in
Excel.
8 DOCUMENT MANAGEMENT
The Application, with this functionality associated with
each element at each installation, makes it possible to
obtain easily and directly within the scope of any
authorised user, all kinds of documents that can be
computerised that are generated during the useful
working life of the facilities. Such documents can
range from the plan for a manoeuvring element, its
associated photography, the data from the manufac-
turer, the history of corrective measures, etc. to the
documentation that can been generated when dealing
with any type of subject with the central or local admin-
istration, or with private individuals.
The Application Administrator, whose duty it is to
receive the documents that must go on to document
management, selects the tree node for the installations to
which the document belongs, fills in the catalographic
file for the document and includes it in Management in
a large number of different formats that have been stan-
dardised by the Canal de Isabel II. The document, which
is marked as “historical”, is filed in PDF format, so that
its content can be guaranteed.
The documents that must be send to any Public
Administration in compliance with the legislation cur-
rently in force, are filed in PDF and digitally signed.
9 ADMINISTRATION
The Application can be adapted to the changes or needs
that might arise in the Department through a series of
functionalities that enable the user to make the modi-
fications internally, without it being necessary to mod-
ify the applicative. With a view to this, whatever
functionalities were necessary were installed to make it
possible to modify the following: the installation tree,
the Work Orders, the list of users or their characteris-
tics, the work teams, the roles or their access to the dif-
ferent parts of the Application or delegation of work to
a different profile, the values that can be parametered,
the maximum values for changing from normal to
emergency operation and for creating and planning
new types of maintenance.
134
All the parameters for administering information
technology systems (file location Path, e-mail addresses,
telephone numbers, servers and Database) can be
modified by the Application Administrator, and these
modifications come into effect immediately.
10 CONCLUSIONS
Incorporating new technologies into traditional pro-
cedures makes it possible to integrate activities, speed
up the processes, find out what has occurred in real
time regardless of the distance from the place con-
cerned and, as a result, reduce the risk factors and
increase the safety level at the installations.
The excellent acceptance by the workers to the lap-
top PCs, enables those responsible to rely on the pos-
sibility of being able to improve the work processes,
by implementing reference documents in the com-
puters that make their work easier: plans, diagrams,
element manoeuvring processes, etc. as well as mak-
ing the Company more environmentally friendly,
because it can dispense with the use of paper and toner.
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Change in the use of the dam El Yeso associated to the social and
economic development of Santiago (Chile). Different aspects of the
drinking water supply of this Andean metropolis

M. Concha Mathiessen & A. Juanmarti Balust

Aguas Andinas, Santiago, Chile

ABSTRACT: The hydrological basins supplying Santiago de Chile come from an average rainfall of about
300 mm per year, with a 2 years return period. The “el Niño” phenomenon, present in the entire South American
continent, strongly influences the rain precipitation with its presence in the area, in such a way, that not even the
natural snow-shaped water stock of the high Andean mountain chain near to Santiago, is sufficient to guarantee
a full supply to the city with its 6 millions people. Aguas Andinas S.A. is the company responsible for the global
(water supply and wastewater treatment ) natural water resources management in the area that includes 34 towns
belonging to Gran Santiago. Aguas Andinas manages about 615 Hm3 of water per year as an average amount of
water resources. After two consecutives dry seasons with water resources corresponding to a 20 years of return
period, the broadcasting drought management based that allows to reduce consumption merely 20 Hm3 is not a
useful tool by itself to solve the problem. Currently several measurements collected in the drought management
book of procedure should be applied immediately and its parameters and remarks should define the seriousness
of the situation in order to give managers a clear view of the emergency level. The emergency level depends on
many variables , but the prediction of the Niño presence is one the most important and is evaluated by the growth
of the pacific ocean water temperature measurement. This method was set up by Geophysical Meteorology
Department of Chile University. The parameters are calculated by running mathematical model made ad hoc by
the Aguas Andinass planning office taking into account the positive role played by El Yeso reservoir.

1 INTRODUCTION AND GENERAL the binding in systems supplied with superficial

FRAMEWORK
The dam El Yeso was constructed in the year 1967 to
increase the warranty of the watering zone of Santiago.
Soon the public administration verified the need to
warranty, as a priority, the supply to the population
that was starting to experience a big growth. In 1994
a decree assigned this dam to the Metropolitan
Sanitary Company (Empresa Metropolitana de Obras
Sanitarias – EMOS), follow ed today by Aguas
Andinas S.A. of the AGBAR group.
A synthesis of the general framework is described
in relation with the sources of hydric resources of
Aguas Andinas S.A., of the AGBAR group and the
measures destined to mitigate the effects of a dry sea-
son on the supply.
Aguas Andinas has the obligation of satisfying the
100% of the demand at every moment, not being
clearly stated according to the rules in force in Chile,
water sources for flows with an exceeding probability
of 90%.
The main sources of hydric resources destined to
satisfy the 640 Hm3/year in the concession of Aguas
Andinas, are constituted by superficial and under-
ground water sources: the first ones come mainly from
the watershed of the Maipo River and in a minor degree
from the Mapocho River.
The basin of the River Maipo is partially reglated
by the dam EL YESO, with a capacity of 250 Hm3
and a maximum height of 62 m and 350 m of cope-
stone. The dam El Yeso is located at the elevation of
2556 m at the Andean mountain range at 73 km from
the city of Santiago and is an earth-fill dam. It is located
over the river that has the same name and is a tribu-
tary of the Maipo.
An extreme flow decrease those sources can bring
as a direct consequence a critical state of supply for
the company.

135
 Table 2. Consumption decrease 1997–1998.

M3 invoiced M3 invoiced  Cosumption

Month 1997 1998 (%)

Jan 38.010.803 39.813.886 5

Feb 32.981.386 34.867.569 5
Figure 1. Transversal section of El Yeso dam. March 34.661.295 36.038.730 4
Apr 30.437.335 33.119.312 8
May 30.889.052 32.998.077 6
Table 1. Production by source (by origin) in 2003 and its June 26.373.457 28.414.702 7
incidence in the total of the Aguas group. July 26.275.961 30.036.370 6
August 25.192.756 26.335.928 4
Production year Percentage over Sept 27.782.349 29.140.280 5
Sources 2003 (Hm3) group Aguas Oct 28.036.279 31.429.494 11
Nov 31.594.262 35.285.190 10
High basin Maipo river 477 73,8% Dec 32.852.288 36.576.235 10
High basin Mapocho
river 63 9,8%
Intermediate basin
Maipo-Mapocho river 12 1,9% in 1997 applicable to scenarios of 98% probability
Surrounding superficial 3 0,5% of excess.
sources The Agbar Group established the state of alert
Subtotal basins 555 85,9% before the insufficiency in resources to respond for
Great Santiago aquifer 51 7,9% demands. Normally the concept of risk is understood
Surrounding as the result of the probability of an event to occur by
underground water 40 6,2% the consequences derived by it.
sources Particularly, in the definition of the beginning of a
Subtotal underground 91 14,1% state of alert, right before an state of emergency, inter-
water sources% venes as an additional conditioning factor the level of
Total 646 100% water fall and/or forecasted in the area of the Dam El
Yeso, which is indicated through the exceeding prob-
ability of the precipitations in the pluviometer station
With the object of minimizing the effects of this Los Queltehues, in the Maipo valley, belonging to the
crisis, Aguas Andinas adopts the integral supply meas- Chilean Meteorology Office.
ure, with an orientation focused in prevention and the An essential element to take the decision of arrang-
risk measure of insufficient resources to answer for ing and planning the drinking water production, as
the water demands. well as the definition of the working program of the
In 1996 a strong dry season was registered, what associated year, is the availability of hydric resources
brought as a consequence a lack of resources for at the sources level. This planning must satisfy the
the summer season of 1997. Due to this, the Company demands of a safety supply of drinking water, which
made a campaign oriented to diminish the consumption. are very high given the strong seasonal and inter-
The results of this campaign had the expected results, annually hydric variability of the superficial water of
registering even a decrease in the consumption the rest the Maipo River, First Section (main source of Aguas
of the year, even with a rainy winter and spring season. Andinas S.A.). Aguas Andinas counts with a manage-
The decreases registered are showed in the table 2. ment procedure for dry seasons based mainly in a
From the analysis of the data presented above, one timely forecast of the flows available in the different
can see that the months with higher decreases would superficial courses where the intakes of the produc-
be the last 3 months of the year, with 11% in October tion system are located.
and 10% in November and December. As a consequence of the need of knowing in advance
Annually speaking, the decrease in the consump- this hydric availability, for the damming up program-
tion could reach a 5,2%, equivalent to a 19,6 Hm3. In ming or damming down of the El Yeso or the starting
case there is a scenario with a 95% probability of of the operation of other sources (for example under-
hydrologic excess, it would be necessary to diminish ground waters), a model was developed to forecast
in a 10% the demand in order to handle the resources the flows from the Maipo and Yeso rivers and a flow
decrease. For an scenario of a 98% of probability of division model in the Maipo River and to balance the
excess, the decrease of a 15% in the demand would dam El Yeso. The first model makes a mathematical
always be under what it would decrease with a simulation of the hydric processes of the watershed,
campaign to lower the consumption like the one including those related with snow melting, to deliver

136
the effluent watershed in a given spot, based on
the meteorological, geomorphologic and hydrological
information. The hydrologic information that feeds
the model and that must be forecasted in an external
way is: monthly precipitation and rainy days, air tem-
perature, cloudiness, wind velocity, potential evapora-
tion, and potential snow vapor-sublimation and relative
air humidity, all at monthly average levels. The sec-
ond model takes as entry data the flows forecasted in
the first model and makes de divisions of the water in
Figure 2. Zones of the equatorial pacific where the
the intakes of the Maipo and Yeso rivers according to TSM increase is analyzed for the Niño/Niña phenomena
constituted water rights of superficial waters. identification.
The feeding of the flow forecast model is made
through a projection of two main parameters which
are the precipitations and monthly average tempera- the TSM over 1,0°C the probability of having a
ture. This projection uses a methodology based on the dry year or having an accumulated precipitation in the
relation between the anomaly in the superficial sea rainy months (June, July and August) with an exceed-
temperature in the Equatorial Pacific Ocean and the ing probability under the 50%, is less than 30% (gen-
climate in the central zone of Chile, which is clearer
during the specific phenomena of El Niño or La Niña.
In this paper we present the results obtained in the
precipitation and temperature projection based in the
relation with El Niño/Niña phenomena, the flow fore-
erous El Niño phenomena), instead, for the TSM
values between 0,5°C and 1,0°C there is a proba-
bility of a similar occurrence for any type of precipi-
tation, which means, it is equally probable that the
year might be dry, humid or normal and finally, for
cast of the Yeso and Maipo rivers in the control sections
of Yeso, affluent to dam El Yeso, and of Maipo at El
Manzano, and of the availability of flows in the intakes
of the Maipo River and the dam volumes at El Yeso
dam for the hydrologic year April 2004/March 2005.
2 METHODOLOGY FOR PRECIPITATION
AND TEMPERATURE FORECAST
the TSM lower than 0,5°C there is a low probabil-
ity that the year could be normal or humid (generous
La Niña phenomena).
In consequence, it has been established that when
El Niño phenomena is clear or generous, it is possible
to expect a normal to humid year, when La Niña is
generous you can expect a dry year and that in the
intermediate situation you can expect any type of
precipitations.
It then can be established, with different degrees of
In order to know the precipitations during the rainy reliability, some correlation between TSM and the
period and the runoff flows at the sources of the Group precipitation during the winter, reason why Aguas
Aguas for the period April/2004 – March/ 2005, a pre- Andinas has established a forecast methodology based
cipitation and temperature forecast has been devel- in this assumption, it basically consists in identifying
oped based on the relation of the first with the anomaly the years with TSM inside the same variation range
in the superficial temperature of the Equatorial Pacific than the forecast band of TSM, observe the evolu-
Ocean (DTSM).
6 months around
Different climate studies, amongst them the one
developed by the Meteorology Group of the Geo-
physics Department of the Universidad de Chile,
indicate the direct relation observed between the
tion of TSM in a environment of
the rainy season, discard years with very different
behavior, finally average the monthly precipitations
of the selected years and take them as values expected
for the hydrologic year in the months that follow, from
denominated Niño/Niña Phenomena and the precipi- the date of the forecast. The anomaly in the TSM
tations fallen over the American and Oceanic conti- for the year 2004/2005 is analyzed taking into account
nents. It is called El Niño phenomena to the oceanic – the historical data measured from one year before and
climatologic condition characterized by a series of from the average values forecasted by the different
variables amongst the ones you can mention as the
main one, the anomaly in the superficial temperature
of the sea in the Equatorial Pacific Ocean (TSM).
In the case of central Chile the most direct relation
is established with the anomaly in the superficial tem-
perature of the sea in the areas denominated Niño 3.0
and 3.4 that correspond to those showed in figure 2.
Detailed studies of the Meteorology Group of the
TSM forecast centers in the world and that are rec-
ollected by the International Research Institute for
Climate Prediction (IRI).
The temperatures are obtained in a similar way,
which means, the monthly day to day average temper-
atures of the selected years are averaged.
To determine the number of rainy days of every fore-
casted month, you select the year that is the most simi-
Universidad de Chile indicate that for the values of lar in terms of TSM variation, the daily precipitation

137
Figure 3. Relation between the TSM increase and the pre-
cipitations during the rainy seasons in central Chile.

Figure 5. Relation between precipitation and TSM in the

different months of the year and the different zones of Chile.

watershed of the Maipo River and on the daily aver-

age temperatures of the meteorology station camp
dam El Yeso, located, as the name says, next to the
camp site. These stations had been used since hydro-
Figure 4. Forecasts of anomalies in the TSM in the
region Niño 3.4.
intensities are calculated and then those same values
are copied in the forecasted precipitations.
The work is done based on the precipitations in the
meteorology station Queltehues located in the high
logic studies done by Aguas Andinas indicate that
they are the most representative for the generation of
superficial runoff flows in the watershed of the Maipo
River, using runoff generation models starting from
precipitations and temperatures. In fact, there is a
Sacramento type runoff generation model that will
be used to forecast the expected flow in the Maipo

138
River at El Manzano and Yeso River affluent to the El
Yeso dam.
3 FLOWS FORECAST AT EL YESO AND
MAIPO RIVERS
The model makes the forecast at a stationary level
with the objective of counting with a tool for the plan-
ning and taking care of the watershed hydric resources.
The results correspond to monthly mean flows in two
points: Yeso River at the entrance of the El Yeso dam
and Maipo River at El Manzano.
A mathematical simulation of the watershed hydric
processes is done, including those related with snow
melting, to deliver the effluent flow in a given point,
based on the meteorology, geomorphologic and hydro-
logic information.
The hydrologic information that feeds the model and
that must be forecasted in an external way is: monthly
precipitation and rainy days, air temperature, cloudi-
ness, wind velocity, potential evaporation, potential
snow vapor-sublimation, air relative humidity, all at
monthly averages.
The thaw flow forecasts is done at the beginning of
September under the supposition that in the period of
the forecast there would be precipitations and temper-
atures that correspond to a hydrologic year determined
by the previous pluvial period. The later comparison
between flows measured and the ones forecasted by
the model, show an error of around 20% at the monthly
flows level.
The flows forecast for the pluvial and thaw period
is recommended to be done in May or at the begin-
ning of June. The entry variables (precipitation and
temperature) for the flow forecast model have been,
up to now, estimated according to the methodology
described previously.
4 CALCULATION METHOD
The procedure used was based in the application of
hydrologic simulation techniques, adapting for those
purposes, a model developed for synthesis of monthly
mean flows in pluvial-snow watersheds based in the
balance of waters over a unitary surface of the snow
mantle, evaluating the melting rates over the basis of
empiric formulas and tracking such thaw up to its
transformation in runoffs in the exit section of the
studied watershed.
Considering the spatial variability of the hydro
meteorological variables, especially the precipitation
and temperature in function of the altitude, the mod-
eling is done by sub-dividing the watershed surface in
height band, in which the homogeneity of the meteor-
ology variables is postulated.
139
The height bands that where used, considering the
purpose of generating and forecasting flows in the
Maipo River at the Independent Intake and the afflu-
ent flows of El Yeso dam, where the following:
a) Forecast affluent to El Yeso dam:
Band 1: Between 2500 and 3000 m.s.n.m.
Band 2: Between 3000 and 3500 m.s.n.m.
Band 3: Between 3500 and 4000 m.s.n.m.
Band 4: Over 4000 m.s.n.m.
b) Forecast affluent to Maipo at El Manzano:
Band 1: Between 850 and 2500 m.s.n.m.
Band 2: Between 2500 and 3200 m.s.n.m.
Band 3: Between 3200 and 4000 m.s.n.m.
Band 4: Over 4000 m.s.n.m.
The physical and meteorology variables, for entries
as well as internal of the model, are determined for
each band based on cartographic and meteorological
information distributed or using parametric gradients
to consider the climate variability with the altitude.
The time scale of the model is monthly, so the
melting in each band is calculated month by month,
through the application of a melting function and
through a molding of the runoff, mainly based in the
equation of hydric balance.
The values obtained for each band are considered
according to the surface percentage of each of them
with respect to the total amount of the watershed, thus
finally obtaining the integrated values at a watershed
level.
The conceptual basis of the corresponding model
is explained as follows.
5 CONCEPTUAL BASIS OF THE MODEL
In each of the defined bands, the model operates based
on the application of the hydric balance equation over
a unitary area. For the application of this balance
equation, is necessary to previously define if the pre-
cipitation falls in a solid or a liquid form. In the first
case, no runoffs are produced and the potential vapor-
transpiration corresponds to snow vapor-sublimation.
In the second case, a precipitation percentage slips
directly and the potential vapor-transpiration corre-
sponds to evaporation from liquid water.
The decision regarding liquid or solid precipita-
tions, for each band and for every month is taken by
the model, depending on the monthly mean tempera-
ture into each band’s middle level, through a compar-
ison with a thermal threshold index that was considered
as a model parameter and that was changed between
values reported in previous studies.
Where the parameters of the figure correspond to:
PR: Monthly precipitation in the band.
ER: Real evaporation.

Figure 6. Conceptual model of runoff generation.
HN: Snow available.
DRT: Monthly real melting.
HS: Dampness stored in ground.
ES: Superficial runoff.
EZ: Underground runoff.
PERC: Sum of percolation in basin considered by
the respective areas.
ETOT: Total runoff in watershed.
CEN y: Model Parameters (they are 15 parameters
CEP in whole).
The figure 6 presents the conceptual model of
runoffs generation
6 ENTRY DATA REQUIRED BY THE MODEL
AND INFORMATION USED
The information needed in order to operate the model
corresponds to astronomic, geographic, geomorpho-
logic and meteorological data.
Additionally, in order to simulate a given period of
time, it is necessary to know the initial values of the
following variables at the beginning of the simulation
period:
• Equivalent in snow water in every band.
• Ground Dampness in each band.
• Initial superficial runoff in each band.
• Initial underground runoff.
It is convenient, for these purposes, to start the
simulation periods at the end of low water periods of
any year that has not been too humid, thus, null values
can be postulated without major mistakes for all the
variables, except for underground runoffs.
For calibration stages and model validation, it is
obviously necessary to have mean monthly flows sta-
tistics in watershed’s outlet section.
Previous availability, quality and utility analysis of
the meteorological available information in watersheds
140
or neighboring zones, and after some preliminary
simulations in order to establish the quality of suc-
cessful simulations, the following statistics to feed
the model were definitively adopted:
• Precipitation and number of monthly rainy days in
Queltehues station from GENER S.A.
• Dam’s evaporation statistics in El Yeso Dam.
• Estimating of mean monthly potential vapor-
sublimation of snow, available from some meas-
urements at the Snow Hydrology Laboratory from
the Universidad de Chile at La Parva, Farellones.
• Mean monthly air temperature at El Yeso Dam
station.
• Relative air humidity and mean monthly wind veloc-
ity at the meteorological station Glaciar Echáurren,
at Laguna Negra.
• Mean Monthly cloudiness statistics from El Yeso
Dam’s meteorological station.
In cases of absence of monthly information, this is
completed with mean values for each month, except
precipitation and temperature statistics which, accord-
ing to sensitivity tests that have been made, are the
determining entrance variables in order to forecast
results.
The geographical and geomorphologic information
was determined from cartography scale 1:50.000,
from the Military Geographical Institute.
For calibration and monitoring processes, refilled
and corrected statistics of monthly mean flows where
used at Maipo’s appraisal section at El Manzano (flu-
vial station from Water Headquarters), and statistics
from monthly mean inflows into El Yeso Dam, which
where reconstituted from the dam’s daily operation
schedules.
7 FLOW DISTRIBUTION MODEL AND DAM
SIMULATION
In order to achieve an efficient utilization of the avail-
able sources from Maipo and Laguna Negra systems,
the company developed a simplified model through
spread sheets which simulate the operation of these
systems for each month, in order to reflect the flow
distribution as accurate as possible from the real oper-
ation. With this model it is possible to make an oper-
ation diagnosis during the year up to the simulated
month and a reliable prediction during the rest of the
hydrologic year (April to March).
The information assigned to the model corresponds
to historical statistics of flow and dam’s levels meas-
urement, flows estimation in cases where there is no
measurement statistics available, the definition of
operation politics in some points that have not been
regulated and flows associated to permanent and even-
tual rights (underground and superficial resources).
 The figure 7 shows a diagram of the systems that
are being analyzed which supports the following
description.
Following, there is a list that resumes the informa-
tion assigned to the model and its origin:
• River Maipo’s flows at La Obra: Hydrologic statis-
tics corrected by effect of the El Yeso Dam opera-
tion (natural regimen).
• Inflow to El Yeso Dam: Historical statistics obtained
from El Yeso Dam’s operation.
• Flows where there is no hydrologic statistics avail-
able (tributary estuaries into Laguna Negra’s aque-
duct): Determination of exceding probability for
the year in study and application on curves gener-
ated in DICTUC1 study.
• Drenes Azulillos flows: They are considered con-
stant in 300 l/s, (monthly average) according to
operational historical data of the system.
• Wells’ Pumping flows: Operational Statistics (Trans-
port management Office).
• Emergency pumping flows: Backup Wells capaci-
ties (Transport Management Office).
• El Yeso Dam’s levels: Operational statistics (Pro-
duction Management Office).
• Collecting operational politic in San Nicolas (Pro-
duction Management Office).
Naturally, the diagnosis fidelity and the accuracy
of the prediction will be limited by quality restrictions
and available information that could exist and by the
precision of models used in order to determine water-
bearing capacity and others.
In this framework, the simplified model produces a
realistic projection of the needed volume to be
impounded at El Yeso (dam levels needed at the end
of March of each year) and it will determine the
shortage flow that will need to be replaced from alter-
native production sources (backup wells at first) to
face the demand projected for the year in study in a
safely way.
If the deficit still cannot be covered with the
backup wells flow, alternative solutions will have to be
implemented in a short term such as fitting out new
wells, renting wells, renting rights, and emergency
collecting system implementation in the not exploited
natural reservoir that is Laguna Negra, or other.
The model is validated each time before it is utiliza-
tion considering the projections and estimations made
and the real values produced by the systems operation.
8 MODELING AND MANAGEMENT OF EL
YESO DAM ACCORDING TO FORECASTS
Following, the results of precipitations and temperatures
projection and the modeling made in order to make the
operative management of el yeso dam and support
sources during the hydrologic year may 2004/april
2005 is presented.
The precipitation projection with exceeding proba-
bility of 46% made us suppose that, in relation to runoffs
flow, a normal year would be faced, which was verified
through flows modeling forecast.
9 CONCLUSIONS
Simple forecast and modeling tools are available for
people in charge of water resources management in
order to achieve a better operational result and to
make timely investments to extend the water collec-
tion capacity from the sources.

Table 3. Precipitations and Temperatures Projection

Hydrologic Year May/2004 – April/2005.

Month Maipo in El Manzano Flowing to

(natural flow) m3/s El Yeso m3/s

Apr-04 62,87 3,42

May-04 53,04 3,31
Jun-04 43,04 2,20
Jul-04 38,90 1,14
Aug-04 44,02 0,80
Sep-04 59,14 1,54
Oct-04 82,37 3,36
Nov-04 109,19 5,93
Dec-04 132,42 8,58
Jan-05 142,23 10,29
Feb-05 126,16 9,71
Figure 7. Structure of sources that contribute to the pro- March-05 69,12 5,14
duction system of Mapocho river.

141
Table 4. Flows forecast hydrologic year April/2004 – Global and widely studied meteorological phe-
March/20. nomenon, as El Niño, can be very useful indicators in
order to establish seasonal projections parameters of
Volum at end of month in water resources management, like precipitations. Its
Month the reservoir m3 development will depend on the interaction between
Start* 225.550.000
the specializing investigation groups of every zone
Apr-04 219.361.462 and the companies or institutions in charge of this
May-04 212.245.471 resources management.
Jun-04 204.922.899 It turns essential to create a wide, reliable and rep-
Jul-04 200.297.743 resentative record of hydro meteorological parame-
Aug-04 201.006.152 ters on tributary watersheds into regulation dams, if a
Sep-04 202.603.780 timely and efficient management of the regulated
Oct-04 205.332.654 water resources is wanted.
Nov-04 209.411.100 The management of dams for supply does not need
Dec-04 214.302.402
Jan-05 218.470.156
a big specialization but rather systematization in the
Feb-05 213.937.967 process of creating suitable modeling tools and nec-
Mar-05 209.268.592 essary information in order to calibrate these tools
and projection of entry parameters.

Table 5. Results of Flows Distribution Simulation and Dam Hydrologic Year April/2004 – March/2005.

Rainfall
(mm/month) May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr

Measured 84,0 89,5 186,6 27,0 57,0 0,0 0,0 0,0 0,0 0,0 5,0 0,0
2003/04
Average 114 192 150 101 60 31 17 7 2 3 5 43
1962–2004
Forecast may/ 107 170 144 92 50 24 18 7 4 3 44 54
2004-Apr/2005
DesvEst 160 254 215 137 74 36 27 10 6 4 66 81
DesvEst 54 86 73 46 25 12 9 3 2 1 22 27
Temperatures
Similar year 6 6 5 4 3 9 10 13 16 13 15 8
1976/1977
Average 6 3 2 3 5 8 10 13 14 14 13 10
1962–2004
Forecast may/ 7 3 2 3 5 8 10 13 14 15 14 10
2004-Apr/2005
Raining days
number
Forecast may/ 7 26 6 5 6 6 1 1 1 1 2 3
2004-Apr/2005
DesvEst 10 39 9 8 9 9 2 1 1 1 3 4
DesvEst 4 13 3 3 3 3 1 1 1 1 10 1

142
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

The role of Dez and Karun dams on Karun river water quality management

M.R. Sakian D.
Khuzestan Water and Power Authority, Ahwaz, Iran

ABSTRACT: Karun is the most important river in Iran. This river originates from Zagros Mountain-chains
and it is joined by Dez River at band e ghir and makes great Karun. Great Karun passes through Ahwaz city and
is emptied to Persian Gulf. The flood mostly occurred in this river and damaged most down-stream cities. At the
long dry season the demand was high and there was unbalance between river flow and demands. This situation
specially was terrible for water quality which consumers needed. For developing this region, dam construction
has been an important component and two dez and Karun dams with nearly 7 billion cubic meters capacity were
constructed on these parallel tributaries. From Karun dam to Persian Gulf 14 reaches were selected to measure
water quality parameters. Data were input to Qual2k model to find the optimum water discharge from dams
which is required for the river quality.

1 INTRODUCTION

Khuzestan province is located at south west of Iran. It

has more than 64746 square kilometer area. This flat
is connected to Zagros Mountains and enjoys some
large rivers which originate from these mountains and
pass through this land south westerly to reach Persian
Gulf. More than 1200000 ha lands in this region have
this potential to be irrigated by those rivers.
The Khuzestan development system (KDS) was
established in 1958 to study, design and develop this
province. From 1960 the Khuzestan water and power
authority has been established by KDS upgrading.
This authority is the responsible for water resources,
study and construction of the dams and designing and
performing the irrigation system. It is also responsi-
ble for construction of hydro-power plants and devel-
oping the water and soil resources in this region. The
most important of its duty is the water resources qual-
ity and quantity protection.
Karun and Dez River are the most important water
systems in the province and country too. Karun river is
the biggest river in Iran which originates from Zagros
mountains and after passing through Shushtar at band
e ghir is joined by Dez river and makes great Karun. Dez
river also originates from Zagros mountains and after
irrigating Dezfoul city and lots of other lands reaches
Karun at band e ghir. After passing through Ahwaz city,
the capital of Khuzestan province, and khoramshaher,
Great Karun divides into two branches which both of
them empty in Persian Gulf through Bahmanshir in
Abadan city and Arvand roud. Figure 1. Dez dam.

143
Table 1. Characteristics of Dez dam.

Type of dam Two arc concrete thick

layer dam
The height from ground 203 meter
Height of arc 213 meter
Lake volume 3460 million cubic meter
Capacity of hydro power plant 520 mega watt
Total area of the lands supplied 125000 ha.
with water

Figure 3. Flood covered some streets of Ahwaz before

construction of dams.

Figure 2. Karun dam1.

Table 2. Characteristics of Karun dam.

Type of dam Two arc concrete dam

Height from bottom 200 meters
Length of arc 380 meters
Total lake volume 3139 million cubic
meters
Capacity of the hydro power plant 2000 mega watt
Area of the lands supplied and 40000 ha.
irrigated by dam Figure 4. Flood made people unsheltered before construc-
tion of dams.

Heavy floods occurred before the dams were con-
structed (Figs 3. and 4). Those floods destroyed farm-
lands, unsheltered people in urban and sub-urban
areas and intruded to Dezfoul and Ahwaz cities and
many towns and villages.
2 PROBLEM DEFINITION
A water facility that is provided by dam’s construc-
tion causes riparian growth, agriculture lands and
industry development around the rivers. According to

144
those situations, point source and diffusion sources of
pollutants which return to Karun river are increased
and water quality specially at middle and downstream
is vandalized and the water quality of the river at those
locations did not match the water quality demands.
Water identified for more than one use at a location
should be of a quality sufficient for all uses. Mackenzie
(1997). According to empirical relationship:
C
aQb (1)
where C is the dissolved solids concentration mg/liter, Q
is the flow of the river water and a and b are the con-
stants which should be derived for each river. Jacobs
(1992). The dissolved solid concentration will decrease
if flow increases. Regulating the water quality of the
Karun river to match the riparian water quality demand
is only possible by discharging enough water from dams
or reducing the pollutant loads which are returned to
river by different sources. One of the constraints for
water flow increasing from dams is the reservoir limita-
tion and another constraint is the water needed for
hydropower plants which Managers tried to send water
via effluent of hydro power plants to increases its
income. But that is almost impossible because demands
are not similar simultaneously.
3 MATERIAL AND METHODS
The use of computer models in resolving water and
water quality issues is becoming common. Often mod-
els are developed to answer either management and/or
research questions. Wells (2005).
The creation of a mathematical model, which sim-
ulates changes in water quality, can be carried out in
wide variety of ways. But it always involves the two
stages:
1 Analysis of the system which may be theoretical,
observational, or experimental.
2 Synthesis of a mathematical replica of the system
James (1993).
14 points were selected to establish effective moni-
toring network and daily measurement from those dams
to Khoramshaher water treatment plant pump station
were carried out. The distances between each two
reaches were not equal. Each reach were equipped by
some sensors to detect the most requirement parameters
like electrical conductivity, dissolved oxygen, water
level, pH, temperature and salinity. Some point sources
are also weekly monitored to measure load pollutants
influence. All data are collected and inserted to data
bank. All demands such as domestic, industries, agricul-
tures, and environment are calculated. The volume water
which is needed to inhabit and water amount which is
required to push back the saline water intrusion from
145
Persian Gulf to Bahmanshir River are calculated. This
amount is calculated by a model which can forecast
the tidal effect of sea level and fresh water need. In the
last two decades the application of modeling techniques
to water quality problems has increased dramatically
and many useful techniques have emerged. James
(1993) the Qual2k model Chapra. & Pelletier. (2003) is
used to calculate water need for dilution of the pollu-
tants to reach the standard. Arsp and inflow vista model
is carried out to discharge the water downstream
demand with regarding to rule curve of the dams. One
of the very important points is the hydropower plants
which we should consider to make most of the water
which is discharged from dams pass through the tur-
bines. Because managers try to send water via effluent
of hydropower plants to increases its income. But that
is almost impossible because demands are not similar
simultaneously.
4 DISCUSSION AND RESULT
The investigation on water inlet to Dez and Karun dam
reservoirs shows that, more than 38 days per year,
inflow water of Dez dam is less than 50 m3/s. This
amount for karun dam is 1 day. And 152 days the
amount inflow water for Dez dam is less than 100 m3/s.
and this amount for Karun dam is 6 and less than
200 m3/s is 102 days per year which this amount for Dez
is 278 days per year. The total amount of inflow water to
both dams in half of the year is less than 400 m3/s which
is needed for at least water quality demand at down-
stream of Karun river. So, the only resources for com-
pensating this deficit are Dez and Karun dam reservoirs.
Conservative parameters like electrical conductiv-
ity were selected to be used in Qual2k model. The
model will show how much water is needed to be dis-
charged from dams to make enough dilution which
matches the demands of water quality in downstream.
One of the most important demands in Khuzestan
plain is the sugar can company which needs up to
210 m3/s at peak demand. After its irrigation and soil
desalination, this company returns more than 30 m3/s
saline water to the Karun river with 30000 s/cm elec-
trical conductivity. For dilution of this inlet water we
need at least more than 2000 m3/s water with
1500 s/cm to make the electrical conductivity of the
river water reach 1921 s/cm. This amount of water was
not possible to be provided from dams for a long time.
Because at July and August the inlet water to both dams
is very low and water flow in river is mostly dependent
on Dez and Karun dams water reservoirs. For this rea-
son the sugar can company was imposed to divert its
discharge to sea, eliminating its effects on Karun river.
Problem of waste management have existed over since
humans made the transition from hunting and gathering
societies to settled communities. In early references to
Figure 5. The karun river electrical conductivity model if
the sugarcane’s discharge inlet to karun river.
Figure 6. Model shows Karun electrical conductivity of
the river without sugarcane effects.
problems associated with waste generated by humans,
the primary concern seems to have been with the nui-
sance factor and its potential impact on health. Rhyner
(1995).
Comparing two graphs of Figures 5 and 6 shows that
the effect of sugarcane land use is very high on the qual-
ity of Karun river at downstream. Because the electrical
conductivity of the karun river at down stream of the
model changes from 900 s/cm to nearly 4000 s/cm.
At this situation the water quality at downstream is not
suitable for riparian purposes. And some large cities
and towns such as Abadan and Khoramshaher miss the
suitable water for some of their purposes like domestic,
agricultural, industrial, and even environmental needs.
The graphs emphasize on the reasonability of the deci-
sion to divert the drainage of sugarcane lands. Because
the cumulative effects of these activities result in signif-
icant changes, not only in stream corridors, but also in
the ecosystem of they which are apart. These changes
include degradation of water quality, decreased water
storage and conveyance capacity loss of habitat for fish
and wild life, and decreased recreational and aesthetic
values. National council (1992) the actual electrical
146
Figure 7. Electrical conductivity of karun river with regard
to diffusion sources.
conductivity at down stream is near 1900 and it is more
than the result obtained from the model forecasting.
Because the diffusion of none point sources were not
calculated and had not been put in the model. In down-
stream of the Karun river the saline water table is very
high and also many traditional land users diffuse their
drainage to the river which in spite of their effects, the
result of the model does not take them into account.
With regard to the reasons mentioned above, the differ-
ence between model’s result and actual result is under-
stood. The electrical conductivity of the Karun river at
khoramshaher was 1900 s/cm, but the result obtained
from the model was 900 s/cm.
This management was carried out to protect water
quantity of reservoirs for downstream demands which
is especially vital during the summer and two first
months of fall season. Figure 7 shows the result when
input the estimated diffusion amount to the model. It is
shown that the electrical conductivity of the karun river
at khoramshaher is near 2000 s/cm and actual meas-
urement at this station was 1900 s/cm. both result are
comparable and validity of the model is confirmed.
5 CONCLUSION
1 Modeling is a very important and helpful for man-
ager and decision makers to control water quality.
2 That is emphasis recommended to calculate the
diffusion sources or have exact estimation and put
it in the Qual2k model to have good result.
3 During the year, Water quality demand for all pur-
poses is seriously dependent on water reservoirs
of Dez and Karun dams especially from July to
November.
4 To overcome water shortage the Dez and Karun
dams are vital for Khuzestan province.
5 For better management of water quality and dams
operation, inter basin transfer should not be carried
out from this river before complete E.I.A study.
6 Harder limitation standard should be made for
return water.
7 Cultivation should be avoided in saline soil at
down stream.
REFERENCES
Chapra S.C. and Pelletier G.J. 2003 Qual2k: A modeling
frame work for simulating river and stream water quality
civil and environmental engineering Dept., Tufts
University, Medford, MA
Jacobs A.A.J. 1992 water quality, lecture notes for water
quality management course IHE Delft, the Netherlands,
James A. 1993 An introduction to water quality modeling
second edition copyright © 1993 by John Wiley & sons
147
ltd, Buffins lane, Chi Chester, West Sussex po19 IUD,
England
Mackenzie Stuart W. 1997 Inter governmental and interna-
tional aquatic ecological programs: approaches for suc-
cessful implementation page 435 River quality dynamics
and restoration Edited by laenen Antonius, Dunnette
Davaid A. Lewis publishers, Boca, Raton New York
Rhyner charls R., Schwarts leander J., Wenger robert B.,
Kohrell mary G. 1995 Waste management and resource
recovery by CRC press, Inc. Lewis publisher
Stream corridor restoration principles, processes and prac-
tice (national council 1992) the federal interagency
stream restoration working group
Wells Scot A. Department of civil and environmental engi-
neering Portland state university Portland, Oregon 23rd
annual water law conference, San Diego, CA, February,
24–25, 2005

res R dna m D v srio nE d a seit coS ,
© 60 2
Operation of the Yacyretá complex reservoir (reduced bench mark)
L. Chamorro
Entidad Binacional Yacyretá, Paraguay
ABSTRACT: The Yacyretá Hydroelectric Powerhouse is located over the island of the same name, on the Alto
Paraná River, near of the cities Ayolas (Paraguay) and Ituzaingó (Argentina). The particular characteristics of
the project obligate singular management of the reservoir, in one hand the initial conditions of working and the
other the distributions of the discharge to attend the variety of requirements.
1 INTRODUCTION
From the decision to operate the reservoir of the
Yacyretá Hydropower in a reduce level (76 m above
sea level), emerge the singulars characteristics of the
manage of it, with the operation of two spillway and
other structure of the dam, in general words, it is a
passing dam, because it does not accumulate water
seasonal, even daily.
The volume of the reservoir at 76 level (9000 Hm3)
is small relative to the annual average input of the river
(391 km3). If it is define, the regulation coefficient as
the relation between the useful volume and the annual
average river input, it get that the Yacyretá coefficient
is less than 0.2%. This value is in the order of the Itaipú
dam in the same river and approximately 10 times less
than the coefficient of the Salto Grande Reservoir in
the Uruguay River and 100 times less than Chocon
Reservoir in the Limay River (Argentina).
As a result is impossible to regulate the Paraná
River with the Yacyretá reservoir.
2 CHARACTERISTICS OF THE
PARANA RIVER
The Paraná River, originates in Brazil, at the conflu-
ence of the Paranaiba and Grande, more than 1,100 km
upstream from Yacyretá Complex, it is one of the most
important of the Plata Basin and it is the seventh largest
rivers of the world because of its flow, and the exten-
sion of the catchments area and the longitude of the
watercourse. Also the basin is the second in importance
in the Southamerica. Running on the watercourse on
the principal affluent Paranaiba, it has more than
2,300 km.
The catchments of the Yacyretá has an extension
near of 1,000,000 sqkm. However of this dimension,
ts
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from the hydrographic point of view is very homoge-
neous by the climate and geological regularity.
The most of the part is in a tropical and sub tropical
zone, with heavy rain. From the hydrological point of
view, it can divide in two parts: Up basin and down
basin.
The up basin is located upstream from the place
that was the Guairá Falls. It is completely in Brazil
(800,000 sqkm). It is cover by and extend net of trib-
utaries that starts at the Brazilians Southeast moun-
tains. The northeast portion is a plateau, that contribute
with the major flow to the Paraná (77%). The Superior
basin is conformed by plateaus staggered abruptly with
cut plane surfaces by sheer scarps. Consequently, the
fluvial beds are staggered characteristically, with tracts
of relatively low slope, interrupted by rapids and cas-
cades. For their extension and for their slope their
reaction is relatively slow.
The down basin area is in the order of 135,000 sqkm
and geomorphologically is similar to the upstream
basin. The Iguazú river is the most important tributary
of the down basin ( the annual inflow is in the order of
13% of the input at Yacyretá). It´s catchments have
the form of a narrow rectangle, with a considerable
slope, but it changes softly near the Parana river. The
response is rapidly.
The Intermeddle Basin is sub basin of the down
catchments, that it has a territory more than 35,000 sqkm
and is between of the confluence of the Iguazú with
the Parana river and the line fixed by the Encarnación
and Posadas cities.
From the 70’s run more quickly the build of the
dams in all of the basin. At this time all of them have
the useful capacity more than 25% of the average
annual discharge of the Paraná river at Posadas.
From the beginning of the years sixty accelerated the
rhythm of construction of preys strongly in the whole
basin.
149
 At the present time, in the group of these dams it is
had a volume of storage useful superior to 25% of the
average annual spill of the River Paraná.
The presence of the preys in the basin has two main
effects fundamentally and in certain opposed points.
These effects are the following ones:
Regulation of the flow had filled and casting of the
useful volume.
Reduction of the time of concentration of the con-
tributions of the sub basin and reduction of the time
of adjournment of grown.
The regulation of the flow spreads to increase the
minimum flows and to diminish the pick flows. The
reduction of the times of concentration and adjourn-
ment causes that the hydrographs of grown is in a less
soft way, with higher picks.
Parallelly with the construction of the dams, the
basin also suffered other important modifications that
can be influencing in the characteristics of its spills.
Fundamentally, it has suffer modifications in the use
of the floor due to the massive deforestation and to
the practice of technical agricultural intensive.
The River Paraná has transformed its historical
discharges. For example at the present time they are
not supposed flowing flows in the order of the histor-
ical minimum.
3 CHARACTERISTIC OF THE RESERVOIR
The perimeter of the reservoir is defined by the natu-
ral ravines of the bed and it closes for a dam of earth
of the order of 65 km of longitude with interference
along this last of the different concrete structures that
they compose the project.
The generation Power station and the drains are in
the Island Yacyretá, near the right riverbank of the
Main Arm (VBP, 55,000 maxim cms discharges) and
in the left riverbank of the Arm Aña Cuá (VBAC,
40,000 maxim cms discharges). Over the Main Arm
the Sluice of Sailing is located, being completed the
organs of evacuation of the main works with two
gates for Watering, each one with a maximum capac-
ity of 108 cms, located in the dams lateral left and
right.
The reservoir to definitive bench mark will cover an
area of about 1,600 km2 approximately, with a maxi-
mum width 30 km, and a total volume of about 20 km3.
Under these conditions the mirror of water about
250 kms will extend upstream of the Hydroelectric
Power station.
4 OPERATION OF THE RESERVOIR
The norms of operation of the reservoir are designed
in such a way that for effect of the over elevation that
150
produces the eddy, waters up, it can stay or not to
overcome (while the prevailing hydrological condi-
tions allow it) the established restriction level. The
restrictions of waters up are certain fundamentally for
the relocations in the cities of Encarnación and
Posadas.
The norms and procedures are defined in the
“Manual of Operation and Maintenance and in the
Manual of Operation of the Reservoir”, when the norms
and full and clearly established procedures being; the
same ones led to certify the CHY, with a system of con-
trol of quality “(NORM ISO 9002) in electric power
Generation”, Operation and “Maintenance of the Sluice
of Sailing and Operation of the System of Protection of
the Fish Life”, which assure the quality of the adminis-
tration of the available resources, centered in the client,
preserving the balance of the environment.
The Entity Binacional Yacyretá decided to begin
the commercial operation of the project Yacyretá to
bench mark 76,00 it stops then to pass to the defini-
tive state of operation to bench mark 83,00.
All these bench marks are those that correspond to
the relocations in the Area of Encarnación – Posadas
(100 km upstream of the CHY).
5 UPSTREAM OF THE CHY
5.1 Behavior of the river before of the existence
of the reservoir
Before it was filled the reservoir of Yacyretá until the
current bench mark, the river had a fluctuating behav-
ior in the axis Encarnacion – Posadas, for above and
below the bench mark 76. In certain periods of time
the river was below the bench mark 76, but also natu-
rally overcame this bench mark, being able to be
above the same one during several times during one-
self year, ending up in occasions to be during several
months in this condition.
In growing, the levels of water of the river over-
came the bench mark thoroughly 76, having arrived at
levels superiors to bench mark 80, such it is the case
of the growing ones of 1983 and 1992.
5.2 Behavior of the river with the reservoir to
reduced bench mark
With the presence of the reservoir, the behavior of the
river in the axis Encarnación – Posadas have suffered
some changes.
In this case, one of the border conditions imposed
to the operation of the reservoir is to maintain con-
stant, while the hydrological conditions allow this way
it, certain levels of water in the axis Encarnación –
Posadas. For those hydrological conditions that don’t
allow the above-mentioned, the levels of water will go
ascending with the increase of the flowing flows,
approaching gradually at the natural levels for the
same hydrological condition.
That mentioned arises as consequence of the reduc-
tion of the eddy effect that produces the dam (located
100 km downstream) on the mentioned section. This
way, in the case of occurrence of high flows they don’t
modify the flood risks.
6 DOWNSTREAM OF THE CHY
6.1 Behavior of the river before the existence
of Yacyretá
Under natural conditions, the discharge of the river
Paraná to the height of the Island Yacyretá, is divided
in two arms: Main arm and Arm Aña Cuá.
The Main Arm was the one that took the biggest
quantity in water, while the rest went for the Arm Aña
Cuá, in proportions of 70% and 30% respectively for
the range of more frequent flows, taking place small
modifications in this distribution for the case of
growing important.
6.2 Behavior of the river with the presence
of Yacyretá
The operation of the CHY forces to consider the dis-
tribution of flows that should be maintained arms of
the river between both continually.
The fact that the House of Machines is very near to
the Main Arm, it conditions that distribution for the
most frequent range in flows. Under these conditions
the operation watchword spreads to derive for this
arm through the turbines the biggest quantity in pos-
sible water. However, the conservation of environ-
mental conditions adapted in the Arm Aña Cuá,
imposes the condition of maintaining in this, during
the periods of low affluences, a certain ecological
denominated minimum flow of 1500 CMS.
On the other hand, the distribution of flows between
both arms, it is also related with the capacity of
energy generation, because the magnitudes of the dis-
charges in both arms have influence (although of dif-
ferent magnitude) in the level of restitution of the
Hydroelectric Power station and therefore they cause
variations in the available jump.
7 SPECIAL CONSIDERATIONS RELATED
WITH THE FISH LIFE
During the operation, and in front of certain hydro-
logical situations they should be kept especially in
mind aspects related with environmental topics, inside
151
which is necessary to stand out the one with respect to
the FISH LIFE waters under Yacyretá, of an abundant
diversity and quantity of species of fish that converge
in the vicinity of the CHY.
This aspect is of particular importance for the oper-
ation of the drains, since, generically, the discharges
for this structure type tenors of gases dissolved waters
generate under the same ones that can be incompatible
in some cases with the passable limits for the fauna
íctica, being ended up inclusive taking place death
tolls of fish for effect of gassy supersaturation, com-
monly denominated as illness of the bubble.
This problem has been deeply studied for the case
of Yacyretá, being recommended the incorporation of
baffles in the quick of both drains, which modify the
pattern of the input flow in the pool the sinking of the
liquid vein are avoided and for that the supersaturation
tenors diminish downstream. This baffles have been
incorporated in the VBAC, working from 1996, with-
out inconveniences were reported from the beginning
of their operation.
In the VBP it was full incorporated; it has adopted
measures to the effects of minimizing the entrance of
air in the sheet slope and the establishment from a
special way of operation to the effects of reducing to
the minimum the impact. That mentioned includes a
special procedure of opening. During the time that the
operation of the VBP lasts, an intensive plan of men-
surations of gases dissolved waters settles down
under Yacyretá, as well as a permanent monitoring of
the river.
Other considerations to be had in connection with
the fish life are the relating ones to the operation of the
VBAC in the recessive phase of growing during the
periods of migration of the fish. For high flows for
the BAC, the invasion of the water takes place in the
flood plains, and the mass of fish in this areas. When
taking place the recessive phase that forces to dimin-
ish the poured flows, special care it is necessary to
have for not taking place you take down (quick emp-
tying), of these areas immediately waters under the
VBAC. That mentioned has taken to study and to
implement a process of gradual variation of the dis-
charges that avoids this effect, and that it has been
proven with success.
8 GATHERING AND TRANSMISSION OF
INFORMATION
To plan the handling of the reservoir and the energy
generation is required a complete knowledge of the
flowing flows. The geographical position of Yacyretá
inside the basin of the river Paraná, makes him to be
indispensable the knowledge of the discharges of uses
that it assist to a different system (Brazil), and positions
in this country. Due to they are collected it the data of
carried out discharges and presage of the hydroelectric
power stations upstream, data of readings of the scales
of the rivers Iguazú and Paraná, meteorological data
and meteorological forecast for the area of influence
of Yacyretá, as well as data of reservoir bench mark,
restitution, powers, turbined flows and poured. On the
base of the collected information, the precedent situ-
ation is evaluated and the presage of flowing flows
are elaborated and on the base of these are elaborated
the programming of the operation of the Complex.
The presage of affluences and discharges of the CHY
are also transmitted, to external Institutions to the EBY,
for the CEN (Committee of National Emergency of the
Paraguay), the INA (National Institute of the Water,
RA), to the Provincial APA(Administration of the
Water, Province of the Chaco, RA), to the Address of
Resources Hídricos and to the Provincial Commission
of Big Projects(Province of Corrientes). In situations of
Emergency, this listing is enlarged, including institu-
tions related with activities of civil defense in both
countries of the Treaty of Yacyretá. They are also elabo-
rated presage of hydrometric levels in Port Libertad for
EMSA (Electricity Missions CORP.) and warnings to
the Armada of the Paraguay and Naval Prefecture
Argentine.
9 HYDROELECTRIC PRODUCTION
With the beginning of the operation of the Hydroelectric
Power station Yacyretá in 1994, the generated energy
was increasing as the generating units entered in serv-
ice, until totalling 20 installed generating units, by the
middle of 1998. Still when it has not been possible to
generate to Nominal Power of project to be operated
to reduced bench mark, it has been reached an Annual
Production of about 11,800 GWh like maximum.
152
To definitive bench mark (83 msnm), the annual
half energy would be of the order of 64% above the
current one.
On the other hand with the inclusion of the project
Aña Cuá where will settle 3 (three) generating units
of 90 MW each a (270 MW of Installed Power), they
will take advantage the 1,500 cms of discharge of the
ecological flow of the arm Aña cuá. This way the
Annual Production of the Complex will be increased
in about 2,000 GWh, for that that the energy finally
generated per year it will increase in 80% in connec-
tion with the current production.
REFERENCES
Eby-Departamento Tecnico – Hidrologia (1998) Informe
Explicativo de las Principales Variables Correspondientes
al Comportamiento del río Paraná con la Operación del
Complejo Yacyretá a Cota 76
Eby-Departamento Técnico-Movimiento De Energia Y
Estudios (2002). Energía Generada por Yacyretá
Eby-Relaciones Publicas (2001) Yacyretá Construye
Harza y Consorciados; CIDY Consultores Internacionales
de Yacyretá (1998) Manual de Operación y Mantenimiento,
Manual de Operación del Embalse, VOL. II – Rev 2
Itaipú Binacional (07/04/95); Sistemática Para Operación en
Condiciones de Crecidas en los ríos Paraná e Iguacu, Rev 01
Korzum,Instituto de Hidrología, UNESCO (1979) Balance
Hídrico Mundial y Recursos Hidráulicos de la Tierra
Irigoyen, Guella, XIV Congreso Latinoamericano De
Hidraulica (1990), Montevideo-Uruguay, Red Hidro-
meteorológica Telemétrica de la Cuenca Inmediata al
Embalse de Salto Grande
Schreiber, Gerhard P., Usinas Hidreletricas, 1977
Comité Intergubernamental Coordinador de los Países de la
Cuenca del Plata, Sistema De Información Sobre Calidad
Del Agua Y Para El Alerta Hidrologico De La Cuenca
Del Rio De La Plata, Febrero 1998
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Studies and geotechnical design of the El Cajon Dam

J.D. Alemán Velásquez

Civil engineering studies department, Federal Commission of Electricity, Mexico

H. Marengo Mogollon
Hydroelectric projects department, Federal Commission of Electricity, Mexico

ABSTRACT: The El Cajón hydroelectric power is at the moment under construction in the state of Nayarit,
México. The dam is of rockfill with face of concrete (CFRD, it will have a height of 188 m, one of the highest
in its type. This article describes the general characteristics of the project and the field works, laboratory and
analysis carried out for the geotechnical design of this structure.

1 INTRODUCTION excavations and treatments to the rock to construct

El Cajón Hydroelectric project, at the moment under
construction, it is located in the state of Nayarit,
Mexico, at a distance on the order of 80 km to the east
of the City of Tepic, on the Santiago river, 60 km
upstream of the Aguamilpa Dam.
The project considers a power station equipped
with two groups of turbogenerators (Francis type,
vertical of 422, 5 MW of maximum power each)
which will produce a total mean annual generation of
1 228,637 GWh. The reservoir will contribute to reg-
ulate the floods of own basin and it will benefit to the
Central Aguamilpa.
In this article a brief description of the geologic
conditions of the site and the main structures of the
project are presented. Also, the works carried out for
the geotechnical design of the dam are described.
the plinth.
2.2 Diversion structures
They are formed by two 14  14 diversion tunnels
(734 and 811 m of length) excavated in rock, located
on the left bank, designed to discharge 6481 m3/s,
with two main cofferdams. The upstream cofferdam
being of 48 m high, while one downstream is 15 m high.
2.3 Generation works
They are constituted by an open power intake canal,
two penstock, underground powerhouse, housing two
Francis turbine of 422.5 MW of maximum power,
surge chamber, tailrace tunnel and outside switch-
yard, all located on the right bank.

2 DESCRIPTION OF THE PROJECT

2.1 General geology

At the site of the El Cajón Project we can find rocks
of diverse origin and age, from metamorphic rocks of
the Precenozoic and igneous of the Oligocene to the
Quaternary.
In accordance with the carried out studies, the struc-
tures will be constructed mainly on rock Ignimbrite;
in the lower part of the canyon this rocks is sound, but
in zone areas we can find poor quality rocks.
In the left bank of the dam site, several geological
faults were detected and superficial thickness of
decompressed rock with RQD values from 0 to 50% Figure 1. General arrangement of the project: 1, diversion
reaches 50 m of depth. This situation implies important tunnels; 2, cofferdam; 3, dam; 4, powerhouse; 5, spillway.

153
2.4 Spillway
Also located on the right bank, It is an open channel
controlled by six gates with a total capacity to dis-
charge 14 864 m3/s when conveying the design flood
with a peak flow of 15 915 m3/s (Tr
10 000 years).
2.5 Dam
The detailed description of this structure, as well as
the studies and geotechnical design carried out for the
project are presented in the following section.
3 DAM DESIGN
3.1 Selection of the type of dam
After evaluating diverse dams types, when consider-
ing the topographical and geotechnical condition of
the site, the shortage of impervious materials and
gravels in the area and the previous experience of the
Aguamilpa Project, the concrete face rockfill dam
(CFRD) was selected. The rockfill would be obtained
from the ignimbrite that exists in site.
An extensive campaign of studies and laboratory
tests to determine the geotechnical properties of the
added (200 litre per m3 of material). It was observed
that the addition of water improved in a remarkable
way the compactness of the rockfill.
Density of compacted rockfill was obtained every
two passing of the compactor, to measure the varia-
tion of the void ratio with the No. of passes, as well as
grain size distribution curves, specific density and
limits of consistency. Also, load plate and permeabil-
ity test were executed.
The results of these tests are summarized in the
following tables and figures.
3.2.2 Compressibility (from Load plate test)
21 load plate tests were carried out on the embank-
ment test with an 80 cm diameter circular plate.
The load plate test is based on the elasticity theory.
If we consider a half infinite, elastic and isotropic
medium, it can be demonstrated that the elastic mod-
ulus is given by the equation:
Where:
, Poisson ratio of the rockfill, 0.35
construction materials of the dam was carried out, as p, increase of load, in kN
well as several stress-strain analyses with the finite ele- a, radius of the plate, 0.39 m
ment method. The results of these works are described d, Displacement increment, in m
later on. E, Elastic modulus of the rockfill, in kPa
Seismicity of the area is low; therefore it was not a
main concern of the design of the dam. Table 1. Average void ratio obtained in embankment test.

3.2 Field works Void ratio

3.2.1 Embankment test Layer thickness
For the first stage, an embankment test was built until No. of passes 0.4 m 0.6 m 0.9 m
a height of 8.5 m (to see fig. 2). The layers were com-
pacted with a roller compactor of 7.5 t of static weight 4 0.26 0.31 0.40
in the drum. The rockfill was obtained from blasted 6 0.24 0.27 0.37
rock (ignimbrite). 8 0.21 0.26 0.34
For the second stage, the embankment test contin-
ued from the elevation 8.5 until the 12.3 m and a
roller of 10.6 t of static weight in the drum was used.
During the construction of the embankment some
areas were compacted in dry, while in most water was

24 m

Compactado con
RLV 10.6 t peso Capa de 0.9 m Capa de 0.6 m
Tamaño max. 0.75 m Tamaño max. 0.5 m

Compactado con
12.3 m RLV 7.5 t peso
Layer of Layer of Layer of
0.9 m 0.4 m 0.6 m

23 m 8m 23 m

Figure 3. Average grain size distribution curves of the

Figure 2. Cross section of the embankment. rockfill used in the embankment and in other dams.

154
 In general the results showed scattering. Average elas-
tic modulus for the layers with 40 and 60 cm of thickness
varied between values on the order of 90 and 110 MPa.
The tests in the layers of 90 cm of thickness were
influenced by the maximum size of the rock fragments,
and for that reason, they were not representative.
3.2.3 Compressibility (from the instrumentation
of the embankment test)
During the construction of the embankment test, set-
tlements of the rockfill were measured by means of
hydraulic levels installed to various elevations. With
this information the following elasticity moduli were
obtained.
3.2.4 Permeability
Ten permeability tests were executed in embankment.
In general, permeability coefficient (k) was bigger
than 3 cm/s.
dry one. It was also determined that the rockfill of El
Cajón would be on the order of 1.5 to 2 times more
deformable than the gravel used in Aguamilpa.
4 ANALYSES AND GEOTECHNICAL DESIGN
4.1 General aspects
The El Cajón Dam will have a total height of 188 m.
During the design only another dam of similar height
existed (Aguamilpa, 187 m, finished in 1993). At the
moment dam of similar heights have been completed,
Barra Grande (185 m, 2004) and Campos Novos
(200 m, 2005).
4.2 Slopes
The Upstream and downstream slopes are designed with
base in the experience. With rockfills from sound rocks

3.3 Laboratory tests 40.

The tests index carried out to the rockfill gave percent-
ages of absorption between 4.5 and 5.5%, an abrasion 350. Aguamilpa
Initial elasticity modulus, MPa

Gravel
(Los Angeles test) of between 21 and 31% and a spe- 30.
cific density average of 2.62.
El Cajon
The unconfined strength was between 46 and 250. Rockfill
98 MPa, with a mean of 70.5 MPa. The density of the
rock varied between 2.38 and 2.44 t/m3. 20.

3.3.1 Strength and compressibility from 150.

triaxial test
Triaxial (CD) tests were carried out in a giant triaxial 10.
camera. 30 cm of diameter and 70 cm height rockfill Aguamilpa
specimens were used. The results are shown in the 50. Rockfill
figs. 4 and 5.
0.
The tests were executed in specimens with a maxi- 10 10 10 10
mum size of particle of 38 mm, uniformity coefficient Confining stress, kPa
similar that of field and dry density between 1.995
and 2.016 t/m3 (Void ratio between 0.312 and 0.30). Figure 4. Variation of friction angle.

3.3.2 Oedometric compressibility

In the figures 6 and 7 the compressibility curves and 65.0

the variation of the oedometric compression modulus Aguamilpa

(gravel) El Cajon
is shown. These tests were executed in 0.3 m diameter 60.
(rockfill)
φ( grados)

and 1.13 m diameter oedometer, using maximum size

of particle of 3.8 cm and 17 cm, respectively. The tests 5.0
were carried out in dry and saturated conditions.
A bigger deformability of 1.5 to 2 times was
— nitera,

50.
observed on the saturated rockfill with regard to the
45.0
Table 2. Average E moduli from instrumentation. Aguamilpa
gulodefric

(rockfill)
çn

40.
Layer thickness E modulus
(m) (MPa)
35.0
10 10 10 10
0.4 70 EsfuerzodCniamt,L g σll(kPa)
0.6 50
0.9 30
Figure 5. Variation of initial tangent modulus (Eti).

155
 0.29
Pba_4sturd

Pba_5sec

0.27
Odometr_1 gi g

Odometr_2 gi g

0.25
Void Ratio, e

0.23

0.21

0.19

0.17

0.15
0.1 10
Vertical stress, MPa

Figure 6. Compressibility curves (0.3 m and 1.13 m

odometers).

Figure 8. Dam zoning and FEM meshes used in the analyses.

Table 3. Parameters used in the analysis.

Parameters
Layer
thickness E 
Zone (m) (Mpa) (e) (t/m3)

3B 0.6 80 0.25 2.08

0.8 45 0.35 1.93
T 0.8 45 0.35 1.93
1.0 35 0.40 1.86
3C 1.4 25 1.79 1.79

Taking into account the results of the field and lab-

Figure 7. Variation of Oedometric modulus (Ec).
in areas of low seismicity, generally slopes of 1.4:1 are
used, going down 1.5:1 for gravels or rockfills from
soft rocks of relative low shear strength.
For the El Cajón dam upstream and downstream
slopes of 1.5:1 and 1.48:1 were considered initially,
considering the precedent of Aguamilpa. Finally the
analyses indicated that it was feasible to use slopes
1.4:1 upstream and downstream.
4.3 Analysis of strain-stress
With base in the previous information, analysis of
finite element method was executed to predict the order
of magnitude of the displacement of the dam. The two
analyzed zoning appears in the figure 8. In addition,
two layer thicknesses were evaluated for the 3B (0.6
and 0.8 m) and T (0.8 and 1.0 m) zones.
oratory test, as well as the moduli values measured in
Aguamilpa (Macedo, 2000), Elastic moduli to use in
analysis were selected with a conservative approach
(see table 3).
The contours of settlements at the end of construc-
tion and after the first filled for the alternative b)
appears in figure 9, while the results of the maximum
deflexion in the face of concrete due to first filling
are shown in table 4.
We concluded that the deflexion of the concrete
face due to first filling is practically equal in both
alternatives.
On the other hand, the deflexion calculated for a
thickness of layer of the material 3B of 80 cm would
be on the order of 100 cm for the conservative para-
meters used in analysis, value that can be coped by
the dam.
Considering the previous results, it was opted by the
option with sloping transition (alternative b), since it

156
 Figure 10. Maximum cross section and dam zoning for EL
Cajon Dam.

Figure 9. Contours of vertical displacements: a) to final of

construction; b) after first filling.

Table 4. Calculated maximum deflexion of the concrete

face.
Figure 11. Grain size distribution curves specified for
Maximum rockfill.
deflexion
Alternative Layer thickness (m)
Table 5. Placement and compaction requirements (***).
a) Vertical transition 0.6 (3B) y 0.8 m (T) 0.58
a) Vertical transition 0.8 (3B) y 1.0 m (T) 0.98 No. of
b) Sloping transition 0.6 (3B) y 0.8 m (T) 0.64 Zone Layer (m) Type of roller passes

1B 0.3 Compacted by Dozer NA

2F 0.3 10.6 Ton Vibratory roller/
presented smaller concentrations of stress and would be 10 Ton NPK Plate 6
more economical. It was also opted by thickness of layer 2** 0.3 10.6 Ton Vibratory roller 8
of 0.8 and 1.0 m for the areas 3B and T. The maximum 3A 0.3 10.6 Ton Vibratory roller 8
cross section and dam zoning finally chosen appears in 3B* 0.8 12.2 Ton Vibratory roller 6
figure 10. T* 1 12.2 Ton Vibratory roller 6
The results confirmed that the use of a transition 3C* 1.4 12.2 Ton Vibratory roller 6
in CFRD is a good practice, to avoid large deforma- 3H 0.4 Compacted by Dozer NA
bility contrasts among the different zones of the 4 NA Placed by backhoe NA
dam. Thus, stress concentrations are eliminated in the * compacted adding them 200 litre of water per m3 of
rockfill and stress tensions are reduced in the con- material
crete face. ** The material 2 was designed according to the Sherard
The specifications for the grain size distribution criteria (1985). It was also considered that it would serve
curves of the materials of the dam appear in the figure like filter of the material 1B and 2F.
11, while the placement and compaction requirement *** The specifications also took account the empiric approach
are shown in the table 5. of JB Cooke (1984, 1998 and 2002)

5 BEHAVIOR OF THE DAM DURING The settlements measured by hydraulics levels at

CONSTRUCTION
To date, the El Cajón dam has an advance on the order
of 85% (figs. 12–13). According to the construction
schedule of the dam will finish on April of 2006.
different elevations are two or three times minor to the
calculated in the analyses (fig. 14). This is attributed
to the excellent grain size distribution of the rockfill,
the effect of the added water and the weight of the
roller used.

157

Figure 12. Photo of the dam at January 6 2006 from left
bank.
Figure 13. Photo of the dam from right bank.
Figure 14. Contours of settlement of the dam on 16 Dec 05
(courtesy Subgerencia de Seguridad de Estructuras, CFE).
6 CONCLUSIONS
The studies and geotechnical design allowed to
define the placement and compaction requirements of
158
the materials of the dam, as well as to obtain informa-
tion on the strength and compressibility parameters of
the rockfill.
The carried out analyses allowed to establish the
importance of using transitions in the dam to avoid
large and abrupt changes in the compressibility mod-
ulus of the different zones of the dam, that could induce
undesirable stress concentrations and to generate ten-
sions and cracking in the concrete face (Marques et al,
2005; Alberro, 1998).
The use of similar grain size distribution in the
diverse zones of the dam (modifying only maximum
size of particle but maintaining similar shape of the
gradation curves) also helped to have compressibility
modulus not excessively different between the zones
of the dam.
The above mentioned, joined to the generous addi-
tion of water during the compaction, have allowed to
obtain a rockfill with low compressibility when com-
pared with other dams.
REFERENCES
Alberro J A. (1998), Agrietamiento de presas de enro-
camiento con cara de concreto, Memorias de la
Conferencia Internacional sobre Presas de
Almacenamiento, SMMS.
Cooke J B. (1984), Progress in RockFill Dams, Journal of
Geotechnical Engineering, ASCE, October 1984.
Cooke, J B. (1998), Empirical Design of CFRD,
Hydropower & Dam, Issue six, 1998.
Cooke, J B. (2002), Report of Dam Visit of March 4–8 ,
2002.
Hacelas J E. (1998), Evolution in design and construction of
the concrete face rockfill dam, Conferencia internacional
sobre presas de almacenamiento, México, julio de 1998,
SMMS.
Macedo G G, et al (2000), Behavior of Aguamilpa Dam,
Barry Cooke Volume (Concrete Face Rockfill Dams),
Beijing 2000.
Marques P, Pinto N L, CFRD dam characteristics learned
from experience, Hydropower & dam, Issue one 2005.
Marsal R J. (1972) , Resistencia y deformabilidad de enro-
camientos y gravas, Informe No. 306, Instituto de
Ingeniería, UNAM.
Montañez L E. (1991), Estudios de la junta perimetral de
Aguamilpa, Memorias de la mesa redonda en homenaje
al Prof. R. J. Marsal, SMMS, marzo de 1991.
Montañez, L E, et al (1993), Design of Aguamilpa Dam,
Proceeding of International Symposium on High Earth-
Rockfill Dams, Volume I. ICOLD, 1993.
Sherard, J.L. October 1985. The Upstream Zone in Concrete –
Face Rockfill Dams ASCE Symposium on Concrete Face
Rockfill Dams. Detroit, USA.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

ZHUR hydropower-plant importance for the electro-energetic

system of Kosova

Z. Idrizi
University of Prishtina, civil engineering, Prishtina, Kosova
Center of polytechnic studies, Tetova, FYR Macedonia

I. Idrizi
Center of polytechnic studies, Tetova, FYR Macedonia

ABSTRACT: Territory of Kosova is one of the smallest area in the Balkan, and also one of the highest popu-
lation density in the Balkans and in entire Europe as well. This is why the water supply needs of the population and
the industry are increasing exponentially. Considering this fact, it is evident that highest priority is given to water
supply for the population and industry. We should make high consideration to water power utilization, especially
when we consider the fact that the available profiles for water power utilization are very limited. One of the pro-
files that enables us the construction of a hydropower plant which would be inexpensively and technically possi-
ble for realization as well, is the ZHUR hydropower plant, which enables the installation of power generator of
293 MW which in percentage represents 30% of the total hydropower plants in the entire territory of Kosova.

1 INTRODUCTION
The Kosova territory is characterised with a very limited
hydro-energetic potential as a result of small specific
flows, so that even in the higher levels of watersheds
where the slopes are steeper, the energetic potentials
are very low.
Except that the energetic potentials are low, the
exploitation conditions of them are very complicated
and unsuitable. There are many factors considering
exploitation conditions, from which we will mention
some more imposing factors:
The Kosova territory is one of the heading countries
in Balkans for low rainfalls, while especially low rain-
falls appear in agricultural and industrial lands where is
the higher population density. As a result of the unbal-
ance between the existing water resources and the water
needs, gradually comes to the expense of the resources
in the vicinity of various consumers. The most impor-
tant consumer could be mentioned the human con-
sumers which use the water resources for their needs
(household water distribution, industrial and agricul-
tural needs).
As a result of this process, lesser and lesser water
amounts remain for the use of hydro-energy.
With the depletion of the water resources in the large
consumer areas, emerges the need for water transporta-
tion in larger distances. Even in these cases the water
supply for the households and industry has undisputable
priority. All of this leads to the case that the entire pos-
sessed hydro-energetic potential can not be used for
hydro-energetic needs even from the water resources
that are pretty far from areas with high needs of water
resources.
As a result of demographic development in the river
streams, have been developed habitations and other
necessary infrastructures, while not taking in to account
for the development of hydro-economical systems in
the future. As a result of the unplanned urban develop-
ment fo the river streams, the conditions for the realisa-
tion of the accumulative lakes are extremely heavy,
which negatively affect the possibility for use of the
hydro-energetic potential.
From all the watersheds of Kosova, the watershed of
“Drini i Bardhë” river own the greatest hydro-energetic
potential. From the aspect of the steepness of slopes, as
more important rivers from the hydro-energetic point of
view are the rivers flowing from “Bjeshkët e nemuna”
mountains as: “Pejas Lumbardh” river, “Deçan’s lum-
bardh” and “Erenik” rivers which represents the right
branches of the “Drini i bardhë” river, as well as
“Prizren’s lumbardh” which flows from the Sharr
mountains. The branches of “Drini i bardhë” river:
“Pejas’s, Deçan’s and Erenik’s lumbardh” in their upper
portion are characterised with steep slopes until
20 m/km, while in their exiting in the plain of Dukagjini
their steepness is decreased till 1.5–2 m/km. His fact,
very clearly determines the distribution of the water

159
power in a watershed as well as the possibility for has been evaluated that till the year of 2000, will be
their use for energy production. installed thermo-power plants with a capacity of
Therefore, from everything that was mentioned 8000 MW. By the same “Master plan”, it has been cal-
above, we can clearly conclude that the greatest poten- culated that in Kosova by the end of the year 2000, to be
tial and the only possibilities for the hydro-energetic use designed hydropower plants with over 550 MW electric-
of rivers are concentrated in the upper parts of flows ity generation capacity. However, this plan, considering
of the upper mentioned rivers. the political factor, was not even been initiated.
The Plava river, which drains waters of the upper Today, electricity in Kosova is produced by two lig-
parts of the Sharr mountain and in the Republic of nite fired TPPs of Kosova A and Kosova B with total
Albania is spilled in the “Drini i Bardhë” river, repre- installed generation capacity of 1.513 MW (Table 1).
sents an integral part of the “Drini i Bardhë” watershed
in the hydro-energetic point of view.
With the accumulation of waters from the Plava river
watershed in a height above 950 m of sea level, and with
their conduction in the accumulative lake of Plava and
Llapuzha. From these accumulative lakes, with deri-
vation, the water flow is conducted along the “Drini
i bardhë” river main flow direction, where before its
spilling is managed the use of the river flow for
hydro-energetic purposes with the help of the ZHUR
hydropower plant.

2 KOSOVA’S ENERGETIC DEVELOPMENT Figure 1. Development of production, consumption and

UNTIL THE PRESENT DAY, AND BEYOND exchange.

In the period between 1962 and 2002 some 115 TWh of

electrical energy was produced by KEK, of which 45%
was exported. The electrical energy balance is shown
in Figure 1.
From Figure 2 can be clearly seen that along its
functioning period until the year of 1999 Kosova was
a net electricity exporter.
By the “Master plan” of Kosova, during the year
1980–2000 considering energy generation, because of
the high resources of coal in the territory of Kosova, Figure 2. Energetic consumption forecast.

Table 1. Existing power generation facilities in Kosova.

Gross Net
installed Net available
Power power power power Start of
plant Unit [MW] [MW] [MW] Fuel operation

Kosovo A
A1 65 58 30–40 L/N 1962
A2 125 113 0 L/N 1964
A3 200 182 130/145 L/N 1970
A4 200 182 120/145 L/N 1971
A5 210 187 135/150 L/N 1975
Kosovo B
B1 339 309 230/250 L/M 1983
B2 339 309 230/250 L/M 1984
HPP Gazivode/
Ujman
G1 17.5 17.5 17.5 1983
G2 17.5 17.5 17.5 1983

160
 Most of the power generation units of the two ther-
mal plants are in poor operating conditions.
Overhauling and rehabilitation works in the power
plants have been carried out or are still under way.
In July 2002 there was a fire in Kosova B, which
contributed to the reduction of the available capacity of
the system to only 640 MW.
By winter 2004, was anticipated the increasing of the
installed energy capacity to approximately 900 MW
after the repairing of two units of Kosova B.
Unfortunately, the production will still remain lim-
ited to approximately 650 MW due to continued con-
straints in coal supply, as a consequence of a major
landslide in one of the two mines in November 2002.
This will have severe negative impacts on produc-
tion in the short term period, and in order to maintain
the full-time power supply, the lacking power to the
anticipated peak of approximately 800 MW should be
imported.
The total production in 2000 was 1.914 GWh; this
rose to 2.568 GWh in 2001, and again to 3.153 GWh
in 2002 despite the above-mentioned incidents.
Assuming resumption of normal operation of power
plants of Kosova A and B and the “Bardh and Mirash”
mines, the electricity supply from domestic genera-
tion units of KEK supplemented by some power
exchanges (seasonal exchange and the base for peak-
load power coordination) from the neighbouring sys-
tems can meet the demand of Kosova until the year
2008–2010.
Considering the continuous growth of electricity
demand in Kosova, there are formulated different
strategies for solving this problem. By the year of 2002
was proposed a development of 2 TPP-s by the year of
2009, which would bring a lasting improvement and
stabilisation in the power supply system of Kosova.
By the World Bank supported ESTAP project was
developed a forecast of the total electricity consump-
tion by the year 2020 with respect to the relationship
between GDP and electricity consumption per capita (in
GWh/cap), Figure 2.
In the absence of an official economic development
strategy for Kosovo, two scenarios were analyzed:
Medium and High-Growth, and they provide a range of
future energy demands (Table 2).
Table 2. Two scenarios for electricity demand growth.
2000 2005 2010 2015 2020
HG – annual growth rate 7%
GWh 2,869 3,769 4,988 6,519 8,353
MW 653 796 1,061 1,424 1,960
MG – annual growth rate 5%
GWh 2,869 3,586 4,272 5,137 6,168
MW 653 749 890 1,081 1,296
161
Apart from the idea of developing new TPP-s, after
the year 2000, it has been greatly revitalized the idea of
regenerating electricity by hydropower plants, espe-
cially ZHUR hydropower plant with an installed elec-
tricity capacity of 293 MW. This idea has been
provoked considering many factors, as the economic
aspect, ecologic and political aspect as well. This
project is considered that in a very effective way
would contribute in the future stabilization of energetic
production.
3 HISTORICAL ACTIVITY FOR ZHUR
HYDROPOWER PLANT REALISATION
The idea for realisation of ZHUR hydropower plant
exists since the beginning of the 50-ies of the XX-st
century, when it was assumed the realisation of a
hydropower plant with installation discharge of
Q
25 mh3/s, and with an installation power of
N
136 MW. In the year of 1969, the Serbian electro-
economy, considering the fact that in those years existed
a united electro-energetic system in a ex-Yugoslav level,
decided the expansion of the hydropower plant capacity
in 293 MW. All of this was made as a function of reduc-
tion of hydropower plant working time from 4000 h in
2000 h.
The realisation design of the ZHUR hydropower
plant extended very much in time. There were com-
pleted the preparation time, the idea project for the vari-
ance with installed discharge of 50 m3/s and installed
power of 293 MW. However, this project, has not been
realised until the present day.
In the present time, we have quite different situation.
The elect-energetic system of Kosova, today is an
independent system, and its ability to please all the
electric energy needs of its population is getting worse.
In these situations, has been revitalised the idea of
building a ZHUR hydropower plant as a very valuable
energetic system for Kosova.
In the actual situation, in September of 2001, in
Prishtina, by the Electroproject of Zagreb, in the pres-
ence of native and international relevant factors, were
presented preliminary results of the feasibility studies
of the ZHUR hydropowerplant. In that meeting, after
many discussions, was concluded that it must be done
an approximate analysis in a technical and economical
aspect, in the case when the installed discharge would
be reduced from 50 m3/s into 25 m3/s.
This case, means the doubling of the working
hours of the hydropower plant, while the overall ener-
getic production remains the same. The economical
analysis of these two cases give the conclusion that
the second case is for 22% more economical. The fac-
tors imposing this economical parameter are ore vari-
ous and of different types, which are not a topic in this
discussion.
4 CONCEPTUAL SOLUTION OF THE ZHUR
HYDROPOWER PLANT

The ZHUR hydropower plant, represents accumula-

tive hydropower plant with derivation, located in the
south-west part of the Kosova, between the municipal-
ity of Prizren and Dragash. The existing slope of the ter-
rain is used by two hydropower plants: ZHUR 1 situated
in the Zhur country and ZHUR 2 in the close area of
the “Drini i bardhë” river.
ZHUR hydro-energetic system is planed to use the
waters flowing from the SHAR mountain streams,
starting from the accumulation of the Çajle river and its
branches, the waters of the Plava river and its branches
(as Brod and Rastelica branches, and other branches). Figure 3. Geographical situation of the accumulative lake.
All these waters accumulate in the accumulative Plava
lake, from which, with the aid of a tunnel, are conducted
in to the accumulative lake of Llapusha.
The location of the ZHUR hydropower plant can be
visually conceived as in the figures below, (Figure 3,
and Figure 4).
From the accumulative river of Llapusha, with the
aid of a tunnel with a length of 3220 m and of a com-
pression tube with a length of 1440 m, the water is con-
ducted in the ZHUR 1 turbines, where is produced the
electrical energy using the maximal brute fall of 576 m.
The waters, energetically used in the ZHUR 1
hydropower plant, with the aid of a tunnel with a length
of 2050 m, of an open channel with a length 600 m, and
with a compression tube with a length of 170 m, are con-
ducted in the turbines of the ZHUR 2 hydropower plant.
In the following, we show the main data of the
ZHUR hydropower plant. Figure 4. Accumulative lake and its surrounding.
– Catchment’s area F
307.10 km 2

– Plava Accumulative reservoir

– Maximal level 980.4 m of sea level account many parameters such as climatologic factors,
– Overall volume 7.4 hm3 geographical and hydrographical factors, seasonal
– Usable volume 7.4 hm3 climatic changes etc.
– Llapusha lake The annual production of the ZHUR hydropower
– Maximal level 979.4 m of sea level plant with a production capacity of 398 GWh is a very
– Overall volume 119 hm3 considerable value, and as it is, affects in the improve-
– Usable volume 112 hm3 ment of the annual energetic balance.
The exclusive positive attribute of the ZHUR
hydropower plant in the overall energetic system of
Brute level difference ZHUR 1 ZHUR 2
Kosova, will undoubtedly be, the phenomenon that the
Maximal 574.40 m 107.15 m variable portion of the daily consumption diagram
Minimal 542.25 m 100.94 m which unable to be covered by the Kosova A and
Installed discharge (1 case) 25 m3/s 25 m3/s Kosova B thermo-power plants, will be covered by the
Installed discharge (2 case) 50 m3/s 50 m3/s hydropower plant.
Installed power capacity (1 case) 122 MW 23 MW If this hydropower plant would be realised in the
Installed power capacity (2 case) 246 MW 46.8 MW present period would also prolong the need for develop-
Annual production 335 GWh 63.2 GWh ing of a thermo-power plant with a capacity of 300 MW,
considering the aspect of electrical power deficiency
From the above given data, for the two cases, the over- (not energy deficiency).
all electricity production remains the same. ZHUR HPP, id addition to its peak hydropower char-
In the following we give the table of annual ener- acter, it will also have an intervening character for
getic production (GWh) which is made by taking into insuring the continuous energy supply in the case of

162
 Average year 50.
45.0
40.
Month ZHUR I ZHUR II ZHUR I  ZHUR II 35.0
30.

GWh
X 34.27 6.71 40.98 25.0
20.
XI 23.60 4.62 28.22 15.0
XII 23.81 4.62 28.43 10.
I 26.05 5.12 31.17 5.0
0.
II 25.25 4.98 30.23 X X I XI I II I IV V V I VI VI IX
III 31.89 6.20 38.10 Month
IV 20.13 4.11 24.24 IRUHZ I RUHZ I RUHZ+
V 21.14 4.04 25.18
VI 20.42 3.39 23.81 Figure 5. Monthly energetic production for ZHUR
VII 37.01 6.56 43.58 hydropower plant for an average year.
VIII 36.58 6.56 43.15
IX 34.78 6.35 41.13
Total 334.93 63.27 398.20 ZHUR HPP, represents around 60% of the overall
hydropower capacity in the Kosova region, and con-
Dry year (90%) Wet year (1955) sidering the present thermo power installed capacity of
Month ZHUR I  ZHUR II ZHUR I  ZHUR II 1513 MW in comparison with the 293 MW capacity of
ZHUR HPP, we could simply conclude that the influ-
X 28.80 64.38 ence of ZHUR hydropower plant in the development of
XI 20.79 63.14 energetic system of Kosova is considerably important.
XII 21.33 65.63 It’s eventual realisation, would considerably improve
I 22.89 65.63
II 21.18 59.09
the energetic system of Kosova, and exceed the present
III 23.98 64.30 energetic production insufficiency.
IV 18.61 50.45 Or in the graphical form, can be expressed as in the
V 19.00 50.91 Figure 5.
VI 15.10 43.91
VII 29.04 33.94
VIII 28.96 33.63 REFERENCES
IX 27.64 32.00
Total 277.30 627.00 Elektroprojekt, (2001), “Feasibility study”, Zagreb
Elektroprojekt, (1984), “Reinterpretacija istrazhnih radova –
H.E.ZHUR”
Kosovaprojekt, (1962), “Idejni projekt brane na reci Plav,
TPP-s malfunctioning. It also would serve as an insur-
H.E.ZHUR”
ance for energy selling to other consumers outside Energy strategy and policy of Kosova, (2003) – “The white
Kosova, but this case, however, would be in question paper”
only when the Kosova energy production would be Z. Idrizi, (2005) – “H.E.ZHUR dhe mbrojtja e saj nga depon-
extremely improved. imi i aluvioneve” – Simposiumi ndërkombëtar, Tetovë

163
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Historical dam Rozgrund – reconstruction of its bottom outlet

P. Glaus
Hydroconsulting Ltd., Bratislava, Slovak Republic

ABSTRACT: In the first half of the 18th century, a system of storage reservoirs was built in the vicinity of
Banská Štiavnica. The aim of them was to store water used for driving of mining pumps and for washing of the
extracted ore. The reservoir Rozgrund, which is the largest one, serves as a storage of fresh-water, used for
drinking-water supply. At the beginning of the reconstruction of this reservoir, there was in the dam-body the
original bottom outlet, made of wood, however no more functional. The stored volume of water could not be
regulated. For the passing of flood-flows, only an un-gated safety spillway could be used. In 2004, the owner of
the reservoir started works on reconstruction of the bottom outlet, to comply it with the requirements of present
technical standards. The reconstruction started with excavation of a gallery along the original wooden outlet,
leading underneath of the dam-body. Two bottom outlet pipes where installed into the gallery, the lower part of
which was filled with concrete and the upper part remained passable. In the frame of the reconstruction, also other
structures were built, to improve the conditions of operation. The whole reconstruction was supervised by the
Office of Ancient Monuments Care, to conserve the original, historical character of the dam, reservoir and their
vicinity. The paper deals with technical conditions of the reconstruction.

1 HISTORIC BACKGROUND Where no reservoirs could be built, collecting ditches

Banská Štiavnica is one of the most beautiful and his-
torically most interesting towns in Slovakia. In
December 2003, the town Banská Štiavnica was
awarded by the highest international appraisal, when its
historical centre, together with the technical historical
monuments in its vicinity, were included into the
World’s Cultural and Natural Heritage of UNESCO.
History of this town is from its beginning, connected
with mining. In 1338, the town received privileges of a
royal town. In 1627, gunpowder blasts were used – the
first time in the world’s history – in gold and silver
mines. In 1740, the mines reached their highest yield –
600 kg of gold and 23,000 kg of silver.
Concurrently with mining, also technical sciences
were developed. In 1762, there was founded in Banská
Štiavnica the first technical university in the world and
the town became the world’s centre of mining sciences
and mining techniques. Around 1750, Mr. M.K. Hell
invented and constructed a water-driven mechanism
for pumping of water from flooded mining shafts and
tunnels.
The building of sophisticated water-management
systems and water reservoirs became in 18th century
a decisive element for further gold and silver mining.
Reservoirs were built in the hilly terrain around the
town in such a way, to catch nearly all rainfall water.
were built along the contour lines of hills, transfer-
ring the water into the nearest reservoir. Some of the
reservoirs were also interconnected by tunnels, to get
the water to the place where it was needed. In this way
it was possible, to use some of the stored water for
mining purposes also twice. The accumulated water
in reservoirs was used also for washing of the exca-
vated material, to separate the gold and silver from
the soil.
In the 18th century, there were built around Banská
Štiavnica about 50 reservoirs for mining purposes.
Important dam designer and dam builder was, besides
Mr. M.K. Hell, also Mr. Samuel Mikovíni (1700–1750),
who was since 1735 also professor on the Mining
Academy. From the original number of reservoirs,
26 are still fully operational. However, at present, they
serve no more to the mining purposes, but mostly for
recreation and fresh-water supply.
2 ROZGRUND DAM AND RESERVOIR
One of these mining reservoirs, which is now used
for fresh-water storage is the reservoir Rozgrund. The
Rozgrund dam was built from 1742 to 1744, on
the Vyhniansky creek. The builder was S. Mikovíni. In
the middle of the 19th century, the dam was heightened

165
by about 6 metres to its present shape. Parameters of
the reservoir and dam are following:
Volumes of reservoir:
– constant 87,247 m3
– useful 440,000 m3
– uncontrolled flood-retention 30,000 m3
– total 557,247 m3
Further parameters of reservoir:
– length 500 m
– surface of reservoir 5.41 ha
– surface of catchment 2.70 km2
– long-term average flow 0.035 m3.s1
– long-term average rainfall 950 mm
Levels of reservoir and dam:
– bottom of reservoir 684.50 a.s.l.
– lowest operational level 693.00 a.s.l.
– highest operational level 705.00 a.s.l.
– safety overflow level 705.00 a.s.l.
– highest flood-level 705.50 a.s.l.
– dam crest level 796.20 a.s.l.
Besides the remarkable height – 32.2 m – of a dam
built in the 18th century, there is extraordinary also the
shape of its transversal section. The inclination of its
downstream slope is 1:1.25 to 1:1.75 and of its upstream
slope 1:1.5. The downstream slope of the dam is grassed
and the mowing has to be done very carefully. The
water-side slope is protected by a layer of rock. Outlet
structures, enabling water-management, were nearly
identical on all historical dams. The bottom outlet con-
sisted of a wooden pipe, laid on the dam foundation.
The original wooden pipe, 50 cm wide, consisted of
two pieces. The bottom piece had a half-circle hollow
20 cm of diameter and was covered with a similar,
mirror-shaped upper piece. Both pieces were con-
nected by wooden locks and by iron wedges.
On the water-side of the pipe, there were two inde-
pendent closing mechanisms, placed in a wooden pro-
tecting structure. The closing element was metallic,
with a bronze slide-valve, operated by an iron rod from
the dam crest, the rod being placed in a wooden struc-
ture on the slope of the dam.
Before the reconstruction of the bottom outlets,
the regulation of the reservoir volume was made by a
siphon. The old wooden pipe was clogged and the
closing mechanisms were out of function. Because
of the relatively small catchment area and a regular
withdrawal of 14 litres of water per second, the siphon
maintained sufficiently the overall water-management
balance. However, the operation of the reservoir did
not fulfil the present safety requirements of the dam
and its equipment. At the same time, the hygienic
requirements for quality of water in the reservoir were
not fulfilled, nor the requirements of maintaining of a
sanitary flow, downstream of the dam.
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3 RECONSTRUCTION OF THE BOTTOM
OUTLETS
The proposed technical solution of the reconstruction,
consisted of two identical, independent bottom outlet
pipes. These pipes are placed in a tunnel, leading under-
neath the dam. The inlet into the pipes is above the
lowest operation level of the reservoir, in a newly built
take-off structure. On the downstream side, the bot-
tom outlets discharge the water into the existing, ori-
ginal, stony de-watering chute.
The bottom outlets tunnel was proposed as a min-
ing tunnel, driven through the bottom of the dam, fol-
lowing the line of the original wooden pipes of the
bottom outlets. The trace of the tunnel used the 19.5 m
long section of the tunnel, which was started to be
built in 1990. From the portal of this old tunnel, the
new tunnel continued to be driven by hand, in a mining
manner.
The primary protective coating consisted of a min-
ing reinforcement, laid each 0.5 m, with a steel form-
work behind. The excavation height in the axe of the
tunnel was 2.9 m, largest width 3.1 m. On such outer
coating a steel mash was fastened and covered with
shotcrete. Grouting of voids and over-excavations, was
done by a mixture of cement and ashes, in sections at
least 10 m long.
After excavation of the whole length of the tunnel,
up to the upstream side and after completion of the
primary protective coating, two pipes of bottom out-
lets and two bypass pipes were placed into the tunnel,
in a length of 18 m from the upstream side. This section
of the tunnel was fully filled with concrete, in three
6 m long sections. The concrete-filled section corres-
ponds with the upstream stabilisation part of the dam.
Water from the reservoir was temporarily discharged
through the two bypass pipes, until the works on the
intake structure were finished and the secondary pro-
tective coating of the tunnel was completed.
The new tunnel is accessible from the old tunnel on
the downstream side, up to the concrete-filled upstream
section. The final shape of the tunnel has a horse-shoe
vault shape, with inner dimensions of the accessible
tunnel 1.95 m of height and 1.7 m of width. The walls
of the accessible tunnel are of reinforced concrete, at
least 23 cm thick in the vault and thickness of the
bottom is 40 cm. Working and dilatation joints of the
secondary coating were sealed by expanding sealing
rubber.
The length of the old tunnel, built in the nineties is
19.5 m, length of the new tunnel (up to the upstream
side) is 52 m, the accessible length (including the old
tunnel) is 51.3 m. The accessible part of the tunnel is
lightened and ventilated. The original entry section of
the tunnel, built in the nineties, was preserved in its
original shape, what was requested by the Monument
conservation office. When placing the bottom outlet
pipes on the bottom of the old tunnel, static protection
of walls was assured.
The bottom outlet pipes are 2  DN 250, made of
glass-laminate material. The intake section comprising
the closing section, is of rust-less steel DN 250. The
closing mechanisms are hand-driven from the dam
crest. Each outlet is closed at its end by two independ-
ent shutters DN 250. These shutters are used only for
opening and closure, not for regulation of flow. Before
and behind these shutters are T-pieces 250/80 with
regulation shutters DN 80, used for discharging of small
amount of water and for elimination of water-hammer
effects in the pipe. There are placed also small taps for
aeration and de-aeration of pipes. The bottom outlet
pipes in the new tunnel are placed on concrete blocks,
above the bottom of the tunnel. When coming out of
the tunnel, the outlets discharge water into a new still-
ing basin and then into the old, existing stony
de-watering chute on the downstream side.
Reconstruction of the original closing mechanisms
had to fulfil the request of the Monument conservation
office – to maintain and preserve the original look of
the Rozgrund dam, also after the reconstruction. The
new handling of two independent closing mecha-
nisms DN 250, is placed in the intake section of the
pipes. Functionally these closures are the first valves
of the bottom outlet pipes.
4 INSIDE-VIEW INTO THE WORK OF OUR
DAM-BUILDING ANCESTORS
During the reconstruction works, there was a unique
possibility, to get an inside view into the work of our
dam-building ancestors and to make an opinion, or
even a judgement about their technical thinking and
working sequences. During the excavation works of
the tunnel, a geological documentation of the working
procedures was elaborated.
The documentation of the downstream side of the
dam, started already during the excavation of the down-
stream portal in the nineties.. There were found layers
of stone sealed with clayey soil, where individual
stones reach dimensions up to 30  40 cm. These
layers are horizontal, with a regular thickness of 40
to 50 cm. The petrographic composition of the used
stones, comprises volcanic products – andesite, quartz-
diorite porphyry and exceptionally were found also
large-crystallic quartzite arteries, characteristic for the
mineralisation of local gold and silver mines. These
informations document that, for the outer layer and for
the stabilisation part of the dam, material excavated
from the nearby mines was used. The colour of these
167
layers is various. On some places it has ocherous
colour, due to chemical reaction of sulphites with
water, grey colour according the type of andesites or
quartzdiorite porphyrs, filling the layers. The layer of
soil has a high content of clay. The soil contains roots
up to 2 cm of diameter, what documents that the mate-
rial was excavated from a terrain richly covered by veg-
etation. The colour of the soil is light-brown, on some
places even grey.
The sealing core of the dam is composed only of
loam, with a high content of clayey composites. The
loam layers are 3 to 5 cm thick, rarely up to 10 cm.
The loam layers create a colourful structure, with alter-
nating light brown and grey layers. On some places,
there can be found thin layers of white soil, evidently
highly caolinised loam, which originates by discom-
posure of rocks, containing feldspars. The overall thick-
ness of the sealing core in the trace of the tunnel was
15.8 m. The sealing layers are placed horizontally.
The upstream stabilisation part of the dam, from
the sealing core, is composed by rock-fill layers. The
inclination of the interface between the sealing and
stabilisation part is up to 40° from the horizontal. In
the upstream direction, the size of stones increased up
to 50  50 cm. The fill between the stones was light-
brown, clayey loam. The upper layer of the upstream
face consisted of sandy loam material with a content
of larger rocks.
5 TIMING OF RECONSTRUCTION WORKS
AND ORGANISATIONS INVOLVED
The reconstruction works started in September 2004,
while the gradual emptying of the reservoir started
already in May 2004. The excavation of the tunnel
started mid September 2004. All reconstruction
works on the bottom outlets and other structures,
including the operation building, were completed in
the course of 2005 and in September 2005, the re-
filling of the reservoir could start. In October 2005 all
necessary functional tests were performed and the
reconstructed dam was commissioned to its normal
exploitation.
In the time of this conference, the reconstruction is
already finished and the reservoir is full.
The dam and reservoir are operated by the Slovak
Water-Management Authority, state enterprise, division
of the Upper Hron Catchment, Banská Bystrica. The
reconstruction was realised by COMBIN Ltd., Banská
Štiavnica. Design of the reconstruction and supervision
of reconstruction works was assured by HYDROCON-
SULTING Ltd., Bratislava – all in Slovak Republic.
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Organization of geographical information, in a GIS, for an integrated

management and a decision-making aid in the water resources domain.
Application to the watershed of Macta (Western Algerian)

A. Mendas, K. Benhanifia, S. Bounaceur & H. Medjelled

National Center of Spatial Techniques (CNTS), Arzew, Algeria

ABSTRACT: In order to tend towards an integrated management of the water resources, on a watershed scale,
it is important for the decision makers to be able to have reliable, complete and representative information.
Indeed, to manage the water resources is to manage all suitable information. The management of this informa-
tion is one of the problems most often raised. It is necessary to gather basic information on the concerned ter-
ritory and thus allow to the decision makers and the technicians the access to the essential of information. This
last is often dispersed, heterogeneous and incomplete and is neither always comparable nor adapted to the nec-
essary needs to the objective decisions making. Management, in quantity and quality of the watershed water
resources supposes the gathering and the interpretation of many data in order to prepare coherent explanatory
diagrams and to know the resources and the uses to conceive the programs of intervention, therefore to make
decisions. The hydrographical watershed approach allows decentralization, dialogue between the users, knowl-
edge of the territory local use and its environmental impact. The quality and the availability of the cartographic
supports become increasingly unsuited and the information contained is generally expired. This is why the geo-
graphical information systems (GIS) are more adapted as they present a big capacity of storage, update, pro-
cessing and production of new data. The implementation of any suggested methodology requires a study zone
with the maximum of necessary data. However, the watershed of Macta situated in the north west of Algeria has
been selected as region of interest for the test of the adopted approach.

1 INTRODUCTION objectives. A relevant decision-making requires the

A rational management of the water resources is an
obligation for the entire planet. The research of the
means allowing the decision makers to effectively
manage these resources remains an objective to
reach. Ground truth permits an efficient update of the
geographical entities permanently and in real time
with the condition that the methods and tools must be
adequate. Currently, the approach of the integrated
management of water resources is required at an
international level. By definition this approach takes
into account the geographical (watershed) and not the
political or administrative limits to manage. It is not
limited to the technical aspect but rather uses also the
political, social and economical fields with the dia-
logue of all the users. Indeed, water is the business of
all. It is necessary to learn how to develop the dialogue
so that the taken decisions are not the fact of an
authoritative and single decision maker but of a con-
sensus of mutual agreements around the discussed
availability of all the data and information reliable.
However, the update becomes easier if data are well
structured and regrouped in only one file permitting a
more comfortable spatial analysis.
Currently and to have an effective response to these
needs, different tools based on geographical informa-
tion system (GIS) and database are available.
By their storage capacity, they permit to better
treat and analyze all the geographical objects in an
appreciated time.
Connection between the GIS and the database will
permit to the user to envisage in any time the recom-
mended scenarios on the watershed. Therefore, simula-
tions would allow defining the impact of the decision
on the resource and the users.
The main objective of this study is to show the con-
tribution of the GIS and database as powerful tools of
assistance to the management and the decision-making,
thanks to their capacities of storage, update and data
processing of water resources at a watershed scale. The

169
definition of needed information for an integrated
management in the study area, as well as the database
conception, modelling, and realization of spatial
requests are also the major subjects aimed by this sur-
vey. Furthermore, the development of GIS will be
given in details in other part. Here, will be landed the
elaboration of various basis layers and other derived,
the realization of some possible links between tables or
requests using ACCESS and files from Arc View etc…
The chosen area of investigation for the applica-
tion was the large watershed of Macta managed by the
watershed agency Oranie-Chott-Chergui in Algeria.
2 GIS AND THE WATER RESOURCES
MANAGEMENT: GENERAL COMMENTS
In these last years water became a serious question
not only for our country but for many regions in the
world. The problem of water resources is aggravated
by the absence of effective management systems.
First, the sectorial approaches present fragmented
and not coordinated management of water resources.
Second, the water management is generally made
according to a downward diagram, i.e. from the top to
the base. It is why the principal problem rises from an
ineffective management and not from the existence
of a limited resource (TAC 2000). The integrated
management of the water resources requires the intro-
duction of approaches and methods that take the man-
agement of water from different angles; technical,
political and socio-economical. It needs a coordinated
management of all natural resources inside the same
territory that can be a watershed. The management at
a watershed level shows the relation between water
and soils on geographical sometimes international
dimensions (Mostert et al. 1999). It requires varied
knowledge of water resources like its uses, quantity
and quality and the characteristics of the ecosystems
within coexist human activities and natural phenom-
ena. The management of water resources permits also
the decentralization, the dialogue between the users,
the knowledge of the local use territory and its envi-
ronmental impact on water quality. Finally, it allows
to a global and integrated vision of the territory.
The integrated management water resources by
watershed use various multidisciplinary data that need
to be organized in an appropriate system to guarantee
their management effectiveness. The continuous devel-
opment of modern tools of decision making and man-
agement such as the geographical information systems
(GIS) are fundamental and well adapted to the inte-
grated management of water resources since they
consist to:
• Take into account multiple data;
• Highlight connections between the various data;
170
• Determine the consequences of the various opera-
tions of management.
These tools are powerful because they can treat a
great set of multi-source data. Their usage is preferred
compared to the traditional techniques principally with
the data handling (Mendas et al. 2003). Actually, vari-
ous and great quantities of data can be stored in one
machine that could not gather the traditional cartogra-
phy. The advantage so that any usable information can
be digitized and by the way understood by the machine.
The water resources management at watershed level
requires the availability of data on climate, agglomera-
tions, soils, altimetry, etc…
Before GIS period the user spend several days for
example just for grouping data, while using GIS he
can do it in a few hours. So the gain of time can be
significant. Various operations of spatial analysis can
be made thanks to GIS power considering the spatial
distribution of geographical entities for a decision
making constitution or for the management of these
entities.
Finally, the spatial analysis considerable power of
the GIS permits to better discern the spatial charac-
teristics of ground phenomena and their interrelation-
ship in space.
3 MATERIAL AND METHODS
3.1 Area of investigation
Algerian territory is formed of five natural hydro-
graphical units corresponding to hydraulic planning
areas that are: Constantinois Seybouse Mellegue,
Algerois Soummam Hodna, Cheliff Zahrez, Oranie-
Chott-Chergui and the Sahara.
The watershed of Macta is a part of the Hydro-
graphical Region “Oranie-Chott-Chergui” which is
subdivided in two great sets: “Oranie” and “Chott-
Chergui” containing four watersheds: Coastal Oranais,
Macta, Tafna and Chott-Chergui. The watershed of
Macta is located in the North-West of Algeria and it
is managed by the “Oranie-Chott-Chergui watershed
Agency”. It covers an area of 14389 km2 approxi-
mately and it’s bordered by the following watersheds as
follow: from north by “Coastal Oranais” with a surface
of 5831 km2, from east by “Cheliff ” 44131 km2, from
south by “Chott-Chergui” 49704 km2 and from west by
“Tafna” 7245 km2 (Fig. 1).
The large watershed of Macta is subdivided into
sixteen (16) sub basins (Fig. 2) which are: “Down
Mekerra”, “middle Mekerra”, “Mekerra Sarno”,
“Mebtouh”, “Louza”, “Melrir”, “Mezoua”, “Sefioun”,
“Belbort”, “Hounet”, “Saida”, “Taria”, “Sahouet”,
“Fekane”, “El Hammam” and “Maritime Mocta”.
Each one is represented by one or more meteorologi-
cal stations.

Figure 1. Situation of the study area.
Figure 2. Delimitation of the watershed of Macta and its
hydrographical network.
3.2 Data sets
In our case and for understanding better a watershed,
it was necessary to look for relevant information
about the management of existing water resources.
The inventory concerned a description of the phys-
ical, social and environmental characteristics of the
territory in question. First of all, the delimitation of
the geographical area that constitutes the watershed
was done in order to be sure that the gathered data
cover the entire investigated territory. After that, a
collection of data existing at various places of the
watershed has been made.
We note that some existing data were not listed
at the watershed scale but rather in another sector.
Others were missing for numbers of localities in the
watershed and others were obtained from different
sources.
171
An effective and integrated management of
water resources uses physiographic, hydrologic and
hydro-meteorological data (OMM/UNESCO 1997).
Inventoried information concerns the following prin-
cipal elements:
• Geographical area of the watershed: localization,
surface, climate, geology, topography, soils, hydro-
geology, hydrographical network, landscape (dis-
tribution of the forests, cities, arable lands, etc.),
administrative limits, etc.
• Population: distribution, density, socio-economic
characteristics, access to water, etc.
• Hydrological mode: precipitation, evapotranspira-
tion, streaming, percolation, etc.
• Land use: forestry, agriculture, industry, transport,
tourism, etc.
• Water resources: quality of surface and under-
ground water.
• Others.
The sources of existing data on the watershed are
varied. They can be topographical maps, thematic maps,
specific studies and reports, management plans, aerial
photographs, satellite images etc. The collected data
at the watershed level must be integrated in a geograph-
ical information system in order to store and to update
the existing data or to complete the missing data. The
information management system should be adapted
at the organisational level where will be made the col-
lection and analysis of data. Data must be controlled
sequentially to provide reliable information for the
decision maker. Hence, data-processing technology is
required. For this purpose, the databases and the GIS
are very powerful tools. Their use facilitates the per-
spectives to an efficient resolution for the problems at
watershed scale and permits to harmonize the data too.
3.3 Integration of the information
Before any GIS use, it is important to assembly the
needed information which is dispersed in the national
and regional administrations. For this purpose, ana-
lytical tools are available at the operational level.
Fortunately, results of various and important stud-
ies are recorded in databanks for the majority of the
watersheds. The problem consists in how to make this
information accessible to the interested users.
Many technological tools are developed for the
integration of information in a management context.
During the last years, GIS technologies knew a sig-
nificant and very important development. These are
powerful computer tools that represent and analyze
various phenomena with the condition of providing
for each data a geographical reference (Goodchild
et al. 1996). It is then possible to treat cartographic
data and descriptive data as well.
 The GIS permits to realize crossings between vari-
ous information layers and to produce new data.
But the problem to solve is the choice of the method-
ological approach for the information integration man-
agement. Indeed, for an integrated management by
watershed it is important to approach the existing rela-
tions between environmental, economical and social
information.
3.4 Database conception
The reality modelling constitutes the first step of the
GIS realization. In this situation, it should be envis-
aged how the various entities will be separated into
layers? By which type of graphical elements they will
be represented? How they will be connected between
themselves?
The database of the GIS must allow to:
• Connect the different information modeled on the
watershed,
• Facilitate the update of information relating to the
water resource and its uses,
• Integrate complementary data (hydraulic model,
weather, etc…),
• Help for the decision-making and management of
water resource at the watershed level.
For our case, the database creation remains interest-
ing for several reasons:
• Reorganisation of data in a single and structured
file because the hydrological data spreading at the
watershed level constitutes the major obstacle for
the research,
• Multiple possibilities of update,
• Facility of data integration. This can be realized by
different requests and operations using ACCESS
software and the GIS layers.
Figure 3. Construction of database.
172
Generally, we can distinguish two types of data:
• Purely spatial data issued from or stocked in the
GIS database.
• Purely temporal data (flows, rainfall statements etc…
The recognition of data by the GIS will be inevitably
limited. Indeed, only those having a geographical ref-
erence could be represented with their characteristics
as attributes. Therefore, it is easy to connect temporal
data to spatial data by making relations between
ACCESS database and GIS tables. This subject led to
have a reflection to the development of the conceptual,
logical and physical models of data (CDM, LDM and
PDM). The CDM is constituted of entities, associated
data (attributes) and relations between the entities
(Rigaux 2003).
The principal entities engaged for the realization of
our CMD include the following data: agglomerations,
routes, land cover, altimetry, rainfall, temperatures,
wind, air humidity, weather stations, soils, water points
(wells, drillings, sources), underground water, canals,
dam, hydrographical network and water points (lake,
sebkha, daïa).
The LDM depends of the DBMS integrated in the
GIS. In this work, we are interested to the relational
model. The passage from the conceptual model to the
relational model requires a transformation of the enti-
ties and associations. The PDM represents the con-
tents of the conceptual model and permits to describe
the data as they are stored (Rigaux 2003).
For the realization of this work we used ACCESS
2000 software in order to generate the PDM. This is a
relational database management system (RDBMS)
that manages all information of the database (by
structuring and organizing them by connections) in a
same single file called “Project”. All the data relating
to the entities identified at the CDM are structured
and introduced into ACCESS database. This helps to
do several types of requests like additions, suppres-
sion or creation of tables and cross analysis as well.
4 RESULTS AND DISCUSSION
The digitalisation of the basic layers of GIS consti-
tutes the first work of the database creation. Other
layers offering new prospects for spatial analysis can
be generated from the basic layers using algorithms of
GIS software. For better helping the manager in his
decision-makings, we supposes a reliable connection
between used software. However, it is important to
evaluate the connection between the selected RDBMS
and GIS.
The automatic controls of fast and easy transfer of
data between software are to be defined before the
general interface GIS-RDBMS design. The software
used for the exploration of GIS analysis functions 4.2 Other complementary information
is ArcView 3.2 of ESRI (Environmental Systems
The study of a watershed needs to have a vision about
Research Institute).
the nature of the morphology and hydrology describ-
The GIS in our study has for principal goal to
ing this one. For the purpose topographical maps
replace the relevant and useful geographical entities
remains useful. It is however possible to extract many
within a watershed to support the decision idea of the
other practical for the GIS complementary informa-
water resources managers and users. Here, several
tion from these maps. While we disposed topographi-
types of layers can be digitized. Some called basic lay-
cal maps at various scales: 1/200 000 and 1/500 000.
ers are used to locate and put in perspective geograph-
They were scanned in order to get all needed for the
ical information according to their local toponymy.
project information in digital form (Fig. 6). Once ready,
The thematic layers are based on those basic layers
many useful layers were extracted by digitalizing them
and other additional information that can result from
calculations.

4.1 Land cover map

The watershed of Macta is covered by three Landsat
scenes. However, three ETM satellite images
acquired in 2002 have been used for the establishment
of the land cover map of the investigated area. The
first step consists to assembly all images in one sim-
ple mosaic that represent the integrity of the water-
shed and then to locate and delimit the watershed
on the resulting image (Fig. 5). We note that images
and the watershed boundary are represented by one
geo-referential system.
The established land cover map required the use of
diverse approaches based essentially on the NDVI
(Normalized Difference Vegetation Index) classifica-
tion and ground truth (Fig. 5).
This map will be integrated with other data in a
GIS for the investigation of the watershed.

Figure 5. Land cover (2002) of Macta.

Figure 4. The Macta basin on ETM, 2002 colour com-

posite image. Figure 6. Limits of the watershed of Macta.

173
Figure 7. Basis layers.
directly from the digital topographical maps. The fol-
lowing displayed layers needed for the CDM are:
• watershed borders,
• hydrometrical stations position,
• rainfall stations,
• hydrographical network distribution,
• other water points (lakes, sebkhas),
• agglomerations and buildings,
• roads network,
• altimetry and geomorphology (relief),
• water points and sources (drillings, wells, sources…)
editor between text on same line.
All disposed layers were transformed into one same
geo-referenced format in order to facilitate their inte-
gration to the GIS. For each digitalized geo-referenced
layer was associated or created a database which con-
tains descriptive information. The figure 7 shows an
example of the extracted from topographical maps
layers as well as other related to the watershed layers
displayed using ArcView software.
For the eventual hydrological applications at the
watershed scale, it is important to dispose altimetry
data because many other variables such as the surface
flows, the type of cultures, management and planning
depends of terrain topography. However, it is neces-
sary to have a representation of the relief of the region.
4.3 DTM and the representation of relief
A digital representation of the relief is possible
through digital terrain model (DTM). For this project,
a DTM was generated from the digital topographical
map (Fig. 8). As a rule for a watershed studies, the
derived products such as slope, aspect, hill shading,
altitudes are of an importance. Much information
can be disengaged from these products that can be a
174
Figure 8. DTM by 3D analyst.
dominating factor in the planning studies of the water-
shed. Furthermore, a DTM permits to generate a
3D representation of the relief on the region.
4.4 ACCESS-ArcView data links
ArcView permits to import tables or requests from
Access database using an SQL link by selecting the
wished tables or requests and applying a filter SQL.
The resulting table is posted then in ArcView project
reserved for this purpose (Tables) in dbf format.
Certainly, this table does not contain the ArcView
“shape” file with the same name (corresponding to
the topic). It is essential then to joint this table to the
topic attribute table comprising the entities “shape”.
Three types of links between external data and
entities “shape” are possible in ArcView (Lebreton
1999):
• joint an external table to the attribute table of a topic,
• connection of an external table to the attribute table
of a topic,
• dynamic or multi-media links.
It is impossible to modify the data joined to the
table since ArcView. If the connection SQL is main-
tained between ArcView and ACCESS software, the
dependent fields will be automatically actualized
while opening ArcView project in case of changes in
the original Access table (ESRI 1996). Figure 9 illus-
trates an example of link between ArcView and
ACCESS for the table “Agglomeration”.

Figure 9. Joint of ArcView table and Access table.
Figure 10. Link between an ArcView table and an Access
table.
Once the link between the two tables is established,
the selection of a record in the target table involves an
automatic selection of the records associated in the
source table. The example of figure 10 illustrates a
connection between the ArcView table of the topic
“Rainfall Station” and the corresponding Access
table containing the rainfall data.
After specifying the desired type of link for the
topic properties, it is then possible to define the action
of the dynamic link; choice of a script (example: Link.
ImageFile). A field in the attribute table must be created
to specify the access path of the dependent file for each
object.
For each entity represented in the destination table,
ArcView try to find if the entity presents an existing
spatial relationship to any other entity represented in
the source table. If so, the record of this entity is
joined to the destination table. When the spatial link
is based on the “closer” relation, for example,
ArcView adds a field “Distance” to the destination
table. This field is calculated automatically and it
175
contains the distance until the nearest entity repre-
sented in the source table for each entity represented
in the destination table (ESRI 1996).
In the end of this project, it was presented some
examples among the diversity of applications that can
permit the combination of a GIS (ArcView) with a
DBMS (ACCESS). Indeed, many other solutions are
offered when data are available with tools of investiga-
tion control in addition to the problems comprehension.
5 CONCLUSION
The principles defined by the international community
to manage water resources can be efficiently applied
only if we integrate all available data on the investi-
gated zone with the dialogue of all concerned users.
Consequently, the water resources management must
be ensured in an integrated way on a natural unit scale
that is the watershed. Relevant databases integrated
with a GIS are proven a good solution to guarantee a
rational management and to help the decision-making
in the water resources domain. Thus, analyses that con-
sumed much time can become fast and impossible
evaluations can become reliable.
In fact that a great data set must be manipulated,
the GIS “ArcView” is connected to the relational data-
base management system “Microsoft ACCESS”.
The basic cartography integrates space dimensions;
on the other hand relational database privileges a tem-
poral approach of data sets and information relating
to the water resources.
However, we can plan simulations in order to judge
consequences that could have this or that type of deci-
sion on the water resources.
These tools permit the use of available geographi-
cal information and to produce new information such
as the creation of the DTM and its derived products.
The creation of the agencies and the committees of
basins have certainly a great importance for better
managing water resources at the watershed level, but
it is indispensable as well that all the necessary tools
and materials will be reachable. Finally, we hope that
water resources decision makers improve their objec-
tives of management according to the real practices of
water users and adapt them with the technological
developments.
REFERENCES
Burton, J. 2001. La gestion intégrée des ressources en eau
par Bassin. Manuel de formation, Institut de l’énergie et
de l’environnement de la francophonie, IEPF.
ESRI. 1996. ArcView GIS, The Geographic Information
System for Everyone, GIS by ESRI, Using ArcView.
Environmental Systems Research Institute, Inc.; 349 p.
Goodchild, M. F., Kemp, K. K. & Theriault, M. & Roche, Y.
1996. Systèmes d’information géographique, Notes de
cours Volume 1, Notions de base. LATIG, Département
de géographie, Université Laval, Québec.
Lebreton, L. 1999. Un SIRS comme outil d’aide a la gestion
intégrée de l’eau en Tunisie centrale. Projet de fin d’étude,
ENSAT, France.
Mendas, A., Talbi, O. & Trache, M. A. 2003. Contribution des
systèmes d’information géographique à la planification
de l’irrigation – application au périmètre de Zriga (Ouest
Algérien). Sécheresse n°2, vol. 14, juin 2003.
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Mostert, E. 1999. Proceeding de l’atelier international sur la
gestion des basins fluviaux. La Haye.
OMM/UNESCO. 1997. Evaluation des resources en eau.
Manuel pour un examen des capacités nationales, SC-
98/ws/1.
Rigaux, F. 2003. Cours de base de données.
TAC. (Comité Technique Consultatif). 2000. La gestion inté-
grée des resources en eau. Novum Grafiska AB,
GWP/SIDE.
 ts
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Flood protection by large dams and flood polders. Chances and limits

T. Strobl, F. Zunic, M. Fischer & M. Schindler

Technische Universität München, Germany

ABSTRACT: This paper is focusing on the importance of flood protection by large dams and flood polders.
The coherence of the total surface of the catchment area and the required available volume of reservoirs will be
explained. Also it will be shown, how additional reservoir space can be made available by pre-releasing water
from power plant reservoirs. By three examples, Sylvenstein reservoir at the river Isar (flood protection reservoir),
Forggensee reservoir at the river Lech (power plant reservoir) and the flood polder of Feldolling, the successful
operation during floods will be explained and discussed.

1 INTRODUCTION

Severe floods in May 1999, August 2002 and August

2005 inundated large areas in the German state of
Bavaria and caused extensive damages at cities, infra-
structure facilities and farmlands. The damages were
estimated at €500 million. In the opinion of climate
experts, extreme floods in Bavaria will increase dur-
ing the next decades. For this reason, the Bavarian Water
Resources Agency decided to rise the design flood for
new built weirs by 15%.
But in Bavaria not only heavy rainfalls lead to
extreme floods. Often warm weather conditions in win-
ter or early spring cause considerable snowmelt in the
higher reaches of the Alps. In combination with con-
tinuous rainfall this also can lead to devastating floods.
For instance in May 1999 the maximum precipitation
in several regions of the mountainous regions of the
northern Alps reached some 200 mm of precipitation
within 24 hours (Fig. 1).
To come up against floods, the Bavarian govern-
ment has developed a strategy which includes three
approaches: (1) “Technical Flood Protection”. Primarily
this means flood protection by flood retention basins.
Typically these basins are provided by minor dams
with a storage capacity of several million cubic meters
up to large dams with a retention of 50 to 100 million
cubic meters as with the Sylvenstein reservoir, for
instance. A second strategy within this category is the
use of basins which are built for electric power gener-
ation. An outstanding example is the Forggensee reser-
voir at the river Lech which avoided a catastrophe near
the city of Augsburg, where a new highway bridge was
under construction during the flood event of August
2005. Also in this category the government puts all the
Figure 1. 24-hour-precipitation during the flood of May
1999.
efforts of the enhancement of the dike-system in
Bavaria, which consists of some 1,200 km. (2) “Pre-
ventive measures in lowlands”. This second strategy
of flood protection includes for example the building
of flood polders. Section 5 of this article deals with
this approach in detail. (3) The third approach is sub-
sumed under the idea of “Flood protection by infra-
structural measures” and means all the remaining
efforts like avoiding new buildings in flood plains,
upgrading of the gauging system for precipitation and
discharge and also the improvement of weather predic-
tion and flood forecasting models.
This paper will concentrate on flood protection by
large dams and flood polders with major retention
potential and tries to point out the chances and limits
of these flood protection measurements. Also it will
discuss the constraints under which these facilities
will work sufficiently.

177
2 FLOOD PROTECTION BY LARGE DAMS
Since 1959 the Sylvenstein dam is responsible for the
flood protection of several Bavarian cities downstream
of the river Isar, mainly Bad Tölz and the Bavarian
capital city of Munich (comp. Fig. 1). As an example,
Fig. 2 shows the peak discharges in Munich since
1912. Damages in the city of Munich occurred, when
the discharge exceeded 900 m3/s. By successfully oper-
ating the retention reservoir this critical discharge,
was only exceeded once, during the extreme flood of
August 2005, but causing no severe damages. Figure 2
also shows, which discharge would have been passing
Munich without the existence of Sylvenstein dam.
Without a reservoir the flood in May 1999 would have
been about 1,500 m3/s instead of 800. In August 2005
more than 1,800 m3/s would have inundated large
parts of the Bavarian capital. The real discharge thanks
to a successful operation of the reservoir was about
1,000 m3/s.
The Sylvenstein dam is a multipurpose reservoir.
The main task is flood protection, but it also serves as
a storage to keep water in case of low discharges down-
stream. When discharge in the river bed downstream
of the dam falls below 20 m3/s, the reservoir can add
to the flow, so that quality problems would not occur.
As a third but minor task, some electric power is pro-
duced. The cross section in Fig. 3 gives an overview
of the reservoir parts to meet the multipurpose func-
tion of the reservoir.
Figure 2. High waters at the Isar River at Munich.
Figure 3. Reservoir levels and volumes.
178
Until 1998 the Sylvenstein dam consisted of three
major outlet devices, a spillway (200 m3/s), a bottom
outlet (390 m3/s) and a penstock (245 m3/s) to handle
floods entering the basin (Fig. 4). So the total possible
discharge in case all of the outlet facilities were open
was about 835 m3/s. A vetting in the 1990th showed,
that the demands by the German DIN standard could
not be fulfilled. This norm requires that the design
flood has to pass the dam at maximum water level
even when the most effective outlet is not available
e.g. when it is in repair. In Germany the design flood
at that time was defined as a 1,000-year-flood. At the
Sylvenstein reservoir this corresponded to the avail-
able maximum discharge of about 850 m3/s. In case of
reparation of the bottom outlet, which was able to pass
390 m3/s, the total remaining discharge was only
445 m3/s. Therefore the Bavarian government decided
to build a second spillway to enlarge the total capac-
ity of the outlets from 835 to another 400 m3/s
(new spillway in Fig. 4). With the new spillway the
(n-1)-rule of the DIN standard could be fulfilled.
In a second step the flood protection of Bad Tölz
and Munich was scrutinized according to updated
hydrological data. The result of the investigation was,
that the city of Bad Tölz had only a flood protection
up to a high water with a recurrence interval of about
50. As the German DIN standard generally calls for
a protection of a hundred year flood in case of cities, the
dam has to be raised by three meters (Fig. 5). Through
Figure 4. Spillways and outlets at Sylvenstein dam.
Figure 5. Detail of old and new dam crest.
the heightening, the total storage capacity could be
increased from 104 to 124 million cubic meters. Con-
struction work began in 1997 and ended 2000.
2.1 Extreme flood of May 1999
Shortly after the new spillway was installed, an
extreme flood with a recurrence interval of 120 years
hit the reservoir in May 1999. The operation of the
reservoir led to a reduction of the discharge in the tail-
water of the dam. The outlet released about 360 m3/s
downstream. In Bad Tölz, some 20 km downstream of
the dam, the discharge was at tolerable 440 m3/s instead
of 1,230 m3/s expected without retention. The critical
flow in the city is 450 m3/s, including however one
major tributary. The comparison of inflow and out-
flow at the reservoir is shown in Fig. 6. In Munich the
result of the operation was a discharge of 800 m3/s
which would have reached 1,550 m3/s without the dam.
The new spillway which was in activated the first
time worked without problems. The maximum discharge
through the spillway during the flood was 250 m3/s.
2.2 Extreme flood of August 2005
In August 2005 another major flood occurred in the
upper Isar valley. This time the flood in Munich was
estimated at 1,800 m3/s. Again the protection of the
Sylvenstein reservoir led to a massive reduction of
the peak discharge. In Munich the maximum flow was
1,000 m3/s. The situation at the reservoir is shown in
Fig. 7.
Figure 6. Operation during flood in May 1999.
Figure 7. Operation during flood in August 2005.
179
It is worth mentioning that in 1999 the outflow
from the reservoir was about 360 m3/s compared with
350 m3/s in 2005. Nevertheless the peak discharge in
2005 was almost 650 m3/s in Bad Tölz, compared
with only 450 m3/s in 1999. The reason for this lies in
the extreme inflow of the small Jachen River down-
stream of the dam but upstream of Bad Tölz. This
clearly shows the necessity of knowing the expected
inflow from the catchment area between a flood reten-
tion reservoir and the protected area.
2.3 Importance of good weather forecast and
accurate prediction of precipitation
During the flood in August 2005 the important role of
a good weather forecast and an accurate prediction
of future precipitation was apparent. The prediction of
the precipitation for the coming twelve hours is cru-
cial for an successful or even optimal operation of the
reservoir. Figure 8 shows the expected precipitation
as it was given for August 23, 3 am. Two days before,
on August 21, 7 pm the predicted rainfall was 84 mm,
the next morning 8 am it was expected only 30 mm,
then in the evening the same day the prediction rose to
an extreme 110 mm and then again fell back to 63 mm
on August 23, 1 am. This clearly shows, that operation
staff is kept rather insecure about what to decide next,
because they have to take actions according to the
predicted rainfall which is an important input to the
numerical modeling of the expected discharges into
the reservoir.
This also makes it very clear, that improving the
methods of weather and rainfall forecast is one of
the major tasks in water resources management, if one
wants to improve reservoir operation significantly.
Figure 8. Strongly varying prediction of precipitation at
3 am on August 23 for a partial catchment area upstream of
Sylvenstein reservoir.

Figure 9. Part of the new radial gate is lifted into weir field.
3 FLOOD PROTECTION AT HYDRO POWER
RESERVOIRS
In a second example, the importance of pre-releasing
water from hydro power reservoirs will be shown.
On the Bavarian river Lech (see Fig. 1), which in
hydrologic aspects is rather similar to the Isar, some
20 hydro power plants have been built during the last
five decades. A total of 258 megawatts of power is
installed in the power houses and the generators pro-
duce 1,162 GWh of electric power each year. The largest
power station is at the scenic Forggensee reservoir,
which is an artificial lake dammed up by an embank-
ment dam near Roßhaupten.
The E.ON power company operates the Forggensee
reservoir according to its need for electricity. Only in
case of expected major floods, the water administra-
tion of Bavaria has a claim to enforce a pre-releasing
of water from the reservoir, thus creating additional
volume for the retention of coming floods. If the pre-
dicted flood is smaller than expected, the lost power
production has to be compensated financially by the
Bavarian Water Resources Agency, of course.
The good performance of this deal between the
governmental administration and the power company
has proved once again during this 300-year-flood in
August 2005.
3.1 Pre-release of water during August 2005 flood
In 2005 a new intake structure of the existing spillway
was completed at the Forggensee reservoir (see Fig. 9
and Fig. 10). The reason for this reconstruction was
an intended faster and deeper lowering of the water
level of the storage lake. Now about 15 million cubic
meters of water can be released downstream with each
meter of water level decrease. In total the reservoir
can provide about 70 million cubic meters of additional
storage capacity, when floods enter the reservoir.
180
Figure 10. Layout of Roßhaupten dam at Forggensee
reservoir.
Figure 11. Inflow and outflow at the Forggensee reservoir
during August 2005 flood.
During the flood in August 2005 the water level
was lowered more than 100 m and by this, water was
pre-released downstream. This created an additional
retention volume of almost 20 million cubic meters.
The effect of this action can be seen in Fig. 11. The
inflow of about 1,250 m3/s could be reduced to harm-
less 850 m3/s in the tailwater of the reservoir (Fig.
11). In case even more inflow enters the reservoir the
water level can be lowered to a level of 775.50 m.a.s.l.,
that means by 5.50 meters.
4 NECESSARY RETENTION VOLUME IN
LARGE RESERVOIRS
In Bavaria it has been accepted, that the benefits of
flood protection by large dams are an appropriate way
to avoid damages by flooding. As a rule of thumb for
Bavaria the authors recommend a specific volume of
50,000 cubic meters per square kilometer of the river
basin as a reasonable storage capacity to cope with
floods satisfactorily. For a catchment area of 1,000
square kilometers this would require a storage volume
of 50 million cubic meters. Many flood retention reser-
voirs in Bavaria meet this requirement and so help to

Figure 12. Retention volume in Bavaria.
avoid major inundations of valuable properties, com-
mercial and industrial facilities and farmlands.
To face the future demand for flood protection, the
Bavarian government recently launched a flood pro-
tection program and decided to invest €2.3 billion
within 20 years. Part of the money will be put into the
building of flood retention basins. Figure 12 shows
the growth of flood storage since the building of the
Sylvenstein reservoir. By now almost 170 million cubic
meters of retention volume is installed. The newest
retention basins are the Drachensee reservoir (1) with
a storage capacity of four million cubic meters and
the Goldbergsee reservoir (2) with a retention volume
of about 2 million cubic meters.
5 NON-CONTROLLED AND CONTROLLED
RETENTION IN MIDDLE REACHES OF
RIVERS
Storage reservoirs can be very effective methods for
controlling floods in the upper reaches of rivers. In
the middle reaches, however, retention areas have been
drastically reduced due to the interference of human
activities. In order to compensate for this loss of stor-
age, the Bavarian Water Resources Agency supports
the reactivation of these areas. Within these activ-
ities the Institute of Hydraulic and Water Resources
Engineering of the Technische Universität München
is carrying out the research project “Forecast of the
flood situation at the Danube in Bavaria in considera-
tion of retention capabilities and optimized control
strategies” in cooperation with the Bavarian Water
Resources Agency.
The main purpose of the reactivation of retention
areas is to increase the flood protection. Ecological
aspects like, for example, reactivating alluvial forests
have minor priority, although it is as well a very impor-
tant side-effect.
The areas, which are planned to be reactivated
are rather small in comparison to the areas used for
181
Figure 13. Non-controlled and controlled retention.
agriculture, urbanization etc. Thus the method how the
retention areas are used for flood protection becomes
more significant.
In the accompanying illustration (Fig. 13) the
effect of two retention areas is shown, first as an non-
controlled retention area, second as a controlled reten-
tion area (controlled flood polder, horizontal cut of
the peak flow) in case of being filled with the same
volume of flood water. The reduction of the peak flow
with the controlled flood polder is drastically higher
in comparison with the peak reduction of the non-
controlled retention area.
5.1 The non-controlled retention
Non-controlled retention areas are detention reser-
voirs that are flooded depending on the water level in
the river with all flood events surpassing a certain
order of magnitude. The water level depression starts
with the filling of the reservoir and ends if the storage
capacity of the reservoir is reached or if the water
level of the river drops under a limit value. If the water
level still rises with an extreme flood event after reach-
ing the storage capacity, a further water level depression
by flood retention is just seldom possible.
5.2 The controlled retention
Controlled retention areas (flood polders) are deten-
tion reservoirs that are flooded during extreme flood
events, especially in order to obtain a greatest possi-
ble water level depression in the water body. Such a
purposeful filling of the flood polder by means of
intake and outlet structures and adapted to the process
of the flood event, allows to cut off the flood peak. In
Figure 14 the principles of the adjustments and the
structures of a flood polder are shown.
In Figure 15 the filling of a flood polder during
2d-flood simulation is shown. In order to cut the peak of
the flood wave horizontally, the gates of the intake struc-
ture are controlled optimized to the certain flood wave.
The optimization is done by some pre-calculations
in order to define the objective function (maximum
discharge downstream the intake structure) by using
the available storage to full capacity.
5.3 Control of flood polders main river upstream the intake structure in comparison
to the hydraulic calculations.
The optimal control of a flood polder is achieved by
For the optimal control of flood polders a very faith-
cutting off the peak of the flood wave with reference
ful rainfall forecast and flood prediction system is
to the retention volume capacity horizontally and thus
needed, in order to have enough time for doing the opti-
reducing the downstream discharge. If there is a
mization calculations. Flood prediction systems are in
sequence of flood polders along the river it is more
our days mainly solved by hydrological or 1d-hydraulic
difficult to cope with the control task. The optimal con-
models. Thus non-controlled retention effects which
trol of a sequence of flood polders can just be done by
have mainly influence in the flood peak delay and the
controlling the flood polders supra-regionally.
shape of the flood wave often can not be simulated
The interaction between the optimization of the flood
very well. For this there should be used 2d-hydraulic
control and decision-making is illustrated on the next
calculations. In our times the main problems are the
image. It can be seen that at every time step (maybe
calculation times for using 2d-hydraulic models for
5 minutes) it has to be decided – for example – how
flood prediction.
the gates of the flood polder’s intake have to be posi-
Whether the maximum outflow to the flood polder
tioned (Fig. 16).
is very small in comparison to the discharge in the
After every time step the situation changes and the
river, the prediction of the flood wave at the flood
outflow from the river to the flood polder has to be
changed adaptively to the measured discharge in the

Figure 16. Control process during flood polder control

Figure 14. Structures of a flood polder. (ZUNIC, 1991).

Figure 15. 2d-simulation of filling process of a flood polder.

182
polder’s intake structure in the main river becomes are as well retention effects besides the controlled reten-
more important. The control task has to be done very tion. More the shape of the flood wave than the flood
exactly in order to use the flood polder to full capac- peak is influenced of this non-controlled retention
ity (restrictions: time, area). If the maximum outflow area (see Fig. 17).
to the flood polder is high in comparison to the dis- In Figure 17 the retention effect of the two optimized
charge in the river (e.g. maximum outflow is the half flood polders within the research project is shown for
of the discharge of the main river), it is much easier to a 200 year flood. The total volume saved in the flood
achieve good retention results. In that case, the pre- polders is 15.3 Mio m3. The reduction of the peak of
diction of the flood wave concerning peak-flow and the first flood polder is about 150 m3/s and of the sec-
shape of the flood wave becomes second-rate. The ond flood polder 90 m3/s. Total flood peak reduction
failure by controlling the flood polder’s intake struc- is in this case 7%  4%
11%.
ture would be very small compared with the effect of In Figure 18 the same process is displayed for a 20
the drastic reduction of the flood peak. year flood. Here the maximum reduction of the peak
is 130 m3/s and 100 m3/s respectively. Total flood peak
reduction is in this case 7%  6%
13%. The differ-
5.4 Examples ences in the maximum reduction of the peak in cases
of 200 year and 20 year flood depend on the shape and
Within the research project, different flood situations time length of the certain flood wave and the restric-
were calculated with the 2d-hydraulic model. In the tion of the flood polder’s volume capacity.
illustrations below, the simulation of the two optimized
controlled flood polders within the project area is
shown. The displayed flood waves are calculated respec- 6 CONCLUSION
tively before and after the intake structure of each flood
polder. The distance between the two flood polders Various calculations within the research project in
along the Danube River is about 50 km. Between the chapter 5 have shown that the non-controlled reten-
two flood polders there is a very big non-controlled tion is much less effective in reducing the flood peak
retention area (about 30 Mio m2 flooded) so that there than the controlled retention. Only in consideration of
delaying the flood peak, the non-controlled retention
200 year flood
3
(total volume stored 15.3 Mio m )
offered successful results. In times were the natural
240 retention areas are becoming less available, it is more
230
important to use the retention areas with most effec-
20
tiveness for flood control. For building the structures
discharge [m3/s]

210 upstreaminkFP1
20 FP1intakedowsrm
of a flood polder and designing its flood prediction
190
FP2intakeupsrm system, which is necessary for a successful control of
FP2intakedowsrm
180 the polder a cost-benefit analysis should be done before.
170 In flood prediction systems are often used hydrological
160
models linked with 1d-hydraulics. Thus flood polder
150
0 2 0 4 0 6 0 8 0 1 0 120 140 1 60 control can be just done effectively if there are no reten-
time [h] tion areas (which can influence the flood waves in shape
and peak) in the upstream river reach of the flood polder.
Figure 17. Optimized control of 2 flood polders at the If there are retention areas (non-controlled) upstream
Danube (2d-simulation, 200 year flood). the flood polder’s intake structure, the 2d-hydraulic
calculations should be used for predicting the flood
20yearflod
wave. The 2d-hydraulic calculation times are at pres-
3

20
(toalvumesrd15.3Mi ) ent often the restriction for using them as prediction
210 systems.
20 Regarding flood protection by large dams it has
190
upstreaminkFP1 been shown, that this is by far the most effective way
/s]
3

180

170
downstreamikFP1 to prevent floods, when it comes to high waters in the
ge[m

upstreaminkFP2
160 downstreamikFP2 range of a one hundred year flood or even higher.
150
dischar

140

130

120
0 2 0 4 0 6 0 8 0 10 120 140 160
time[h]

Figure 18. Optimized control of 2 flood polders at the

Danube (2d-simulation, 20 year flood).

183
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Expectations and reality about the role of dams for flood control –
experience of the extreme flood in August 2002 in Saxony

A. Schumann
Ruhr-University Bochum, Germany

H.-U. Sieber
State Dam Authority of Saxony, Germany

ABSTRACT: Flood control is one of the most important objectives of dams in many parts of the world. The
results of flood control become evident during and after a flood event directly. The options to affect a flood
depend strongly from the dimension of the event in relationship to the technical parameters and the operation
of a dam. The complex interactions between hydrological situation and technical structures are difficult to com-
municate to the public if the operation of a reservoir is criticized after a flood. To demonstrate these problems
the example of reservoirs in Saxony, Germany, is used. The existing physical limitations to cope with extreme
floods are demonstrated. It can be shown how the role of a reservoir depends on the location of the dams, the
specific flood event, the operation of dams and the flood endangered locations. With regards to the specific con-
ditions at each dam site, different approaches to improve flood control seem to be appropriated. The possible
measures cover a wide range of options, e.g. increase of flood storage capacity, adaptive and forecast-based
operations, a better understanding of the options and limitations for flood control by dams, new flood reservoirs
etc. Some of these options are discussed within this contribution.

1 INTRODUCTION – new water demands, e.g. for recreation, improvement

The most dams fulfil different requirements of the
society. Often several objectives have to be con-
sidered and ranked in their priorities. As the operation
of dams belongs to the questions of public interest any
modification of these priorities can result in conflicts
between different user groups. One main problem of
operation consists in the need to cope with uncertain-
ties. The most important uncertainty results from the
stochastic character of the hydrological conditions but
also from socio-economic developments which affect
the water demand as well as the boundary conditions
of water supply are uncertain aspects of reservoir
management planning. In Germany the conditions for
reservoir management were changed in the last
decades caused e.g. by (Schultz & Schumann, 2001):
– a general reduction of water demand due to decreas-
ing population, water recycling, more efficient
supply systems, reduced losses, water saving
industries etc.,
– a trend towards more efficient larger water supply
systems,
– changing perception of acceptable risk,
and rehabilitation of ecosystems
– raised water quality requirements, e.g. by the EU
Water Framework Directive
If the demand for water is changing, the weights of
the different multiple objectives of reservoir operation
could be shifted. However this is in many cases a
complicated process affecting the economic bases of
reservoir management. The shift from use to non-use
values demand complex discussions between the water
users and the administration responsible for the plan-
ning of reservoir operation. At a specific dam the
demand for changes in operation will often be articu-
lated if public perception becomes aware of a problem
caused by a surplus of water (flood) or a water deficit
(drought). As both phenomena have stochastic char-
acter it is difficult to explain that the control of the water
balance and runoff can not be ensured in such extreme
situations completely. If the function of a reservoir
seems to be unsatisfying for stakeholders reservoir
operations become a subject of political influence.
Hydrological extremes lead to public discussions and
a general demand for changed operation or even new
dams will be articulated.

185
 In the following the behaviour of several reservoirs
during an extreme flood in the year 2002 in Germany
is discussed to demonstrate the differences between
technical options of flood control and the public expect-
ations about the flood control function of reservoirs.
As a result of strong criticisms significant modifica-
tions of reservoir management were initiated. Under
consideration of multiple functions of reservoirs any
modifications of the operation could result in other
water problems which will be discussed also.
2 THE FLOOD IN AUGUST 2002
The decade from 1993 to 2002 was characterized by a
significant accumulation of flood events and damages
in Germany. The total amount of damages summed up
to 15 billion € (discounted for 2005). In August 2002
a extreme flood in East Germany caused a damage of
9.2 billion € damage. Damages of more than 6 Billion
€ were located in the federal state of Saxony. This fed-
eral state is represented by more than 30 dams and flood
control reservoirs with a total capacity of 397 Mio m3
within the ICOLD- Register of Dams. The storage
capacity dedicated to flood control is 57 hm3 . Most
of this capacity is located at headwaters of the Ore
Mountains. In the narrow valleys of this region the
flood in August 2002 was extremely harmful. In the
following a short description of the problems of flood
control during this event will be given.
The flood in 2002 was the largest event since the
beginning of regular hydrological observations in this
region. In the first 13 days of August a specific mete-
orological situation caused extreme rainfalls in large
parts of Austria, the Czech Republic, Slovakia and East
Germany. In Saxony advective precipitation was con-
nected with extreme intensive raincells. The main
period of precipitation, which caused the flood event,
was from 10th to 13th of August 2002. Due to the pre-
vious rainfall a high soil moisture content has been
accumulated which resulted in high runoff coefficients
during the following extreme precipitation. Compared
with flood statistical assessments from 1999 the flood
peak was in a range of a return period above 1.000
years, at some gauges also close to 10.000 years. During
this extraordinary flood event at some dams gauging
stations and spillways were damaged, but the dam
safety was not affected. The Tables 1 and 2 summa-
rize some aspects of the behaviour of 12 selected
reservoirs in the Ore Mountains in order to show the
hydrological loads and the performance of reservoirs.
Table 1 presents the effects on the flood volume,
Table 2 on the flood peak of these reservoirs. As it can
be seen from Table 1 the share of the flood volume
which was stored by dams varied between 13 and 67
percent. The reduction of the flood peaks was
between near zero (Klingenberg Dam) and 81 percent
(Mordgrundbach Dam). To explain these differences
some specific cases will be discussed.
The Eibenstock reservoir which is located in the
western part of the Ore Mountains has been used very
efficiently for flood control. The inflow and outflow
relationships are shown in Fig. 1. The normal flood
storage capacity of this reservoir which is mainly used
for freshwater supply was extended by an additional
free storage which is normally preserved for water
supply. The runoff over the spillway started nearly
simultaneously with the peak of the inflow (see Fig. 1).

Table 1. Hydrological characteristics of the extreme flood in 2002 at dam sites in the Ore Mountains in relationship to the
flood storage capacity.

Flood
storage Sum Runoff Maximum Relationship
capacity rainfall coefficient of stored between Relationship
Watershed as runoff in mm Sum (corresponding inflow flood storage between
Name of Area in height within inflow to 72 h volume capacity flood storage
Reservoir sq.km in mm 72 hours in mm rainfall) in mm and inflow and inflow

Eibenstock 199.8 28.9 214 84.1 0.393 46.3 0.35 0.55

Saidenbach 60.8 0.0 245 96.2 0.393 64.9 0 0.67
Lichtenberg 38.8 20.6 302 201.1 0.665 51.8 0.10 0.26
Lehnmühle 60.4 34.1 349 234.0 0.671 92.3 0.15 0.39
Klingenberg 89.4 21.9 338 193.5 0.572 40.4 0.11 0.21
Malter 104.6 21.8 331 235.9 0.713 30.2 0.09 0.13
Gottleuba 35.3 56.7 282 160.6 0.569 79.5 0.35 0.49
Reinhardtsgrimma 8.4 45.7 340 178.9 0.526 46.3 0.26 0.26
Buschbach 27.4 87.6 237 179.1 0.754 95.3 0.49 0.53
Liebstadt 11.5 94.3 319 198.6 0.623 92.2 0.47 0.46
Friedrichswalde 26.9 56.4 275 129.9 0.473 58.3 0.43 0.45
Mordgrundbach 12.9 89.1 268 143.8 0.536 83.1 0.62 0.58

186
The surcharge flood storage caused a flood peak reduc- and water energy production. Both uses demand a rela-
tion of 69 percent. In a total of 55 percent the flood tive high water level within the reservoir. Resulting from
volume could be stored to protect two cities located this utilizations the flood storage was with 2.28 Mio m3
downstream of the reservoir. The positive effects on (exclusive flood control storage) and 0.42 Mio m3
the flood were caused by favourable relationships
between the volume of the flood and the retention
capacity of the reservoir.
The relationships between flood volume and stor-
age capacity especially of old reservoirs in the eastern
part of the Ore Mountains caused more problems. As
it is shown in Tables 1 and 2. the dams Klingenberg
and Malter were not able to reduce the flood signifi-
cantly. This can be explained by relatively small flood
storage capacities which were below 10 percent of the
inflow volume. As it can be seen from the example of
the Malter Dam in Fig. 2 the flood storage was filled
very early during the rising limb of the inflow wave.
The two reservoirs had no significant effect on the
flood peak. Downstream of the Klingenberg Dam and
Malter Dam high damages were caused by this flood Figure 1. Inflow and outflow of the Dam Eibenstock during
event. As a result the public discussion of the oper- the flood event in 2002.
ation of both reservoirs started immediately. The crit-
icisms were related to two points: The flood storage
capacity of both reservoirs seemed to be too small
and it was doubted that the operation of the reservoirs
was appropriated to the situation. With regard to the
first point it should be considered that the Klingenberg
reservoir supplies the city of Dresden with freshwa-
ter. As the alternative bank infiltration system was
flooded by the Elbe River the reservoir was used after
the flood intensively for water supply. The normal
storage content of the reservoir at the beginning of the
flood event ensured that the section of water with a
good quality was not completely mixed with the inflow.
Thus the freshwater supply with a sufficient quality
could be ensured. The Malter Dam was completed in Figure 2. Inflow and outflow of the Dam Malter during the
1913. This reservoir is used nowadays for recreation flood event in 2002.

Table 2. Retention of flood waves during the extreme flood in 2002 at dam sites in the Ore Mountains.

Time shift
Reduction of the between
Watershed Peak inflow Peak outflow peak in percent inflow and
Name of reservoir in sq.km (m3/s) m3/s of the inflow outflow peaks

Eibenstock 199.8 180.8 55.4 69.4 11

Saidenbach 60.8 71.9 36.5 49.2 5
Lichtenberg 38.8 53.2 45.0 15.4 2
Lehnmühle 60.4 155.3 114.4 26.3 3
Klingenberg 89.4 170.0 167.7 1.4 1
Malter 104.6 228.1 222.0 2.7 0
Gottleuba 35.3 67.9 35.0 48.5 3
Reinhardtsgrimma 8.4 23.0 17.5 23.9 0
Buschbach 27.4 47.2 27.0 42.8 23
Liebstadt 11.5 36 20.3 43.6 11
Friedrichswalde 26.9 70.3 26.5 62.3 10
Mordgrundbach 12.9 25.1 4.7 81.2 (12)

187
(additional flood storage) smaller than the normal
operated storage content of the reservoir (5.9 Mio m3).
In order to demonstrate that the impact of a reservoir
on a flood depends not only from the total storage
capacity Fig. 3 shows the inflow and outflow of the
Gottleuba Dam. The first peak of the incoming flood
wave could be stored completely. A second peak
resulted in an increase of the water level which
exceeded the maximum controllable water surface
elevation. The uncontrollable discharge over the spill-
way reduced the flood retention efficiency.
It was demonstrated that the flood retention effi-
ciencies of the dams in the Ore Mountains differed
significantly. As a result of these differences the oper-
ation of some reservoirs were criticized. Here the
options of reservoirs to control extreme floods were
overestimated as the physical limitations of them
were not considered. Theoretical discussions about
not used options to influence the flood by reservoirs
resulted in a general demand for improvements of
flood control by reservoirs.
Figure 3. Inflow and outflow of the Dam Gottleuba during
the flood event in 2002.
3 INCREASE OF FLOOD CONTROL
STORAGE AFTER 2002
Under the impression of the flood event in 2002 the
flood storage capacities of several Saxon dams was
increased. As it was mentioned before most of the
reservoirs in this region are used for freshwater sup-
ply. Nearly 80 percent of the total population in the
Ore Mountain region receive water from reservoirs.
Until the political changes at the end of the 20th cen-
tury an absolute priority in reservoir management had
to be given to the freshwater supply. From 237 Mio m3
storage capacity of Saxon drinking water dams only
5.8 percent (13.7 Mio m3) were dedicated to flood
control. In the nineties the water demand decreased
substantially. Reduced industrial demand, a declining
number of inhabitants and more efficient water supply
systems reduced the freshwater demand in total by 47
percent since 1989. The resulting availability of storage
capacities which were not longer needed for freshwater
supply were used by the State Reservoir Administration
to increase the inactive storage capacity to ensure
improved fish and wildlife purposes and to reduce the
limnological constrains of water supply from reser-
voirs with an intensive agricultural use of the catch-
ments. The inactive flood storage was increased as well
as the ecological release from reservoirs. An increase of
flood control capacities was planned also. Here a step-
wise procedure of adaptation was foreseen to ensure
the economic efficiency of reservoir operation. In 2001
an increase of the flood control capacities was planned
with the begin of 2003. The flood 2002 accelerated
these activities and enhanced the increase of flood
control capacities. In Table 3 the changes of the flood
storage capacities are listed. The last column of Table 3
shows the relationship between the volume of the
flood 2002 at dam sites and the increased capacities
for flood control after 2003. These relationships were

Table 3. Increase of the flood storage capacities of reservoirs in Saxony after 2002.

Relationship Relation Relation

between sum sum
Exclusive Exclusive exclusive Exclusive Exclusive Flood inflow to inflow to
flood flood flood flood flood event 2003 exclusive exclusive
Area storage in storage in storages storage storage Sum flood flood
watershed 2002 in 2003 in 2003 to 2002 in 2003 in inflow in storage storage
Reservoir in km2 Mio m3 Mio m3 2002 mm mm mm 2002 2003

Eibenstock 199.8 5.78 10.01* 1.73 28.9 50.1 84.1 2.91 1.68
Saidenbach 60.8 0.00 1.08** – 0.0 17.8 96.2 – 5.41
Lichtenberg 38.8 0.80 3.00 3.75 20.6 77.3 201.1 9.76 2.60
Lehnmühle 60.4 2.06 7.00 3.40 34.1 115.9 234.0 6.86 2.02
Klingenberg 89.4 1.96 2.00 1.02 21.9 22.4 193.5 8.84 8.64
Malter 104.6 2.28 4.34 1.90 21.8 41.5 235.9 10.82 5.69
Gottleuba 35.3 2.00 3.00 1.50 56.7 85.0 160.6 2.83 1.89

* additional 5 Mio m3 are planned for 2006, ** additional 2.92 Mio m3 are planned for 2006.

188
significantly improved at some reservoirs. However
the effect of these reservoirs on extreme floods will
be limited also in future. The example of the Malter
reservoir can be used to demonstrate the remaining
technical constrains.
As shown in Table 3 the relationship between the
total inflow during the flood event and the flood con-
trol capacity was unfavourable at the most dam sites
for instance at the Malter Dam. The question raised
how the flood could had been influenced if the flood
control capacity would had been increased before the
event raised in 2002. To answer this question with an
example, different values of the exclusive flood con-
trol capacity at the Malter Dam were compared with
the flood volume in August 2002 at this site. To esti-
mate the demand for flood storage the integral of the
hydrograph above the threshold of controlled outflow
was used (Fig. 4). Of course such an idealized opera-
tion is not realistic. With regard to the mountainous
character of the watershed and very short time of
runoff formation nearly no flood forecast options
exist. However with the assumption of an ideal flood
Figure 4. Demand for flood storage at the Malter Dam
site during the flood event in 2002.
management (the volume of the inflow above a thresh-
old is stored completely) the relationship between the
flood storage capacity and the controlled outflow can
be shown (Table 4). In the middle of Table 4 the return
period of the controlled outflow is listed. In one column
the outflow is related to the statistics which was valid
before the flood in 2002 and in other one it is related
to the new statistical flood assessment including the
data of the flood of the year 2002.
As shown above the relationship between the total
inflow during the flood event and the flood control
capacity was unfavourable at the most dam sites for
instance at the Malter Dam. The question raised how
the flood could had been influenced if the flood con-
trol capacity would had been increased before the
event raised in 2002. To answer this question with an
example, different values of the exclusive flood control
capacity at the Malter Dam were compared with the
flood volume in August 2002 at this site. To estimate
the demand for flood storage the integral of the hydro-
graph above the threshold of controlled outflow was
used (Fig. 4). Of course such an idealized operation is
not realistic. With regard to the mountainous character
of the watershed and very short time of runoff forma-
tion nearly no flood forecast options exist. However
with the assumption of an ideal flood management
(the volume of the inflow above a threshold is stored
completely) the relationship between the flood stor-
age capacity and the controlled outflow can be shown
(Table 4). In the middle of Table 4 the return period of
the controlled outflow is listed. In one column the out-
flow is related to the statistics which was valid before
the flood in 2002 and in other one it is related to the
new statistical flood assessment including the data of
the flood of the year 2002.
It can be shown that with the flood control capacity
of 2002 the flood peak would have been reduced by
32 percent if the theoretical assumptions of an ideal

Table 4. Scenarios of flood control for the Malter Dam with different (assumed) controlled outflows.

Maximum Return Period of

controlled Return Period T the controlled
Maximum outflow in of the controlled outflow (based Demand for
controlled percent of the outflow (based on statistics Flood storage
outflow in inflow peak in on statistics including the capacity in
m3/s 2002 until 2002) year 2002) Mio m3 Remarks

62 28 200 34 10.4 Flood storage capacity higher than

reservoir capacity (9.62 Mio m3)
83 37 1,000 8.78 Flood storage capacity equivalent to
the reservoir capacity minus dead
capacity
120 54 1,0000 128 4.34 Exclusive flood control capacity
after 2002
152 68 200 2.28 Exclusive flood control capacity
before 2002

189
flood control could have been realistic. The reasons,
why this was not the case, are:
– The capacity of the outlet is actually less than 20
percent of the here assumed controlled outflow. The
maximum controllable water surface elevation
would in all cases be reached in the rising limb of
the incoming flood wave, starting the runoff over
the spillway and increase the outflow.
– The planning of a controlled outflow with a size
corresponding to a statistical flood return period of
more than 10,000 years would have been not
accepted until 2002 as such an outflow would cause
high flood damages downstream of the reservoir
– The shape and the peak of the flood wave was not
known in advance as no forecast was possible.
This example of the Malter reservoir demonstrates
the basic problem of flood management by reservoirs:
the relative effect of a reservoir depends strongly
from the size of the flood event. Small floods are
reduced more than large ones. Extreme floods of a
certain level can not be affected significantly. With
regard to the flood control planning the relationships
between the flood retention by a reservoir and runoff
from the watershed downstream of the dam should be
considered also. Dams located at the headwaters will
be more and more limited in their effects on flood
damages at locations further downstream if the catch-
ment area increases.
4 RESTRICTIONS FOR FLOOD CONTROL
AND CONCLUSIONS
The multiple use of reservoirs limits the options to shift
the different storage categories without disadvantages
for some uses. For dams which are used for freshwater
supply this is not only a question of water quantity.
(The dams in the Ore Mountains have to provide
water during hydrological drought conditions with a
safety of 99 percent.) A minimum storage content is
also needed to ensure water quality. Thus the volume
of a water body is a criteria in all models of eutrophica-
tion (e.g. Vollenweider & Kerekes, 1982). If nutrients
are not limiting factors, the change of the energy bal-
ance by lower water levels (the relative part of the water
body with sufficient energy from sun radiation for
algae blooms is increased and also the relative volume
of water with an higher temperature) could result in
accelerated growing processes of biomasses, oxygen
deficits and water quality problems.
Under consideration of these and other problems a
change of the priorities between multiple purposes of
reservoir management should be based on optimization
where the boundary conditions have to be considered.
Among them the technical facilities (esp. capacities
of outlets, spillways), the hydrological conditions and
190
the specific requests of other users (e.g. water quality)
seem to be most important. The integrative character
of this optimisation can be shown by the following
example: A release of water from a reservoir through
bottom outlets it would increase the flood storage
capacity but could result in water quality problems if
the stratification of the water body in summer would
be disturbed. These and other problems show that the
planning of flood storage capacities of reservoirs with
multiple uses demand detailed analyses of options and
constrains. In order to avoid the conflicts with respect
to multipurpose dams it should be preferred to built
dams for flood control purposes only, may be as
“green” flood reservoirs when ever possible.
The planning of flood control by reservoirs has
to be seen as an economical and political determined
process in which technical options, hydrological bound-
ary conditions and public risk awareness have to be con-
sidered. Planning of flood control measures have to be
founded on assessments of benefit-costs-ratios.
In order to estimate the options for flood control by
dams following information is needed:
– the flood risk in general and the hydrological con-
ditions in particular,
– the technical options to affect floods,
– the costs of measures to improve flood control if
possible,
– the effects of flood control on damages downstream,
– the options to forecast flood events and to adapt the
operational reservoir management to the specific
hydrological conditions of an ongoing flood.
Among the constrains of flood management the
multiple use of reservoirs has to be related with the
stochastic character of floods. It is very difficult to
ensure a flood control for rare and extreme events
only. In the absence of flood forecasts all floods have
to be controlled. Small floods will be affected more
than large floods. From this circumstances the paradox
of flood safety results:
Flood control reduces the harmful effects of rela-
tively small floods. The public awareness of flood risks
is reduced as such floods cause no damages. If an
extreme flood happens, which can not be controlled,
the flood damages and losses can be higher than with-
out flood protection, as people are now not familiar
with floods and the concentration of values in flood
endangered areas was increased. If the limits of flood
control are not considered sufficiently the public aware-
ness of flood risks will be affected negatively as flood
control options are overestimated. But there is also a
danger for an underestimation of these options which
could result in sub-optimal utilizations of existing con-
trol capacities.
Flood protection measures by means of dams should
be a substantial part of a complex of measures to reduce
flood risks. Under consideration of this complexity it
is not understandable, that the new “Proposal for a
Directive of the European Parliament on the assess-
ment and management of floods” specifies the demand
for flood risk management by a complex planning
approach but does not mention flood control by dams
explicitly. The general aim of such a directive, to assess
flood risk and to plan measures to reduce it, can not be
fulfilled without integration of dams as the most
important technical facilities to control floods into the
planning.
REFERENCES
EU, 2006. Proposal for a Directive of the European Parliament
on the assessment and management of floods http://
191
europa.eu.int/comm/environment/water/flood_risk/key_
docs.htm
Schultz, G.A., Schumann, A.H. 2001. Implementation of new
tasks for old dams: A non-trivial problem, Proceedings
Symposium S2 6th Scientific Assembly of the IAHS,
Maastricht, July 18–27
Vollenweider, R.A., Kerekes, J. 1982. Eutrophication of
waters. Monitoring, assessment and control. OECD
Cooperative programme on monitoring of inland waters
(Eutrophication control), Environment Directorate, OECD,
Paris. 154 p.
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Dams and floods in the Czech Republic

Jaromir Riha
The Institute of Water Structures, FCE, Brno University of Technology, Czech Republic

ABSTRACT: Several extreme floods have occurred over the last ten years in Central Europe. Two of them,
namely those that occurred in 1997 and 2002, originated in the Czech Republic. The material losses due to both
events reached a total of 4.5 billion EUR, and 77 lives were lost in the Czech Republic. Several other local
floods have occurred in recent years, namely those in 1998, 2000, 2002 and finally in 2005, which together
caused losses of several million Euros, and 16 casualties in total. The total cost of the damage to large and small
dams and their appurtenances has exceeded 200 million Euros in the last 10 years in the Czech Republic. The
extreme regional floods in 1997 and 2002 especially have caused critical situations to arise at many large dams
in the country and evoked remedial activities at most of them. The large and small dams in the Czech Republic
affected by floods and breached during the period from 1997 to 2005 are discussed in this paper. The most
important cases of dam damage occurring during the floods in the Czech Republic are detailed together with
some lessons learned from the events. On a more positive note, some dams significantly contributed to the
attenuation of flooding in the areas downstream from them, and reduced potential damage in the areas in
danger. The significant beneficial effects of the most important dams are mentioned as well.

1 INTRODUCTION represent a significant hazard for the area down-

stream of them.
In the last ten years, two extreme floods have occurred
in Central Europe with their centre in the Czech
Republic. The comparison of losses during both 2 THE EXTREME FLOOD IN 1997
events is shown in Table 1.
In the years 1998, 2000, 2002 and 2005 several dis- In July 1997 an extreme flood situation occurred in
astrous local floods occurred and caused losses greater the Moravian and Silesian parts of the Czech Republic,
than 200 million EUR, and 16 casualties in total. The with the flood wave extending further into Poland,
total cost of damage done to dams, appurtenances and Germany, Slovakia, Austria and Hungary. The flood
adjacent river reaches has probably reached half a proceeded in two waves in close sequence – from July
billion Euros in the last decade. 5th–11th and July 18th–24th, 60 human lives were
On the one hand, the effect of large dams during lost, and about 2.1 billion EUR in material damage
extreme regional floods is indisputable; on the other was caused by the extreme flood wave which in some
hand in some cases the dams when extremely loaded river reaches exceeded the 500-year flood recurrence
interval (Matejicek, 1998). The affected area consisted
mostly of two river catchments, namely of the Morava
Table 1. Comparison of losses during the extreme floods
of 1997 and 2002 in the Czech Republic. river, which enters the river Danube in Slovakia, and
the Odra river, which reaches the Baltic sea at the
Losses 1997 flood 2002 flood northern border between Poland and Germany.
15 dams of minor importance were affected in
Flooded urban areas [km2] 11ths 17ths the upper part of the Morava river basin. The total
Number of affected 558 986 flood control storage of the reservoirs mentioned is
municipalities 23.9 mil. m3 (Morava river basin, 1996) which is not
Number of affected 2855ths 3200ths significant when compared with the corresponding
inhabitants
first flood wave volume exceeding 250 mil.m3. The
Total losses [EUR] 2.1 billion 2.4 billion
Casualties 60 17 degree of flood attenuation provided by most of the
reservoirs was therefore minimal. In the upper parts

193

Figure 1. Vir dam during the flood.
Figure 2. Flood attenuation by the Vir reservoir (The
Morava River Basin Agency).
of the catchment area, the discharge did not exceed
the 100 year recurrence interval, which in all cases was
less than the flood discharge the emergency spillways
were designed to cope with. The one and only large
dam (see Figure 1) contributed essentially to the flood
peak transformation. The reservoir of the Vir dam was
more than 1/3 empty due to the installation of a new
penstock for the hydropower plant and water supply
main. This enabled the complete transformation of
the first flood wave at the Svratka river (see Figure 2)
and finally saved Brno – the capital of southern
Moravia – from flood damage. The flood peak dis-
charge of 167 m3/s was decreased to a reservoir out-
flow of 39 m3/s (less than the one year flood interval).
A more efficient role was played by the reservoir
system at the Odra river basin, where eight significant
reservoirs transformed peak flood discharges by 10%
to 33% (The flood in 1997). The most efficient was
the highest and most newly-built embankment dam in
the catchment – Slezska Harta. The reservoir was
194
Figure 3. Sance dam during the 1997 flood (The Odra
River Basin Agency).
undergoing the first filling procedure, which was
originally estimated to take longer than four years
under normal conditions. The resulting flood control
effect was considerable – the decrease of the peak
flood discharge of 192 m3/s to a harmless outflow of
12 m3/s. This fact fairly improved the flood routing at
the area downstream of the dam, which was thus pre-
vented from suffering fatal consequences. The other
dams affected the outflow mainly during the first flood
wave, which was efficiently attenuated by appropriate
manipulation. The reservoir pre-emptying and flood
routing was optimized with the use of an operational
flood management system, which was installed and
tested at the catchment a few years before the flood
event.
The most dangerous situation occurred at the 60 m
high rockfill dam Sance, where the peak discharge dur-
ing the second flood wave was only transformed from
260 m3/s to 230 m3/s. The peak flood discharges cor-
responding approximately to the former estimate of a
100 year flood (before 1969) caused submerged over-
fall at the side spillway and resulting non-symmetrical
flow along the chute. This was the reason for the over-
banking of the chute, and the development of a stream
outside of the chute’s right side wall (Figure 3). The
high velocities involved caused the extreme loading of
the stilling basin below the chute and damaged its
revetment, side walls and the lining of the river bed
downstream of the stilling basin.
Moreover, at the Sance dam the flood danger caused
by extreme rainfall can be combined with the hazard
of the landslide on the right bank of the reservoir at the
valley of the Recice stream (Figures 4 and 5). The total
earth volume of the landslide exceeds approximately
1 mil. m3. The landslide’s behavior is monitored during
rainy periods and shows displacements in the order of
centimeters. The flood wave caused by the landslide
was estimated to be 2 m high with duration of about
70 seconds.
Figure 4. The landslide at the Sance reservoir – layout.
Figure 5. The landslide at the Sance reservoir – front view
(The Odra River Basin Agency).
All the factors mentioned above have provoked
extensive study with the aim of increasing dam safety
during extreme flood scenarios.
3 THE EXTREME FLOOD IN 2002
In the Czech Republic the catastrophic flood which
took place from August 7th to 16th struck almost the
entire Vltava river basin, the lower part of the Labe
(Elbe) river and part of the western portion of the
Dyje river catchment. The flood proceeded in two
flood waves. The first wave was smaller in flood vol-
ume and peak flood discharges, while the runoff con-
ditions during the second flood wave were influenced
by the soil saturation in the catchment, and by the rel-
ative fullness of the dam reservoirs after the first
flood episode. The flood proceeded to the north and
into Germany with disastrous consequences in the Labe
river floodplain. As a direct consequence of the flood
17 people died, and the total flood losses were higher
than 2.4 billion EUR (Evaluation of the 2002 Flood
Event, 2002).
During the flood, the Vltava river was the most
exposed river. Eight principal dams of the Vltava river
cascade completely attenuated the first flood wave,
which locally reached the 500 year flood discharge
level. The transformed peak discharge at the city of
Prague did not exceed the 5 year flood level during
the first flood wave. Nevertheless, all reservoirs in the
catchment were completely full after the first flood
195
Figure 6. Orlik dam during the 2002 flood – water flowing
out of the ventilation shafts (The Vltava River Basin Agency).
wave, and this resulted in their poor attenuation of the
second wave.
The extreme precipitation from August 11th to 13th
in the entire south of Bohemia resulted in a much
greater second flood wave, which reached the 1000
year flood level in some river reaches. All the dams in
the catchment area were extremely loaded and at some
of them the check water level was exceeded. The great-
est damage was caused at the highest gravity dam in
the Czech Republic, Orlik (92 m), and at the smaller
Stechovice dam where hydropower plants were com-
pletely flooded and put out of operation. The flood rout-
ing through the dams was thus further complicated due
to the missing discharge capacity of the turbine sets
(about 600 m3/s at the Orlík dam).
The water level at the Orlik dam reached ventilation
openings in the upstream face and completely flooded
the openings, shafts and galleries inside the dam,
including the hydropower plant machine room. The
appurtenances inside the dam, namely the devices for
dam safety observation and measurement, were com-
pletely destroyed. During the flood, water outflowed
from the dam via the ventilation openings in the down-
stream side (see Figure 6). This hydropower plant, with
a power output of 364 MW, had to be completely
repaired. The duration of the repair was for more than
one and half years after the flood event. Additionally,
the ship lifts on the right bank were severely damaged.
Some other dams in the Vltava river basin were
significantly affected and comprehensive studies are
recently being prepared with the aim of improving
dam parameters and thus increasing their safety during
floods. As an example, the 47.5 m high rockfill dam
Rímov could be mentioned. Experimental research is
being focused on the increase of spillway capacity and
improvement of flow conditions at the chute.
Similarly as with the Vltava river basin, the south-
western part of the Morava river basin (the Dyje river
Figure 7. 2002 flood routing by the Vranov reservoir.
Figure 8. The damaged stepped spillway, and the repair of
the baffle piers.
sub-catchment) was affected. Two major dams had to
deal with floods with a recurrence interval slightly
exceeding 100 years. The reservoir of the concrete
gravity dam Vranov (1931) completely attenuated the
first flood wave, while the inflow discharge of the sec-
ond wave was reduced by only 60 m3/s (see Figure 7).
During the flood, the stepped and crest spillways and
stilling basin were partially damaged (see Figure 8),
which called for extensive remedial work. The repairs
were carried out during the period from 2003 to 2005
and consisted of the repair of curbs of the stepped
spillway, baffle piers in the stilling basin (Figure 8),
and the upstream and downstream concrete faces of
the dam.
The second dam affected during the 2002 flood in
the Morava river basin was the 17 m high embank-
ment dam Znojmo with concrete functional block asso-
ciating bottom outlets, a small hydropower plant and
gated spillways. During the second 2002 flood wave the
emergency spillway was completely blocked by floating
debris and heavy logs. This resulted in the clogging of
the spillway opening and almost in its congestion (see
Figure 9). The rising water level in the reservoir indi-
cated the danger that the embankment part of the dam
196
Figure 9. The Znojmo dam during the 2002 flood (The
Morava River Basin Agency).
Figure 10. Experimental research concerning the Znojmo
dam at the hydraulic laboratory of the institute of water
structures in Brno.
would be overtopped. As a preventive measure the dam
crest was supplemented by sandbags. Just after the
flood a study and experimental research (see Figure 10)
were carried out to harmonize the dam’s parameters
with safety requirements (Stara, Sulc, Spano 2005). It
resulted in the extensive reconstruction of the func-
tional block and stilling basin (Figure 11), which is cur-
rently (December 2005) nearing its completion. The
spillway inlet will be equipped with a log trap structure.
The total cost of the reconstruction work has exceeded
1 million EUR.
4 SMALL DAMS
With large dams, dangerous situations occur mostly
during extreme regional floods with huge flood vol-
umes caused by long-duration rainfall with a rela-
tively high intensity. Small dams with reservoirs of
limited capacity are also endangered by so-called flash
floods, which are of short duration and feature a rela-
tively small flood volume. It is true that small dams
represent a smaller potential danger for the area
 Figure 12. The breach openings at the 9 m high Metelsky
dam.
Figure 11. The Znojmo dam – remedial works in 10/2005.

Table 2. Basic information about small dams damaged

during floods.

Flood Number of small dams damaged/breached

A 18/4*
B
C Only minor and not significant damages
D
E 6/1
F 85/23

* Not complete due to poor evidence.

Figure 13. Metly village, damaged after the breach.

downstream of them, and therefore are equipped with

flood abatement appurtenances of lower capacity. In
the Czech Republic it is not an exception when the
spillway capacity of a small dam corresponds only to
a 20 to 50 year return period. This fact results in the
relatively frequent cases of small dams collapsing due
to overtopping. Another reason for dam failure is inter-
nal erosion originating very often at the interface
between the embankment body and the bottom outlet
or spillway side wall. In general, failures originate
from poor hydrological and geological basic data and
the limited knowledge available at the time of con-
struction (some small dams are more than 400 years
old), limited financial resources for construction and
maintenance, improper design, insufficient technical
surveillance and also local defects due to material
ageing (e.g. the wooden bottoms of outlets).
The following text shows examples of the most
significant small dam failures due to flood events in
the Czech Republic during the last decade. These
were as follows:
A – July 1997 – a regional flood in the Moravian part
of the Czech Republic,
B – July 1998 – a local flood on the Orlice river,
C – March 2000 – the upper Labe river catchment,
D – July 2001 – the Labe river catchment,
E – July 2002 – a flash flood in the Olesnice region,
F – August 2002 – a regional flood in the Bohemian
part of the Czech Republic.
Two flood events, namely the regional flood in
August 2002 and the flash flood in July 2002, are
described below in more detail.
For the small dams the most disastrous event was the
extreme regional flood in August 2002, where 23 small
embankment dams were breached and extensive mate-
rial damage was caused, and there was also one casualty
in the area affected by the flood wave occurring after the
dam failed (see Riha, 2004). A very serious situation
occurred in the Blatna region, where nine small dams
collapsed in two cascades after the breach of two upper
embankments, and four other dams were seriously
damaged but not completely breached. For example, the
peak breach discharge at the Lomnice river downstream
of the breached Metelsky dam (see Figure 12) was esti-
mated at 650 m3/s. The one hundred-year flood dis-
charge (hydrological flood) at this profile is about
27 m3/s. Several villages were completely inundated.
Fortunately, due to the successful evacuation of the
inhabitants, the damage in human terms was minimal.

197

Figure 14. The flood in the town of Olesnice.
The second episode was only of local importance.
A small amount of damage and a single dam breach
was caused by the flash flood in July 2002 in the
Olesnice district (Figure 14). The discharge concen-
tration considerably damaged 6 small dams in the
region, and one small dam was completely breached.
The flood enlarged by the dam failure resulted in two
lives being lost and extensive damage to residential
built-up areas, industry and local infrastructure (mainly
roads). The total cost of the material damage was more
than 3 million EUR.
5 CONCLUSIONS
All of the large dams generally withstood an extreme
level of load, even if they suffered partial damage,
which in some cases resulted in considerable financial
losses. Nevertheless, the damage and critical states
during the floods were the initial impulse for the fund-
ing of extensive remedial work at numerous dams. The
principal effect of these refurbishment activities has
been the improvement of dam safety in cases of
extreme flood events. Hundreds of millions of EUR
have been invested in dam repair, remedial work and the
improvement of dam safety in the Czech Republic.
198
It must be conceded that during both extreme
regional and local extreme flood events, most small
embankment dams represented a serious danger due
to deficiencies in their structure, arrangement, param-
eters, operation and maintenance. Remedy of the pres-
ent state will require time and money which in relation
to issues regarding property and land ownership is also
a difficult problem. Private dam owners (e.g. angling
societies) are usually unable to finance the required
remedial measures. State financial support is not sys-
tematic and is not steadily anchored in the present
legislation, which in many cases is still not prepared
for the private ownership of small water structures.
ACKNOWLEDGEMENTS
The contents of this paper are part of the research
supported by the Grant Agency of the Czech Republic,
project No.103/05/2391.
The author wish to thank the Morava, Odra and
Vltava River Basin Agencies for permission to publish
photographs and diagrams.
REFERENCES
Matejicek, J. 1998. The Flood in the Morava River Basin in
the Year 1997. Morava River Basin Agency (In Czech).
The Flood in 1997, 1998. Odra River Basin Agency (In
Czech).
Evaluation of the 1997 Flood Event. 1998. Ministry of the
Environment (In Czech).
Morava river basin. 1996. Water Management in the
Catchment Area. Brno 1996 (In Czech).
Evaluation of the 2002 Flood Event. 2002. Ministry of the
Environment, CD ROM (In Czech).
Riha, J. 2004. Comments on the Failures of Small Dams in the
Czech Republic During Historical Flood Events, in “Long
Term Benefits and the Performance of Dams, 13th British
Dam Society Biennial Conference”, Canterbury, UK.
Stara, V,. Sulc, J., Spano, M. 2005. Proposals of Measures to
Enhance the Safety of the Znojmo Dam on the Thaya
River During Floods. Proceedings of “Dams at the Begin-
ning of the 21st Century”, Dresdner Wasserbaukolloquium.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Extreme events in the Grijalva river hydroelectric system

in the southeast of Mexico in 1999

H. Marengo, L. Athié & O. Calahorra

Comisión Federal de Electricidad, México, D. F. México

ABSTRACT: In the southeast of Mexico the year 1998 had abnormally high rainfall, and the seasonal rains of
1999 were especially severe. This had a direct impact on the Grijalva dams: La Angostura and Malpaso were filled
completely and the Chicoasén and Peñitas spilled large amounts of water. In the city of Villahermosa, the capital of
Tabasco, there was extensive damage to the local population and infrastructure. Consequently, the height of the
Malpaso spillway gates was raised to allow for a 600 Mm3 increase in capacity and the operational policy of the
dams has been changed. These were the most severe floods in 47 years, and during September and October the flow
was 62.4% above the historic average. The successful regulation of the Grijalva dams was essential in avoiding what
would have been 5415 Mm3 of additional floodwater on the plains of Tabasco and catastrophic damage to the area.

1 INTRODUCTION that drains the highlands of the states of Tabasco,

Chiapas as well as the north of Guatemala, and has an
The Grijalva River, located in southeast Mexico, annual volume average of 98,700 Mm3.
drains the highlands of the state of Chiapas and is the Booth rivers receive several currents in the vicinity of
second largest river in Mexico with an average annual the city of Villahermosa, capital of the State of Tabasco.
volume of 30,000 Mm3. Near the rivers mouth it is The Grijalva river is the only one with regulation capac-
joined by the Usumacinta, the largest river in Mexico, ity, with four dams constructed, as shown in figure 1.

Gulf of Mexico

Gonzalez
river Centla wetlands
Nacajuca
river Medellin
river San Pedro
river
Samaria Usumacinta
river Carrizal Villahermosa Chilapa river
river City river

De la Sierra
river
Grijalva o Mezcalapa river
Macuspana
Comoapa river
Pichucalco Teapa river
Peñitas Platanar river river river
Dam
La Angostura Dam Puyacatengo
Malpaso Dam river
Grijalva river
Chicoasen Dam

Figure 1. Hydrologic system of the Grijalva and Usumacinta rivers.

199
 There being in the phase of studies the project “Boca
del Cerro” in the Usumacinta river and the “Itzantun”
project in the De la Sierra river.
The hydroelectric system on the Grijalva river was
constructed between 1975 and 1987 by the Secretaria de
Recursos Hidráulicos (SRH) and the Comisión Federal
de Electricidad (CFE) with the objective of regulating
floods and generating electricity. The system is com-
prised of four dams, from upstream toward downstream:
La Angostura (1975), Chicoasén (1980), Malpaso
(1969) and Peñitas (1987), as shown in figure 2.
In 1993 CFE decided to increase the maximum level
of operation (MLO) of La Angostura dam in order to
increase the storage and to have strategic reserves of
potential energy in the country.
The level of the reservoir of La Angostura, regu-
lates the whole hydroelectric operation of the System,
it changed from the original level 523.60 meters
above the sea level (masl) to 533.40 (masl).
The main data of the dams like maximum opera-
tion levels, maximum extraordinary levels (MEL) and
volumes (in millions of cubic meters, Mm3), are shown
in the Table 1.
Later on, several revisions were made that included
the method of the Probable Maximum Precipitation
(PMP); but they were not considered reliable, since
there are not in the region valid information of tem-
peratures of dry and humid bulb for several years and
only transposition of storms were made, the obtained
results are in doubt.
The original data of entrance and exit peak flow of
the design floods of each dam are shown in the Table 2.
During the time of design and construction of the
La Angostura there were 23 years of hydraulic registers,
for Chicoasén the period of data was 28 years, for
Malpaso the period of data was minor, only 17 years
were available and for Peñitas the period was 35 years;
it should be point out that the hydrologic estimations
of maximum events was made basically with empiric
and statistical methods extrapolating to events with
return period of 10,000 years.
When was decided to increase the maximum oper-
ation level for La Angostura dam, the hydrologic infor-
mation was revised up to 1993 in the whole Grijalva
System and was modernized the hydrological study
(Dominguez, R. et al. 1993) that concluded basically in
the following:
• It was considered like operation policy of the four
dams, that only La Angostura and Malpaso have
regulation capacity, while Chicoasén and Peñitas
should operate the floods by turbines in the power
houses, since the lack capacity of storage in order
to manage maximum floods.
• The maximum historical flood registered until 1993
year in La Angostura, had a duration of 30 days and
presented a maximum peak flow of 2600 m3/s; and it
was considered with statistical methods that the max-
imum peak flood associated with a return period of
10,000 years and 15 days duration, should have a
peak flow inlet of 4144 m3/s (Vol
3416 Mm3). The
Chicoasén dam, for that return period and the same
duration, decreased to 5459 m3/s (Vol
2190 Mm3),
• Malpaso dam was considered with 15,866 m3/s
(Vol
5112 Mm3) and that of Peñitas with an inlet

Table 2. Original data of the inlet and outlet peak flow, of

the spillway of the dams of the Grijalva System.

Inlet peak flow Outlet peak flow

Dam (m3/s) (m3/s)

La Angostura 23,000 8980

Chicoasén 17,400 15,000
Malpaso 20,000 16,933
Peñitas 22,877 18,700
Figure 2. Hydroelectric system of the Grijalva River.

Table 1. Data of levels and capacities of the dams of the Hydroelectric Grijalva System.

Maximum
Maximum level of Capacity until extraordinary Capacity until Regulating capacity
operation the MLO level the MEL floods
Dam (masl) (Mm3) (masl) (Mm3) (Mm3)

La Angostura 533.4 15,549 539.5 19,549 4000

Chicoasén 392.5 1299.4 395 1443 143.7
Malpaso 182.5 12,373 188 14,064 1691
Peñitas 87.4 1091 93.5 1485 394

200
 peak flow of 10,828 m3/s and volume (Vol

1443 Mm3). It should be mentioned that the peak
flows of discharge modify according to the opera-
tion policy of the spillways, however the maximum
capacities of discharge pointed out in the table 2,
do not change, since they are in function of the
maximum extraordinary level (MEL) of the reser-
voirs; all the dams of the Grijalva System have a
great capacity of discharge in their spillways.
The before mentioned data, are summarized in the
Table 3.
2 HYDRO METEOROLOGICAL EVENTS
DURING 1999
2.1 Antecedents of 1998, and operation policy
established for the 1999-year
During September and October of 1998, in the west
side of the state of Chiapas, in the coast of the Pacific
Ocean, an important precipitation produced severe
damages to the population and to the infrastructure;
the reservoir of La Angostura received as a result
extraordinary contributions between September 8 to
12 that caused a flood with a mean inlet flow of
5252 m3/s in the reservoir, the maximum registered in
47 years.
At the beginning of November 1998, the remnants
of the Mitch Hurricane that severely affected Central
America especially in Honduras, produced important
floods to the Grijalva river.
With these scenario, La Angostura dam reservoir
reached the level 533.34 (masl) in January 1° of 1999,
and in September 1° of 1999, the level was 529.70
(masl).
In Malpaso dam, the level 183.42 (masl) was
reached on November 6 of 1998 that is the maximum
level until that year.
It should be point out that every year, the Technical
Committee of Hydraulic Works Operation integrated
by the National Commission of the Water (CNA), the
Federal Commission of Electricity, the National Center
for the Prevention of Disasters (CENAPRED) and the
Institute of Engineering of the National Autonomous
University of Mexico, (UNAM), establishes the safety
Table 3. Data of the floods (inlet peak flow and volumes)
for the dams of the Grijalva System, after the study of 1993.
Inlet peak flow Floods volume
Dam (m3/s) (mm3)
La Angostura 4144 3416
Chicoasén 5459 2190
Malpaso 15,866 5112
Peñitas 10,828 1443
201
levels for the performance of the dams in Mexico.
According with the water level of the dams at the begin-
ning of the year, the Committee establishes the energy
generation during the dry season and which will be
the conservation level that must be reached at the begin-
ning of the rainy season.
The policy for 1999 had as main objective to protect
the low Grijalva basin in the state of Tabasco against
floods, this policy indicated to reach in Malpaso dam
the level 171.50 (masl) on September 1° and the level
175.00 (masl) on October 1° like other years.
With respect to the operation policies for Chicoasén
and Peñitas, was established in relation with the dis-
charges of La Angostura and Malpaso, due to the lack
capacity of storage and maintaining their levels inside
the ranges adapted mainly for safety in the months in
which the conservation levels comes down in order to
receive the potential occurrence of floods in their own
basins.
2.2 Events of 1999
In accordance with the registered flows, during the
first five months, the year of 1999 corresponded to a
dry year; in June and August it change to a humid year
and for September and October, the hydro meteoro-
logical conditions were very adverse.
From September 13 to 18 the cold front N° 2 came
into the north part of Mexico which in combination
with a low pressure that had been developed in the coast
of Quintana Roo state, take place to the creation of
the tropical depression N° 10 and later to the forma-
tion of tropical storm “Harvey”; this system promoted
the arrival of a big amount of humidity toward the
Yucatan peninsula and the southeast of Mexico.
The 19 of this month, a low pressure in the coast of
Oaxaca (southwest from Mexico) was formed, increas-
ing the flow of humidity toward the southeast and
central part of the country, around these days, the cold
front N° 3 reached the north of Mexico, which upon
combining with a lower pressure, induces high humid-
ity until September 23; one day later it is registered
a low pressure in the Gulf of Honduras that affects
intensely the southeast of Mexico, causing heavy
precipitations in Tabasco and Chiapas.
In October 1° a new cold front in the Gulf of Mexico
combines with the tropical wave N° 35 and that, asso-
ciated with a low pressure in the Caribe, developed
the tropical depression N° 11, these systems combined
induced heavy precipitation in the southeast and in
the Gulf of Mexico affecting several states of the cen-
tral part of the country; causing during the firsts days
of October the greatest floods in the reservoirs of the
Grijalva System, and the floods in Veracruz, Hidalgo
and Puebla.
Finally on October 19, 20 and 21st, the southeast
zone of the country was affected by the combination
of the cold front N° 7 with a low pressure center in the
Gulf of Mexico that induced the incoming of tropical
marine air from the Pacific Ocean to Chiapas and
Tabasco.
3 OPERATION OF THE DAMS
3.1 Flow limits
A very important fact had happened in the basin of
the Grijalva river should be point out; in 1983 the erup-
tion of the Chichonal volcano threw a great amount of
ash that during all these years, has arrived into the
river and diminished in a very important way the
hydraulic capacity of the river, as much as upon oper-
ating the turbines of Peñitas to full load (1440 m3/s),
the river overflows in several points.
Besides, there has been an important and disor-
dered demographic growth in the zone; they have
been invaded riverbeds and in the moment that the
extreme floods had presented the population was
severely affected.
3.2 Dams operation
3.2.1 La Angostura dam
With the situation explained before, in La Angostura
dam, was registered during September a volume flow
of 3842 Mm3, that took the level of the dam to 535.44
(masl), (2.04 m above the MOL) the 4th of October, a
mean peak flow of 3940 m3/s entered and by the middle
days of October, the reservoir reached the level 537.06
(masl), this situation required the increase of the gen-
eration with the object of guarantee the handling of an
eventual extraordinary flood. Under these conditions,
the power house was operated to full load, even though
these obliged the operation of the spillway of Chicoasén
dam, this situation stayed practically until October 12
when was decided to stopped the generation in order
to avoid the increment in the levels of Malpaso dam
that for those dates presented a very quick evolution
of the levels of the reservoir.
In October 25, the reservoir reached the level 538.20
(masl) and stays until October 27, when the levels
began to descent; this level is only 40 cm under the
superior lip of the spillway floodgates.
3.2.2 Chicoasén dam
The hydroelectric power house stayed practically to
full load since September 13, absorbing contributions
of it own basin and taking advantage of the capacity of
regulation that offered the Malpaso reservoir in order
to receive their extractions; however on October 4 was
decided to open the tunnel N° 1 of the spillway with
the purpose of let La Angostura dam generate to full
load; this tunnel operates with a flow of 800 m3/s;
202
until October 9 as a result of a decrease of the contri-
butions for own basin and reduction of their levels.
The spillway again operates on October 11 with a
discharge of 1140 m3/s.
3.2.3 Malpaso dam
At the beginning of September the level of this dam,
was 172.01 (masl), 50 cm above of the level of conser-
vation established by the Technical Committee of
Hydraulic Works Operation, these situation that stayed
until September 16, when the extraction of Peñitas
was limited only to 600 m3/s, originated by the precar-
ious situation in Villahermosa City which presented
flooded zones caused by the growing of the De la
Sierra and Usumacinta rivers.
In the first days of September, it was permitted to
increase the levels of storage of the dam in order to
regulate floods and it was operated according to the
conservation levels of Peñitas and due to the signifi-
cant increments of the floods, an important elevation
of the levels was reached.
In this way, on October 4 due to the opening of the
spillway of Chicoasén dam, it was permitted the oper-
ation of the hydroelectric powerhouse of Peñitas to
full load even with the critical conditions for Vi-
llahermosa at that moment.
With the purpose of avoiding the aperture of Malpaso
spillway, that would be of fatal consequences for the
low plain of Tabasco; it was increased the generation
of Malpaso power house with the new conditions of
Peñitas, achieving it with this policies to maintain the
level of Malpaso inside the safety limits, however
their level continued growing even with the operation
to full load of the power house and for the 12 day is
suspended the operation of the La Angostura and the
Chicoasén spillway was closed, this period was taken
advantage in order to place in some hours (Marengo, H.
1999) a screen with plugs above the superior lip of the
floodgates of the service spillway, with this action it
was possible to equal the lips of the of service and
emergency spillways levels and win 2.74 m height that
represented an increment of 600 Mm3 of storage
capacity (figure 3).
Figure 3. Upper level of Malpaso dam with plugs.
 The reservoir presented on October 13 the level the 30.3% remaining, That gives an idea of the regu-
182.58 (masl), only 1.02 m under the superior lip of the lating effect of the system in this month (figure 4).
floodgates of the service spillway. Then the increase of For October hydraulic balance, the total contribu-
the generation to the maximum was decided on tion was 7617.87 Mm3 of which they were stored
October 18. 4152.17 Mm3 that correspond to the 54.5%, extracting
The next day, the levels in this reservoir came by Peñitas dam 3465.70 Mm3 the 45.5% (figure 5).
falling, however the 20 of October a very important Finally for the September–October period was
contributions came in Malpaso and Peñitas, that forced received 14,052.87 Mm3, of which they were stored
to suspend the generation for 3 days while the flood in 8637.63 Mm3, that represent a 61.5%, and the output
the basin of Peñitas was controlled at the same time as for Peñitas was 5415.24 Mm3 that represent the
the levels arrived until 184.66 (masl) on October 29, 38.5% (figure 6).
just above the superior lip of original floodgates and
using the emergency plugs; these levels began to fall 3.2.6 Grijalva River without dams
after this day. It is important to highlight what would happen in the
Grijalva River in case of do not have been built the
3.2.4 Peñitas dam
The generation of Peñitas was the one dictated, until 3842
September 17, by Malpaso in order to maintain the
levels of this dam according to the CNA safety val- Angostura dam
ues, however the extraction by turbines was restricted
1004
to 600 m3/s; this restriction was liberated on October 4 822
and from that date the power house operated practi-
cally to full load extracting 1300 m3/s. ' dam
Chicoasen
The water volume that came into this dam, are not
1792 1257
the most abundant on the historical registration how-
ever, they came large daily floods that should be reg-
ulated through the scarce capacity of the reservoir and Malpaso dam
an appropriate handling of their levels, for example 1307
on October 2, a flood of 8100 m3/s was regulated to 514
only 600 m3/s in the discharge by turbines.
Another important condition was the registered Peñitas dam
floods during October 20, 21 and 22, when the floods 1949
for own basin in the first hours of the day 20 were of
4000 m3/s and there were discharged 1400 m3/s by
turbines; during the 21 and 22 the regulation capacity Figure 4. Hydraulic balance of the Grijalva System during
was reached and because of the obstruction of the September of 1999 millions of cubic meters.
intake with a great quantity of trees, it was decided to
open the spillway on October 23 in order to discharge 7868
740 m3/s, that additional to the 1200 m3/s that they
were been extracted by turbines; the total flow in the Angostura dam
outlet was 1940 m3/s; on October 25 is decided to
increase the spillway extraction up to 1700 m3/s and 2707 1537
the shutting down of the turbines.
' dam
Chicoasen
3.2.5 Hydraulic balance 4207 2963
With the object of highlighting the regulation role of
the dams during the floods of September and October Malpaso dam
of 1999, a hydraulic balance was carried out in order
to show the evolution in the stored volumes and the reg- 3585 1684
ulating effect of them.
The hydraulic balance during the month of Peñitas dam
September shows the contribution of each reservoir 5415
for it’s own basin as for the total basin, the total con-
tribution to the Grijalva System was 6435 Mm3, where
4485 Mm3 were stored and represent the 69.7%, the Figure 5. Hydraulic balance of the Grijalva System during
extraction in Peñitas dam was 1949.7 Mm3 that it is October of 1999, millions of cubic meters.

203
dams that regulate the floods; in this case, the floods
presented during the 1999 year, would have trafficked
freely and without control toward the plain of the state
of Tabasco, and they would compare against what
would really flooded by having the regulation that
offers the Grijalva System.
The mean volume flow of the Grijalva River until
Peñitas site in 47 years of records (for the months of
September and October) is 8653.63 Mm3, and for these
months in 1999 the total flow was 14,052.82 Mm3
and thanks to the dams regulation, only a volume of
5415.24 Mm3 was allowed to pass to the plain of
Tabasco, as is shown in the Table 4 where also is indi-
cated the mean flow associated.
It is possible to highlight in this case, that the flow
of 1999 was 62.4% superior to the historical mean flow
of the system for the months of September and October;
and the controlled flow was a 38.5% of the total dur-
ing the year of 1999. This flow was 62.6% inferior to
the historical mean flow of the river and that would
have come in the plain if the Grijalva river hydroelec-
tric system would not be built.
4026
Angostura dam
1703 715
' dam
Chicoasen
2415 1706
Malpaso dam
2274 1170
Peñitas dam
3466
Figure 6. Hydraulic balance of the Grijalva System during
the months of September and October of 1999 millions of
cubic meters.
4 ACTIONS IN THE SHORT, MEDIUM
AND LONG TERM
The main actions that were derived of the experiences
that were lived during 1999 have been divided in
the short, medium and long term as they are pointed
out next.
4.1 Actions in the short term (year 2000)
In general, the short term is a period that was consid-
ered between December of 1999 and April of the
2000 year, they were carried out all the necessary
actions in order to guarantee the hydraulic and struc-
tural confidence of the spillways of the dams that
compose the Grijalva river hydroelectric system; also
was begun the study corresponding to the rehabilita-
tion and modernization of the power houses in which
it is necessary to make it.
4.1.1 Hydrological study
The hydrological analysis has been bring up to date
(Marengo, H. 2000) in all the dams of the System
revising the hydrological data and the behavior of the
basins up to 1999 considering a statistical analysis; in
which the main consideration is that La Angostura
and Malpaso dams, are many more sensitive to the
entrance of volumes that to high peak flows, while in
Chicoasén and Peñitas dams, definitively, are more
significant the peak flows than the volumes.
The probability distribution function selected for
the peak flow and volumes is Double Gumbel in all the
dams and it was used the analysis of Dominguez, R.
(1989) for the occurrence of combined peak flow-
volume, arriving to define the values indicated in the
Table 5 for the design floods.
The spillway confidence considering the hydraulics,
structural and mechanical aspects has been revised for
La Angostura and Malpaso dams, it was defined the
civil and mechanical changes that were necessary to
carry out in each spillway. So in the La Angostura dam
it was necessary to change the seals and the bearings
of the floodgates, and in Malpaso dam were installed
definitive plugs for the service spillway (to equalize

Table 4. Historical flow regulated and controlled in the Table 5. Design floods and volumes for the dams of the
Grijalva System during 1999. Grijalva System, with base on the data up to 1999.

Historic Sep–Oct Regulated Extracted Inlet peak Floods

flow 1999 flow flow flow volume Duration
Concept Sep–Oct flow (1999) (1999) Dam (m3/s) (mm3) in days

Volumes 8653.63 14,052.82 8637.58 5415.24 La Angostura 9724 14,252 60

(Mm3) Chicoasén 7009 2120 15
Mean flow 1641.9 2666.2 1638.9 1027.5 Malpaso 18,038 12,320 60
(m3/s) Peñitas 11,360 2482 5

204
the lips level of the floodgates). Besides a risk analy-
sis of all the dams was carried out.
4.1.2 Actions in the medium term (May of
the 2000 to 2004)
The risk analysis of the dams (recommending levels
of operation in the dams of the system), was finished
and is in progress a study of floods in the plain of
Tabasco in order to define the necessary structures of
control in order to avoid damages to the population
and infrastructure Mexican southeast. In this stage, are
contemplated also to modernize several studies of
feasibility of several projects that CFE has made in
previous years and that they affect this zone.
4.1.3 Actions in the long term (2005)
The works identified in the previous stages will be
bid and the projects that offer control in the De la
Sierra and Usumacinta rivers that allow improving
the level of life of the population will be develop.
5 CONCLUSIONS
The hydrological events in the Mexican southeast in
the 1998 and 1999 years, have been the maximum
happened in 47 years of registrations; it is possible to
205
consider that it could be due to important climatic
changes to global level, they however owe for the time
being consider as watchful of what could happen in
the future.
The floods of September and October of 1999 over-
came in 62.4% to the historical means floods of the
system.
The regulation that offered the Grijalva System
was fundamental in order to avoid greater damages to
the population and infrastructure, since of not exist-
ing the dams of the Grijalva river, would have come
an additional volume of 8637.63 Mm3, which would
have affected the Tabasco plain; situation that would
have been catastrophic.
More damages could not be avoided, because there
are not hydraulic infrastructure in the De la Sierra and
Usumacinta rivers and in Tabasco plain, like big
drainage channels, that if it exist, would had permit
additional control when this type of events happens.
It must be regulated the invasion of the population
in the natural rivers and to define with a study of floods
in plains, the zones subject to damage and risk.
It is necessary to settle down a master plan of infra-
structure development; oil and gas pipes, and the urban
growth that contemplate events like the presented and
still greater in order to take the necessary measures in
case of occurrence.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Flood’s control at Pedra do Cavalo Dam

J.L.R. Amorim
EMBASA – Empresa Baiana de Águas e Saneamento, Salvador, Bahia, Brasil

ABSTRACT: Pedra do Cavalo Dam is located in the Basin of Paraguaçu, 130 Km from the city of Salvador,
in state of Bahia, Brasil. It was built for several purposes and one of them is the flood control. This paper is
regarding to the physical and antrópics changes in the basin of Paraguaçu during last 20 years, and its influence
in the operational services of the barrage. Also the occurrences of flooding with TR of 700 years are described.
The flood’s control comes preventing great damages, representing a guarantee of security for the inhabitants
that lives downstream of the barrage.

1 INTRODUCTION 2.3 The spillway

Type concrete
The Pedra do Cavalo dam, is located at Paraguaçu
Width 92 m
river, in state of Bahia, north eastern of Brasil. It was
Length 297 m
constructed to be a multiple use as following:
Floodgates 5 (15  18 m)
– Water supply – 10 m3/s of water is pumped from Maximum flow 12,000 m3/s.
the reservoir supplying about 2.5 million people,
including Salvador city and several industries; 2.4 The reservoir
– Flood control – There are some cities located down-
stream. Two cities must be detached: the municipal Top water level 124 m
districts of Cachoeira and São Félix, which are Accumulated volume 4.5  106 m3
located only 5 Km downstream from the dam. It’s Usefully volume 1.6  106 m3
population is about 25,000 inhabitants, being booths, Flood reservoir area 86 Km2
tumbled by the National Historical Patrimony. Both
cities have always been reached with floods, until
the Pedra do Cavalo was constructed; 3 FLOOD’S CONTROL
– Electric Power Generation – The operation and
maintenance are being carried out by Votorantin During the impounding of the reservoir (1986), a test
Energia, an important Brazilian company (total was made to find out the real capacity of the channel of
power 160 MW). the river downstream of the dam. When the flow from
the spillway reached 1500 m3/s, it was already being
considered a flood. Then, the flow of 1500 m3/s was
2 MAIN CHARACTERISTICS adopted as the maximum flow released by the spillway,
which would not cause damage in Cachoeira and São
2.1 The Basin of Paraguaçu river: Félix. The project initially (in 1980) foresaw 2000 m3/s.
Area 53,650 Km2
Annual precipitation 850 mm 3.1 Flood of December 1985
Registered minimum flow 2 m3/s The impounding of Pedra do Cavalo dam, was in
Registered maximum flow 8300 m3/s September 1985, and in December of the same year,
Regularized flow 79 m3/s occurred a flood with 3000 m3/s. The dam was partially
empty and the whole volume of this flood was absorbed
2.2 The dam
by the reservoir, elevating the water level from 75 m
Type rockfill embankment to 106 m, beginning the operation for the spillway.
Height 142 m The estimate of the project, so that the level of the lake
Length 470 m reached the spillway in 4 months, was just 4%.

207
 1989 2004
01 124 0 54 120
3
09 ,2 1 M1 3943 M /S
04
08 8302 M3/S
0 53 119
07
120 03
FLOW M /S

06

LEVEL M

FLOW M /S

LEVEL M
5612 M3/S 118
3

117,63 M

3
0 52
05
02
04 3
117
1617 M /S
116 0 51
03

02 01 116
01 05

0 112
0 115
1 4 7 1 0 1 3 1 6 1 9 2 2 2 5 2 8 3 1
1 4 7 1 0 1 3 1 6 1 9 2 2 2 5 2 8 3 1
01/12 A 31/12/1989 01/01 A 31/01/2004
U P ST R EAM OD W N S T ER A M L EV L M
U P ST R EAM D O W N ST R EAM L EV L M

Figure 1. Hydrographic’s 1989. Figure 2. Hydrographic’s 2004.

3.2 Flood of December 1989
3.5 Flood of March 1997
From 1986 to 1989, the reservoir reached only level
In the month of March 1997, the reservoir level was
115 m, with maximums inflows about 300 m3/s. In
elevating to 117 m, trying guaranteeing the supply dur-
December 1989 was the biggest precipitation and flows
ing the dry period. After the second fortnight of March,
registered in the Basin of Paraguaçu. The inflow was
there was a flood of 5693 m3/s. When the situation
8300 m3/s and, according the studies hydrologic, this
was detected the flow limit from the channel of the
would happen once in 700 years.
Paraguaçu river, was released, avoiding, once again,
The volume established for the flood control was
floods in the cities of Cachoeira and São Félix. In
about the order of 1.3 billion m3 but, it was not enough
this period the water level of reservoir, rose from 117
to absorb the flood. As the water level was arising so
to 120 m.
fast, threatening the physical integrity of the dam,
was began to release a higher flow than 1500 m3/s,
due this flow, the invasion of the waters began in the 3.6 Flood of January 2004
streets of Cachoeira and São Félix. The outflow
In January 2004, happened the first flood after the
reached 5612 m3/s, flooding these cities and the reser-
electric power generation was working. The flow grow
voir got the level 122 m.
up from 3 m3/s to 3000 m3/s in 24 hours, but did not
As soon as the possibility of flood was detected,
occurred flooding in the cities downstream.
several procedures were taking to minimize the dam-
ages. Several groups like Civil Defense of the State of
Bahia, Military Police, and city councils and the mayors
4 CONCLUSION
worked together on that area.
There were not victims deadly only physical
The Basin of Paraguaçu, as many Brazilians’ basin, is
damages.
been suffering degradations along the years with direct
consequences in the reservoir of Pedra do Cavalo.
3.3 Flood of February 1992 The cities of Cachoeira and São Félix are always
suffering with Paraguaçu’s flood, that usually happened
In January 1992, a flood happened with 4600 m3/s.
suddenly, causing great damages. But it was changing
Due the releasing of 1500 m3/s, the flood’s volume
after the construction of the Pedra do Cavalo dam.
was absorbed by the volume of flood control that was
Since 1985 there were six floods, from these six
about 2.1 billion of m3, besides elevating the water
events the dam avoided five floods and controlled
level from 110 m to 118 m. A flood did not happen in
partially one of them avoiding larger damages.
the cities downstream.
Based on the flood’s hydrographic there has been
changes in the Basin in the last 20 years, like the
3.4 Flood of December 1995 following:
In December 1995, there was a flood with 3000 m3/s. • In the last fifteen years, the biggest flowing and the
The operation of the dam, releasing the limits of the longest and worse dry period was registered in
channel, avoided a flood in the cities of Cachoeira Paraguaçu Basin (in 1989 with 8300 m3/s and 1993
and São Félix. with 2 m3/s respectively).

208
 Table 01. Time of Reoccurrence – Report
of CNEC – VPC- CE – 09/AR/15.021.
• The initial studies concluded that takes 3 days for
the overflow to come from the headboard of the
Time of return tr. years Flow m3/s
river to reservoir. Although, several times, it does
not take more than 24 hours.
10.000 12,430
2000 9940 The operation of flood control should always fol-
1000 8950 low changes according to the physical changes of
500 7990 hydrologic basin, and also according to the needs of
100 5940 the reservoir’s users .
50 5100 Besides these facts above, the Pedra do Cavalo
30 4510
dam, is been working on what has been planned. Only
20 4040
10 3240 in 2004 the energy generation was initiated. From
now the operation is more difficult due the conflicts
between the full water supply, flood control and
• Due to the deforestation, the outflows are now generation of energy.
faster (passing, in the period 24-hour, from 10 m3/s
to 900 m3/s) and volumous.
• Based on the Table 01 – Time of Reoccurrence, REFERENCES
projected for Pedra do Cavalo, in the last 20 years
the floods with TR 20 happened twice and with TR CNEC-Consórcio Nacional de Engenheiros Consultores
30/100/700 happened once. 1985. Relatório de Estudos em Operação de
Emergência: RT/25-452
• The maximum outflow for the spillway without caus- CNEC – Consórcio Nacional de Engenheiros Consultores
ing flood was reduced, after the construction of the 1987. Relatório Sobre Enchimento do Reservatório de
barrage, in 25%, passed of 2000 m3/s for 1500 m3/s, Pedra do Cavalo. Volume II
it implied on the accumulation of a grater volume of EMBASA-Empresa Baiana de Águas e Saneamento
water in the reservoir during a flood control. Relatórios Hidrológicos Mensais ( interno)

209
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Flood management in reservoirs in upper river basins from real time data
collection by using downstream water alert systems

A. Rodriguez de la Torre & R. Álvarez Gordón

Confederación Hidrográfica del Duero, Spain

J. Gras, P. García Rubí & R. Rollán

Infraestructura y Ecología S.L, Spain

ABSTRACT: The present paper presents a procedure for the flood management in a reservoir with real time data
collection downstream from the dam. The procedure is applied to two concrete cases in the Duero Hydrographic
Basin (Esla and Órbigo rivers, producing important natural floods) and to the Operation Rules in Flood Time of
the dams located in the upper basin (Riaño and Barrios de Luna). It is clear that the data collected upstream from
dams are of great importance to manage floods from the reservoir tributaries. In the case of upper basin dams
however, downstream data collection is more relevant because of the importance of the available times to inform
the possibly affected people. Thus, the procedure for the management of floods in reservoirs is determined
according to the predicted damages from the released waters. In these cases, the alarm systems were completed
with an exhaustive study of the impact on river beds and a computerised inventory of the plots affected by each
hypothesis of flood management, as simulation tool for the reduction of floods and the propagation of down-
stream waters with detailed identification of affected plots was available to the dams operator. This type of tools
could be of great interest, not only for the dams operators integrated in these systems but above all for the gen-
eral management of large floods events in natural river beds with truly important dams in the upper basin area.

1 GENERAL ASPECTS Subbasin to 36.0 1355.2 100

confluence of Elsa
1.1 Configuration of the river basins and Porma Rivers

The drainage network of both Esla and Órbigo River Órbigo River
basins, are characterized for having a main channel Barrios de la Luna 509.9 509.9 10
dam upstream
which is supplied by the river basin and numerous Subbasin to 252.1 762.0 15
tributaries downstream in both margins. confluence of
The overall length of the analyzed rivers, from the Órbigo and
dam to down river, is 85 km in the Elsa’s and 141 km Omañas Rivers
in the Órbigo’s. Omañas River 514.0 1276.0 25
The following tables show the main characteristics Subbasin to 433.2 1709.2 34
of both river basins: confluence of
Órbigo and
Tuerto Rivers
Tuerto River 1393.6 3102.8 61
Surface (km2)
Subbasin to con- 1181.7 4284.5 84
Tributary river
fluence of Órbigo
basins Partial Accumulated Relation %
and Eria Rivers
Eria River 656.7 4941.2 97
Esla River
Subbasin to 130.7 5071.9 100
Riana’s dam 580.4 580.4 43
confluence of
upstream
Órbigo and Esla
Subbasin to 201.4 781.8 58
Rivers
Cistierna
Subbasin Riacho 387.1 1168.9 86
de la Nava
Subbasin to 150.3 1319.2 97 As it is possible to appreciate in the tables above,
Villómar the upstream contribution area of the dams is not really

211
relevant in relation to the progressive water increase Eria River 115 1090 100
downstream. Subbasin to the 8 1080 99
confluence of
Órbigo and
Esla Rivers
1.2 Characteristics of the dams
Riaño’s dam has a capacity of 651.19 hm3 with regard
to the NMN (1100.00), with a reservoir’s surface of As it is possible to appreciate in the previous table,
2186 ha and a maximum overflows capacity of about the generated flows by the subbasins downstream the
720 ms3/s. On the other hand, Barrios Luna’s dam dam, are much more important than the releases gen-
capacity is 308.00 hm3 in relation to the NMN erated. Thus, their influence is roughly insignificant
(1108.50) with a reservoir surface of 1130 ha and an in the values reached in the existing control points
overflows capacity of 1000 ms3/s regard to the NMN. downstream.
However, those values highly condition the volumes
to get evacuated from the dam to avoid an increasing
1.3 Hydrology natural damage.
The complex framework of the drainage network is
related in one hand, to the hydrological answer of the 2 STUDIES OF POTENTIAL DAMAGE
diverse river basins without regulation, and in the other DOWNSTREAM OF DAM
hand, to the variability of the climatic phenomena on
river basins as a whole. This has led to develop hydro- 2.1 Hydraulic Models and delimitation of
logical models of precipitation-run-off in great detail, flood zones
allowing to obtain the designed flows of diverse hypo- With the objective of determining the flood levels pro-
thetical storms. duced downstream rivers, both Hydraulic Models were
The spatial and temporary distribution of the his- developed with the help of the HEC-RAS software. The
torical storms has been analyzed, identifying the storms levels produced by representative floods were drawn on
which provoke floods of greater volume and pick flow. E: 1 2000 cartography with a 0.5 m of equidistance
As for example, in the following table it is shown between curves (Maximum Ordinary Flood, T
100
the maximum flows along the Órbigo River for an years, T
500 years and T
1000 years).
associated design storm of 500 years period of return.
The main setting for this is that the Barrios de Luna’s 2.2 Affections inventory
dam does not drain larger flows than 110 m3/s when
the maximum income is 550 ms3/s. Once the river’s flood banks were delimited, an exhaus-
tive inventory of existing goods in the rivers margins
was carried out. Every zone was identified and located,
Órbigo River flows downstream Barrios Luna dam.
determining the limit flow for which are affected.
Maximum flow (m3/s)
Six different categories were distinguished:
Control • Basic services (schools, hospitals and others)
points Partial Confluence Relation % • City centres
Inflows to 550
• Isolated houses
the dam • Commercial and Industrial facilities
Barrios Luna 110 110 10 • Isolated buildings
dam water- • Others (recreational areas, sport centres, etc)
release Next, as an example, it is included in Figure 1, an
Subbasin to 10 120 – inventory card of affections made in the local area of
the confluence Gradefes (Esla River).
of Órbigo and
All these affections were introduced in a Data Base
Omañas Rivers
Omañas River 430 550 50 with the information associated to each one. This com-
Subbasin to the 80 600 – puter application consults all that information after
confluence of running the Hydraulic Model, obtaining a listing of
Órbigo and affections for each flow, which is resumed in a table
Tuerto Rivers afterwards.
Tuerto River 385 980 90
Subbasin to the 20 975 – 2.3 Channels capacity
confluence of
Órbigo and From the Hydraulic Models and the affections Data
Eria Rivers Base, it is possible to define the qualitative thresholds

212
Figure 1. Affections inventory.
of damages, depending on the importance and num-
ber of affections.
In Figure 2, it is included as an example the differ-
ent zones of the Órbigo River, with its characteristic
flows and graphical summary of affections which
appear in each section and for each flow.
From these flows on, the following damage thresh-
olds were defined:
• CHANNEL’S CAPACITY: Flow from which over-
flows and affections to rustic plots can occur.
• ALERT: Flow from which affections to construc-
tions and/or infrastructures start to happen.
• EMERGENCY: Flow from which affections to
constructions and/or infrastructures start to become
general and some of them begin to be MODERATE.
• MISFORTUNE: Flow from which essential services
are affected and the affections produced to con-
structions or city centres begin to be considerably
SERIOUS.
Once these thresholds are defined and with the
flood operation procedures, described later on, three
characteristic flood areas are defined whose use must
be regulated:
– Regular channel area. It corresponds to the one
included within the zone for regular flows of ordi-
nary operation.
213
– Flood ordinary area. It is included between the regu-
lar channel area and the line associated to ordinary
floods. This zone must be able to be overflow during
the management of ordinary floods, which do not
produce higher levels than a limit value in the dam.
Therefore, this area must be set free for the exclu-
sive use of the dam operators, to manage floods.
– Floodable area for maximum floods. It is included
between the line of the previous flood and the one
produced by the maximum avenues considered,
(after its lamination in the dam). This area could
have a restrictive use, knowing that it can be an
affected area in extraordinary floods.
3 THE FLOOD MANAGEMENT SYSTEM
ADOPTED
Because of the urgent necessity existing in these river
basins to protect the existing goods downstream
dams, or at least not to get worse its situation by the
releases produced, a Flood Management System (FMS)
was developed. This system tries to make the security
of dams’ as structures (which must be preserved instead
of any other consideration) compatible with the dam-
ages caused by releases and natural flows downstream.
Figure 2. Affections and flows of river basin in the Órbigo River.
Therefore, it is necessary to use the information
registered in dams (evolution of its levels) and the
registered flows in every moment at the Control Points
previously defined. All that must be in direct commu-
nication with the dam operator.
The following reflects the operative which is
followed:
– When the dam level is below in relation to a level
denominated Volumetric Lamination Level (NLV),
the combination of the produced releases and the nat-
ural floods downstream, does not have to exceed the
maximum acceptable flow fixed value. In case that
natural flood produced by the sub-basin exceed the
mentioned maximum acceptable flow, releases will
not increase those values. For this reason, it will be
releasing with the following criteria:
• In ordinary floods, the maximum flow in the river,
combination of the released one and the natural
floods generated by the sub-basin downstream,
will not exceed the first risk threshold flow
(ALERT).
• In extraordinary flows, and as long as the NLV
will be not exceeded, releases in combination
with natural floods downstream, will be increased
step by step, as the dam’s level will reach certain
indicative levels without exceeding the EMER-
GENCY threshold flow.
214
To calculate the acceptable releases in each moment,
the flows forecast generated by the lower inter-river
basin combined with the releases carried out will
be used.
These forecasts are made after the historical floods
analysis corresponding to the hydrogram which are
referred to every seasonal period. This is based either
on registered slopes and maximum predictable flows or
in the application of the HYDROLOGICAL MODEL
from real time data.
– Once the NLV is exceeded, an automatic lamination
procedure is applied (Volumetric Evaluation Method
(MEV) or Dordogne method), so the combination
between releases and natural flood downstream
dams do not exceed the following:
• The flow value fixed which can not be exceeded,
that is the same as the defined misfortunate flow,
when natural flood have a lower maximum flow
than this threshold.
• The natural maximum flow value downstream,
if this threshold is surpassed.
• In any case the shelter level will exceed the NLV.
In Figure 3, this lamination method is outlined.
Due to the flow wave transfer caused by releases and
concentration times in each of the inter-river basin
downstream (usually lower than this transfer time), it
215
Figure 3. SGA methodological diagram.
Figure 4. Flood lamination limiting the releases to avoid
surpass the value of the downstream natural flow.
was necessary to introduce the hydrological and
hydraulic models into this computing application. This
generates the foreseeable flows and levels from the
data registered every moment in a specific meteoro-
logical scene, being able to choose between several
possible ones.
When releases from the dam occurred and are
combined with predicted flows and levels in these
control points, the maximum volume to be released at
every moment is defined.
The contemplated meteorological hypothesis were:
– Hypothesis 1: Rain in the upstream river basin (to
the first control point).
– Hypothesis 2: Rain in all the river basin (to the sec-
ond control point).
– Hypothesis 3: Without rain downstream the dam.
For hypotheses 1 and 2, the application allows as
well, to select the frequency of the adopted storm
designed in base of the precipitation registered in the
dam meteorological station.
Finally, the system calculates the resulting hydro-
grams for all the confluences defined in the Hydro-
logical Model. It also allows obtaining the levels in each
transverse section of the Hydraulic Model, extracting
216
Figure 5. Flood lamination limiting the releases to the
damage flow in PC1.
all the foreseeable affections, according to the adopted
decision, from the Affections Data Base.
The application generates, affections summary as
well as the complete listing of all of them; the available
times until the damage takes place; and the contact data
of owners or city councils.
4 FLOODS SIMULATION LIMITING
DOWNSTREAM DAMAGES
The application of this procedure minimizes the dam-
ages caused downstream, as it is possible to see in sim-
ulations carried out. Those damages are in one hand the
ones related to the project’s floods, and in the other
hand the dams’ extreme ones (considering dams’ maxi-
mum defence level). But those damages are also
referred to the ones of the registered historical floods,
usually taking place in dams with a level much lower
than the maximum safety levels.
The following figures show examples of some sim-
ulations carried out from registered floods in the Órbigo
River. They specifically are referred to floods from win-
ter months over 100 years of recurrence, defined as
Type II in the Operation Rules of Barrios de Luna dam.
The considered hypothesis is the one which is referred
to generalized rain in all the river basin (hypothesis 2),
in which the damage flows defined at that moment
were 100 m3/s in the control point 1 (PC1) and 140 m3/s
in the control point 2 (PC2).
In Figure 4 it is observed that natural floods,
downstream the dam, surpass those damaging flows.
Consequently, spills from the dam are calculated by
the method so they do not increase the resulting flows
in these points.
To demonstrate the influence of the damaging flow
in the method, in Figure 5, the management for the
same flood is represented being PC1 the limiting aspect
of it. For this reason, a larger damaging flow has been
assumed in the second control point PC2, increasing
it up to 250 m3/s. As a result, it is possible to observe
how approximately between the 96 and 230 hours, the
aim is to limit the dam spills to avoid surpassing
100 m3/s flows in the PC1.
5 CONCLUSIONS
The Flood Management System (FMS) developed is
based on the deep knowledge of all the factors taking
217
part in process: (i) Affluent floods as much as upstream
as downstream the dam; (ii) Water-drainage channel’s
capacity; (iii) Maximum safety levels allowed in the
reservoir; (iv) Circulating flows at every moment in
the installed Control points.
Although the decisions to take every moment depend
on the information received in real time, both defining
procedure parameters and the own shelters, are deter-
mine according to existing historical information.
While the reservoir evolves along a lower level than
the Volumetric Lamination Level (NLV), controlled
releases take place in order to avoid that the channel’s
hydraulic capacity will be surpassed in certain points.
Once the NLV has been surpassed, the denominated
Volumetric Evaluation Method (MEV) is applied to
ensure a proper administration of the volume available
at every moment in base of the considered time to
reach the Permitted Maximum Level (NMA).
The complete procedure is easy to systematize
using a COMPUTING APPLICATION which inte-
grates, the lamination process in the dam as well as the
hydraulic and hydrological models. This provides the
volumes to release and inform about possible affec-
tions that will take place as a result of those releases
and the own hydrological river basin’s situation itself.
 ts
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© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

The management of floodgates

J. Espinós Solís
Endesa Generación S.A. Civil Works Unit Coordinator, Aragón, Spain

ABSTRACT: An attempt will be made in this article to establish criteria for the management of floodgates,
by making use of the possibilities that current technology offers to improve safety, including automation, remote
control, etc. It will consider the question of manual, remote-controlled or automatic opening, analyzing the
advantages and risks, and reaching a compromise which minimizes the danger of negative effects downstream
from the dam. All of this will be turned into floodgate management criteria, for manual, remote-controlled or
automatic modes, and will control the consequences of accidental opening in such a way that the variation in
discharge time will not produce damages downstream. The flow itself is analyzed as well as its variation over
time. Criteria for those mountain dams which cannot always be reached is also featured, in which the incorp-
oration of an automated device could improve safety.

1 BACKGROUND 2 THE CURRENT SITUATION

In dams with floodgate controlled spillways it is neces-
sary to have clear criteria to manage them in a flood
situation.
Up until a few years ago this criteria took the form of
clear, specific instructions for the operating personnel,
which guaranteed as far as possible a safe procedure
both for the dam and its downstream riverbed. This was
done with the aim of facilitating the decision making
process in urgent situations.
Although this criteria showed both great prudence
and technical quality on the part of the engineers
involved, certain physical problems existed which could
complicate its application in certain situations. For
example, heavy downpours could make access to dams
in certain mountain areas difficult or even impossible.
In fact, on more than one occasion the access to dams
has been blocked due to landslides on approach roads,
precisely when it was very important to operate the
floodgates.
On occasions there have been attempts to solve the
problem of access using gates with counterweights
which open automatically when the level increases.
However, their undesired functioning could cause much
greater flow discharged than the quantities entering the
reservoir.
As a result, the perception was that the dam
caused negative consequences that would otherwise
not have existed, together with its associated risks and
responsibilities.
The increasing development of remote-detection,
remote-controlled and automation techniques favours
the idea of their use in floodgate management. One
has to be aware, however, that these techniques
may have a greater or lesser risk of failure, a risk
which is heightened in extreme meteorological
conditions.
Another point which should be borne in mind is
the reduction of staff levels being carried out by com-
panies due to current economic planning.
The challenge, and the objective of a management
plan should be to make use of the possibilities that
modern technology offers in order to improve the
security of dams and the effects they have.
Put another way, technology offers us a tool that we
can use however we choose to. The question therefore
is what to do with it. This paper will put forward cer-
tain criteria related to the operation of the elements of
discharge, with the stated objective of achieving the
application of present day technology which will
improve safety.
3 THE PROJECT
3.1 Objectives to be reached
The process will feature safety as its main objective,
in relation to two different points.

219
• The safety of the dam
On the one hand, the safety of the dam must be
guaranteed so that all that flows in runs through the
spillways.
• Safety in the riverbed downstream
The negative effects on the riverbed area down-
stream from the dam must not be greater than if the
dam did not exist.
In the same way it would be desirable, where pos-
sible, to maintain the discharge flows within certain
limits so as not to significantly affect buildings, instal-
lations, camp sites, etc, in the area.
Particular attention must be paid to the prevention of
sudden increases in flows which could take people in
its path, or the surroundings, by surprise, such as fish-
ermen, swimmers, sportspeople, etc.
3.2 Situation types
We will distinguish two situations which have clearly
different difficulties
3.2.1 Procedures involving a flood
In this case, having detected the necessity to open
spillways gates within a short time frame, either
because of meteorological forecasts, the expectation
of a particular release upstream, or a sudden rise in
the level of the dam, the safest system to carry out the
opening operation is devised.
3.2.2 Procedures in normal circumstances
In situations in which it is not normally necessary to
carry out a spillage, we must aim to ensure that the situ-
ation of the discharge elements, prepared for a spillage,
should that be necessary, does not provoke an invol-
untary flood, either due to a fault or to human error.
This becomes of greater importance when fisher-
man, swimmers, etc are present in the riverbed, some-
thing which occurs frequently in the holiday period or
the fishing season, to give two examples.
3.3 Considerations with respect to the riverbed
downstream from the dam
One aim will be to determine those flow values which
cause the flooding of buildings, camp sites, etc, which
may be inhabited or have considerable economic value.
In addition, it will be necessary to determine a flow
limit, and also the velocity at which it fills and repre-
sents a risk for those people found within its path.
In order to do this one should be able to count on a
sufficiently detailed topography of the riverbed which
serves as a base to carry out a simulation of the river’s
behaviour, both for permanent volumes as well as for
a gradual increase of the same. This simulation may
be carried out with the help of simulation models.
220
These studies should culminate in the consecution of
flow and opening law limits, which are to be respected,
as far as possible.
3.4 Procedural systems
The basic aim here will be to develop an opening
process which laminates a potential flood, and this has
already been considered in the manual procedure crite-
ria, through the help of the necessary technical support
to fully guarantee the safety of their implementation. At
the same time they have to contain the necessary safety
systems so that, under no circumstances, be it due to
human error or fault, can there be an increase in per-
sonal risk.
Once the need to open the floodgates has been estab-
lished the operation can be carried out in three ways:
Manually: This was the traditional situation.
Personnel are sent to the dam, they carry out the open-
ing following the criteria included in the operating
rules, and they remain on site to control the develop-
ment of the flood until it remits.
Automatically: Once the level detector identifies
the necessity to release it gives the order to open the
floodgate and controls it to regulate the level.
Mixed: This would be combination of the previous
two. It is conceivable to have manual opening together
with automatic regulation, with the presence of either
permanent or part-time staff at the dam.
In our opinion, a procedure of the latter type is the
most appropriate, if we take into account the follow-
ing points:
• Manual opening has the advantage that it is always
a conscious choice and therefore one avoids an ill-
timed and uncontrolled action, which can produce
an involuntary flood.
• When faced by particularly adverse meteorological
conditions, severe storms, landslides, etc, there is a
risk that the dam cannot be reached, or at least not
in time. In such cases it is possible that the flood-
gates could not be opened, and this might well have
significant consequences. It will be necessary to
think about how to deal with this risk. It is clear
that the consequences of being unable to open the
floodgates would generally be very different with a
concrete dam as opposed to a one made from loose
materials, a fact would be reflected in the final
solution.
• In order to make the two situations referred to here
compatible, it would be possible to employ auto-
matic or remote-controlled opening, up to a release
volume together with a release speed, permissible
downstream volume, or one that would not affect
those people in and around the river’s path, such as
fishermen, campers, etc, or would at least give
them sufficient time to move away. This would
 ensure that, in the case of an accidental opening,
significant damages would not be suffered. It
should be noted that risks of this type are greater
when the opening is least expected, such as when
there are favourable weather conditions down-
stream from the dam.
4 THE PROPOSED SOLUTION
The following solution has been proposed as a way to
make the circumstances treated here compatible:
• To establish an initial automated device connected
to a surface element (such as a gate with a counter-
weight, an inflatable dam, etc) with water level con-
trolled opening, a controlled flow which is not too
big, and sufficiently slow opening time so that the
repercussion in the riverbed does not create risks.
Additionally, due to it being a surface element there
would be no risk of it emptying unexpectedly, and
the discharge flow would be limited.
• Should the previous example prove impossible, but
it were convenient to automate one element which
could discharge a sizeable flow, it would be possible
to study a perfectly limited and controlled slow
opening speed, using a hydraulic device, for example,
with a perfectly limited flow, and with an opening
time designed to minimize risks downstream.
• The automatic devices which work on those elem-
ents that are capable of emptying significant flow
are to be used only once a river has sufficient flow
in order to be perfectly limited, and designed with
appropriate opening speed to minimize the risks
downstream, and to dissuade the presence of peo-
ple in the river bed and its surrounding area. These
automatic devices will be used from when the flow
is at a suitably high level in the riverbed, and
preferably to regulate the flood once it begins its
remission, so that any incorrect procedure will not
lead to risks downstream. At this point, we would
like to add that, although these devices may have
faults, so to does manual operation, and once the
risks of beginning an involuntary discharge are
accepted we can analyze whether the management
of a flood from a particular flow can be carried out
better by a good device or by a full time team.
• In order to reduce risks, the possible introduction of
criteria to operate with floodgates which are opened
temporarily by personnel, and those controlled by
automatic simultaneously. That is, to have one
floodgate emptying a fixed caudal while another
one regulates.
• It is clear that, in order to convert this general cri-
teria into a practical reality, it is necessary to consider
different data. We must know between which vol-
umes we have to establish the limits of the different
221
types of procedure. In order to achieve this we will
consider the morphology of the riverbed and both
its inflow and outflow hydrographs. This will be
used to evaluate the real possibility of carrying out
the release required, together with its consequences.
A particular floodgate opening speed will be set,
and the need to consider subsequent procedures
using other floodgates will be evaluated.
• It is necessary to establish the minimum flow level
at which risks will be produced, based on the most
suitable section of the riverbed in question. In
order to do this we will have to use certain reason-
able criteria on water depths, velocities, the speed
of lamination increase, etc.
5 PLANDESCÚN DAM
This criteria has been applied to the design of the
floodgate management system at the Plandescún Dam.
The dam is located above the river Cinqueta in the
Aragonese Pyrenees. It belongs to the Gistaín district,
in the province of Huesca. The dam, which has a cap-
acity of 432,000 m3 serves the Lafortunada Cinqueta
chute canal, which has 42 MW of power.
The inflowing bed measures 157,07 km2, with an
estimated return flood of 500 years in a flow of
379 m3/s, and a flood of 50 years in one of 259 m3/s.
Its overflow spillways system is made up by of 3
folding gates with the counterweight in the right mar-
gin, complemented by a sector floodgate in the left mar-
gin, crowned by a hydraulically operated folding gate.
The right margin valves fold in two stages, with each
one producing a caudal of 30 m3/s in the first stage. In
the second stage they are completely folded. Although
the discharge capacity of each one is 119 m3/s when the
dam is at its maximum normal working level, when
they function together hydraulic problems that are
found in both the discharge basin and the discharge
tunnel limit total flow discharge to 148 m3. This fact
was observed during the flood in 1992, and was
resulted in the construction of the left margin over-
flow channel. This has a capacity of 337 m3/s when
completely open, and with the dam at its maximum
working level. The discharge capacity of the totally
folding valve at its normal working level is 44 m3/s.
The riverbed between the dam and the confluence
of the river Cinca normally has a small flow. Here we
can find two camping areas and, as the river is popu-
lated by trout, it is popular in the fishing season.
Since flooding in campings area require a very
high flow, the decided criteria has been to define a
20 m3/s flow as the limit for the safety of fishermans.
With this flow it is possible to leave the river safely.
The most appropriate management procedure for
the existing installations has been studied.
 With both the management of the water and the
issue of safety in mind, the automation of the left mar-
gin valve has been planned, so as to give the maximum
guarantee that it will open when necessary. At the
same time, the caudal that causes an automatic open-
ing is limited and its effects on the riverbed down-
stream are acceptable. This flow limitation is achieved
by blocking two ends of the strokes in series. It may be
disabled manually from the operations room.
The left margin sector floodgate is also blocked,
and can only be freed in the extreme circumstance
where the volumes released by both the left and right
margin gates are not sufficient to empty the flood.
This strategy also includes the regulation of the net
flow entering the reservoir from the beginning of the
filling until its established limit is reached. This
represents the optimum use of the water. Regulation
maintains the level below that of the right margin
floodgates when folded, and therefore guarantees the
opening of the left margin folding gate until the first
222
flow discharge limit before the folding of the right
margin gate occurs.
Once sufficient caudal has been reached to warn of
the presence of strong flows, it is possible to unblock
the established limit with the end of strokes.
Once above this limit, in situations where there is
significant caudal discharge, the folding of the right
margin gate will begin.
Finally, were it necessary to drain a greater flow it
would be possible to open the left margin sector flood-
gate’s setting, thereby opening it to empty the excess
volume. This action would be rarely taken, only from
200 m3/s and above, which is a situation that is close to
that of a 50 year return period flood.
The complete opening of the left floodgate would
allow discharge of up to 337 m3/s, and if we add the
right margin caudal we would have a discharge cap-
acity of 457 m3/s, which is far greater than that of the
500 year return period flood.
 ts
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© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Role of outlet works in management and control of floods

G. Ciaravino
Department of Hydraulic and Environmental Engineering, University of Naples Federico II, Italy

ABSTRACT: In the regulation of outflow and in the control of flood waves there are numerous technical and eco-
nomic parameters in play, but the geometry and type of the outlet works is of fundamental importance. The present
paper examines the general criteria for choosing and sizing the outlet works of artificial reservoirs devoted to con-
trol and/or management of outflow. Moreover, the paper highlights particular aspects of the hydraulic operation of
some outlet works, studied on physical models complying with Froude’s laws of similarity, which are of interest
because of their optimal capability in flood management and the considerable cost savings that they enable.

1 INTRODUCTION The present paper examines the general design cri-

teria for outlet works of artificial reservoirs devoted
A parameter of primary importance is the choice of to flood control and management.
outlet work type for the role that dams play in manag- It also analyses the operation of some studied out-
ing and controlling flood events. let works, using physical models complying with
Normally, in choosing and sizing the outlet works Froude’s laws of similarity.
for a artificial reservoir devoted to the management
of outflow (intended for whatever use) care needs to
be taken to ensure: 2 GENERAL CRITERIA FOR DEFINING
OUTLET WORKS
– that reference is made to the conditions resulting
from the arrival of the greatest estimated flood
Normally the main outlets are made using fixed weir
finding the reservoir water level already at maxi-
crests and thus at successive t time intervals in the
mum useful reservoir level Yo;
flood rising phase, for the outlet flow rate Qu to increase
– that under no circumstances the water free surface
by Qu it is necessary for the head on the crests to be
in the reservoir can exceed a prefixed level Ymax,
assumed as the maximum flood level.
Moreover, in many cases the reservoir is to per-
form an active defence function by controlling floods
taken from an initial value h to a value h  h.
Consequently, the volume stored in the reservoir
above the maximum useful reservoir level Yo must
pass from the value W, corresponding to h, to the
in order to modify the potential flows (with a given value W  W, corresponding to h  h.
likelihood) to values that are compatible with hydraulic This means that in the successive time intervals
protection requirements downstream. t, the water volume Du and the mean flow rate
Achieving this reduction in the flood wave gener- Qu
Du/t discharged by the outlet works must be
ally requires detaining a volume of water Wmax above respectively lower than the inlet water volume De
the level Yo.
Therefore, if the reservoir is devoted to play a mixed
role (outflow management and active defence), when
the sizing operations have been completed it will be
necessary to compare the higher cost of the dam
structure with the saving obtained for the outlet and
downstream protection works, in order to choose the
most economical outlet works.
Therefore ability of the designer is to identify out-
let works that make it possible to reach this objective
in the best possible way.
223
and the mean inlet flow rate Qe
De/t into the
reservoir.
In practice, with a given overall weir length L, two
different situations may arise, which will hereafter be
referred to as A and B.
In situation A during the initial phase of the flood
event, the inlet water volumes in the reservoir make up
a considerable percentage of the flood flows into it.
Consequently there are marked differences between
the inlet flow rates Qe and the outlet flow rates Qu with
Qu  Qe.
 As we get closer to the flood peak, however, Fu-Te I 1939, 1940, Viparelli 1954, West 1974,
the volumes W detained in the reservoir become Wycoff & Singh 1976):
negligible compared to the flood volumes De
flowing into it: as a result, the outlet flow rate changes
and becomes practically the same as the flood
flow rate.
In other words, in this situation Qumax
Qemax.
In situation B the volumes detained in the reservoir
are greater than those in situation A and remain large,
in percentage, even in proximity of the flood peak.
The outlet flow rates Qu are much lower than the
inlet flow rates Qe, and reach the maximum value
Qumax  Qemax much later than the flood peak, when
the inlet flow rates Qe into the reservoir are already in
decreasing phase.
To come to the point, in this situation the flood
wave attenuation is obtained with a percentage reduc-
tion in the peak flow rate equal to RQ
Qumax/Qemax
which is certainly significant for the outlet work siz-
ing procedure.
In cases where situation A arises, as the maximum
outlet flow rate Qumax practically coincides with the
maximum inlet flow rate Qemax, the latter is directly
taken for reference: therefore the outlet works are
sized in such a way that under no circumstances does
the water free surface in the reservoir exceed a pre-
fixed level Ymax, assumed as the maximum flood
level.
Between the level Ymax and the maximum dam
height, a difference  is left (for safety) which pro-
vides guarantees in the event of any wave motion
occurring on water free surface of the reservoir.
It is also important to take into account the relia-
bility of the estimate of Qemax which is strictly corre-
lated to the basic data from which the estimate has
been deduced.
It cannot be excluded that such Qemax value may be
an underestimate and that, consequently, the actual
hydrological quantities may assume higher values than
the estimated ones.
It has to be admitted that there is a risk that the val-
ues assumed by the hydrological quantities may be
exceeded in the occurrence of exceptional rainfall
events.
In technical practice, this is once again taken into
account when establishing the appropriate difference
 between the maximum flood level Ymax and the
maximum dam height.
In short, when the height of the weir crest hmax

Ymax  Yo varies, both the weir length L (so that with
the head hmax
Ymax  Yo weir length L is able to
discharge the flow rate Qumax
Qemax) and the height
to be assigned to the dam wall vary.
It follows that a correct sizing of the outlet works
requires two problems to be solved (Bacchi et al.
2002, Chow et al. 1988, Ciaravino & Viparelli 1981,
Guo & Adams 1999, Marone 1964, 1971, Posey &
224
– a hydrological problem, in order to obtain as reli-
able as possible an estimate of Qemax;
– an outlet work sizing problem, in order to determine
the pair of values to be assigned to L and Ymax.
Typically, in situations of type A, tackling the first
problem from a probabilistic view point Qemax is
assumed equal to the maximum value QTr that the flood
peak flow rate Q can assume once every T years with a
risk r, with values of T and r fixed as a function of the
type of dam and the safety coefficients that must be
ensured vis-à-vis the area downstream of the reservoir.
Solving the second problem initially requires choos-
ing types of weir(s) that make it possible to obtain the
functional requisites with the minimum expense.
These two problems are substantially different in
cases where, as situation B arises, the reservoir capac-
ity can be counted on to reduce the flood wave.
From the hydrological viewpoint, there is little
interest in estimating the maximum flow rate QTr cor-
responding to assigned values of T and r, but possible
flood hydrographs Qe(t) has to be assessed and, in
particular, the peak flood flow rate Qemax and the
overall outflow De characterising each hydrograph in
an event with a likely occurrence once every T years
with a risk r.
In other words it would be necessary to deduce the
probabilities that must correspond to each of the vari-
ables Qe and De for the event in which they occur to
simultaneously correspond to the assigned values of
T and r.
This gives rise to a problem for which an answer
cannot always be easily found.
Similarly, the problem of sizing the outlet works
becomes more complicated.
Once the flood hydrographs, and hence, Qemax and
De, have been fixed, the variables Ymax and L receive
a further unknown in the value to be fixed for the
maximum sizing flow rate Qumax.
Still assuming that fixed weir crests are being used,
this problem can be solved by successive attempts
(Ciaravino & Viparelli 1981).
In order to reduce the flood wave in situation B, it
is necessary to detain, above the level Yo, a water vol-
ume Wmax representing a percentage P
Wmax/De of
the overall flood outflow De markedly greater than in
situation A.
To detain the volumes of water required, the water
surface must be raised above the level Yo by a quan-
tity inversely proportional to the surface SL of the
reservoir at level Yo.
On the other hand, with all other conditions remain-
ing equal, the greater the surface SB of the subtended
basin, the greater the total flood flow De.
 Consequently, the maximum rise hmax
Ymax  Yo
between maximum flood level Ymax and level Yo,
needed to guarantee a given reduction ratio RQ

Qumax/Qemax, decreases as the SL/SB ratio increases.
It follows that in fixing Qumax we can count on an
acceptable reduction in the flood wave only when the
SL/SB ratio is sufficiently large (at least greater than
1/50 ÷ 1/60).
Only in this case does the greater height that has to
be assigned to the dam (to enable the necessary rise in
Ymax  Yo required by the reduction effect) entail an
increase in costs, although this will certainly be com-
pensated by the saving made on the outlet works as the
flow rate Qumax decreases.
Counting on the reduction effect even becomes the
only, technically acceptable, solution when the ratio
SL/SB assumes high values. In this case, creating situ-
ations of type A would require extremely long weir
crests, which would entail an additional expense for
the weir.
Such additional expense (added to additional expense
deriving from need to proportion the remaining parts
of the outlet works to the maximum flow rate
Qumax
Qemax) would certainly not be compensated
by the lower cost of the dam structure.
3 LAYOUTS OF OUTLET WORKS FOR
RESERVOIRS OF OUTFLOW CONTROL
AND MANAGEMENT
The simplest layout (defined layout 1) referred to is
equipped only with surface outlets with fixed weir
crests, whose discharge hydrograph is obtained from
an expression for calculating the outlet flow rate Qu as
a function of the head h, such as Qu
c h3/2 (with c
substantially a function of the system geometry and
the head h).
In this case it is clear that in order to discharge a
flow rate Qu which is modest in percentage terms
compared to the maximum flow rate envisaged Qumax, it
will be necessary to store a volume of water Wi which
is not negligible in percentage compared to the maxi-
mum storable volume Wmax.
On the other hand, it is also clear that the flow rate
at the inlet of the reservoir, when the flood is increas-
ing, is still far from the flow rates requiring flood con-
trol intervention.
Basically, a non-negligible percentage of Wmax
would be involved when faced with inlet flow rates Qe
far from the maximum Qumax which can be discharged
downstream.
Bearing this in mind, in order to minimize the stor-
age capacity Wmax involved above Yo for the same
percentage reduction effect RQ
Qumax/Qemax, and
therefore for the same value of Qumax, it is worth min-
imizing or perhaps cancelling Wi.
225
Ability of the designer is again to identify, as an
alternative to the type 1 layout, outlet work layouts
that allow this objective to be reached.
Indeed a second layout (layout 2) can be identified
with again only surface outlets with fixed weir crests
and where, in particular:
– these crests are given a sufficient length to enable
them to discharge flow rates up to a value Qo which
is only slightly lower than Qumax already with mini-
mal rises in water h and, therefore, with a minimal
involvement of the storage capacity available
above the level Yo;
– a suitable control section is inserted in the parts of
the outlet downstream from the crest that, by creat-
ing motion conditions that cause submerged weir
crest as soon as the spilled flow rate exceeds Qo,
restricts the increases in the flow rate Qu until
Qumax is reached for Y
Ymax.
A weir discharge hydrograph is obtained which is
characterized by:
– an initial section, for Q  Qo, in which, under free
flow conditions, the flow rate (varying as a func-
tion of the 3/2 power of the head h on the weir
crest) rapidly reaches the value Qo involving a very
modest height of the stored volume Wmax;
– a second section, for Qo  Q  Qumax, in which,
with submerged weir, the discharge increases very
little as the head h and the involved volume W
increase.
Figures 1 and 2 report two possible layouts of type
2 (layout 2a in Figure 1 and layout 2b in Figure 2),
with relative type discharge hydrograph.
A third layout (layout 3) envisages sluice gates that
allow water to be detained up to the level Yo and
Control section
Weir crest
Y0
Gutter channel
Discharge conduit
Y
Ymax
Y0
Q0 Q
Qu max
Figure 1. Layout 2a.
 Weir crest Weir crest
Y0 Y
Ymax Ymax
Y0 Y0

Intermediate
outlet
Y Yi Yi
Sluice gates Q0 Qu max Q
Ymax

Y0
Q0 Q Discharge
Qu max tunnel
Control section

Figure 4. Layout 3b.

Discharge
tunnel exceeds the level Yo), the following objectives
are met:
Figure 2. Layout 2b. – discharging of inlet flow rates up to the maximum
value Qo with water in the reservoir fixed at the
level Yo and, therefore, without involving the stor-
Weir crest Sluice gates
age capacity destined for flood wave control;
Y0
– containment of the discharged flow rate within the
prefixed value Qumax when the water in the reser-
Y1 voir has reached the level Ymax and, consequently,
the whole capacity Wmax reserved for flood control
Gutter channel has been committed.
Discharge conduit
Y The difference between the two solutions lies in
Ymax the head value on the weir crest for Y
Ymax:
Y0
– (Ymax  Y1)
(Ymax  Yo)  (Yo  Y1), in layout
Y1 3a in Figure 3;
Q0 Qu max Q
– (Ymax  Yo), in layout 3b in Figure 4.
Figure 3. Layout 3a. For equal values of Qumax and Ymax, that is in layout
3a, it would be necessary to assign the weir with a
which are automatically activated as soon as the water shorter length than in layout 3b.
level exceeds Yo so as to discharge a given flow rate In particular, with La and Lb respectively indicating
Qo without the water rising in the reservoir. the two lengths and ignoring any small differences
As shown in Figures 3, 4, the layout can be set up: there might be between the discharge coefficients a
and b, finally it would be:
– either again envisaging only surface outlets with a
weir crests at level Y1  Yo and having automatic
sluices or floodgates that guarantee water deten-
(1)
tion up to the level Yo (layout 3a in Figure 3);
– or combining surface outlets with fixed weir crest
at level Y
Yo, bottom outlets or intermedi-
ate outlets (outlets at a height somewhere between In conclusion, it should be noted that adopting lay-
the bottom and the surface outlets) fitted with out 3a generally envisages larger sized sluice.
automatic sluices or floodgates (layout 3b in Furthermore, apart from the outlet work layout
Figure 4). used, precautions should be taken against the risk that,
with the water in the reservoir already at level Yo, val-
With both solutions, when the sluices and flood- ues of Qemax and De greater than those envisaged
gates working (as soon as the water in the reservoir might occur.

226
4 HYDRAULIC OPERATION OF OUTLET
WORKS FOR RESERVOIRS OF OUTFLOW
MANAGEMENT AND/OR CONTROL
The hydraulic operation of outlet works of types 2 and
3 has been studied on physical models complying with
Froude’s law of similarity set up at the Department of
Hydraulic and Environmental Engineering, University
of Naples Federico II.
In particular, of the various models studied, here
some significant results regarding the examined 2a
and 3b layout models are reported.
Layout 2a has been studied on a scale model
1/
1/35 compared to the envisaged prototype
comprising:
– a straight weir crest;
– a gutter channel followed by a venturimeter-shaped
section containing baffle plate for flow rate lim-
itation;
– a connecting chute spillway between the venturi-
metric section and the discharge tunnel.
The venturimeter-shaped section and the baffle
plate for flow rate limitation effectively form a control
section which, by making the weir crest submerged,
starting from an assigned flow rate value Qo  Qumax,
limits the increases in the flow rate Qu until it reaches
Qumax (equal to 250 m3/s in the prototype) for
Y
Ymax.
In conditions where the weir crest is not submerged,
the experimental tests showed that the formation of a
longitudinal vortex with a horizontal axis in the gutter
channel, which gives rise to agitation phenomena that
propagate to the venturimetric section.
This phenomenon makes it difficult to identify the
position and height to be assigned to the baffle plate
in order to guarantee that the weir crest is submerged.
As a preliminary step, the baffle plate has been
positioned in the terminal part of the venturimetric
section at a height equal to that reached by the mean
water profile experimentally measured for the flow
rate Qo for which the beginning of weir submergence
is envisaged.
The tests carried out in these conditions, however,
have showed that when the water height in the gutter
channel is kept below the weir crest submergence
level, the limiting effect of the baffle plate is exerted
for flows greater than those envisaged. Moreover, low-
ering the baffle plate below that of the height of the
above-mentioned mean water profile has caused sub-
merged weir phenomena, because of stream agitation,
even for flow rates lower than the pre-established one.
This anomalous and undesired operation was elimi-
nated, following a series of tests, by raising the bot-
tom of the venturimetric section and reshaping the
chute spillway section connecting it to the discharge
conduit. By using this technique, it has been possible
227
Control section
Weir crest
Y0
Gutter channel
Discharge
Y conduit
Ymax
Y0
Q0 Q
Qu max
Figure 5. Model of modified layout 2a.
to create (by raising the bottom by 1.75 m in the pro-
totype) water levels in the collecting channel that
have been practically identical to the weir submer-
gence limit and, above all, the agitation phenomena
propagating in the control section have been drasti-
cally reduced.
The outlet work, brought back to the initially envis-
aged operation, is schematically reported in Figure 5.
Layout 3b was studied on two different reduced
scale models 1/
1/50 and 1/
1/25 of the proto-
type (in which Qumax
500 m3/s).
The first model (
50), sketched in Figure 6,
reproduces the outlet work overall and comprises:
– a weir crest along an arc with a centre angle of
120°, which constitutes the surface outlet proper;
– four orifices fitted with sluice gates below the weir
crest of the surface outlet, which constitutes the
intermediate outlet;
– a vertical shaft which collects the flows discharged
by all the outlet works and channels them into the
outlet tunnel.
The second model (
25) reproduces one of the
four orifices in the intermediate outlet and can be
seen again in Figure 6 (thick line).
Interest in the particular outlet work studied lies, on
the one hand, in the fact that it is made up of two dif-
ferent outlets (surface and intermediate outlets) which
enable optimal management of the effect of flood con-
trol in a reservoir and, on the other, in the fact that these
two outlets are combined in a single structure. These
two circumstances enable a considerable saving in the
construction costs of the outlet works, the transport
works and the dissipation and river defence works.
The tests on the two studied models have made it
possible to identify the stream control sections and to
evaluate the main parameters needed for verification
and hydraulic sizing of the structure (Ciaravino 2004).
Figure 7 reports the diagram Q(h) obtained experi-
mentally with the intermediate outlet open and closed.
In particular, the law Q(h) obtained for the surface out-
let (intermediate outlet closed) returns an discharge
 PLANT

SECTION X-X
Intermediate
outlet

SECTION Z-Z

Y0=15.30

Sluice
gates

Yi =0.00

X X
Yf =-5.70
Intermediate
outlet

Figure 6. Model layout 3b.

228
 25.00
20.00
15.00
h [m]
10.00
5.00
0.00
0.00 100.00 200.00
Q [m3 / s]
Figure 7. Experimental diagram Q(h).
coefficient S higher than the value 0.5 and which is
on average equal to 0.532.
Moreover, under these operating conditions, the
crest head h (hence the level of water in the reservoir
above Yo) is (in the prototype) almost 1 m higher, for
the same discharged flow rate, compared to operation
with the intermediate outlet open.
This result highlights, on the one hand, the impor-
tance of the intermediate outlet in reducing the flood
and, on the other, the need to make carefully pondered
choices in defining the outlet works so as to contain the
difference  between the maximum flood level Ymax
and the maximum dam height within acceptable limits.
Two possible operating phases have been identified
for the intermediate outlet: phase 1 with orifices oper-
ating as weirs; phase 2 with orifice operating under
pressure (Fig. 7).
Therefore, the most interesting law Q(h) clearly
seems to be the one referring to operation with the
intermediate outlet open.
It is possible to notice that this curve Q(h), obtained
with increasing and decreasing heads, can be subdi-
vided into three distinct branches (Fig. 7).
The first two branches represent the law for opera-
tion of the intermediate outlet alone, respectively with
weir outflow (phase 1) and under pressure outflow
(phase 2).
The third branch represents law Q(h) when the
water free surface exceeds Yo and the surface outlet
comes into play.
The discharge laws point out that the flows dis-
charged by the intermediate outlet, for every value of
229
Intermediate outlet open (Phase I - Branch 1)
Intermediate outlet open (Phase II - Branch 2)
Intermediate outlet open (Phase II - Branch 3)
Intermediate outlet closed (Spillway working)
300.00 400.00 500.00 600.00
the head h, depend on the dimensions assigned to the
orifice inlet sections only during phase 1 of operation.
Whereas in phase 2, the flow rates depend on the
dimensions assigned to the final section of the pipe and
the actual head is equal to the difference between the
supply level Y and the height Yf of the final section of
the pipe, taking head losses into account. Indeed in both
phases, a non-negligible role is played by head losses in
the inlet section, where the sluices are also housed.
Therefore, evaluating the losses in terms of kinetic
head, the loss coefficients KI and KII have been deter-
mined for the two phases, respectively, being on aver-
age equal to 0.264 and 0.912.
In phase 2, for the pipe final control section an dis-
charge coefficient  F equal to 0.937 has been also
evaluated.
Again in the tests conducted on model II, it was
determined that:
– in phase 1, under weir operating conditions, the
stream adheres continuously on the bottom in all
sections of the discharge pipe;
– in phase 2, under pressure, the piezometric heads
along the pipe vary inversely to the increases
which, because of the reduction in cross sections,
are gradually subjected to the mean velocities V
and kinetic energy V2/2 g.
Finally, the tests performed on model I have
showed a sufficiently regular hydraulic operation in
the vertical shaft and in the section leading to the tun-
nel, with an aerated stream in the upper part but prac-
tically compact near the bottom.
 Moreover, for the same discharged flow rate, a bet-
ter operation is achieved when the intermediate outlet
is also working. Indeed, the stream coming from the
surface outlet, adhering on the stream coming from
the intermediate outlet (and in a certain sense being
drawn along by this one), flows into the tunnel in
much more regular motion conditions.
5 CONCLUSIONS
In conclusion it should be noted that, regardless of the
chosen outlet work layout, it is necessary to take pre-
cautions against the risk of Qemax and De assuming
values greater than those envisaged when there is
already water in the reservoir at level Yo.
Under this premise, a comparison of the discharge
hydrographs reported in Figures 1, 2 and in Figures 3,
4 immediately shows how, in order to obtain a marked
increase in the flow rate compared to Qumax, if a type 2
layout is adopted, it would require much larger water
levels above Ymax than the other layouts examined.
Consequently, mindful of the repercussions
regarding dam height, layout 2 would require a fur-
ther outlet for emergencies with a fixed spilling
height at level Ymax.
Whereas layout 3, which appears to be of consider-
able technical and economic interest, could incorpo-
rate any higher value of the head h in the safety rise
of dam height.
This precaution should also be sufficient against
the risk of the sluices or floodgates failing to operate,
for whatever reason, during a flood when the level in
the reservoir is already the maximum useful level Yo.
In fact, given the technological progress made with
this equipment, such a circumstance seems reasonably
unlikely because a flood should occur, at the same
time, whose Qemax and De values are greater than those
estimated exactly when the water in the reservoir is
already at level Yo.
The need for an emergency outlet generally disap-
pears when, in addition to the surface outlet tunnel, a
second tunnel also needs to be built in order to:
– divert floods during dam construction;
– obtain bottom outlet;
– derive waters during reservoir working life.
In this case, the second tunnel ends up also being
used for discharging floods by creating two spillways
and not one.
Consequently even when both weirs are fitted with
sluices, we can substantially exclude the possibility of
them both failing during a flood event.
230
It does not seem pointless to underline that when the
outlet tunnel is very long, such that its cost makes up a
considerable share of the spillway overall cost, as soon
as the subtended basin has a sufficiently large surface
SB, it might be worthwhile to split Qumax between two
spillways and, therefore two tunnel (of suitable cross
section), regardless of any other requirement.
In fact, discharging Qumax by means of two outlet
tunnels (economically convenient) instead of one
might result in a saving that would compensate for the
added expenses borne to double also the other parts of
the outlet works; moreover a system having a higher
degree of safety would be obtained.
REFERENCES
Bacchi, B., Grossi, G. & Ranzi, R. 2002. Un metodo semi-
probabilistico per il dimensionamento di una vasca di
laminazione. XXVIII Convegno di Idraulica e
Costruzioni Idrauliche. Potenza.
Chow, V.T., Maidment, D.R. & Mays, L.W. 1988. Applied
Hydrology. Mc Graw Hill International Edition Civil
Engineering Series. New York.
Ciaravino, G. 2004. Il funzionamento idraulico di una parti-
colare opera di scarico per serbatoio artificiale con lami-
nazione delle piene. 29° Convegno Nazionale di Idraulica
e Costruzioni Idrauliche. Trento.
Ciaravino, G. & Viparelli, R. 1981. Opere di scarico per ser-
batoio artificiale a uso promiscuo, con laminazione delle
piene. Parte I (Criteri generali di progettazione),
Pubblicazione n.423 Dipartimento di Ingegneria
Idraulica ed Ambientale G. Ippolito. Napoli.
Guo, Y. & Adams, B.J. 1999. An analytical probabilistic
approach to sizing flood control detention facilities.
Water Resources Research, Vol. 53 (8), 2457–2468.
Marone, V. 1964. Calcolo di massima dell’effetto di
laminazione di un serbatoio sulle piene. L’Energia
Elettrica, n.10.
Marone, V. 1971. Calcolo di massima di un serbatoio di lam-
inazione. L’Energia Elettrica, n.9.
Posey, C.J. & Fu-Te, I. 1939–40. Additional Remarkson
Functional Design of Flood Control Reservoirs. Investi-
gation of the Iowa Institute of the Hydraulic Research.
Posey, C.J. & Fu-Te, I. 1940. Functional Design of Flood
Control Reservoirs. Paper n.8093 Transaction, vol.
105, 1638.
Viparelli, C. 1954–55. Scarichi di superficie per serbatoi arti-
ficiali. Corso di specializzazione in Geotecnica. Napoli.
West, M.J.H. 1974. Flood control in reservoirs and storage
pounds: A discussion. Journal of Hydrology, 23, 67–71.
Wycoff, R.L. & Singh, U.P. 1976. Preliminary hydrologic
design of small flood detention reservoirs. Water Resources
Bulletin, 12, 337–349.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Exploitation of the inactive dam. Optimization system of water intake.

Floating intake, components, functioning and its application to water
intakes

A. Colmenarejo González
ICIA, Ingeniería y Consultoría, S.L., Spain

J. García Orna
INHISA Hidráulica S.A., Spain

ABSTRACT: The article describes the exploitation of the capacity of an inactive dam, and the application and
uses of floating intakes in the water intake. It deals with the “Exploitation of an inactive dam. Optimization sys-
tem of water intake. Types of floating intakes in the water intake”, what besides improving the quality of water,
reduces the cost of its depuration becoming beneficial in all the areas (supplying, irrigation, ecological flow,
etc.). The exploitation of the inactive dam would be carried out by means of a pump installed in the head of
floating intake, making it possible the intake at different levels, improved the water quality. This type of system
can be found in the floating intake of the Dam in Alfilorios (Asturias).

1 INTRODUCTION This article describes the “Exploitation of the

Floating intakes are component elements in the water
intake equipments for dams in special situations due to
its distribution in the different parts of water-drainage.
Application is based on the improvement of water
taking with optimal quality due to different reasons,
among them the range of temperatures (water tem-
perature decrease 1°C per meter approximately), % of
sediments volume, levels of pH, turbidity (NTU),
DQO(mg/l), DBO5(mg/l), Silica (mg/l), Sodium (mg/l),
Potassium (mg/l), Calcium (mg/l), Magnesium (mg/l),
Ammonium (mg/l), Nitrate (mg/l), Nitrito (mg/l),
Bicarbonate (mg/l), Chloride (mg/l) Sulphate (mg/l) and
Phosphate (mg/l).
These parameters must be controlled in order to opti-
mize of the water intake, and so the system improves
largely the water quality for its different uses. In this
moment the improvement of water quality of a dam for
the supplying or irrigation is carried out by means of
purification processing with a high cost. The floating
intake reduces the processing because the water has a
better quality due to having being taken at a level where
temperature and % of sediments volume are less.
Something characteristic of the floating intakes is
that they are capable of water intake at different levels
depending on the water characteristics of the dam with
the joint of transitions to the mouth of the intake or by
means of a bracing a funnel to the wall of the dam.
inactive dam. Optimization system of water intake.
Floating intakes, components, functioning and its
application to water intakes” that combines both, the
advantages of having an alternative of better water
quality and the simplicity of assembly that supposes
no draining processing of the dam in some cases.
These “floating intakes” follow a design of INHISA
HIDRA’ULICA S.A.
2 DESCRIPTION OF THE MAIN ELEMENTS
2.1 Generalities
“Floating intakes” are planned to improve the water
intake quality, they have a reinforced structure in auto-
resistant stainless steel and so it is not necessary any
special maintenance in terms of corrosion. The main-
tenance, in fact, is reduced to the control of the eleva-
tion /descent action of the head in the pontoon and to
the pumping mechanisms in case of existing.
The floating intake has a pipe with a head on the top
end that, either by differences in pressure or by pump-
ing, supplies through the intake or the bottom water-
drainage depending on the case.
The level at what the floating intake makes the
water intake depends on the level of the dam and the
on the correspondent hoist mechanism installed in
the pontoon.

231
Figure 1. System of floating intake to different levels of
the dam. Dam in Alfilorios.
2.2 Components
The components of a floating intake equipment may
vary according on the hydraulic scheme of the dam,
the existing problems and the supplying needs. Next we
will describe the constitutive elements of the “Floating
intake” of the dam in Alfilorios:
– Pumps: A three pumps system with enough cap-
acity to overcome the intake opening level.
– Pontoon or floating surface: In charge of keeping a
level of reference with respect to both, the arm and
the head of the pump.
– Articulated Arm: Tubular structure that will keep
an suitable range to get the rank of the take.
– Joint (hinge): Complex area of joint between the
arm and the impulsion pumps that allow the turn of
this one.
– Impulsion pipe: It consist of 3 pipes (usually in
stainless steel), with different structures (even
floats to reduce the weight of the set).
The floating intake of the dam in Alfilorios has a
floating surface joined by means of an articulated arm
of 30 m long connect to the low taking, through a piece
of horizontal pipe (600 mm of diameter).
The most usual materials to built it (for the main
elements), are stainless steel for pipes and reinforce-
ments of them, carbon steels for the funnel and the con-
nection shield screen of the mouth. Screws and other
elements of join will be made of stainless steel. The
different elements are calculated to resist the max-
imum hydraulic pressure. All the mentioned elements
232
Figure 2. Graph of volumes based on the level and the vol-
ume of the dam. Calculations made for the dam in Alfilorios.
have a special design according to the characteristics
of the dam.
2.3 Pumps
At the final end of the arm there will be a set of 3
sinked pumps, with capacity each one of them to sup-
ply approximate flow of 75 l/s at a maximum height
40 m. On the one hand, the three pumps have a reten-
tion system in order to be able to supply flow each one
of them independently, to avoid communication among
them. On the other hand, they are connected in such a
way that they may work alternatively to prevent from
excessive consume and providing a much more bal-
anced wear.
This implies a longer duration of them and so of
the intake set.
To control the pumped flows and adapt to var-
iations in the dam level, pumps are activate by means
of frequency oscillations that can be controlled
according to the supplied information of an electro-
magnetic flowmeter placed in the intake.
2.4 Pontoon or floating surface
The pontoon (or floating surface) consist of two
floaters built in stainless steel AISI 304, of 1,5 m
Figure 3. View of the head of floating intake of the dam in
Alfilorios. System of pumping.
Figure 4. Views of the pontoon. Dam in Alfilorios.
inner diameter and 9 m long in polyurethane foam.
These floats are connected by a bridge also made in
stainless steel AISI 304. Platforms in wood are placed
on top of the floats, with a railing made of stainless
steel banisters and stainless steel cable.
The floating system is prepared as support area for
the head of pumping, getting an area where placing a
hoisting system (by means of chains) of the head and
placing the intake at the desire level.
This floating surface (pontoon) is specially designed
to maintain a correct level of the pumps, obtaining at
any moment a supply of better quality water. To rest,
the pontoon in a low dam, a platform in concrete has
been prepared.
The floating surface has to be designed and meas-
ured so that in case of failure of any of the pumps, the
maintenance operations can be simple.
2.5 Articulated arm
The articulated arm, 30 m long, is a lattice structure
with four longitudinal tubes, two of them at the top with
14 use to conduct water, and the other two at the bottom
233
Figure 5. View of the set.
with 6 prepared for electric cables. These elements are
connected with tubes of 2fi and consoled. The end of
the taking side, is joined with 16 bridles to the articu-
lation and this will be connected to a concrete stretch.
The end of the pontoon side, ends up in a 20pipe
to which, by means of bridles, are joined two taking
grates with two retention valves and two 54 Kw pumps
to be sunk with butterfly and retention valves. The
hooking ears of the chains and two supporting legs are
in this side. Apart from the pumps and some other ele-
ments related to two valves, all the elements are made
of stainless steel AISI 304. Pumping nominal capa-
city is 500 l/s.
2.6 Joint
One of the most significant parts to take into account
in the intake is the joint (hinge), because it is the most
complex element of the facility.
The joint has mainly three functions that at first
sight may seem incompatible:
1. To allow the turning movement of the arm at dif-
ferent levels.
2. To resist axial strengths and moments due to the
arm itself.
3. The two previous functions without missing effect-
iveness in the impulsion of water.
The turning movement of the arm is got through
the joint of the three main pipes of the intake arm to a
common axial axle. This axle will have three inde-
pendent turning units, from which water from each
unit will be impelled to a pipe.
The axial strengths and moments originated by the
intake arm will be balanced in three ways:
1. Reinforcing and increasing the size and thickness
of the pipe that works as turning axle, what will
increase its moment.
Figure 6. View of the joint system. Dam in Alfilorios.
Figure 7. Scheme of the joint. Dam in Urdalur.
2. Building a concrete connection of the pipes in the
turning axle: Two side connection that will be
receive the bigger efforts and moments, and other
two in the middle also in concrete, to separate the
three turning units.
3. Placing the connection reinforcements of the pipe
in the arm with the turning unit, critical area of the
articulation.
The piece of conduction between the pontoon and
the Ø600 pipe consist on two pieces of Ø400 pipe
connected to the last mentioned of trousers type.
2.7 Pipes of impulsion
This Ø600 pipe laid horizontally on the air or in water,
is supported on concrete block and drives water to the
low intake to which it connects through a 700 mm
transition. The Ø600 pipe is provided with a stretch-
ing joint to resist deformations.
All pipes components, bridles and accessories, are
made in stainless steel AISI 304.
234
Figure 8. View of the pipe supported on concrete cube.
Dam in Alfilorios.
Figure 9. Design of the floating intake. Dam in Alfilorios.
3 APPLICATION OF IT FLOATING
INTAKINGS, IN DAM
As mentioned before, advantages of these valves, in
these applications, are mainly these:
(a) Possibility to water intake even lower than the
intake level.
(b) Possibility of exploit inactive flow.
(c) Improvement of water quality with the implied
advantages.
Water intake could be made because gravity (level
higher than the intake, like in the dam in Urdalur), or
by means of a pumping system (installed in the head
of the floating intake, like in the dam in Alfilorios).
As the intake can be done even lower than the level
of the intake, it could be even possible to do it lower
than level of the bottom water-drainage, exploiting,
so, the dead flows of the dam to use is as ecological
flow or supplying, as long as the levels of muds are
controlled an between allowed limits.
Knowing the characteristics of water at different
levels, it is possible to choose the level for intake
through the floating intake. This would improve water
quality and consequently would reduce the cost of
treatment for supplying.
Figure 10. Scheme of the possible positions of the floating
intake of the dam in Urdalur.
4 EXAMPLES OF ACCOMPLISHMENTS
4.1 Introduction
Now, descriptions of some applications of these float-
ing intakes in water intakes and water-drainages of
bottom in dam:
– Dam in Alfilorios (Asturias).
– Dam in Urdalur (Navarra).
– Dam in Baños (Cáceres).
– Dam in Alcántara (Cáceres).
– Dam in Iznájar (Córdoba).
4.2 Examples of floating intakes
In the dam in Urdalur, the floating intake is connected
to the lower intake of the right pipe by an articulated
mouth trousers type. The arm is Ø500 pipe of about
39,00 m long.
The pontoon is placed between the levels 644,00
and the 624,00 m.s.n.m., and the intakes takes place at
3 to 6 m lower than the dam level, guaranteeing a bet-
ter supplying water quality.
The floating intakes of the dam on Baños and
Alcántara have similar characteristics to Alfilorios
intake.
The dam in Iznájar, due to its enormous capacity
(980 hm3), is supposed an absolute guarantee even in
the driest years.
It is largely the biggest Andalucía and it is located
in the Genil basin. The intake is done with a Ø400 mm
and 30 m long drill through the concrete wall in the
deviation tunnel. On the other side of the dam there is
a floating intake made of a Ø600 and 50 m long flexible
hose, that allows the regulation of the intake depth.
At the end of the tunnel there are two pipes
(Ø400 mm) up the Elevator Stations I and II. Water is
driven from there through two pipes 1.135 m long (Ø400
and 700 mm) to the ETAP. They have to overcome a
235
Figure 11. View of the pipe and the head, before its assem-
bly of the dam in Urdalur.
height that may vary from 90 to 160 m depending on
where the water line of the dam is. There is a power
energy of more than 2.000 Kw installed to make this
process (300–600 l/s).
The water obtained from the dam in Iznájar is good
in terms of organoleptical characteristics and it has a
upper-intermediate mineral composition. Before being
distributed, this water is treated in the Iznájar ETAP,
which is designed to a nominal flow of 600 l/s.
4.3 Dam of Alfilorios
4.3.1 Generalities
The dam in Alfilorios is placed at the Barrea river, in
the limit that parts the municipal areas of Morcín and
the Ribera de Arriba, both of them in the Principado
de Asturias.
The dam in Alfilorios is thought to control the nat-
ural contributions from the Barrea river, the surpluses
from Aramo deviation and those contributions from
the Mortera stream, through the water transference,
to exploitation the supplying of water of the city of
Oviedo.
It is a dam made in limestone breakwater with a
waterproof concrete blind on a plinth or spike gate.
The plant is straight.
It occupies an area of 4,43 Km2, its capacity is
8,156 Hm3 and its completion length is 171,00 m, the
completion width is 8,75 m.
There is a permanent edge side overflow channel
20,00 m length. With a return slide to the river. The
bottom water-drainage has two Ø0,70 m pipes, con-
trolled by Bureau valve 0,70  0,90 m.
The water intake has two levels. The Ø0,70 m top
one is controlled by Bureau valve 0,60  0,65 m, and
a Howell-Bunger valve Ø700 and the bottom intake is
controlled by Bureau valve 0,60  0,65 m and float-
ing intake.
 The floating intake was made during works the
conditioning works of the dam in Alfilorios to carry
out two important needs of exploitation of the dam:
– the exploitation of about 2 hm3 from the inactive
dam.
– the water intake at different levels to guarantee a
better quality of it.
With this purpose a floating intake was installed
to the bottom intake of the dam. This floating intake
has a pontoon with an adjustable suspension element,
joined to a 30 m long articulated arm, connected to
the bottom intake, through a piece of Ø600 mm hori-
zontal pipe.
4.3.2 Conditioning project
The “Conditioning pre-project of the draining elem-
ents of the dam in Alfilorios” (December 2000) planned
an important modernization work, conditioning and
restoration of equipments, energy supplying systems,
instruments, lighting, buildings, intakes…, because
of the enormous wear of most of them and the neces-
sity to improve the exploitation of the dam and to
adapt the facilities to the present norms and laws. This
is an outline of those plans:
– Water Intake: to exploit two important needs of
the dam, the exploitation of 2 hm3 from the in-
active dam and the water intake at different levels
236
to guarantee the best quality of the same, it had
been thought to connect to the bottom intake of the
dam a floating intake device.
– Water-drainage of bottom: Substitution of the pre-
sent (Ø900) bottom pipes for the new ones made in
steel (Ø700 mm) and correction of the layout of
these pipes. It was also prepared to reinforce the bot-
tom water-drainages gallery by various injections.
– Renovation of switchboards, cables, wiring and
lighting in general.
– Equipment of a pressure water layout in the gal-
leries to clean them.
– Pump system for possible leaks.
– Conditioning of buildings, galleries and sounding
devices.
– Extension of the waterproof shield on the right side.
– Substitution of the deviation dam floodgates.
5 CONCLUSIONS
Instalment of floating intakes, in its diverse types,
designed and built by INHISA HIDRAULICA, S.A.,
suppose a remarkable contribution to the improvement
in the water intake at levels with a better quality, and if
it was necessary bellow certain intakes, making it eas-
ier the draining and exploitation of the inactive water.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Environmental integrated rules in dams with water quality problems.

The Santomera Dam, an example on how to integrate water quality
and water quantity needs

J. Ginés Muñoz
Confederación Hidrográfica del Segura, Spain

F. Montalbán, J. Gras, P. García Rubí & F. Matador

Infraestructura y Ecología, S.L, Spain

ABSTRACT: The Santomera reservoir is located on La Rambla Salada, tributary of the Segura river on its left
bank in the middle of Vega Baja. Its function is to protect downstream populations from floods. The salty nature
of the substrate and the release of polluting industrial effluents caused such impairments to water quality (high
salinity, high pH, high nitrate and ammonia content), that it wasn’t historically suitable for abstraction nor irri-
gation. The large periods of storage, after a flood, without movements and under elevated temperatures worsen
the water quality, with potential considerable environmental damages, should an uncontrolled release occur.
The dam releases its waters at la Rambla Salada in a concrete channel of about 6 km, falling into the Azarbe de
Merancho and then into the Segura river.The Environmental Rules determine the flow to be released from the
dam according to the flow in the Segura river-measured in the SAIH station of Beniel and according to the water
quality in the reservoir and in the Segura river at Beniel, measured in the SAICA station. These rules, allowing
the use of the Santomera waters for irrigation, in conjunction with the reservoir protection against floods,
involve an example of rational use and searching solutions integrating.

1 GEOGRAPHICAL CONTEXT
SA NT AN DE R

OV ED I O

The Segura river basin is located in South-eastern SA NT

CO MP
IAG
OS
OD E
TE LA

VI TO RI A
PA MP LO NA

Spain and it consists of the receiving area of the river LO GRO „O

and by those river beds that flow directly to the sea VA L AD OL ID

ZA RA GO ZA

BA RC EL ON A

from the mouth of the Segura river in Guardamar, up

to the limit of the province of Murcia with Almeria. It MA DR ID

occupies almost all the Region of Murcia and smaller VA LE NC IA

PA
MA
LM
L OR
AD
CA
E

areas of the provinces of Alicante, Albacete, Jaen, Mƒ RI DA

I AZIB

Granada and Almeria.

The Santomera dam is located in “Rambla Salada”, M RU AIC

tributary to the Segura river from its left margin, in

ES L IV A

the Municipality of Santomera (Murcia). The tribu- Mç LA GA SA

TEN
NT AC
ER FE I
RU ZD E

LA SP AL MA S

tary river basin of the “Rambla Salada”, that flows to

the dam, runs through the municipalities of Fortuna
and Santomera and is limited by a series of mountain
ranges with maximum heights in the Western divid-
ing line, with the mount Carche 1372 m high and a
second one 1114 m high in the Mountain range of Pila,
and descend towards the South to a height near to
200 m of “cabezos aislados”.
The tributary surface to the dam is of about
150 km2 and another 350 km2 from the Chícamo river
Figure 1. Location of the Segura river basin in Spain.
or “rambla de Abanilla” – that flows almost in paral-
lel to the East, which run-offs are diverted from its
river bed by means of a small dam and a channel 8 km
long and with a capacity of 250 m3/s. When the top of
the small dam, which has no lamination capacity what-
soever, is exceeded any volume of the Chicamo River

237
 Pétrola
Montealeg re
del Castillo

Pozohondo
Em balse de
Ch arco s

Alcadazo

Tobarra
Emba ls e de l Yecla
Boqu erón
Ayna
Río Liétor

Embalse de Hellín
Talave

Jumilla
Em bal se del
Elche de Morr ón
la Sierra

Em bals e de
Fuens an ta RÍO Em balse de l
Ce na jo
Yeste Pinoso

Em balse de Em ba lse del

Ca marill as Ju dí o

Ciez a
Azud del
Taibi lla SEGURA Em ba lse de l
Calasparra Mo ro

Em ba ls e de Ab arán
An chur ic as Moratalla Em ba lse de
Embals e de l Em ba lse de Al fo ns o XII
Em ba lse de Taib il la La Risc a Azud de
La No vi a Emba ls e de Ojós
Argós Ricote
EMBAL SE Ca
Se
Caravaca DE L MAYÉ S
Ar chena
O
EM BA LS E DE
Em bal se de Ceutí
La Cierva SANT OMER A
Em bals e de
Lo s Ro de os Molina de
Segura
La s Torres
de Cotilla
Em ba lse de
Doña An a RÍO
Alcantarilla
EM
Em balse de MURCIA LA
Pliego
Emba ls e de
Al gecira s
Libril la

Em ba ls e de
El Rome ra l

LÍMITE DE COMUNIDAD AUTÓNOMA Em ba lse de Alha ma de

Vald einf iern o Murcia

LÍMITE PROVINCIAL
Em balse de
Puent es Totana Fuente
LÍMITE DE LA CUENCA DEL SEGURA
Álamo

CANALES DEL POSTRASVASE

María Lorca

Figure 3. Location of the Santomera Dam.

Figure 2. The area of the Segura river basin.

over the before mentioned magnitude (250 m3/s), flows

down river.
The most important towns in the river basin, tribu-
tary to the dam, are starting from up river – Raspay,
Pinoso, Algueña, El Cantón, Macisvenda, Barinas,
and Abanilla in the Chicamo river basin, and Fortuna
in the “Rambla Salada”.

2 THE DAM AND RESERVOIR OF

SANTOMERA – QUANTITATIVE ASPECTS Figure 4. Santomera Dam – overall view.

2.1 The Santomera Dam

The Santomera Dam was conceived and built with the
main purpose of protecting the Low Fertile Valley of
the Segura River from the catastrophic floods of
“Rambla Salada and Abanilla”. Its construction began
in 1960 and it started working in February of 1968.
The possibility of using the reservoir to control the
flow of the Post transfer Channel of the Left Margin
(which has a high structure that crosses the river and
has an overflow channel that flows directly to it) was
considered when the Tajo-Segura Transfer started
working in 1978. In fact, the reservoir was sometimes
used to store water coming from the Post transfer Figure 5. The dam’s cross-section.
Channel, to irrigate down river areas.
But the filtrations that took place when high water,
2.2 Downstream bed of the dam
and the low quality of the water that resulted when it
mixed with the water from the “Rambla Salada”, made Downstream dam, the Rambla Salada is channelled
it impossible to use it for irrigation purposes. The dam through a drain made out of concrete. Throughout its
is made out of concrete, with an auxiliary dike that 13 km of length, it is equipped with a series of cross-
closes the pass on its right margin. ing structures and singular works, like the ones you
The main dam is 50 m high on foundations and can see in the picture above. The channelling capacity,
205.79 m long in the crest. The reservoir has a capacity in this section, is of about 30 m3/s.
of 23.1 hm3 with NMN. Considering the risk of break- The river crosses with the Merancho irrigation chan-
age, the Santomera dam is classified as category A. nel, which gathers the spare water from the irrigations

238
Figure 6. Rambla Salada – channelled section downstream
Santomera Dam.
Figura 7. Confluence of “Rambla Salada” and “Merancho
irrigation channel”.
Figura 8. Aportaciones y desembalses medios mensuales.
in the Mid Valley and returns it to the Segura River. In
the next picture you can see how both streams cross.
2.3 Dam inflow
Inflow to the dam takes place basically during floods,
as you can see in the graphs attached, corresponding
to period 1971–2002.
239
Figure 9. Inflow and outflow – annual summaries.
As you can see, the distribution of inflows has
been irregular in time and has always happened dur-
ing flood periods.
The low frequency of these episodes, result in
water being stored in the reservoir for long periods of
time, of over a year, with the consequent risk of eutrofi-
cation and risk of increased salinity in water that is
already saline itself.
3 THE SANTOMERA DAM –
ENVIRONMENTAL ISSUES
The Santomera Dam is included under the “Protected
Landscape of the Ajauque and Rambla Salada”, as
stated on the Order of 31 of August of 1998, which
approves the Plan of Arrangement of Natural
Resources of Ajauque and Rambla Salada Wetlands.
At the same time, this territory has been designated as
a whole as “Special Protection Area for Birds”
(SPAB) by Resolution of 11 of January of 2000, as
it is an area were “Cigüeñuela” species (Himantopus
himantopus) reproduce. Also, and in observance of
the 92/43/CEE directive, of 21 of May, on the conser-
vation of natural habitats and wild fauna and flora, the
dam is included in the area proposed as Natural Habitat
of Community Interest (NHCI), by Resolution of 28
of 2000 July.
In the Santomera Dam, sport fishing can be prac-
ticed all year round and no permission is needed from
the competent authority. Neither are there restrictions
with regard to the presence of species with some sta-
tus of protection. The most abundant species in the
dam is the gambusia, of no interest for fishing means.
Taking into account that the volumes regulated by
the Santomera Dam come, almost exclusively from
flooding episodes and that they return directly to the
drain of the stream, no specification has been set for
the maintenance of ecological volumes.
4 QUALITY OF THE WATER OF THE
SANTOMERA DAM
4.1 Analysis of the quality of the water
The quality of the water in the reservoir is controlled
with analytical data provided by “The Periquitos” sta-
tion, belonging to the ICA Network, and located in
the dam itself. Monthly and annual average values,
for descriptive parameters of the quality of the water
in the reservoir, get us to the following conclusions:
– pH: slightly alkaline – over 8 ud- and stable through-
out the year.
– Acceptable oxygenation conditions, ranging from
48% saturation – minimum in September – to
115% – maximum in November.
– High conductivity and checked variability, ranging
from 2560 to 3200 s/cm, and chloride-sodium
type. Values around 10 000 s/cm have been some-
times registered.
– Low phosphate concentration according to the
requirements of the water supply, but enough to
cause eutrophication processes.
– Concentration of nitrogen inorganic compounds:
Concentration of Nitrates is under 50 mg/l – thresh-
old established for the aptitude of pre potable waters,
but enough to cause eutrophication processes. With
regard to total ammonium, the most restrictive
threshold of  1 mg/l, corresponding to the apti-
tude of the water for fish farming is surpassed, dur-
ing September. However, at specific times of the
year, this threshold is surpassed widely, with val-
ues ranging from 2 to 2.5 mg/l.
– Faeces bacteria: microbiological parameter that is, in
general terms, below the imperative limit (2000 ufc/
100 ml) established by directive 76/160/EEC for
the quality of bathing water.
The long time that water stays in the reservoir,
along with the high summer temperatures, benefits
algae proliferation and a high increase of macrofyte.
Under this circumstances water quality is frequently
altered in its organoleptic characteristics – scent,
colour and flavour; and massive proliferation of algae
occurs. If its blue bacteria that grows without control,
then remarkable changes in the quality of the water hap-
pen: (i) physical-chemical, especially on the increase
of pH and lack of oxygen; (ii) toxicity produced by
certain species that produce toxins that affect aquatic
biota either by contact or ingestion.
4.2 Quality consequences
Sporadic flooding could, in theory, contribute to reduce
the salinity of this water but, what they really cause
when entering the reservoir, is the removal of sediments
that have been accumulated for years of inactivity of
240
the dam. The result is high salinity water with great
amount of solids in suspension. Its release wouldn’t be
recommendable because of the environmental dam-
age that would cause down river.
To conclude, the Santomera Dam has very irregu-
lar resources throughout time, and when water is stored,
due to a torrential event, the quality of the water does
not allow its use for the most restrictive uses of the
irrigated land, not even to keep the ecological volume
of the river. This is paradoxical in a river basin in
which irrigation demands 660 hm3/year, environment
uses demand 60 hm3/year, and the structural water
deficit is 1000 hm3/year, reason why resources from
other rivers are needed, in order to assure its normal
functioning.
Only after a period of sedimentation and with the
thorough control of certain quality parameters, will it
be possible to partially drain the reservoir, as speci-
fied in the Environmental Integration Rules.
5 RULES FOR THE USE OF THE WATER
OF THE SANTOMERA RESERVOIR
5.1 Floods management
Criterion established for floods management does not
allow discharges until a certain level is reached – set
at 94.15. Above that level, priority is given to the
security of the dam, and the emptying process starts
according to established criterion.
Once the flood is over, all water-drainage struc-
tures are closed, and the dam is keeps at its highest
level – if the NMN (level 98.55) is surpassed – the
overflow is released until the dam reaches that level.
From that moment and as a precaution against new
floods, the quality of the water in the reservoir is
checked. The aim is to determine the best moment
to recover the storage capacity. Drainage will be
controlled, depending on the quality of the water, as
follows.
5.2 Quality criteria to determine drainages
The volume of water to be released from the dam
depends, not only on the hydraulic capacity of the
water downstream (currently 30 m3/s), but also on
the diluting capacity of the Segura River, to which the
Santomera flows through the Merancho irrigation
channel. The dilution capacity depends, basically on
four things:
1. quality of the water in the Segura River (CA Segura)
2. volume of the Segura River (QSegura)
3. quality of the water released from the dam
(CASantomera)
4. volume released from the dam (QSantomera)
Figure 10. Volume released considering conductivity.
The volume of the Segura River and the quality of its
water, in its confluence with the Merancho irrigation
channel, are known thanks to the SAIH and ICA
Network control stations. More precisely, the most
important data is provided by the stations of the Segura
River in Beniel, located upriver of the confluence with
the Merancho irrigation channel. The quality, of the
water released from the dam, is determined by its most
relevant parameters (conductivity, dissolved oxygen
and pH). This can be measured with a multiparamet-
ric instrument, placed in the channel, downstream of
the dam.
Considering these three factors (CASegura, QSegura,
CASantomera), the volume to be released from the dam
(QSantomera) is immediately obtained by setting the
minimum quality threshold, resulting from the mix-
4 mg/l O2 (minimum concen-
ture of flows. In fact, for a certain parameter of qual-
ity CA, the value of this parameter after the mixture
of volumes will be:
241
Figure 11. Volume released considering dissolved oxygen.
That means that:
In order to define the environmental rules, three
parameters are considered to be vital for determining
water quality, those are: salinity, dissolved oxygen
and pH, which thresholds have been set as follows,
for the water resulting from the dilution of the differ-
ent flows to the Segura River:
– Electric conductivity (salinity)  2250 micromhos/
cm (water C3 type)
– Dissolved oxygen
tration required by cyprinids)
– 6  pH  9
If water in the reservoir happened to be of a better
quality than the one of the Segura River, its release
would not be limited, even if it were over the limits
before mentioned, since it would not worsen the river
conditions.
Figure 12. Volume released considering pH.

In general terms, it is considered that after a certain
period of time, enough to allows the reservoir stratifica-
tion, the worst quality water, with a higher concentra-
tion of salts and scarce oxygen dissolved, would lay in
the deeper layers. When after a flood, the bottom water
rises over the overflow channel, worst quality water is
drained and it mixes with water on the surface. Releases
through the overflow channel allow water ventilation,
thus increasing the concentration of dissolved oxygen.
As a consequence, it is possible to increase the water
volume if worst quality water, released through deep
water-drainages mixes with superficial water alleviated
through the channel. Considering these ideas and after
measuring the quality of surface water in the reservoir
and in its deepest layers, action will be taken with obser-
vance to the following rules:
– If the quality of the deeper layers is enough so that
when combined with the river flow the quality of
the Segura River keeps within the limits set, only
the allowed volume of water will be released through
deeper drains, then the parameters before men-
tioned will be measured down river to check the
results.
– If we want to increase the volume released and the
height of water in the dam allows it, the overflow
channel will be opened, checking the quality param-
eters downstream resulting from the mixture (over-
flow channel + deep drains).
5.3 Graphs to determine the volume to be
released according to water quality
In order to facilitate decision making, with regard to
releases in the Santomera reservoir, a series of formulas
have been elaborated, to determine the maximum
releases allowed making sure that, the resulting water
in the Segura River, fulfils the quality criteria before
established. These formulas have been grouped in
groups of three according to the volume that flows in
the Segura River. They help in determining the volume
that can be released from the dam, as shown below:
1. The volume registered in the SAIH foronomic sta-
tion, Segura River in Beniel, determines a short list
of three to use (2, 4, 6, 8 or 10 m3/s).
2. The quality parameters in the Segura River in
Beniel, provided by the ICA Network, determine
the curve to be used in each formula.
3. Finally, the value of these parameters, when meas-
ured in the released water, determines the X axis for
each curve so that, when obtaining its correspond-
ing Y value, it gives you the maximum volume to be
released from the Santomera Dam. The released
volume will be the smaller out of the three.
In the following pages you will find an example of
the above, taking 4 m3/s (ecological volume, meas-
ured at Beniel’s measurement station), as a base for
the calculation.

242
 Theme 2
Benefits of dams

res R dna m D v srio nE d a seit coS ,
© 60 2
General Report – Session II
E. Cifrés
Chairman of the ICOLD Technical Committee of “Role of Dams on de Development and
Management of River Basins”, Spain
1 FOREWORDS
It is a pleasure, and a duty, to assume the challenge of
presenting the general report about the benefits of
dams. We are imposed this duty by a society that we
have to give report to, but that wants to know the
arguments to base its opinion on.
Let us admit that dams have become a symbol of
aggression against society and environment for a
noteworthy sector of the public opinion. Luckily, the
environment is beginning to be a concept that citizens’
value scale in developed societies considers impor-
tant, at least from their point of view, although they do
not always implement it in their way of life. If it is inad-
missible to be an irrational detractor of dams, a thought-
less pro-dam stance is also unacceptable. Dogmatic
positions are not justifiable today.
It seems that so far the hydraulic engineering sec-
tor should have and has not transmitted to society the
essential role that dams play in the welfare it enjoys,
maybe because that seemed obvious. But things are
not so.
It is not obvious that dam benefits to society, to the
individual and even to the environment are clear for
the public opinion.
Our goal in this symposium is to make clear bene-
fits that can be taken from dams under different con-
ditions. Later on we’ll go back to the status of the
mentioned social debate.
1.1 Some previous references
Better than I could do it, other colleagues have high-
lighted the important role that dams have played and
are about to play allowing the mankind enjoy the water
provided by them. Let me thus remind their words.
Without dams there is no human development.
History has proven this. There are 45,000 large dams
worldwide serving humanity by providing water for
domestic, industrial and agricultural use, generating
ts
12 eht ni m or v rutneC g
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T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L
electricity and attenuating floods. At the same time,
dams require measures to minimize and mitigate
impacts on local population and ecosystems. As needs
for water, electricity and food increase, new dams are
needed that are to be designed and operated in a sus-
tainable fashion for existing projects to be more pro-
ductive and for other options to be developed. III
World Water Forum (Kyoto, 2003)
Life began in water, and water has remained criti-
cal for its evolution and sustenance on the earth.
Water is used in everything we do, be it irrigation,
industry, power generation, navigation, drinking, cool-
ing, waste disposal or recreation. Under demographic
pressure and industrial growth, the demand for water
is continually increasing globally at an accelerated
pace. The total average quantity of water available is
enough to meet all our present demands, but its
availability is highly irregular. It is not available in
places where we want it, at times when we need it, and
in quantities in which we require it. Hence, there is a
need for technological interventions for harness-
ing, conservation and proper management of water
resources. (VARMA, Former President of ICOLD)
Humankind’ use of water has increased more than
35-fold over the past three centuries. About 3400 km3
of fresh water is being taken off annually from rivers
for human use.
In Africa, Asia and South America, irrigation is
the main use. Asia uses 86% of its water for agricul-
ture versus 69% on world average. But in most of
Europe and North America, domestic requirements of
water exceed the agricultural needs. Those mean 8 %
worldwide.
Adding to our difficulty, however, is a problem of
uncertain but potential enormous magnitude – the
alteration in the earth’s atmosphere including both
the destruction of the ozone layer and the global cli-
mate change. Equally important, yet even more com-
plex, is our climate system which provides our fresh
water, permits us to grow crops, defines where and
245
how we live, and supports the natural ecosystems.
(Varma, ICOLD)
On the other hand groundwater is being over-used
and in many parts of the world will be completely
exhausted early in this century. This clearly points to
the need for structural solutions to solving water man-
agement problems associated with fully utilizing sur-
face water. Structural solutions equal: Dams (Blohm,
USCOLD)
Natural regime of our rivers doesn’t always offer
available water to meet our needs according with our
usage patterns. For instance, India gets rain 400 million
ha m/year during monsoon months. Rainfall comes in a
few spell of intense and heavy downpour. 90% of annual
rain water comes in 30 days. All the rainfall pours down
in about 3–4 months (June–September) and rest of
the year remains dry. (Varma, ICOLD). On the other
hand, remaining reliable sites to store leftover waters
without major concerns are becoming scarcer.
1.2 Benefits and concerns of dams
Today we have to deal just with benefits. That doesn’t
mean that we try to ignore second ones at all. Focusing
this section of the symposium on benefits is justified
by the big amount of issues about problems and con-
cerns already put on the table lately.
Concerns about dams are usually presented with-
out mentioning the goods they are giving us. It’s obvi-
ous that almost anything built by man involves some
kind of impact on the environment as cities, roads,
thermal plants, which have significantly affected the
environment in some way. Too many cases made more
serious impacts than dams. However, all these struc-
tures, including dams, have benefited mankind and
contributed to world progress and the well being of
society in general.
Nowhere does he take into account that the basic
reason for the deterioration of our environment is the
unbridled growth in the world’s population. Perhaps
our development model would lead us to cross the
‘overshoot’ threshold?
2 DUALITY BETWEEN DEVELOPED AND
UNDERDEVELOPED COUNTRIES’
CONTEXT
As it has been established in the previous session on the
“role of dams”, they play a decisive role on the devel-
opment of the yet unlucky communities which are
hoping to reach better living standards in developing
countries. Perhaps this role could be similar to that
dams played in the past in already developed countries.
To analyse the benefits that dams can produce, we
must be carefully draw the framework of goals and
objectives to be reached and the way to assess real
benefits.
246
Because of that important question this report sep-
arates both different problems. First we can ask ourselves
what can provide dams meeting urgent needs of the
humankind. Second a comprehensive approach on the
context of developed countries will lead us to a balanced
analysis between cost and benefit in general sense.
Benefits and concerns must be treated differently
under both contexts.
Developed countries have built many dams and have
only few more sites where reliable dams could be
built. Their progress no longer depends on dams, as is
the case with third world communities. Their popula-
tion is stable and water demands are not increasing,
even have the possibility to un-couple economic growth
from water resource utilization. It is generally the case
that national interest has been replaced by individual
comfort and they are rapidly becoming a sort of serv-
ice world that probably will require less water since
they constitute wealthy communities that can afford
to pay more for food. In addition, it is the case that
many of their major cities are settled by lakes or to the
sea, or at least enjoy wetter conditions and less severe
droughts. Furthermore the cost of desalination of sea
waters is now competitive with additional fresh water
regulated resources.
On the contrary, population growth especially in
developing countries places considerable constraints
on the available finite quantity of fresh water resources
consequent to increased demand for water from vari-
ous sectors. By the beginning of this century the world
population exceeded 6000 million. The medium-fer-
tility projection, which is usually as most likely, indi-
cates that the world population will reach 8.9 billion
by 2050. As that time, some 59% of the world popu-
lation will be living in Asia, 20% in Africa, 9% in Latin
America and the Caribbean, 7% in Europe, 4.5% in
North America, and the remaining 0.5% in Oceania.
Total population and growth rates are very different
in the developing and developed countries. Over 90%
of all future population increases will occur in the
developing world, in regions where access to clean
water and sanitation services, adequate health care and
education and other fundamental requirements for a
satisfactory quality of life are already lacking.
Insisting on the evolutionary scheme described
before, it is indispensable to distinguish the border
between meeting basic necessities and achievement
of competing goals in a market society.
This distinction imposes a separate treatment of
both scenarios.
3 MERGING THE DEBATE
Herman Roo, president of the Venezuelan Committee
on Large Dams, expressed a current reality: dams are
attacked by people who have their right to express
their opinion, but believe that they have no obligation
to support it with evidence. Sometimes, they are also
attacked, I add, with solid arguments based on their
disadvantages but without contemplating their advan-
tages. Even many of their detractors, ‘professionals’
of that, shun the direct discussion; and among theses
I allow myself to include the World Commission on
Dams, which we shall refer to again in the following.
Well, this is not the position of the Spanish Com-
mittee on Large Dams, as it is not that of the ICOLD,
either. It is not my purpose in this intervention to say
that dams are always and necessarily beneficial, not
even that it is not necessary to reason their benefits,
but to try, and it is high time for that, to bring about a
balanced debate.
That balance needs benefits of large dams to be
directly explained urgently, because in this informa-
tion society the flow of messages against dams has
unbalanced it clearly.
We should not adopt the predetermined and a priori
stance of the one who really avoids the argument. We
must not defend dams axiomatically, they will be
defended by their intrinsic properties and the argu-
ments which justify them, exhibiting their advantages
facing the real alternatives that could be brought
forward. When these advantages are not enough and
alternative options prove that, the ‘defeat’ will have to
be admitted and that battle will have to be fought
project by project. It is not time for pro- and anti-dam
factions. The best option is the pro-best-option one.
Nevertheless, it can already be advanced that in many
cases, more than one could imagine, a transparent and
right discussion about alternatives will give rise to
that conclusion that seemed obvious to us: very often,
dams have represented, represent and will still repre-
sent the best alternative in the future in order to solve
the management problems with such an indispensable
and valuable resource as water is.
We are not starting this task just now; we are behind-
hand with it, but at least it is already on motion. In the
world context, the impact of the Report on Dams and
Development of the World Commission on Dams
(WCD) sponsored by the World Bank has taken the
lead clearly, playing one of the mentioned main roles
with opinions without evidence. Before its writing,
and in accordance with the list of its promoters, it was
feared that that report, which, among other things, gives
support to a moratorium in dam build on the interna-
tional level, will increase the unbalance in the process
that is being drawn up against this tool that human
beings have to improve their development and level of
life: dams.
The ICOLD has been promoting this communica-
tion effort for long. In anticipation of the possible
negative consequences from social development and
welfare that the fearsome report by the WCD could
have, it has already contemplated, as an issue to be
247
discussed, the ‘problems and benefits from dams’ since
1995, when its Executive Meeting treated the subject
‘Reservoirs and Basin Development,’ which was the
title of the Oslo International Symposium. In its annual
meeting in New Delhi, the necessity of summoning a
new ‘Workshop’ about ‘Benefits and Problems Asso-
ciated with Dams’ in September 1999 in Antalya
(Turkey) was decided as a prior step before holding its
Beijing International Congress just a year later, where
one of the four questions approached was the men-
tioned one.
Since that time works are under development hop-
ing that the contributions presented to this very closely
defined symposium could improve them adding useful
inputs for the different reports that ICOLD has under
discussion. Subjects as related to the one we are talk-
ing about now as its financial viability and its bene-
fits, where these are understood in an integral sense,
that is, a sense that includes its costs in social and en-
vironmental terms.
4 ICOLD ‘ROLE OF DAMS’ COMMITTEE
Even before the mentioned report was published, the
ICOLD created, in its executive meeting held in New
Delhi (India, 1998) the ‘International Committee on the
Role of Dams in Basin Development’, although its offi-
cial constitution took place in Antalya (Turkey, 1999).
This Technical Committee, with representation of
Holland, Germany, France, Norway, Spain, Portugal,
USA, Cyprus, Brazil, Australia, Iran, India, China,
Zimbabwe, Turkey, Colombia and Lesotho, aims to
identify the role that large dams have played in devel-
oped basins and the one they have to play in the devel-
oping ones, in order to establish some transparent bases
in the comparison of alternatives.
The extended Cost-Benefit Analysis has been pro-
posed as a tool for the diagnosis. Cost and Benefits
must be understood in a general context that, in add-
ition to the exchange values, includes the environmental
cost and the social benefit. The mentioned interna-
tional technical committee is engaged in this task. From
the discussions within the mentioned international
committee we pick out the following reflections.
5 THE DAM AS A TOOL
Assessing the performance of dams producing the
benefits than men are looking for suggest to be faced
by two strategies:
– Analytic models
– Empirical experiences
Later we’ll expose recent contributions about pro-
posed simulation models which try to identify and
estimate benefits and costs. First is necessary to point
what kind of purposes dam can develop in order to
produce benefits.
5.1 What are dams for?
Civilizations have used dams for thousands of years
for water supply, flood control, navigation, and in more
modern times, hydroelectric power generation and
recreation. Sanitation and environmental remedial func-
tions can be also added. Even dams made for a single
purpose has incidental benefits.
On the other hand dams basically alter rivers and
managing water resources frequently entails a reloca-
tion of their benefits.
With a plain and direct language, we shall survey
the functions of dams, which we shall identify through
a simple revision of the huge amount of papers that
have been written about, as a prior step before identi-
fying their benefits.
Dams allow us to:
– divert water from basins to the places where it is
needed;
– create waterfalls that give us clean and renewable
water to be profited;
– allow us to regulate river flows and store the spare
water at a given moment in order to use it later:
they regulate flows;
– guarantee our watering;
– improve river navigability;
– protect us from river floods;
– allow to recharge aquifers;
– encourage to use the environment recreationally;
– allow to compensate the water level reduced by the
progressive lost of wet zones;
– etc.
It isn’t necessary to go deeper on those functions
because they have been profusely discussed at previ-
ous session on this symposium on Role of Dams.
However I would like to include in this report a short
reference to environmental benefits, that often are
under-evaluated.
5.2 Ecological remedial role/Environmental
mitigation
Some references in Spain can show how some dam
projects can play an special role providing environ-
mental benefits. The given book “Dams in Spain” con-
tains some examples of these ecological benefits as the
case studies of Algar dam, recharging over-exploited
groundwater aquifers or Alarcón dam case guaranty-
ing ecological flows threaten by excessive pumping
from surrounding aquifers.
But other example that is not show into that publi-
cation deserves to be pointed.
248
Figure 1. Evolution of natural wetlands and artificial reser-
voir mirror since two centuries in Spain. Taken from “Dams &
Environment. Spanish Ministry of Environment”.
Large storage dams offer water mirrors and sub-
stituting wetlands that are nowadays compensating
losses on offered habitats for migratory species.
Artificial lakes made by dam construction are replac-
ing also artificial dried wetland in the past. Some of
them are already included into the RAMSAR site list.
As an added role they provide environmental benefit
closely related with biodiversity care. Of course, not
only in Spain but worldwide we can found some cases
where dams have also created water bodies that reflect
some ecosystem values, especially for wildlife or for
fisheries. Some reservoirs support substantial wildlife
populations and others have had productive and valu-
able National Parks declared along their shores.
6 EMPIRICAL ANALYSIS: EXPORTING
SPANISH EXPERIENCE
Spain, as a country that has managed its resources for
decades in the realm of the hydrographic basin, that has
‘enjoyed’ dams for thousands of years, that has and
needs a big number of dams, is an interesting example,
whose experience with dams can be perfectly exported
or extrapolated. Empirically similar cases could fore-
see their performance, even enjoying most recent pro-
gresses in technical and environmental matters in order
to improve results in a more according way to the
present.
The economic value of the water that is regulated
by reservoirs in Spain can be estimated at 28,000 mil-
lion USA dollars per year, which represents nearly
6% of Spanish Gross National Product (Berga, 2001),
without including the benefit from flood routing, a phe-
nomenon that ‘costs’ 30 lives and 500 million dollars
in material direct losses per year in Spain.
 Potentially, in the context of the WCD’s report Spain
is a model of dam use, which should be exported for
several reasons:
– Spain can be thought a developed country.
– It does not enjoy a wet climate as most developed
countries, sharing semi-arid conditions with a lot of
developing countries.
– It has enjoyed dam benefits for nearly two thousand
years.
– It manages the resources in the realm of hydro-
graphic basins.
– It has a participatory evaluation system of environ-
mental impact in a politically democratic structure.
– Dam projects are inserted in a Hydrological Planning
with wider goals.
Finally, what derives from this process, which ful-
fils the basic premises in the WCD report, is the need
of building, being the forth country in between dam
owners, even some new large dams. It is at least quaint
that, under these premises, the WCD’s report finally
proposed a moratorium, when the Spanish example
underlines the fact that dams, even from this new point
of view, are still useful and necessary.
In the mentioned Beijing ICOLD Congress, 72
reports relative to ‘Benefits and Problems from Dams’
were received. Six of them were Spanish. It is obvious
that Spain, the fourth country with more dams in the
world, has a lot to say, and that is why our contribu-
tion was one of the quantitatively most important.
But qualitatively as well, there are circumstances
in Spain that enable us to export our knowledge about
dams, especially to the developing countries, which
are the main subject in the world discussion.
The disadvantages of dams, which turn up in Spain
too, have already been enough treated, not only by
the mentioned anti-dam agents, but even within the
Spanish National Committee on Large Dams itself,
which has kept approaching the problems in its trien-
nial Conferences, where social, environmental and
economical aspects have been discussed once and
again.
National Congress on Large Dams held in Zaragoza
(2002) where it was the time to speak about benefits
overtly. Thirty-one papers, eighteen of them included
in this session about ‘Necessity and Benefits of Dams,’
were received in that matter. On the whole, they con-
firmed that we are able in Spain to export a very valu-
able experience for that reflection that will justify, when
it is proper, dams as the best option.
Those papers covered a wide range of aspects,
from the most generalist ones to the concrete experi-
ences of some achievements or projects. The econom-
ical approach is especially focused from different sides:
cost-value, price policy, etc.
The reading of the proceedings of that congress is
highly recommended for deeper analysis of the Spanish
249
case. Also some mistakes in the past, known by the
experience, can help avoiding its repetition.
7 FUNCTIONAL EVOLUTION IN
THE ROLE OF DAMS
The role that dams have played in our development
has been a changing one and it will keep being so in
accordance with the evolution of our social-economical
context, necessities and conditionings.
A short survey of our recent developing past will
provide a clear illustration about the role that dams have
played in Spain and how they have contributed to the
fact that today we can consider our country a develop-
ed one, endowed with the elements that productivity
needs once our basic necessities have been satisfied.
Let us take the Spanish case as an exemplary a pos-
teriori illustration about the role that dams can play in
the different developing stages that communities go
through, why not in the hope that our experience will
be able to be imported by people that still have to
travel a similar journey.
Our first historical dams were derivation ones or
designed with the purpose of storing small quantities
of water for later supplying.
At the dawn of the twentieth century, they cons-
tituted the chance to develop local electrification,
making it possible to improve the quality of life and
modify habits and the economical activity when rural
population was very high in Spain.
Irrigation was limited to the viability offered by
the natural river regulation and transport conditions
of goods to consumer centres.
The incipient increase in the number of regulation
reservoirs during the first half of the twentieth cen-
tury allowed to start a continuous process towards irri-
gation and to modify the social economical structures
in the rural milieu.
The 50’s and 60’s brought about two very import-
ant qualitative changes in the role of dams: at that
time there were resources that allowed to tackle huge
work on regulation and started the massive conver-
sion into irrigation. At the same time, long distance
transport of energy appeared as operative. This
reinforced the role of dams as much in resource reg-
ulation as in already important energy production
far from consumer centres. Large regulation dams
promoted by the government and electric companies
to produce energy were a determining factor in the
Spanish economic take-off.
But this energy supply on the consumer spot had
another effect. The irrigation demand climbed above
the regulated flow supply, generating an increasing
and continuous implantation of underground water
exploitation systems, not always correctly evaluated –
even over evaluated sometimes – and without a clear
possibility as a result of the planning and controlling
system that was prevailing at that time.
López Martos et al. furnished relevant data about
the process, which we shall try to expose in a sim-
plified way. So, in relation to the Spanish case, the
chronological sequence concerning to use of irriga-
tion is perfectly exemplified by considering the fol-
lowing magnitudes: agricultural contribution to the
Gross National Product changed from 42% in 1950 to
3% in 1995, while the employed population in the
sector fell from 50% in 1950 to 15% in 1990, and that
with a more uneven distribution. These data acquire
its true dimension when they are related to the most
generally admitted significance of the agricultural
sector, directly correlated with the need of guarantee-
ing a basic necessity of people like the maintenance
of their nourishing level.
The development degree, the standard of life and
the capital value that settled in the territory increased
at the same rate, and society demanded more security
for people and goods. Simultaneously, a stronger pres-
sure was put on the territory. The corollary is clear: a
rising demand of protection against floods. Once again
dams played a main role, and a new generation of them
appeared: dams for the routing control, a function
that had mostly been a by-product up till then.
On the world level, the proportion of dams intended
to route floods, among which 8% have that as their
only goal, has been estimated at a 20% by Berga. These
data are in line with 20% victims caused by this sort
of phenomena. In Spain, currently, only 2% dams
would have routing as their first goal, although, fol-
lowing the exposed scheme, this percentage should try
to grow. According to this author, dam effects in this
assignment are more important in low return period
floods (20 to 100 years) and, in general, they play a main
role wherever it is not easy to adopt non-structural
measures that are typical of more developed countries,
such as encouraging the evacuation of flood zones, ade-
quate alert systems, insurance policies, etc.
In the 80’s dams assumed definitively this new
role, which coexisted with the previous ones – whose
importance decreases, and emphasised a new prob-
lem concerning to water resource use: some aquifers
started showing overexploitation symptoms. The legis-
lation was adapted to this new situation; The concept
of combined use started acquiring relevance; some wet
zones, which were drained and colonised in other
periods of our history, started suffering from the
effects of this overexploitation unequivocally and the
aquifer levels decreased, making their exploitation more
expensive and in some cases evidencing their non-
sustainability.
The conservation of our environment got its due
relevance gradually and new demands appeared: min-
imum reservoir levels ecologically compatible with
the fish population, reducing the regulation capacity
250
Figure 2. Reduction of useful capacity of reservoir due to
harder conditions.
derived from previous management concepts; min-
imum ecological flows, turning away highly guaran-
teed ones and relegating them to the role of adjustable
flows with higher variability that required, for the same
guarantee level, a bigger capacity of regulation in the
reservoirs; environmental demands in order to re-equil-
ibrate wet ecosystems, and finally larger security exi-
gencies in the social-economical medium, which were
translated into larger freeboards for flood routing
with a new restriction in the useful volume of existing
reservoirs.
These circumstances involve a new role for dams
in a near future that has already started, tackling the
construction of dams with the environmental cor-
rection as a goal: guarantee of ecological flows, con-
stant water routing in queue of large reservoirs, aquifer
recharging.
8 DEVELOPING ECONOMIES AND THE
ROLE OF LARGE DAMS IN THEM:
PROBLEM VS SOLUTION VS TOOL
Dams are a means to an end – not a philosophy or an
advocacy tool… ‘We need a dam and it will deliver
these services and benefits.’ Rather, we should start
from the premise that ‘We need these services, what
are the options for delivering them?’ Dams must not
be considered the one and only solution, nor should
they be rejected outright. Projects argued on their mer-
its vis-à-vis other options will be better built, deliver
services more equitably, and the public will have more
confidence in them (Asmal, 1999).
Under this approach, we could ask: what is the
‘price to pay’ for achieving that? With the term ‘price’
I intend to comprise the cost for the involved commu-
nity in totally common terms, that is, direct, indirect,
social and environmental cost. But we shall have to
evaluate this as well: What is the return or the goal

fulfilled with that? And we shall have to evaluate
what the benefits of water or energy availability are
for those communities with a imperative necessity of
it. These benefits will also be generalised including
direct as well as indirect benefits, that is to say, it will
not be easy to translate them in terms of market prices
as social development and – consequently – sustain-
ability is a decisive global environmental factor and the
‘sustained underdevelopment’ which professor Laffite
defined and was worried about cannot be admitted
nor imagined.
We can propose then the balance between the goal
and the price to pay for achieving this: evaluate the
economic and social effect of making a cubic metre
of water or a kilowatt hour of energy available and its
social, economic and environmental cost. This is the
comparison that will be used for taking a decision.
But what is the price? Obviously, that will depend
on the means or tools that we need for the plan or pro-
gramme that we are analysing. For that we have a wide
offer of solutions, which taken alone or combined pos-
tulate themselves as tools for this programme.
Concerning to hydraulic resource plans, a lot of
structural and non-structural tools can be considered,
like regulation dam construction, underground water
exploitation, residual water recycling, improving the
efficiency in water use within existent systems, sea
water desalination, flowing resource transferring from
surplus basins, etc., and other non-structural ones, like
optimized supply and demand management, saving
conscience-raising, etc. A priori, maybe I should only
dare to exclude the zero solution, as this approach
refers to attention of basic necessities from the per-
spective of underdevelopment.
All these options offered by current technique will
be simple ‘tools’ in a programme to be evaluated. Why
should we have an aprioristic position about which the
best one is? We must simply choose that one which
exacts the lowest ‘price’ from the community, of course
the lowest social and environmental price. In some
cases, a dam may be among the tools which constitute
the best option, in others maybe not.
251
ACCEPTABLE?
Challenge SUSTAINABLE?..
ENVIRONMENT
PRICE
GOAL NEEDS
ACCEPTABLE?
SUSTAINABLE?..
FAIR?
Figure 3. The challenge.
Another question will be how transparently or
clearly we are able to express the contribution to that
‘price to pay’ furnished by each of the tools that are
involved in the analysis.
We must make sure that dam processes, implemen-
tation and efficiency, and infrastructures associated
with each dam will be improved in order to fulfil peo-
ple’s necessities, by inserting the dam into a wider
project with a ‘solution’ goal that must be the one truly
analysed in terms of ‘cost-benefit.’
The proposal ends up by being very simple: A dam,
as a mere tool to solve a problem (mostly a very se-
rious one in the Third World) must not choose
between ‘to be or not to be,’ but simply be evaluated
in each solution project (which is never the dam itself )
against other alternative projects that achieve the
same goal levels. In this realm, the best option will
result from comparing not only economic costs but
social and environmental ones as well.
8.1 Dams and developing countries: facing
the challenges
The role that dams play in the development of social
communities admits an approach in parallel to the
described one when we surveyed its social-historical
evolution.
In each community that role must be evaluated
from identifying its development degree in that evo-
lutionary scheme.
Several challenges face us for this 21st century.
Foremost among them is to satisfy the food, drinking
water, sanitation and health needs of ten or twelve bil-
lion people when we have failed to do so in a world of
five billion. In 1990, worldwide 1230 million people
lacked access to clean drinking water and 1740 mil-
lion people lacked access to adequate sanitation
services. (Varma)
 The Millennium Development Goals adopted by
the General Assembly of UNO includes its Goal 7
where Target 10 mandates:
“Halve, by 2015, the proportion of people without
sustainable access to safe drinking water and basic
sanitation.”
It’s remarkable the title of the conclusion: “our
opportunity and our challenge”
To be fought, poverty, defined as scarcity of means
and services, among these the lack of drinkable water,
food, health assistance and energy supply, requires
water availability with a warranted quality and quan-
tity level. Less developed communities, where poverty
is more widespread, often suffer, in addition, from
natural risks among which floods take the first place.
All these factors, which make development more dif-
ficult, are directly bound up to water.
As a first concept to be admitted, then, water is an
essential element for development, and hydraulic and
energetic projects intended to cooperate with devel-
opment are in consequence essential tools for that main
goal. On a second goal level, under development as a
justifying umbrella, we have water supply for irriga-
tion, drinkable water or sewerage, or energy supply
(solutions).
9 JUSTICE AND DEVELOPMENT IN THE
SHORT-TERM
Within a conservationist approach in the long-term,
which would represent mankind’s legitimate aspir-
ation to survival, we should establish which the hori-
zon is that the planetary system can give shelter to an
anti-environment society. Where is the sustainable
limit for our resources? This a question with a deep
sociological repercussion and a not easily approach-
able one.
The relative distribution of energy consume in the
world is represented in the adjunct graphic.
In the light of the previously mentioned arguments,
the maintenance of this distribution structure that we
can call asymmetrical does not seem sustainable.
Has an overshoot taken place? Can it occur in the
future? It is very difficult to evaluate this limit trans-
gression that our social model can mean in terms of
sustainability. It is not my intention at all to pose the
global problem.
But, what if we aspired to a less ‘asymmetrical’
development? It is obvious that a development in the
short-term, with an increase of energetic production
and consume, unavoidably requires to get the distribu-
tion of the energy origin overturned and, at least, renew-
able energies projects – dams in the first place – to
acquire to priority.
So, the most environmentalist approach concludes
with an inexorable support to short-term dam projects,
252
AVAILABILITY OF ENERGY
DEVELOPING COUNTRIES
DEVELOPED COUNTRIES
100%
10
80%
70
60%
90
40%
20%
30
0%
ENERGY POPULATION
Figure 4. Asymmetric distribution of energy availability.
until technology is not able (it does not do that in the
WCD report) to propose real, viable and sustainable
alternatives to the unavoidable problem of supplying
mankind with water and energy, and, in consequence,
food and health assistance.
This stance of giving support to certain dams in the
Third World is legitimated by the fact that we are all
stakeholders of the problem, because nobody contra-
dicts environmental globalisation any more.
Some words of my friend Theo Van Robbroeck
explain better my humble argument:
Should the poor South stop developing because
some armchair critics in rich countries want to do
white-water rafting or salmon fishing, while profiting
from the lifestyle enabled by decades of dam con-
struction in their part of the world? – Do they want
developing countries to stay in their often-miserable
state as a curiosity to visit and admire their quaint
customs, to be just the supplier of the raw materials
for their extravagant lifestyle?
We have to admit that as long as the world’s popula-
tion continues to increase as it still does, additional
water resources must be developed to feed and clothe
these masses of people. The only practical way to do
this on the scale required is to increase storage capacity.
To be fought, poverty, defined as scarcity of means
and services, among these the lack of drinkable water,
food, health assistance and energy supply, requires
water availability with warranted quality and quantity
level. Less developed communities, where poverty is
more widespread, often suffer, in addition, from nat-
ural risks among which floods take the first place. All
these factors, which make development more difficult,
are directly bound up to secure water hence to dams.
As a first concept to be admitted, then, water is
an essential element for development, and hydraulic
and energetic projects intended to cooperate with devel-
opment are in consequence essential tools for that
main goal. On a second goal level, under development
as a justifying umbrella, we have water supply for
irrigation, drinkable water or sewerage, or energy
supply (solutions).
10 ENERGETIC COMPONENT AND
SUSTAINABILITY
The analysis of the social and environmental cost of a
project will not always, in fact very rarely will, be trans-
lated into economic terms, because although some
environmental impacts can be evaluated in terms of
cost, at market prices, of their correction (for example,
river pollution), others will be even more polemical,
like a cultural or historical loss, the affection to biodi-
versity, etc. And even worse: what is the ‘price’ for
crossing over the sustainability line?
A great part of the energy produced in the world
comes from fossil combustibles that besides give off
big quantities of gas into the atmosphere. One admit-
ted effect of this is the ‘greenhouse effect’ with the
climatic change as its main potential consequence.
Hydroelectric energy means 90% of total renewable
energy in the world, but only 19% of total.
The energetic component in each alternative to be
considered will be then a factor in the analysis of its
contribution to the sustainability of the project. This
energetic component applied to every cubic metre of
water supplied must be an essential factor in the com-
parison of alternatives in order to find the mentioned
“best option”.
Dams usually supply regulated water with a very
little, mostly null indeed, energetic component, because
solar energy, transformed into potential energy as a
part of the hydrologic cycle, ‘puts’ water at the start-
ing point of distribution schemes. So, the water fur-
nished by rivers and dams is ‘clean’ water from the
energetic point of view.
Let us take as an example the fact that the hydro-
electric capacity in the USA (73,500 MW) can pro-
duce over 300,000 GW/h a year, which, if they were
produced by fossil combustibles (129 million tones of
coal), would imply an atmospheric pollution increas-
ing in 7.7 million tones of and 296 tones of carbon
dioxide, in addition to other emissions (COPA, 2001).
The internalisation of the energetic cost is then
proposed, with a large non-sustainable component, in
the comparison to whichever alternative to dams. This
factor must be decisive if you want to be ‘environ-
mentally’ right.
10.1 Contribution to face the greenhouse
effect
One of the main benefits of hydropower is the contri-
bution that it can provide facing the greenhouse effect
253
and global warning. Dams, Hydropower, Agriculture
and Forestry, individually and collectively contribute
to reduce global warming and the effects of green-
house.
As world’s population continues growing, only
these types of projects can be shown as clean alter-
natives to energy supply on a large scale. This all
happens with the clean and renewable help from
mother nature and our Eco-system (specifically
the hydrologic cycle and the effects of plant tran-
spiration).
National Hydropower Association stated that with-
out hydropower, an additional 83 million metric tons
of carbon would have been emitted into the atmos-
phere from the generation of electricity in 1997. That
is equivalent to burning an additional 143 million
tons of coal, plus 20 million barrels of oil, and 471
billion cubic feet of natural gas combined. Other pol-
lutants avoided by the generation of hydropower in
1997 included nearly 2 million tons of sulphur diox-
ide (SO2 ) and 1.3 million tons of nitrogen oxides, both
key ingredients in acid rain
11 DAMS AND DEVELOPED SOCIETIES:
ECONOMIC BENEFIT
As a contrast with all that preceding, next we shall
synthesise a couple of contributions furnished with
economic point of view, in the Spanish context where
the ‘zero option’ is admissible.
It is a clear example of very dynamic growth
spiral, which requires sustainability criteria in order
to adopt a management plan in the future.
As it has already been said some interesting reflec-
tions about the role that, due to its characteristics as
an economic agent, the hydroelectric sector can play by
promoting new conceptions in the procedure designed
to estimate the economic water value in a general frame
of planned management.
López Martos (Zaragoza, 2002) furnished several
very interesting concepts in that respect, analysing
this evolutionary process in relation to the govern-
ment intervention level, which is conditioned in its
turn by the relevance of his role in promoting the
social development on each stage. The most evolved
level is identified with the current one in Europe from
the criteria that are contained in the Water Framework
Directive about the rationalisation of the decision
process from postulates that contemplate the improve-
ment of management efficiency and the recovering of
environmental costs associated to the different invest-
ment policies.
The economic value of regulated water in Spain is
estimated at a little over 25.200 million euros a year,
which means about 6% Gross National Value-Added.
(Berga et al. 2002).
 That implies an average value of regulated water
for different uses of about 0.54 euros per m3; an average
value that ranges between 0.19 euros/ m3 for hydroelec-
tric production and 6.31 for industrial use.
Available data show that the implantation of the
Spanish dam park has been a success from both the
economic and social point of view. These average
estimations, however, should not be extrapolated
unless extreme caution is taken, due to the following
reasons:
(a) The increase of general (economic and social)
cost of new dams located in places that are more
and more difficult and less and less efficacious.
(b) Obtaining new resources is more and more diffi-
cult as regulation rate increases and flows to be
exploited are less regular.
(c) The obligatory internalisation of environmental
costs that were not taken into account in lower
development stages.
11.1 Extended cost-benefit analysis (ECBA)
Concerning to hydraulic resource plans, a lot of struc-
tural and non-structural tools can be considered,
like regulation dam construction, underground water
exploitation, residual water recycling, improving the
efficiency in water use within existent systems, sea
water desalination, flowing resource transferring from
surplus basins, etc., and other non-structural ones, like
optimised supply and demand management, saving
conscience-raising, etc. A priori, maybe I should only
dare to exclude the zero solution, as this approach
refers to attention of basic necessities from the per-
spective of underdevelopment.
All these options offered by current technique will
be simple ‘tools’ in a programme to be evaluated.
Why should we have an a priori position about which
the best one is? We must simply choose that one
which exacts the lowest ‘price’ from the community,
of course the lowest social and environmental price.
In some cases, a dam may be among the tools which
constitute the best option, in others maybe not.
Another question will be how transparently or
clearly we are able to express the contribution to that
‘price to pay’ furnished by each of the tools that are
involved in the analysis.
We must make sure that dam processes, implemen-
tation and efficiency, and infrastructures associated
with each dam will be improved in order to fulfil peo-
ple’s necessities, by inserting the dam into a wider
project with a ‘solution’ goal that must be the one truly
analysed in terms of ‘cost-benefit.’
The proposal ends up by being very simple: A
dam, as a mere tool to solve a problem (mostly a very
serious one in the Third World) must not choose
254
between ‘to be or not to be,’ but simply be evaluated in
each solution project (which is never the dam itself)
against other alternative projects that achieve the
same goal levels. In this realm, the best option will
result from comparing not only economic costs but
social and environmental ones as well.
In order to achieve this objective, I propose to
inescapably consider a factor in the comparison of
alternatives: the energetic factor of the project. By
internalising costs, we must be able to evaluate the sus-
tainability of projects that imply high energetic costs
like desalination.
12 DAMS AND SUSTAINABILITY
12.1 Internalisation of environmental
costs: the energetic factor of
alternatives
We have already mentioned the paper that dams are
beginning to play in order to correct some environ-
mental unbalances where water is involved. We shall
insist on that. Nevertheless, there is another factor
related to the sustainability of projects that are to be
tackled, that is, whether projects that contemplate new
dams do or do not contribute to a sustainable devel-
opment scheme.
In our essay about dams in developing economies
that we mentioned before we draw attention to the dif-
ficulty of internalising some main costs of the alter-
natives that are to be compared. This difficulty may
lead to an erroneous choice caused by a bad imputa-
tion of this environmental cost, moreover when it
implies a lack of sustainability. We might internalise
the cost of river pollution, but more polemically the
one of a cultural or historical lack, the affection to
biodiversity, etc. And even worse: what is the ‘price’
for crossing over the sustainability line?
A great part of the energy produced in the world
comes from fossil combustibles that besides give off
big quantities of gas into the atmosphere. One
admitted effect of this is the ‘greenhouse effect’ with
the climatic change as its main potential conse-
quence.
Hydroelectric energy means 90% of total renew-
able energy in the world, but only 19% of total.
Dams usually supply regulated water with a
very little, mostly null indeed, energetic component,
because solar energy, transformed into potential
energy as a part of the hydrologic cycle, ‘puts’ water
at the starting point of distribution schemes. The
internalisation of the energetic cost is then proposed,
with a large non-sustainable component, in the com-
parison to whichever alternative to dams. This factor
must be decisive if you want to be ‘environmentally’
right.
13 CONTRIBUTIONS
For this second session, at the moment we received con-
tribution from 12 different countries of four continents:
AFRICA AMERICA ASIA EUROPE
Nigeria (2) Peru (2) Japan-Lao (1)* Macedonia (3)
Zambia (1) Argentina (1) Pakistan (1) Slovenia (1)
Paraguay (1) China (3) Spain (3)
Iran (2)
*Authors from Japan but dealing with Lao Republic.
According with the item the author is focused on
we can spot some of the concepts that they wrote and
help making richer that report.
14 IMPROVING BENEFITS OF EXISTING
DAMS
14.1 Normatov & Petrov (Tajikistan)
Multi-purpose means competence between interests.
Seasonal patterns for hydro and irrigation can be oppo-
site. Simplified models help to find the optimum oper-
ation to maximize regional benefit but taking into
consideration the social aspects.
14.2 Marizza et al. (Argentina)
Improvements on the benefits of dams can be achieved
by means of meteorological techniques and hydrolog-
ical forecasts. Special mention is made on the cases
where more than one purpose is in conflict involving
even different actors. Supply and irrigation water, flood
control and hydropower generation share schemes
with different temporal needs. The target is also the
global social benefit.
14.3 Dong et al. (China)
In order to maximize the benefits obtained from
reservoir operation both long-term and short-term
optimization models can be coupled. They show than
over 7% of total energy production can be raised using
these techniques. The basic function is to maximize
the gross benefit, taking into account conflicting objec-
tives. If forecasting is available, through the use of sto-
chastic models, extra benefits may also be obtained
versus traditional rule curves.
14.4 Simainga (Zambia)
There still lies tremendous potential that means an
economic value to surrounding and associated areas.
255
Redesigning existing large dams for multipurpose
objectives can address some social and economic
needs and mitigate some negative impacts in the
affected area.
Dormant potential must be exploited in order to
achieve maximum benefit improving economic rates.
It’s necessary to review the project operation peri-
odically. Many unforeseen issues emerge during the
commissioning phase and the first years of operation.
15 ENHANCING LOCAL ECONOMIC
DEVELOPMENT
15.1 Sirca & Barbic (Slovenia)
River Sava Cascade macro-project features is pre-
sented. Coupling both private and public funds due to
different direct and social benefits to be got, the pro-
ject can be properly and proportionally financed. The
project takes advantage of synergies with other needed
infrastructures that can be afforded because they must
be shared by the main project itself. Also public par-
ticipation improves the goals that can be reached.
An important role in the national development
with ability of domestic companies to offer technical
solution of up to 90% of the investment, retaining the
competitiveness of domestic civil contractors and
industry of local and national employment rates.
Influences on state and local budgets with long term
increase of cash flows and taxes as well as a number
of other indirect inflows.
15.2 Tancev et al. (Macedonia)
Macedonia needs an artificial redistribution of waters.
It is indispensable necessary to construct new large
dams. Unfavourable distribution of water resources in
the space and time makes them unavoidable. It exists
renewable water quantity to meet their needs but it
must be properly managed. Also measures to reduce
water losses must be adopted.
16 LOCAL REVITALIZATION STOPPING
MIGRATIONS
16.1 Andonov & Trifun (Macedonia)
After 50 years for planning local people of Mariovo
mountain region still is expecting the realization of
Chebren and Galishte multipurpose systems for increas-
ing their living standard. Some of them lost their hope,
it started emigrating and resettling the neighbouring
towns and cities. Remaining people still hope to enable
progressive revitalization of the living conditions in
Mariovo region.
Figure 5. Location of contributions around the world. Figures mean the number of presented papers.
One of main goals would be avoid massive emigra-
tion of young people to areas with better opportunities.
16.2 Flores et al. (Spain)
They focus their work on the past effect of public
pushing of irrigation areas in order to promote local
development and retain population avoiding migra-
tions to great cities. That represents the past strategy
in Spain promoting dams and water transfer between
basins looking for an acceleration of the economy
based then on public investments that helped the
development since the 1950’s to the 1970’s.
16.3 Suazo & Rodríguez (Peru)
Peru has conditions that make it mandatory the
development of dam projects for drinkable water and
power generation in order to satisfy the always increas-
ing demand.
A problem of supply that has to be evaluated as
precisely as possible is that causes by the greenhouse
effect. They fear climate changes effect: greater floods
and more severe droughts.
New dams are needed but supported by inter-
national community. On the contrary rights for better
life conditions would be threaten.
16.4 Loayza (Peru)
People of the region were waiting for more then 30
years to have opportunities of sustainable develop-
ment. They are sure that the dam was their hope. The
dam will generate an increment of 80% of the
regional exports and a creation of 84,000 permanent
256
direct employments and about 10,000 new work posi-
tions due to indirect related activities. Also the cost of
energy will decrease and therefore on production costs.
They will export electric power to the neighbouring
countries.
Dam represents development in the benefited pop-
ulation bringing investments, service and quality of
life for such underdevelopment region. That kind of
projects must to be prioritized taking into account the
sustainability of the promoted development and the
feasibility to recover investments as quick as possible
via taxes.
17 WATER AND HYDRO POTENTIAL AS A
LOCAL RESOURCE
17.1 Ekpo et al. (Nigeria)
Dams have come to represent important assets that sus-
tain the modern world. In Africa 70% of dams have
influence on various countries in a continent where the
projection is that over 400 million people expect to be
living in at least 17 water scarce countries by 2010.
Integrated management of basins must be implemented.
Any case they need water storages infrastructures to
manage irregular and high seasonal river basins.
Constraints to allocate water reduce sometime
potential benefits of dams. Planned dams are to be
commissioned under multipurpose concepts and inter-
national agreements.
Africa has the lowest power rate versus its potential
around the world affecting severely to its economies.
Also the lack of funding means that they cannot sup-
port the needed dams by themselves.
 Energy and agriculture are key sectors for sustain-
able economic growth in Africa.
Although multipurpose schemes have more diffi-
culties to manage they are highly recommended.
17.2 Majeed (Pakistan)
Mangla and Tarbela dams mean 70% of storage cap-
acity in the country. Kalabagh dam was too delayed.
They conclude that sustainability in the economy of
country is only possible by building dams for storage,
hydropower and flood control.
Stopping construction of dams during 30 years
obliged to implant thermal projects and to import fur-
nace oil. Due to that tariff was increased and water
shortages. Kalabagh dam permits to stabilizing elec-
tric tariff due to less operating costs.
Dams in Pakistan are providing affordable electric
energy for agriculture, industrial and domestic sectors
and assure water supply for food security. They enhance
social justice of the country in the coming years.
17.3 Mariano et al. (Paraguay)
The contribution of ITAIPU binacional to the
economies of Paraguay and Brazil is clear by the fig-
ures of energy supply to both countries: 97% of the
energy consumption of Paraguay and 25% of Brazil’s
with energy of high quality. This cheap energy can
afford payments as royalties to the countries and promo-
tion of social programs for surrounding communities
through cooperation agreements with governmental
and non-governmental organizations.
18 FUNDING
18.1 Johnson Adewumi (Nigeria)
Experts agree that large scale irrigation farming holds
promise for the future of the Nigerian economy and
the welfare of the people. They need regulated waters
and power.
Less than 27 million of inhabitants over 130 mil-
lion have access to electricity supply. That slowed
Nigeria’growth. It scarcely uses about 17% of its poten-
tial hydropower supplying 39% of the country’s power
generation.
Agricultural production is increasing by 8% per
annum, much ahead the population growth rate about
2.5%.
Inland navigation and inland fishery activities and
can be greatly improved. Nigeria could become a net
fish exporter in a few years.
Because Nigerian private sector is weak, they need
for improving of sources of funding consider-
ing Privatization, Commercialization, BOT Built-
operate-Transfer or Built-operate-own BOO.
257
19 ECONOMIC ASSESSMENT
19.1 Tada (Japan/Laos)
Generally we evaluated economic aspects of dams by
means of cost performance or Internal Ratio of Return
(IRR) and seldom studied macroeconomic effects of
dams on the whole countries.
The case study presented at Lao People’s Demo-
cratic Republic represents an investment about 50% of
GPD (Gross Domestic Product) and it is evaluated by
means of macroeconomic models. On the average GDP
would rise by about 7% because of the project.
19.2 Triana et al. (Spain)
They deal with the conflict between the storage vol-
ume and the volume available for flood control. Studies
take into account the cost of river regulated resources
as well as pumping alternative resources needed to
compensate losses due to freeboards. This economic
analysis is evaluated in terms of direct costs.
19.3 Chen et al. (China)
China has developed about 20% of its hydropower
potential. Power from hydro accounts 22.1% of the
whole capacity. It is planed that by 2020 hydropower
will account 29% of the whole country capacity, sav-
ing 0.42 billion tons of standard coal; to decrease 1.17
billion tons of CO2 discharge playing an immeasurable
role in decreasing air pollution and reducing green-
house effect. Benefits on flood control, irrigation, ship-
ping, etc. will have social benefits speeding up local
economies, promoting poor areas becoming richer. Of
course, that will have a price to pay through its nega-
tive effects.
They point that the development of social economy
promotes the development of water conservancy and
hydropower and vice-versa in a non perfect market with
insensitive price system.
19.4 Shourijeh et al. (Iran)
Cost-benefit analysis tended to over-represent direct
benefits while dismissing potential negative impacts to
the non-human environment. They focus their paper
on real negative impacts in order to take them into
account, even though that will be present after the use-
ful life of the project. Only studying carefully these
impacts all mitigating measures to be carried out
can be valued. Meeting needs in developing countries
makes the construction of large dams unavoidable.
19.5 Noori et al. (Iran)
Several analytical economic tools are available to
assesses direct and ‘ripple’ (secondary and tertiary
market) effects on the economy of the region or nation,
not only for cost and benefits but also accounting for
risk and uncertainty and discounting the future.
Using macro-economic models that uses extensive
data and huge investment to be carried out results can
be more closely foreseen.
As it has been shown in this report, patterns of
water use were changing in parallel with humankind
history. Since ‘Early periods’ when social lives were
modified with natural condition; through ‘the con-
struction oriented stage’ when human activities became
less dependent on the water resources location, even
providing water from long distance. It is, until last
stage when “a comprehensive oriented water manage-
ment” must be adopted because water quality deterio-
ration and over-exploitation of aquifers.
At that last stage positive and negative impacts are
taken into account choosing solutions both structural
as non-structural measures as dams, transfers, but
also regulation and economic instruments.
Three types of Models in macro-economics are
Input-Output (I-O), social accounting matrix (SAM),
and Computable General Equilibrium (CGE). Last
one let us to asses secondary and tertiary effects on
the economy of the region.
20 MULTI-PURPOSE SCHEMES
20.1 Mihajlowski et al. (Macedonia)
Kozjak project for Skopje flood protection. For small
countries multipurpose reservoir are necessary because
they cannot afford the luxury of finance a unique
258
purpose dam for that with its own public resources,
specially so too costly one.
The main goal was to increase flood protection from
50 to 300 years of return period at the capital. Reservoir
provides significant contribution to the national energy
system, assures water supply for the neighbourhood of
the Skopje and strongly supports the development of
relates economic sectors in the region.
20.2 Tang et al. (China)
Xiaolangdi dam on the Yellow river is presented as a
case study of multipurpose project. Flood control, ice
prevention, sediment reduction as well as water sup-
ply, irrigation and power generation are their main
roles. But also ecological flow maintenance is a basic
function.
Rules are: “power dispatch follows water dispatch”.
Irrigation and water supply follows non-dry condition
in the whole riverbed.
21 CONCLUSION
My intervention must conclude in order to give place
to the lectures, but we must not to take conclusions yet.
This session must claim to humbly contribute to renew
the discussion, firstly within the professional hydraulic
engineering itself through a constructive comparison of
arguments that must be transmitted to society.
The discussion that most probably will be raised
today will be a barometer of the predisposition of all
of us to rise to the occasion.
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Macroeconomic effects of a dam project in a developing country

T. Tada
The KANSAI Electric Power Co., Inc., Osaka, Japan

T. Hagiwara
Professor, Graduate School of Economics, Kobe University, Kobe, Japan

ABSTRACT: Dam projects with large-scale investments are increasing in developing countries of small
economies and privatization, competitive restructuring and reforms of infrastructures including dam projects
are under way in developing countries. So far dam engineers have been studying technical and environmental
aspects on dams. Generally we evaluated economic aspects of dams by means of cost performance and seldom
studied macroeconomic effects of dams on the whole countries. However, we have to consider dam projects one
of infrastructures influencing development of countries and study macroeconomic effects of dams in order to prop-
erly promote dam projects. In this paper we first reviewed the present conditions of dam projects in which structural
changes occur from ODA dependent development by state-owned, monopolistic companies to privatized, com-
petitive and liberalized one. Second we studied macroeconomic effects of a dam project in a developing country
in order for us to consider how study dam developments in the future.

1 INTRODUCTION those of IFI, balance between the public interest and

Infrastructures in developing countries have large
effects on social and economic growth, poverty reduc-
tion and international competitiveness. Especially infra-
structures with large dams influence supply electricity
and water which is essential to basic human needs. Tra-
ditionally governments or public sectors have planned,
developed and operated infrastructures in the public
interests. Therefore financing for them depended on
International Financial Institutes (IFI) or Official Devel-
opment Assistance (ODA) of bilateral relations because
of lack of financial resources in developing countries.
In the 1990s privatization, liberalization and restructur-
ing were promoted in infrastructure utilities. However,
in practice assistance by IFI is still essential to infra-
structure development because it is difficult for private
sectors to develop them due to the public interests, coun-
try risks and project risks with large dams. As a result,
development of large dam projects depended on deci-
sions of IFI and delayed recently.
When dam projects are planned, the projects have
been commonly evaluated by cost performance or Inter-
nal Ratio of Return (IRR) and seldom been studied
macroeconomic effects of the projects on a whole coun-
try. Because large projects with dams have significant
effects on macro economy of the countries, there are
many challenges to be carefully studied such as higher
interest rates of dividends for private companies than
profit-oriented behavior of private companies, and
contributions to social and economic growth.
In this paper, first we reviewed these issues and
second simulated macroeconomic effects of a hydro-
power project with a large dam in a developing country,
the Lao People’s Democratic Republic (Lao PDR or
Laos), whish is under construction by a private com-
pany at present. This project is one of the largest inde-
pendent power producer (IPP) projects in the Indochina
Peninsula and the project costs are nearly equal to the
half of the GDP of the country. Although in this project,
IFI conducted various studies including macroeconomic
effects for more than ten years, the purposes of this
paper are to simulate various scenarios by means of
macroeconomic models.
2 PRESENT CONDITIONS OF INFRA-
STRUCTURES OF ELECTRIC POWER
IN DEVELOPING COUNTRIES
2.1 Transition of IFI’s policies
Until the 1980s, infrastructures including hydropower,
water supply with large dams in the world had been
developed and operated by monopoly and state-owned
utilities because they needed large-scale investments,
were important for the public interests and have effects

259
of economies of scale and scope. The governments had
invested huge public resources in infrastructures, or if
they do not have enough resources, they got ODA from
IFI. However, in developing countries, there have been
many problems such as cross-subsidies for charges,
underpricing service charges due to political reasons,
lacks of revenues, insufficient investments, ineffec-
tive operation and maintenance and rapid increases of
demand. Lacks of infrastructures restrict economic
growth, make little increase of foreign investment and
result in lacks of services for the poor.
In the 1990s, in the West deregulating, introducing
competition and restructuring monopoly utilities had
been conducted because of advances in economics
that network industries can be unbundled, technical
innovation resulting in revising economies of scale. Led
by these movements in developed countries, infra-
structures in developing countries had been under way
of restructuring, privatization and introducing com-
petitions. The restructuring of infrastructure indus-
tries was strongly promoted by IFI such as the World
Bank which insisted that prospective infrastructures
should be financed by private resources not public
resources. IFI had to effectively utilize limited re-
sources and developing countries had to introduce
efficiency into inefficient state-owned utilities.
Correspondingly private sectors also expected to par-
ticipate in prospective infrastructure industries meeting
increasing demand.
However in 1997 financial crisis in the East Asia
caused devaluation of local currencies and withdrawing
from investments by private sectors. As a result, invest-
ment for infrastructures by private sectors decreased
and is still low level. Insufficient institutions of devel-
oping countries receiving private resources are one of
reasons why investment by private sectors is still low
level. On the other hand, in developing countries people
had complaints against privatization, increasing charges
of infrastructures, layoff from utilities and so on led
by IFI.
In response to the failure above, IFI recently has
changed their policies to support demand for infra-
structures on a basis of decreasing investment for infra-
structures during in the 1990s.
In infrastructure industries by private sectors, private
companies carry out businesses by project finance under
limited or non recourse using build-operate-transfer
(BOT) system and so on. One of main characteristics
is that every player including owners, project compa-
nies, host countries, contractors, lenders and buyers
share risks of the projects. There are many risks such
as country risks, environment risks, construction risks
and financing risks, and every player covers and takes
responsibility for the risks with each others. Country
risks in developing countries are too high for private
sectors to take responsibility for and the higher risks
countries have the less resource they can get. IFI can
260
take and guarantee such high risks so they still have
a significant role in infrastructures in developing
countries.
2.2 Challenges of hydropower development by
private sectors
It is difficult for private companies without experience
of hydropower to carry out them because dam devel-
opment has significant impacts on natural and social
environment. On large projects affecting large impacts
on natural and social environment, public institutes
have a significant role such as permitting rights, decid-
ing schemes of the projects, taking agreements of reset-
tlement people and compensating them.
Compared with thermal power, hydropower has
difficulties to develop by private sectors as follows;
(1) Construction of hydropower has higher risks of
cost over-run due to the site geologies and needs longer
periods than those of thermal power. Therefore it is
difficult for developers to evaluate the profitability at
planning stages. (2) The initial cost of hydropower is
higher than that of thermal power so hydropower
projects have disadvantages for private investments.
(3) The output of hydropower depends on natural river
flows and developments of the up/down stream. This
also makes it difficult to evaluate the profitability.
On the other hand, hydropower has advantages as
follows. (1) It is a domestic energy. (2) It can generate
electricity not depending on fuel costs. (3) Its life span
is longer than that of thermal power. (4) It can supply
ancillary services in power systems. (5) It can con-
tribute to local economies due to many civil works.
(6) It doesn’t request high technologies compared with
thermal power. They are suitable characteristics for
developing countries. Under few hydropower devel-
opments in developed countries, developing countries
should primarily develop hydropower in their own
countries. Not only developing countries but also devel-
oped countries should consider hydropower as no emis-
sion energies and sustainable energies from global
environmental point of view. These advantages of
hydropower never change despite its development is
led by private sectors, but under privatization of infra-
structures private resources move toward only thermal
power.
3 OUTLINE OF THE NAM THEUN 2 PROJECT
3.1 Outline of the Lao economy
The Lao PDR is located in the middle of the Indochina
Peninsula and the Mekong River flows through the
country from the north, boundary of China, to south,
boundary of Cambodia. Its area is about 237 thousand
km2 and its population is 584 million and the population
density is 25 people per km2. The country is surrounded
with Vietnam, Cambodia, Thailand, Myanmer and
China. Its GDP in 2004 is about US$ 2.46 billion
and the GDP per capita is US$ 428 so it is classified one
of heavily indebted poor countries. On the proportion
of industries in Laos, agriculture is 46.6%, industry is
27.0%, and service sector is 25.5%. The Asia financial
crisis in 1997 caused damage to the economy. An
increase rate of consumer price index (CPI) skyrocketed
from 10% in 1997 to 128% in 1999 and an exchange
rate of US$ rose from 805 kip/$ in 1995 to 10,800 kip/$
in 2004 (devaluation of kip). However, the growth
rate of GDP has been recovering from 4% in 1999 to
6% in 2004. A balance of payment and a balance of
trade in Laos have been deficit. Main export commodi-
ties are limited to electricity, woods and coffee and it
imports necessaries for life such as motorbikes, bicy-
cles and oil. A budget deficit of the government has
been continuing and the budget depends on foreign
assistances. The next table shows macroeconomic indi-
cators in Laos.
Because of mountainous lands and rivers, Laos has
rich hydropower potential. Utilizing the potential, Laos
developed the Nam Ngum hydropower station in the
1970s by financing of the World Bank, followed by the
Xest and Nam Luek hydropower stations which supply
electricity not only domestic but also Thailand. The
Electricite Du Laos (EDL) is in charge of generating,
transmitting and distributing the electricity in Laos.
Exporting electricity and earning foreign currencies
are one of the key policies of the government and Laos
made agreements to supply electricity to Thailand,
Vietnam and Cambodia. In accordance with the agree-
ments, the Lao government signed 25 memorandums
of understandings with private companies in order to
facilitate to develop hydropower projects.
Hydropower stations as IPPs under operation in
2004 are Theun Hinboun and Houay Ho stations but
others have not been made much progress due to slow-
down of Thailand demands, lacks of capacities of the
Lao governments and private companies, and envi-
ronmental issues. Differing from other countries, the
Lao government has plans to invest in IPPs and to get
dividends as well as to take taxes and royalties so the
Table 1. Macroeconomic indicators of Laos.
Year 1995 2000 2003 2004
GDP growth 7.0 5.8 5.8 6.9
rate %
Per capita 379.4 335.0 375.3 428.0
GDP $
Increase rate 19.6 23.1 15.5 10.5
of CPI %
Exchange 805 7888 10569 10800
rate kip/$
261
government has a role as not only a regulatory agency
but also a developer. The Lao Holding State Enter-
prise (LHSE) was established as a developer of the gov-
ernment. Because it is difficult for the LHSE to invest
initial expense of projects from the government budget,
it covers the expense by making loans, getting grants
by IFI or being made compensation by other owners
instead of imposing taxes during the operation.
One of the purposes of this paper is to study how the
unique policy effects on the growth of the national
economy.
3.2 Outline of the Nam Theun 2 project
A scheme of the Nam Theun 2 project (NT2) is to build
a dam with 48 m in height located in the middle of Laos,
to divert a river and to generate electricity with an
installed capacity of 1,070 MW. The Electricity Gen-
erating Authority of Thailand (EGAT) will buy the
electricity of 995 MW and EDL will buy the other
of 75 MW.
NT2 have been recognized as a promising plan from
a long time ago and an Australian company investigated
the project. Partly because of its large impact on envi-
ronment, a subsidiary of a state-owned electric power
utility in France, EDFI, succeeded the project. Com-
panies led by EDFI carried out an environmental impact
assessment in 1997 but the Asian economic crisis made
the project delay due to decline of the Thai economy
and the demand for electricity. With recovery of the
Thai economy, in 2000 the Nam Theun 2 Power Com-
pany (NTPC) and EGAT agreed on proposed electricity
tariff. Then owners of NTPC including the Lao gov-
ernment concluded a shareholders agreement. In 2003
NTPC and EGAT signed a power purchase agreement.
During the above periods, IFI such as the World Bank,
the Asian Development Bank and so on assessed
impacts of the project and guided the Lao institutions.
Then IFI concluded that NT2 can contribute to the eco-
nomic growth of Laos and its impacts can be managed.
Finally IFI led by the World Bank decided to support
NT2 after long studies for more than ten year.
NT2 started the construction in 2005 and will com-
mence the commercial operation in December 2009.
Gov’t of Laos
EGAT 995 MW
Contractors
EDL 75 MW NTPC
IFI
EDFI: 35%
Commercial banks
LHSE: 25%
EGCO: 25%
ItalianThai:15% IFI
Figure 1. Project scheme of NT2.
Table 2. Project cost of NT2. (US$: million)
Foreign cur. Baht&Kip Total
Project base cost 795.7 454.3 1250.0
Construction costs 396.2 315.3 711.5
Development costs 199.4 14.0 213.4
Financing costs 173.0 106.3 279.3
Contingencies 27.1 18.7 45.8
Contingent costs 116.6 83.4 200.0
Total costs 912.3 537.7 1450.0
After NTPC owns and operates the station for 25 years,
the Lao government will take over the power station.
The project makes about 6,200 people in the reservoir
area move, and affects impacts on downstream people
of the Nam Theun River and the lower Xe Bang Fai. The
project also makes new employments of about 4,000
people by the civil works.
The project cost is about US$ 1.2 billion, equivalent
to the half of its GDP. The internal rate of return is
estimated about 13 to 15%. During the construction
stage, finance and services moving from foreign coun-
tries to Laos are as follows: capital inflows of US$
262.5 million by foreign companies, loans and grants
for Laos of US$ 20 million and US$ 49.2 million, and
loans for NTPC of US$ 900 million. Most of the project
cost will be spent on building materials and machines,
engineering fees, financial fees and so on as foreign
currencies. About US$ 270 million will be spent on
the civil works as a local currency.
On the other hand, during the operating stage, every
year, on average NTPC will export electricity of
US$ 200 million to Thailand and Laos will consume
electricity of US$ 7 million. NTPC will spend O&M
expenses of US$ 15 million, pay taxes and royalties of
US$ 50 million, repay IFI the money, and distribute
dividends of US$ 75 million and US$ 25 million for
the foreign investors and the LHSE respectively.
4 LAO MACROECONOMIC EFFECTS OF NT2
4.1 Outline and hypotheses of macroeconomic
model
We made a macroeconomic model for a small open
economy. Although we focus on an electric power
sector, because of the very limited information on the
Lao economy, we can not take into account two sectors,
an electric power and the other sectors, into the model.
Features and hypotheses of the model are as follows;
1 Simulation periods consist of an initial year of 2004
and three phases, a construction period of 2005 to
2009, an operation period 2010 to 2034 and an oper-
ation period by the Lao government, after the BOT
system, of 10 years from 2035 to 2044.
262
2 After the power purchase agreement between NTPC
and EGAT expires, NT2 operated by the government
can sell the same amount of electricity to EGAT.
3 The Lao government spends all the revenue as the
government expenditures from taxes, royalties and
dividends by NT2 after repaying debts of NT2 to IFI.
4 The Lao economy can consume all electricity sold
by NT2 through EDL.
5 The Lao central bank does not intervene in foreign
exchange markets.
We estimated cash flows of NT2 by using published
data otherwise we calculated or supposed data.
4.2 Structures of macroeconomic model
4.2.1 Production and income
From an equation of national income accounting,
(4.1)
where, Y
gross domestic product: C
consump-
tion: I
investment: G
government expenditures:
E
export and M
import.
4.2.2 Consumption function
We assumed that consumption depends on only GDP
since there are the limited time series data in Laos.
From actual data in 2002/3 in Laos, we obtained the
below.
(4.2)
where, c1
marginal propensity to consume.
4.2.3 Investment function
Large amount of investment were made in hydropower
and mining sectors in 1995 and 2004, so we divided
investments into two categories, hydropower & mining
sectors and the others such as agriculture, construction
and woods. The former is a part temporarily made and
the latter increases with a constant rate, the same rate
of GDP growth in the last five years.
(4.3)
where, i0
investments of hydropower & mining sec-
tors: i1
investments of the other sectors: g
growth
rate of GDP in the last five years (0.0604) and t

passed year from 2004.
4.2.4 Government expenditure
We assumed government expenditures increase by a
constant rate, and obtained the following on basis of
past actual data.
 From profit maximization,
(4.4)

4.2.5 Export function (4.10)

We assumed that an export function consists of foreign
demands and the terms of trade.
where, MPL
marginal product of labor. On the other
hand, MPL  w/P.
(4.5)

(4.11)
where, E
export: e0, e1, e2
constant numbers:
Mw
world demands: P
domestic price: Pw
world
prices: Ex
nominal exchange rate (kip/US$). Then
We estimated the constant numbers by available data
in Thailand in 1960 to 1969 because per capita GDP of
Thailand in these periods is close to that of Laos at
(4.12)
present.


where, P
A(1). We assumed prices depend
on Y/K and increase of wage growth rate (WGR) as
following:
(4.6)

4.2.6 World demands

We considered that world demands increase with a (4.13)
constant rate as following:

(4.7) Therefore, a supply function is as follows:

where, M0
a constant number.

(4.14)
4.2.7 Import function
We assumed that an import function depends on GDP.
Similarly using Thai data in 1960 to 1969, we obtained 4.2.9 Capital stocks
as following: Capital stocks are the sum of the previous capital stock
after depreciation and investment this term.
(4.8)

(4.15)
where, M
import.
where, Kt
capital stocks in year t: Kt1
capital
4.2.8 Supply function stocks in year t  1 and It
investments in year t.
We adopted the Cobb-Douglas function as a production We obtained the initial stocks (K2004) on the basis of
function. capital stocks in 2004 (I2004) as the below.

(4.9)
(4.16)
where, A
a constant number: K
capital stocks:
L
amount of labor:
, 
income distribution
rates of capital and labor. where, d
depreciation rates.

263
 1.2E+14 4.5E+14 60
Y NT2
construction operation period after BOT 4E+14
Y construction after BOT
operation period

e, p (ratio to numbers in 2004)

1E+14 period 50
C NT2 3.5E+14 period

Y, K (constant price)
C
constant price

8E+13 3E+14 40
I NT2
Y
I 2.5E+14
6E+13 K
G NT2 30
2E+14 e
G
4E+13
p
E NT2 1.5E+14 20
E
1E+14
2E+13 M NT2 10
M 5E+13

0 0 0
'04

'10

'15

'20

'25

'30

'35

'40

'44

'04

'10

'15

'20

'25

'30

'35

'40

'44
Year Year

Figure 2. Production and income with NT2. Figure 3. Macroeconomic indicators by NT2.

1.4
4.2.10 Balance of payments construction operation period after BOT
1.3
From an equation of balance of payments, period
1.2

dY, de, dK, dp

1.1 dY
dK
1
de
0.9 dp
(4.17)
0.8
— — —
where, (IN  CP  ER )
the sum of income bal- 0.7
ance, capital balance and error of constant number: 0.6
FR
foreign reserves and FR
IN  CP  ER.
'04

'10

'15

'20

'25

'30

'35

'40

4.3 Results of simulations
4.3.1 Macroeconomic effects of NT2
The next figure indicates GDP with and without NT2
(legends in the figure are “Y NT2” of GDP with NT2
and “Y ” of GDP without NT2), consumptions (C),
investments (I), government expenditures (G), exports
(E) and imports (M). The vertical axis shows constant
price in kip. As mentioned, simulation periods are the
“construction period” of 2005 to 2009, the “operation
period” of 2010 to 2034 and the “after BOT” of 2035
to 2044.
By NT2, civil works increase investments (I) during
the “construction period”: government expenditures
(G) increase because of increasing revenues from taxes,
royalties and dividends during the second half of the
“operation period”: selling electricity increases exports
(E) during the “operation period” and the “after BOT”:
imports (M ) increases during all the periods due to
imports of building materials and machines for the
project and increases of GDP. As a result, GDP mainly
increases during the “operation period” and the “after
BOT”, and in accordance with GDP, consumptions (C )
increase at a rate of marginal propensity to consume
during the “operation period” and the “after BOT”.
The next figure shows GDP (Y) and capital stocks
(K) in the left axis in constant price, and exchange rates
(e, kip/US$) and domestic prices (P) in the right axis in
the ratio to numbers in 2004. Capital stocks temporarily
increase in 2009 by completion of NT2 project and in
the other periods capital stocks increase by a constant
'44
Year
Figure 4. Ratio of with-NT2 to without-NT2 on macro-
economic indicators.
ratio assumed in the model. Domestic price accelera-
tory climbs in the ratio of GDP to capital stocks and
the wage growth rate of 10% a year. It is difficult to
estimate changes of exchange rates by NT2 because
Baht, Thai currency, and US$ circulate in Laos together
with the local currency. Trade deficit and balancing
exchange rates with domestic prices raise exchange
rates during all the periods (devaluation of kip).
The next figure shows GDP (dY), capital stocks
(dK), exchange rates (de) and domestic prices (dP) in
the ratio of with-NT2 to without-NT2.
1. Effects on GDP
NT2 increases GDP by 3 to 5% through increasing of
investments during the “construction period” and
increases GDP by 5 to 10% due to increase of exports
of the sale of electricity and the government expendi-
tures resulted by increase of the government revenue
during the “operation period”. During the “after
BOT” GDP increases by 5 to 8% due to increase of
the government expenditures. On the average, GDP
rises by about 7% by NT2.
2. Effects on exchange rates
During the “construction period”, the civil works by
NT2 causes the depreciation of kip by 12%. During the
first half of the “operation period” the appreciation of
kip by 7% and during the “after BOT” the deprecia-
tion of kip by 3% occur.

264
 Table 3. Results of sensitivity analyses.

Scenario 1 Scenario 2 Scenario 3 Scenario 4

Terms Periods Base case WGR 15% Elc.90% Cost110%

GDP Construction 1.0432 1.0460 1.0432 1.0470

Operation 1.0809 1.0844 1.0731 1.0803
After BOT 1.0625 1.0653 1.0574 1.0628
40 years 1.0716 1.0748 1.0654 1.0718
Exchange rate Construction 1.1183 1.2843 1.1183 1.1118
Operation 0.9647 2.2813 0.9548 0.9519
After BOT 1.0347 5.0596 1.0278 1.0317
40 years 1.0014 2.8512 0.9935 0.9918
Domestic price Construction 1.0432 1.1974 1.0432 1.0470
Operation 1.0335 2.4270 1.0261 1.0275
After BOT 1.0343 5.0596 1.0293 1.0313
40 years 1.0349 2.9310 1.0290 1.0309

3. Effects on domestic prices 1.2

Domestic prices depend on the ratio of GDP to capi- construction operation period after BOT
1.15
period
tal stocks, so during the “construction period” increase 1.1
of GDP boosts it by 4%. During the “operation
dY, de, dK, dp

1.05 dY
period” and the “after BOT”, domestic prices change de
1
according to changes of GDP. dK
0.95 dp

4. Effects on other industries 0.9

Since we used the macroeconomic model, we cannot 0.85
simulate inter-industries’ relationships in Laos, how- 0.8
ever we can expect that the major export commodities
'04

'10

'15

'20

'25

'30

'35

'40

'44
such as woods and coffees following electricity are Year

affected by fluctuation of exchange rates.

Figure 5. Comparison between private and public financing.

4.3.2 Results of various scenarios

1. Sensitivity analyses
As the results in 4.3.1 are a base case, we implemented
sensitivity analyses as follows:
Scenario 1: wage growth rate of 15% higher than the
base case of 10%
Scenario 2: decreasing of electricity sale by 10%
We assumed lacks of river flows, negative effects by
up/down stream of the watersheds, drops of electric-
ity demands in Thailand and so on so owners includ-
ing the Lao government take reduced dividends.
Scenario 3: cost over-run of the project by 10%
Although NTPC made full turn key contracts with con-
tractors, we assumed cost over-run by 10% due to force
majeure and so on. Cost over-run results in increases
of amount of investments, loans, and repayments.
The next table shows comparisons of the scenarios
and the base case. Numbers in the table are the ratios
of each scenario to the without-NT2 case. There are no
significant differences of effects on GDP in any
scenario. In scenario 2, wage growth rate of 15%,
exchange rates rises (decline of kip) and domestic
prices rise every year during all the periods.
2. Comparison with a case of financing by IFI
We assumed that NT2 was financed by only IFI such as
the World Bank as ODA to Laos instead of private
investments. Loans from IFI, debts of the government,
substitute for equities by the private companies. The
next figure shows the results of the above scenario. In
the figure, GDP (dY), exchange rates (de), capital
stocks (dK) and domestic prices (dP) indicate the ratio
of the above scenario, financing by loans, to financing
by equities of foreign investors. Compared with loans
from IFI, during the first half of the “operation period”,
there are little changes of GDP, partly because of little
government expenditures changes and partly because
of balancing increases in dividends for the government
to increases in the repayments. During the second half
of the “operation period”, GDP increases due to the
increase of the government expenditures on the basis
of the hypothesis in the model that all the revenue is
spent on the government expenditures. In practice, the
government revenues will be spent on various objec-
tives so increases of GDP depend on the manners in
which the government spends the revenues, the gover-
nance. With respect to exchange rates, during the

265
second half of the “operation period”, kip drops
because of the trade deficits by increased domestic
demands.
In addition to the effects above mentioned, we can
expect that operation and maintenance costs might
increase and amount of generating electricity might
decrease since efficient manners of private compa-
nies cannot be expected.
5 CONCLUSIONS
In this paper, we reviewed present conditions and prob-
lems of hydropower development under privatization
and competitive restructuring in developing countries
and evaluated macroeconomic effects of NT2 in Laos
using the simple macroeconomic model. The follow-
ing conclusions emerged from the simulations.
1. NT2 increases the GDP of the country by 7% on
average of 40 years.
2. By the fluctuation of flow-in and flow-out of for-
eign currencies and the trade balance, exchange rates
rise by 12%, depreciation of kip, and drop by 10%,
appreciation of kip by NT2 during the periods of
40 years.
3. Domestic prices rise by 3 to 4% throughout the 40
years by NT2.
4. Sensitivity analyses about wage growth rates,
amount of electricity sale and project costs indi-
cated that effects on GDP are a little but increases
of the wage growth rates make significant effects
on exchange rates and domestic prices.
5. Compared with loans by IFI, private financing has
a little difference on macroeconomic effects. Increase
of GDP depends on the governance of Laos.
Although the macroeconomic model used in this
paper is simple and the results by the simulations are
rough and has limitations, this paper illustrated
macroeconomic effects of a dam project in a develop-
ing country. In order for us to further study how dam
projects contribute to developments of countries, it is
required to study about inter-industries’ relationships,
and about sharing roles and taking risks between pri-
vate and public sectors.
This paper was made by personal opinions of the
authors and is not related with the company which the
author belongs to.
266
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 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Analysis of economic impact in water conservancy and

hydropower development

Chen Shaojun
National Research Center for Resettlement, Hohai University, China

Shi Guoqing
Public Administration college of Hohai University, China

ABSTRACT: The conception and characteristics of water conservancy and hydropower economic system are
put forward firstly. This system is an important component of national economic system and a complex system
exerting water conservancy economy function as basic industry of national economy, and consisting of a series
of inter-correlative and interactional economic elements. The characteristics of this system are resource quality,
asymmetry in space-time distribution, un-proprietary quality, foundation quality, commonweal quality, social
economy quality and un-equilibrium quality. Based on the above, the positive effects and negative effects of
water conservancy and hydropower economy are brought out and issues needing to be paid attention to in water
conservancy and hydropower economic impacts analysis are also brought out.

1 INTRODUCTION shipping, etc.; and also have social benefit of

Getting rid of water-disaster and constructing water
conservancy are great invents to run the country well
and give the people peace and security in China all
through the ages. China has achieved great success in
water conservancy and hydropower economy in the
recent more than 50 years, with the largest-scale, most
distinct-interests and greatest-achievement period in the
history of China water conservancy and hydropower
construction. By the end of 2002, the developed capac-
ity of whole nation conventional hydropower has
reached 78,850 thousand kilowatt and the generating
capacity of whole nation conventional hydropower has
reached 271 billion kilowatt-hour yearly, accounting
for 20% of available capacity and 15.6% of available
generating capacity respectively. And hydropower
capacity accounts for 22.1% of the whole country elec-
tricity capacity. Due to the initial plan, the whole coun-
try hydropower capacity will reach 0.27 billion
kilowatt in 2020, accounting for 29% of the whole
country electricity capacity, and the developed degree
reaches 68%. The direct benefit of generating electric-
ity is to save 0.42 billion tons of standard coal; to
decrease 1.17 billion tons of CO2 discharge, 7.5 million
tons of SO2 discharge and much of other deleterious
gas discharge, which plays an immeasurable role in
decreasing air pollution and reducing greenhouse
effect. Besides, hydropower construction also can give
attention to integrate benefit of flood control, irrigation,
speeding up local economy, promoting social
development and promoting poor areas and minority
areas become rich. On the other hand, water conser-
vancy and hydropower development also has negative
effects on resettlement, environment, society and
economy. The following is to analyze the economic
impacts caused by water conservancy and hydropower
development.
2 CONCEPTION AND CHARACTERISTICS
OF WATER CONSERVANCY AND
HYDROPOWER ECONOMIC SYSTEM
Water conservancy and hydropower economy includes
all activities in providing public products to develop
national economy, to meet the demand of social stabi-
lization and human subsistence. This system is an
important component of national economic system
and a complex system exerting water conservancy
economy function as basic industry of national econ-
omy, and consisting of a series of inter-correlative and
interactional economic elements. It focuses on
exploitation and utilization of water resource, and
involves all economic activities related to water utiliza-
tion and water management, which forms water indus-
try economic system with diversification of internal
structure. The characteristics of water conservancy and
hydropower economic system are as follows:

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2.1 Resource quality
Just as land resource, forest resource and mineral
resources, water resource also is important natural
resources as the basic condition for human to subsist
and develop. Water resource is irreplaceable but renew-
able, and it is also limited and deficient. Calculated by
the vital statistics of 1997, water resource amount per
capita in China is 2220 m3; it is estimated that in 2030
the population will reach 1.6 billion and the water
resource amount per capita will be decreased to
1760 m3. According to the international standard, those
whose water resource amount per capita is below
1700 m3 belong to water shortage countries. So the
trend of water resource in China is austere.
2.2 Asymmetry in space-time distribution
Besides the low amount per capita, the space-time dis-
tribution of water resource in China is also asymmetry.
And the supply of water resource differs from time to
time, from space to space. Precipitation occurs mainly
in summer in most areas, and the precipitation in flood
season accounts for 60%80% of the total yearly
amount, which then forms the low water season and
flood season. The change of precipitation year after
year will also lead to continuous flood or continuous
low water in river. The changes of global climate caused
by nature and human being have increased the fluctuat-
ing of long-term water supply, which makes it difficult
to predict water supply amount in a certain period
exactly. Besides, the water supply has obvious regional
characteristic: precipitation decreases gradually from
southeast littoral to southwest inland. The water
resource issue has close relations with local population
quantity and economic development level. Though
water is critical to life and economy development,
invests on water-transporting, water-drawing and
water-reserving and the energy source cost are com-
paratively high compared with the economic value in
utilization. The high cost in transporting water has
restricted the sell range of water, which furthers the
regional characteristic of water supply.
2.3 Un-proprietary quality
Nature resources can be divided into two categories
of proprietary resource and un-proprietary resource.
Proprietary resources refer those that enterprises or
consumers can possess all economic value, such as
land resource, mineral resource and forest resource. In
perfect competitive market, proprietary resources can
be priced and collocated efficiently. Un-proprietary
resources refer those that individuals can utilize freely
or at low cost while the society must pay the cost for
individuals. Water resource is un-proprietary and fluid-
ity resource; and the exclusive cost are very high. It is
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difficult and costly to establish and protect the propri-
etary property right of water resource, and is difficult to
regulate the proprietary property right.
2.4 Foundation quality
Water resource is basic natural resources and one of
the important elements in ecological environment;
meanwhile it is also stratagem resource and an organic
part of general national power. The foundation quality
of water conservancy economy is decided by the posi-
tion of basic industry. As a basic industry, water conser-
vancy is direct or indirect indispensable of other
industries in national economy, and it also is the prem-
ise and basic condition of national economy sustainable
development.
2.5 Commonweal quality
Water conservancy and hydropower product has the
characteristics of public products and is regarded as
necessary consumed by the masses. When it becomes
commodity, it still has commonweal quality. The main
objective of a good many economic activities in water
conservancy and hydropower engineering is to develop
the living level and national economy, which has
decided the diversity in product demand.
2.6 Social economy quality
Water conservancy and hydropower economy has the
basic characteristics and laws of social economy,
the development of social economy will promote the
development of water conservancy and hydropower
industry; while the success in water conservancy and
hydropower economy will promote the development of
social economy on the contrary. Due to the nonprofit of
water conservancy and hydropower economy, it has
its own objective and development laws. Only does the
co-ordinated development between water conser-
vancy economy and social economy can realize the
sustainable development of national economy.
2.7 Un-equilibrium quality
Un-equilibrium means there is no perfect market and
no equilibrium in sensitive price system. The water
conservancy and hydropower economy in China is still
in conditions of imperfect market and insensitive price
system. The excessive demand and excessive supply
exist, so do the demand restriction and supply restric-
tion. The institutions of water conservancy and
hydropower engineering are always subordinate of
administrative machinery; while not market bodies
with autonomous operation, autonomous profit and
loss and independent decision-making right, and lack
of the ability of bearing the risks by themselves.
 The construction of water conservancy and
hydropower engineering is an important measure to use
water resource reasonably, to get rid of water-disaster
and construct water conservancy. The objective of it is
to serve the national economy development and social
progress better: on the one hand, it puts the centre on
economic benefits and achieves maximal profits at
lowest invest through providing public products accord-
ing to the request of market economy; on the other hand,
the objective of the integrate benefit of flood control,
irrigation and shipping in hydropower construction is
not to achieve profits, but to meet the social demand,
to maintain the social stability and to make people
live and work in peace and contentment. It is
undoubted that the construction of water conservancy
engineering will lead to negative effects such as inun-
dation and accumulation of sand.
3 POSITIVE EFFECTS
3.1 Direct economic impacts
The main direct economic impacts of water conser-
vancy and hydropower engineering are to provide prod-
ucts or service on clean water, electricity, flood control,
disaster reduction, shipping and junketing; to increase
employment opportunity; to achieve economic growth
and offer national economy with well public products.
Electricity generation. Hydropower engineering
construction can provide electric power and electric-
ity to electric-net or consumers. Also the electricity
generation can provide necessary products for indus-
try production and social mass, so to create economic
value. Energy sources are basic conditions for national
economy growth, while hydropower has become more
and more important energy source. There are 69 seats of
large and medium water conservancy and hydropower
projects still in construction in China, and the total
capacity is 49178 thousand kilowatt. The developed
degree (divide developed capacity by available capac-
ity) of hydropower in China reaches 32% if consider-
ing the uncompleted constructions. The total capacity
of Three Gorge is 18200 thousand kilowatt and the
direct electricity generation profit can reach 67 billion
Yuan after completed construction, which may bring
vigor to China economy. Some economists point that
it is not excessive to evaluate the effects of entire
exploitation and utilization of water resource on China
sustainable development and environment protection,
on maintaining a comparative high level in subsis-
tence and development.
Water supply. With the construction of reservoirs,
clean water can be provided to town and country resi-
dents, which may efficiently promote the social eco-
nomic growth, guarantee living quality and promote
industry production and economic growth. In China,
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the present water conservancy and hydropower engi-
neering has the water supply capacity of 580 billion m3
yearly, and perfect water supply safeguard system has
be formed.
Irrigation. Irrigation establishment constructions
have efficiently improved production condition of agri-
culture and living condition of farmers, which can
safeguard the food security and raise 22% of world
population on less than 10% of world plow land in
China.
Shipping. Freshwater transportation has the advan-
tage of low cost. Water carriage can increase freight
volume, increase transportation revenue and reduce
freight cost, which further meet the demand of trans-
portation and promote regional economic growth.
Take the Three Gorge for example, Chuanjiang River
can be trenched entirely after reservoir construction,
and the backwater of reservoir can directly reach
Chongqing, which may improve the shipping condi-
tions of Chuanjiang-average width of reservoir is
about 1100 M, the sea-route is about two times as
wide as before; the velocity of flow slackens to 70%,
and the loading capacity per horsepower of shipping is
10 times as before; the one-way foreign freight is five
times as much as before; the period of operating cycle
will be half of before with 30% freight cost discount.
All of the above make the transportation capacity of
upriver and downriver Yangzi River joint together, and
form veritable “golden watercourse”.
Flood control. Flood control is not to create wealth
directly, but to decrease the probability of flood, the
degree of flood and the loss of national economy, and
to safeguard the social safety and life safety. The con-
struction of flood control engineering can decrease
the probability of flood in served areas, promote the
adjustment of agricultural structure and improve the
utilization value of land.
Junketing. With the construction of water conser-
vancy and hydropower engineering, the beauty spot of
reservoir area may gather clear lake, forest and water-
fall together, which is to form a superexcellent junket-
ing resource with huge profit.
3.2 Indirect economic impacts
The main indirect economic impact of water conser-
vancy and hydropower engineering is to promote
economy of concerned departments and areas. The
most direct contribution is revenue; and the input of
production elements including water resource, labor,
capital and technology can increase electricity genera-
tion, which further promotes the development of related
industries. Besides, the development of related indus-
tries may request hydropower industry more so that to
promote the development of hydropower industry. This
affected opportunity can advance local economy and
increase gross national product (GNP).
 To advance local economic growth. The construction
of large water conservancy and hydropower projects has
broken the existing economic situation. During the con-
struction period, all economic activities have arrived to
a temporary equilibrium through certain method; while
after the construction, the sudden-increased engineer-
ing profit will bring powerful impetus to existing eco-
nomic structure. Take the Longyangxia hydraulic
power plant for example, with the construction of
power plant, the food and drink industry, commerce
and traffic develop quickly, and along with it a spir-
ited town is established. After the construction and
operation of the hydraulic power plant, local indus-
tries with large electricity-consuming have been pro-
moted; the supply and demand contradiction of coal
has been weakened; the press of railage has been
lightened; and the local economy has been advanced.
Besides, more and more investors and labors will be
attracted due to the development of local economy,
which also is an un-neglectable radiation effects.
To decrease investment and operation fee on
environment protection. As clean energy sources,
hydropower can take the place of firepower so as to
decrease the discharge of CO2 and SO2, decrease land
occupation caused by waste residue, decrease waste
warm-water discharge to rivers and oceans; and fur-
ther decrease the investments and operation fees on
environment protection and air pollution harness,
decrease land loss. Take Three Gorge hydraulic power
plant for example, the capacity of it is 18200 thou-
sand kilowatt; the average electricity generation per
year is 84.7 billion kilowatt-hour, amounting to seven
2400 thousand kilowatt-firepower plants or exploit a
coal mine with 4050 million tons production. So it
plays an immeasurable role in decreasing air pollu-
tion and reducing greenhouse effect, with large envi-
ronmental benefit.
To decrease the freight cost of coal. Firepower plants
need coal mines and railways to match with them. The
construction and operation pressure of railway and
highways will be alleviated, and the investments and
operation fees will be saved with hydropower taking
the place of firepower. In central China and East China,
the agricultural production is advanced, but the short-
age of energy supply has restricted the economic
development for many years. Due to the electric
power development plan of these two regions, there
need to increase 860 billion kilowatt-hour electricity
and 0.17 billion kilowatt capacity in 2050. While the
coal resources in these two regions are few, only
accounting for 3.6% and 3.2% of the national gross
respectively. A lot of firepower sets were forced to stop
operating due to coal supply in East China in 1989, so
the development of firepower is restricted by the pro-
duction, especially the transportation of coal resources.
There is also not too much waterpower resource in East
China, and those with ascendant conditions have been
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developed already, even if with the construction of
Three Gorge hydraulic power plant , small hydraulic
power plants and nuclear power plants, there still need
to increase 0.13 billion kilowatt firepower with 0.2 bil-
lion tons of raw coal from North China. If Three Gorge
hydraulic power plant is replaced by firepower plants, it
would pick up the production and transportation of coal
and increase the construction and operation pressure of
railways and highways.
4 NEGATIVE EFFECTS
4.1 Reservoir construction will lead to land
loss, establishments loss, resources
loss and physical deterioration
The constructions of reservoir will lead to inundation,
immergence, landslide, coast and isolated island, which
further lead to the discard, demolition and wastage of
land, house, ground attachments and special estab-
lishments. And the relocation and reconstruction of
reservoir resettlers will also consume many resources.
The losses caused by reservoir construction are exten-
sive, some are direct, visible and tangible; some are
indirect, invisible and intangible; some are production
and living conditions formed through long-term labor
that are difficult to evaluate in cash. From the point
of economy, the reservoir losses can be divided into
economic loss and non-economic loss. Economic loss
includes the direct and indirect loss caused by reservoir
inundation.
The construction of water conservancy and
hydropower engineering is to realize the integrate ben-
efit at the cost of land being inundated, population
being removed and resources being damaged. So
there are direct relations between integrate benefit of
water conservancy and hydropower engineering and
reservoir inundation, and some of the reservoir reset-
tlement cost should be paid by water conservancy and
hydropower engineering.
4.2 The reservoir resettlement is difficult
with high cost and many problems
Reservoir resettlement is an important component of
water conservancy construction. Some famous water
conservancy experts in China indicate that “reservoir
is dam plus resettlement”. In the past fifty years, 86
thousand sets of large, medium and small reservoirs
have been built, which lead to 18000 thousand reset-
tlers. Due to the special investigation on reservoir
resettlement carried out in 1985, only 1/3 of the reset-
tlers’ living and employment had been resolved well,
and 1/3 had narrowly resolved, and the rest 1/3 had
not been resolved appropriately. In Sanmenxia Water
Conservancy key engineering, 421 thousand people,
892 thousand mu plow land and 402 thousand rooms
were impacted, and 17 towns with 5 counties were
inundated, that is half of the counties being inundated.
From the end of 1950s to 1980s, the residents along
flourishing Yellow River and Weihe River became reset-
tlers and became poor populations gradually.
Reservoir construction funds were established in
1985, which is drawn from the central finance handed
by hydraulic power plant directly under center. With
0.004 Yuan per kilowatt-hour and 0.24 billion Yuan
can be drawn yearly, which are used to resolve the
remaining problems of resettlement caused by reser-
voirs directly under center. Notice on Establishing
Upper Support Funds for Hydraulic Power Plant
Reservoir Areas issued in 1996 regulates that: upper
support funds for resettlement should be drawn at
less 0.005 Yuan per kilowatt-hour for ten years from
hydraulic power plants that were put into production
after 1986 or approved to start working before the end
of 1995. With the joint efforts from central govern-
ments, local governments and resettlers, the remain-
ing reservoir problems are being resolved efficiently.
From 1986 to 1997, 2.88 billion Yuan of construction
funds had distributed to reservoir areas by central
government and 0.9 billion Yuan had been distributed
by all levels of local governments, which has resolved
some necessitous reservoir remaining problems.
The reservoir remaining problems caused by the
construction of water conservancy and hydropower
before 1985 are so complex, and there are still existing
lessons that cannot be resolved entirely at the large
economic cost paid by nation and society.
4.3 The transfer loss of flood disaster
caused by accumulation of mud in
upriver is un-neglectable
The upriver riverbed will be driven up with the sluice
of reservoirs, which may lead to the accumulation of
mud in bayous of branches, and lead to the submerge
of main trough, the decrease of section, the debase-
ment of flood control capacity, the rise of flood water
level, the shrink of river way and the deterioration
of conditions. All these may weaken the effects of
hydropower engineering. Though the sluice of reser-
voirs may make the downriver areas flee from flood
disaster, it still may bring flood disaster to upriver
areas, and this is disaster transfer effect in fact. The
construction and operation of Sanmenxia Reservoir
has brought large interests to upriver in flood control,
irrigation and electricity generation, but the accumu-
lation of mud is increasingly serious due to inconsid-
eration of sand discharge during construction. The
altitude of Tongguan Gate is driven up after the sluice,
leading to the reduction of water amount in Yellow
River and Weihe River, aggravating the mud disaster
in downriver of Weihe River. Due to the historic data
271
from water and electricity department, sluice began in
1960, while 1.5 billion tons of mud and sand had been
accumulated by Feb 1962, and the total accumulation
reached 5 billion tons by Nov 1964. The backwater of
Yellow River tends to Xi’an, and the damage caused
by flood in Weihe in 2003 is shocking by the sight.
The Economy and Society of Reservoir Areas May
Be Affected Negatively.
When the construction of hydropower projects pro-
motes local economic growth, it also has negative
effects on local economy. The construction may
destroy local infrastructure, such as force highways
and railways to alter route. Also lots of fertile land, for-
est, mineral resources, animals, plant resources and
cultural property may be inundated, so do the mode of
production, industry structure and allocation of pro-
ductive force around reservoir areas. All these will
lead to more unemployed persons, the decrease of
available resources, the increase of operation cost of
economic system; besides, the agricultural produc-
tion and daily life of farmers are seriously impacted,
which may further lead to economic depression or the
decrease of economic growth rate. Such as Wuqingxi
Reservoir, resettlers lost lots of land resources due
to reservoir inundation, and the condition of socio-
economy in reservoir areas changes greatly after the
construction of reservoir – GDP per capita in Yuanling
County is 4375 Yuan in 2001 and that in Hunan
Province is 6054 Yuan, 16.8 times and 21.2 times
respectively as much as that in 1978. Among these,
GDP per capita in Yuanling County is higher than that
in Hunan province from 1982 to 1985, after that it is
always lower than that of the whole province. GDP
per capita in whole province in 1987 is 1.2231 times
as much as that in 1986, while that in Yuanling doesn’t
change; and till 2001, the gap between Yuanling and
Hunan in GDP per capita reaches 1679Yuan with
expansile trend.
4.4 The former water conservancy interest
may be damaged
The construction of water conservancy and hydropower
engineering may also impacts the former water conser-
vancy interest. Such as irrigation, flood control,
hydraulic power plants, ports and fishery. These nega-
tive effects may decrease the former interest of
related departments in national economy, so these
impacts should be dealt with during the construction,
and usually the cost is very high.
4.5 The economic interest of downriver
areas may be damaged
The negative effects in downriver caused by hydro-
power development are as follows: the loss of inter-
ests brought by using river water to irrigating,
supplying water, shipping and generating electricity
in downriver areas; the hydropower development and
the change of river-using mode in upriver lead to weak
function or malfunction of establishment in downriver
areas, such as ports, floodgates and water-drawing
establishments, and the cost on dealing with these
negative effects may be greatly increased.
5 ISSUES NEEDING TO BE ADDRESSED
5.1 Present benefit analysis of hydropower
doesn’t include all costs accrued in
hydropower engineering
Not all of the inundated losses are calculated in engi-
neering cost. At present, the policy of “compensation
in prophase and support in anaphase” is adapted in
reservoir inundation losses. Only the compensation in
prophase is put into the power plant investment. If
inundated losses are calculated as compensation or ten-
year support fee is calculated, the economic benefit of
hydropower development will be much lower. Besides,
the loss of mineral resources, forest resources and land
resources; the long-term increased costs on transporta-
tion, water supply, commerce and administration oper-
ation due to acreage expansion and dispersive
residents’ sites caused by reconstruction; the costs paid
by relocation sites governments and non-resettlers on
resettlement; all are not calculated into engineering
costs.
There still need to remaining problems of resettle-
ment if the objectives of resettlement are not realized.
And the cost is very huge. Local governments also
should pay much extra fees, manpower, material
resources and financial on resettlement. From 1986 to
1997, 2.88 billion Yuan of construction funds had dis-
tributed to reservoir areas by central government and
0.9 billion Yuan had been distributed by all levels of
local governments. All these expenditure is not calcu-
lated, and the fees on resolving remaining problems
entirely in future are difficult to estimate.
Besides, the damage caused by water conservancy
and hydropower construction are difficult to quantify
and not calculated in development costs, such as envi-
ronment pollution, accumulation of mud and sand,
destroy on species diversity, disappear of cultural prop-
erty due to reservoir inundation, destroy on ecological
environment and loss of traditional culture in resettle-
ment areas.
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5.2 Disequilibrium in benefit distribution of
water conservancy and hydropower
development
The inundated areas are in upriver, while the benefi-
cial areas are in project seats, downriver or electricity-
supplying and water-supplying areas. This may lead
to different benefit allocation in different location –
resettlers in upriver may become induced impoverish-
ment with decrease in living level caused by land
inundated and family destroyed; while the residents in
project seats may obtain more employment opportu-
nity, downriver residents may obtain the benefit of
flood control and irrigation, residents and enterprises
in water-supplying areas may have more opportunity in
socio-economic development due to electricity supply.
How to realize equitable benefit-distribution between
upriver and downriver, between left bank and right
bank, between reservoir areas and beneficial areas; and
how to carry out “everyone pays for their benefits”;
and how to establish mechanism of beneficial areas
pay compensations to affected areas in capital, mate-
rial and technology; all these are worthy of studying
further.
5.3 Distribution mechanism of investment and
profit in integrated water conservancy and
hydropower projects desiderate solution
The characteristics of water conservancy and hydro-
power economic system – that is commodity quality
such as water electricity, drinking water and industrial
water; commonweal quality such as flood control;
quasi-commonweal quality such as irrigation and
shipping – have decided the complexity of it. At pres-
ent, water conservancy and hydropower integrated
projects with well profits have undertaken almost all
of the investments and operation fees of commonweal
projects such as irrigation and flood control or quasi-
commonweal projects, which should be paid by gov-
ernments. While those projects with poor profits are
unable to undertake the investments and operation
fees that should be undertaken. All these may lead to
departure of reasonable objectives in water conser-
vancy and hydropower development; also may lead to
that the developers will try to decrease resettlement
funds and increase the input of local governments, all
of these costs are not calculated in project cost so that
unreasonable distribution mechanism of investment
and profit is formed.
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Benefits of Xiaolangdi Multipurpose Dam Project in initial operation

Honghai Tang, Xingzhao Xin & Zhifeng Qi

Yellow River Water & Hydropower Development Co. Ltd, Zhengzhou, Henan, China

ABSTRACT: Xiaolangdi Multipurpose Dam Project is located at the last gorge of the middle stream of Yellow
River, which is a key project to manage Yellow River and controls 92.3 percent of the drainage area and 100 percent
of sand. The project functions in flood control, ice prevention, sediment reduction, as well as water supply, irriga-
tion and power generation. The greatest challenge of the long-term safe operation of the project is its character-
istics of less water and more sand and imbalance of sand and water of Yellow River. Since it put into operation in
the year of 1999, Xiaolangdi Multipurpose Dam Project sufficiently has brought its all functions into play and
achieved the designed development goals. The operation mode of Xiaolangdi Multipurpose Dam Project has cer-
tain reference meanings for the rivers of more sand and less water.

1 BRIEF INTRODUCTION OF THE PROJECT 2 DISPATCH AND UTILIZATION OF

Xiaolangdi Multipurpose Dam Project is located at the
last gorge of the middle stream of Yellow River north to
Luoyang city Henan Province. It controls 92.3 percent
of the drainage area of Yellow River, almost 100 per-
cent of the sand and 87 percent of the amount of water,
and functions in flood control, ice prevention, sediment
reduction, as well as water supply, irrigation and power
generation. The total dynamic investment of the
Project is 34.7 billion RMB and 200 thousand people
need to be immigrated. The Project commenced in
1991 and completed at the end of the year 2001.
Xiaolangdi Multipurpose Dam Project consists of
dam, flood discharge tunnels and underground power
house. The elevation of the dam is 281 m, and the high-
est part of the dam is 160 m, the normal high water level
is 275 m and the total reservoir capacity is 12.65 billion
cubic meters, of which 7.55 billion cubic meters is silt
capacity and the long-term effective reservoir capacity
is 4.05 billion cubic meters and sand discharge capacity
is 1.05 billion cubic meters.There are six power total
generation capacity is 1.8 million kilowatts.
Operation of the Project is divided into three stages,
i.e. initial stage of sand blockage, later stage of sand
blockage and the normal operation stage. The present
is the initial stage of sand blockage, i.e. the time before
the silt amount in the reservoir reaches 2.1–2.2 billion
cubic meters. The Project has achieved the outstand-
ing social and economic benefits after six years of the
initial operation and scientific dispatch.
THE PROJECT
The water resources of Yellow River are dispatched
unifiedly. The operation unit of the Project obeys the
dispatch by the Yellow River Flood Control Office and
strictly implemented the dispatch guide approved by
the Ministry of Water Resources. It mainly functions
as sand blockage at the early operation stage of the
Project. At the special operation stage of the Project,
it adopted the jointly dispatch by the multi-reservoirs to
regulate the water and sand and achieve different den-
sity flow to discharge sand.
The reservoir will turn into the normal operation
stage after the silt of the reservoir reaches 7.55 billion
cubic meters and the elevation of the silt at the front
of the dam reaches 254 m, and take the way of impound
the clear water and drain the mixed water to regulate
the water and sand by the slot reservoir capacity of
10.5 m3 to achieve the balance of silt and drainage in
many years.
2.1 Principle of operation at the early stage
The principle of power generation depending on the
water amount must be strictly implemented as well
as the power dispatch following the water dispatch.
Operation of water supply and irrigation follows by the
principle of deciding demands upon supply with
the precondition of assuring non-dry of Yellow River
in the whole riverbed. The principle of impound by

273
grade is strictly carries out in the reservoir to increase
the water level step by step. With the precondition of
safety assurance, the limited water level in the flood
season will be determined with reason to utilize the
water resources rationally.
To adopt the principle of draining sand in the low
holes, draining contamination in the high holes and
power generation in the middle holes, to keep the intake
of power tunnels unsilt by monitoring on sand in
good time.
Based on the water level conditions of every hole
and combined with the site overhaul and water flow
through the generators, in the order of up first and down
second and left first and right second, meeting the
requirement of index of water and sand flow and think-
ing of even and steady water flow to downstream at the
same time to decide the operation scheme of the holes
and tunnels correspondingly to decrease the silt in the
reservoir with thinking of draining sand through the
different density flow.
2.2 Gates’ operation
There are 31 gates of working gates and emergency
gates in Xiaolangdi Multipurpose Dam Project. Up to
December 31, 2005, there are altogether 3365 times to
open or close gates and 561 times per year and mainly
in the flow and sand regulation.
2.3 Flow and sand regulation
The serious problems of less water, more sand and
imbalance of water and sand leads to shrinkage of D/S
riverbed and worse of zoology of Yellow River. Flow
and sand regulation is important measure to solve the
problem of silt of Yellow River. Flow and sand regula-
tion is to send more sand silted in the river passage
and reservoir into the sea by adjusting the water flow
of the reservoir to delay the silt. It requires controlling
the waterflow less than 800 m3/s or more than 2600 m3/s
station and lasting more than 6 days to avoid less water
driving more sand.
During the year of 2002–2005, there are 3 times of
flow and sand regulation experiment and one time of
water and sand operation and total 66 days. The total
waterflow capacity of the Xiaolangdi Multipurpose
Dam Project is 12.761 billion cubic meters and the
total sandflow capacity is 111.679 t. Lots of valuable
materials has been gained from the process of flow
and sand regulation on the jointly dispatch, sandflow
through the different density flow.
2.4 Different density flow in the reservoir
There appeared 7 times of the different density flow
after operation of Xiaolangdi reservoir, 4 of which
274
caused by flood and 3 of which caused by flow and
sand regulation. As follows:
– After Xiaolangdi Multipurpose Dam Project put
into operation, due to heavy rain in the middle
stream of Yellow River and upstream reservoir
drained water to let sand flow, the different density
flow appeared at 50 km away from the damsite of
Xiaolangdi reservoir for the first time.
– During the first time flow and sand regulation on
July 6, 2002, there appeared the different density
flow 65 km away from the Xiaolangdi damsite.
In order to accelerate the silt in front of the dam
and decrease the seepage of the dambase, the sand-
flow by the different density flow was cut off by
man-made.
– On August 2 and 28, 2003, there appeared the dif-
ferent density flow twice due to flood.
– On July 5, 2004 during the third time flow and sand
regulation experiment, the first time man-made dif-
ferent density flow was made by man-made flood.
– On June 27, 2005 during flow and sand regulation
there appeared another man-made different density
flow and drained out of Xiaolangdi reservoir two
days later. On July 5, 2005 the different density
flow appeared again in Xiaolangdi reservoir due to
waterflow from upstream Weihe River and sand-
flow from upstream reservoir.
3 COMPREHENSIVE BENEFITS
With the condition of strict and complicated opera-
tion, there achieved six great targets of flood control,
ice prevention, silt decreasing, water supply, irriga-
tion and power generation.
3.1 Flood control
Flood in the middle stream of Yellow River mainly
forms by the heavy rain. The type of flood peak in
downstream is short and fat which lasts longer and has
lower flood peak and the type in middle stream is tall
and thin which lasts shorter and has higher flood peak.
After completion of the Xiaolangdi Project, the
effective reservoir capacity of 4.05 billion cubic meters
can be kept for a long time. To jointly combine with
the built Sanmenxia Reservoir and Luhun Reservoir to
divide flood by Dongping lake, the standard of down-
stream flood prevention can be increased from 60 years
to 1000 years. In the year of 2003, there appeared the
constant heavy rain in the west of China and caused
more than ten times of flood in the middle stream,
however, there was no heavy flood in the downstream
of Yellow River due to the joint dispatch of Xiaolangdi
Reservoir combination with other reservoir in the
upstream of Yellow River.
3.2 Ice prevention the year of 1972–1998. The dry of Yellow River will
lead to shrinkage of the riverbed and decrease of the
The D/S water passage of the Yellow River flows into
hydrophyte and marsh and quickness of coastline with-
Bohai at the direction of Northeast. Due to difference of
draw, deterioration of environment of Yellow River
the latitude, the water passage in the down part was
delta and loss of plant or animal community.
frozen about 10 days earlier than the water passage in
D/S of Yellow River controls the irrigation area about
the up part and thawed about 20 days later. When frozen,
2.67 million hectares and actually irrigate area about
the ice blocked the waterflow and the up part thawed and
1.173 million hectares every year and annually drawing
down part unthawed, it is easily to form ice blockage, ice
water 8–10 billion cubic meters. Due to imbalance of
dam to cause the water level higher and form ice flood.
waterflow of Yellow River and lack of enough capabil-
Xiaolangdi reservoir can mitigate ice prevention by
ity of water adjustment, therefore, only 32% of water
adjusting the water flow’s amount and speed. Before
for irrigation can be assured.
frozen in D/S, the waterflow can be increased appro-
In the season of Spring and summer of the year
priately to avoid the small waterflow frozen. When
2000 and 2001, the infrequence ravages of a drought
thawing, decreasing the waterflow to avoid the rapid
appeared in the area along the D/S of Yellow River. To
waterflow. At the same time the water passage is hard
assure irrigation and water supply of the D/S area of
to freeze due to the temperature increased caused by
Yellow River, the Xiaolangdi reservoir stopped power
the waterflow from the reservoir. Since operation of the
generation and started using the minimum capacity of
Xiaolangdi reservoir there has no the risks of large ice
the reservoir EL205 m to stop power generating for 148
run in the D/S of the Yellow River.
days and supply water to D/S 5.259 billion cubic meters.
Since impound of the Xiaolangdi reservoir, in order
to release ravage of a drought of D/S of Yellow River
3.3 Silt decreased
and water for production and life, water supply has been
The basic problem of Yellow River is the problem of accumulated to 88.95 billion cubic meters and added
sand. Yellow River is one of the most sandiness river about 2 billion cubic meters water for adjustment annu-
in the world and the average sandiness for many years ally to improve the water supply condition of the D/S.
37.6 kg/m3 and the average sandflow for many years It achieved Yellow River non-dry for six years.
1.351 billion tons. There are 400 million tons of sand
piled in the D/S riverbed every year and raise the D/S 3.4 Power generation
riverbed 10 cm and form aboveground river. The silt
There are 6 generators and 0.3 million kilowatts for
capacity of 7.55 billion cubic meters in Xiaolangdi
each in the Xiaolangdi Multipurpose Dam Project
reservoir can block 10 billion tons of sand which means
and it is a ideal power station of peak adjustment in
the D/S riverbed will not be increased within 20 years
Henan electricity net. The amount of power genera-
and save the cost of raising the height of levee along
tion is increased annually since operation of the first
Yellow River for two or three times.
generator in the year of 2000. The amount of power
Flow and sand regulation is most important meas-
generation in the year of 2000 is 607 million kilowatt-
ure to decrease silt. Utilization of the reservoir can
hours and 2.753 billion kilowatt-hours in the year
improve the hydrology relationship of the Yellow River
of 2001, 3.286 billion kilowatt-hours in the year of
and decrease the silt in the reservoir and riverbed. The
2002, 3.668 billion kilowatt-hours in the year
Xiaolangdi reservoir has 1.05 billion cubic meters
of 2003, 5.015 billion kilowatt-hours in the year of
capacity of flow and sand regulation and is a key con-
2004, 5.035 billion kilowatt-hours in the year of 2005
trollable project to adjust water and sand because it
and the total amount of power generation is 20.634
locates at the last gorge of the middle stream of Yellow
billion kilowatt-hours. It effectively releases the tight
River. There are 325.4 million tons of sand into Bohai
situation of power supply and accelerates develop-
sea for 4 times of flow and sand regulation during the
ment of the society and economy.
years of 2002–2005, which raise the waterflow capac-
ity of the riverbed of D/S in the Yellow River from
1800 m3/s before the experiment of flow and sand 4 EPILOGUE
regulation to 3000 m3/s and improve the capability of
waterflow in the riverbed. The Xiaolangdi Multipurpose Dam Project has oper-
Since 1970’s the agriculture and industry along ated at the initial stage for six years and will make
Yellow River have developed rapidly and the demands greater social and economic benefits along with the
of water supply in the cities increased rapidly. The river water level increasing, flow and sand regulation, sand
from Lijin in Shandong province to the sea entrance is flow through the different density flow, multi-reservoir
dry almost every year and the conflict of supply and joint dispatch, and make greater contribution to the D/S
demands about the water resources become obvious. of Yellow River. It provides important references to
There are 21 years dry in the D/S of Yellow River since the construction and operation of the more sand river.

275
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Coupling the long-term and short-term optimization models for

reservoir operation

Xiaohua Dong
China Three Gorges Project Corporation (Yichang, China) and Wuhan University (Wuhan, China)

Yunfa Zhao, Jie Yuan & Qiyou Peng

China Three Gorges Project Corporation, Yichang, China

Shenglian Guo
Wuhan University, Wuhan, China

ABSTRACT: In order to maximize the benefits obtained from reservoir operation, optimization models
should be applied. Both long-term and short-term optimization models should be included, and they should be
coupled appropriately to consider both long-term and short-term benefits. This paper presents a methodology
to couple the long-term and short-term optimization models. The methodology is applied to operate a reservoir
to show the obtained benefits. The Discretized Deterministic Dynamic Programming (DDDP) is used as the
optimization algorithm, and is applied to both long-term and short-term optimization models. The long-term
DDDP model uses the historical monthly average inflows as the inputs, and the outputs are the monthly aver-
age releases and water levels. The monthly water levels are then interpolated into daily water levels, which are
used as the terminal conditions for the short-term optimization model. For each short term optimization cycle,
the initial water level is the actual water level reached at the end of the previous stage. The short-term DDDP
model optimizes the operation within the short-term optimization cycle, but only the first day’s optimization
results (the release and water level) are applied for real operation. This process is repeated iteratively until the
end of the long-term optimization cycle is reached. The overall optimization time horizon is one hydrological
year. Then the benefits obtained over the whole hydrological year are calculated and compared to the actual ben-
efits obtained from the real reservoir operation. This coupling methodology is applied to a reservoir sited on the
main channel of the Qingjiang River (a tributary of Changjiang River) in China. The benefits from the reservoir
operation are interpreted as the electricity obtained. The results showed that on average, there is a 7% increase
in electricity generated compared to the actual electricity generated (2.2  109 kW.h) by applying this coupling
method and for the pre-assumed quality of inflow forecasting.

1 GENERAL INSTRUCTIONS be divided by hydraulic structures and directed to

A reservoir is a man-made body of water that forms
after a dam is built in a river. It is used for the collec-
tion and storage of water, and replenished by rain and
(or) stream flow. In most cases, reservoirs are con-
structed and operated for multiple objectives, such as
municipal water supply, recreation, irrigation, hydro-
power generation, and flood control. The basic function
of reservoir operation is to satisfy these potentially
conflicting objectives, and maximize the gross benefit
that can be obtained from the operation. A reservoir can
be conceptualized as a system with flow as its input, the
pool level (or storage) as its state, and the total release
from the reservoir as the output. The total release can
different users.
If flow forecasting is available, extra benefits may
be obtained by taking operational measures such as
temporal over-storage and pre-releasing. Temporal
over-storage is applicable in the case that the water
level is already at normal pool level in non-flooding
seasons or at flood control level in flooding seasons.
Pre-releasing can be applied in any season by using
stored water to generate extra electricity and make
space for impending flood water. The realization of
both measures needs, first, an appropriate forecasting
of future flows, and secondly, an optimization tech-
nique to determine when to start the operation and
how much to store or release. Traditional rule curve

277
methods cannot take full advantage of the flow fore-
casting results. Therefore, and in relation to the limi-
tations arising in the implementation of linear
programming (like being unable to deal with non-
linear problems), dynamic programming is used as the
optimization technology in benefit analysis. Having to
compromise between the long-term and short-term
benefits of reservoir operation necessitates the imple-
mentation of both long-term and short-term optimiza-
tion. That is, the operational decision should not only
be based on the short-term optimization results, but
also on the long-term optimization results. In this
paper, a time-decomposition method is used to couple
these two models in a hierarchical structure.
2 DESCRIPTION OF THE CASE STUDY
RESERVOIR
generating electricity. The main features of the catch-
ment (area upstream to the reservoir), the reservoir
itself and the power plant are given in Table 1 (QHDC
and CWRC eds., 1998).
The Qingjiang River is a mountainous river with
steep mountains banking the stream. The depth of the
valley ranges from 200 to 1000 meters, which created
a canyon-type reservoir. The reservoir stretches for
90 km. However, the surface average area is only
55 km2. On average, the decreasing of the water head
with 1 meter will only yield about 400 to 800 million m3
volume of water. Figure 1 shows the elevation-storage
relationship. The relationship between the release to
downstream and the tail water level is also important
for calculating the generated electricity. Figure 2
gives the tail water level-release relationship.

The reservoir (Geheyan) used for applying the

methodology is located on one of the tributaries of the
Changjiang River (Yangtze)-the Qingjiang River. It is
a comprehensive multipurpose water resources devel-
opment project planned to utilize potential benefits
of hydropower, flood defence, navigation, etc, with
hydropower generation as its major interest. The reser-
voir started storing water from 10 April 1993. From
30 November 1994, all of the four generators started

Table 1. Principal features of the Geheyan Reservoir.

Characteristics Unit Value

2
Catchment Catchment area km 14430
Average annual inflow 109 m3 12.65 Figure 1. Storage-pool level relationship of Geheyan
volume Reservoir.
Average annual mm 1400
precipitation
Average annual m3/s 400
discharge at the dam
site
Reservoir Normal pool level m 200
Dead water level m 160
Minimum elevation of m 55
foundation
Total storage 109 m3 3.431
Beneficial storage 109 m3 1.975
Effective storage 109 m3 2.286
Reservoir capacity % 15.6
factor*
Power plant Rated discharge m3/s 325
through one turbine
Number of power units 4
Total installed capacity MW 1200
Firm output MW 180
Average annual power kW.h 30.4
output

* Reservoir capacity factor
beneficial storage/average Figure 2. Relationship between release and tail water level
annual flow. of Geheyan Reservoir.

278
 Rainfall in the Qingjiang river basin is very sea-
sonal. Normally the rain season extends from May to
October. Most big flooding events are taking place
during this period. Therefore the local water authority
defined the first of May as the start of the hydrologi-
cal year. For the most ideal operation, the reservoir
will be depleted from the beginning of the dry season
(the first of November) to the dead water level (the
minimum endurable water level of the reservoir under
normal hydrological and operational condition)
before the first of May, and from then on, be refilled up
to the normal pool level at the end of flooding season.
3 METHODOLOGY
Hydropower optimization is conducted by a trade-off
evaluation of the benefits derived from releasing
water in the current period and the benefits derived
from storing the water for future use. The optimiza-
tion of the current period has to be carried out under
the guide of the long-term optimization results. A
time-decomposition is necessary to transfer the long-
term optimization results to short-term optimization
operation. The relationship between long-term and
short-term optimization has to be clarified. Therefore,
a hierarchical optimization schedule is proposed here
which is similar to the one used by Karamouz (2003).
The structure of this method is shown in Figure 3, in
which the optimization of hydropower reservoir oper-
ation consists of two steps: (1) long-term optimiza-
tion on a monthly scale; (2) short-term optimization
on a daily scale.
The task of the long-term optimization is to opti-
mize the averaged monthly release from the reservoir,
Historical mean monthly inflow;
Long-term optimization
initial & terminal states
Optimal monthly water level
& release
Short-term inflow forecasting Short-term optimization
Optimal daily water level
& release
Benefit-lead time-accuracy
relationship
Figure 3. The hierarchical structure of long-term and
short-term optimization of reservoir operation.
279
and propose the optimal water level reached at the
end of each month. In order to do this optimization,
an estimation of the average monthly inflow to the
reservoir is an important input to the model. There are
a number of methods to do this long-lead inflow fore-
cast, like the ones used by Burgers and Hoshi (1978)
and Hamlet et al. (2002). These methods will not be
used here, because our research focuses on the assess-
ment of benefits from forecasting, not improving the
forecasting method itself. The monthly average
inflow series derived from the historical records will
be used as the input for the optimization. According to
the results obtained by Yeh et al. (1982), the use of
historical averaged monthly inflow to the reservoir
optimization can already produce quite a lot of benefits.
The output of the long-term optimization model
will be optimal monthly water level and monthly
mean release. The proposed monthly water level will
then be interpolated into daily water levels which will
then be the guidelines to the lower short-term opti-
mization model.
The short-term optimization model will optimize
the daily reservoir release based on short-term inflow
forecasting, under the guide of the long-term opti-
mization results. The resulting daily releases and water
levels enable us to calculate the benefit obtained from
short-term inflow forecasting with different levels of
forecasting capabilities (lead-time and accuracies). The
lead-time of the short-term inflow forecasting ranges
from one day to one month, the accuracy of the fore-
casting ranges from 40% of normalized deviation from
the observed inflows to a perfect observation of the
inflow series.
The forecasted series are modelling with noises
superimposed on to it to represent the error of the
forecasting. The synthesization of forecasted inflow
series considers the autocorrelation of the inflows
(De Kok et al., 2004):
(1)
where Qt is the synthesized inflow at stage t; Qt is the
observed inflow at stage t; t is the noise added to the
observed inflow series; t is a scaling factor drawn
from a random uniform distribution in the interval
[1, 1];  is an assumed absolute deviation from Qt
and normalized with respect to Qt, i.e., 
|Qt 
Qt|/Qt;
is the autocorrelation coefficient of the dif-
ference Qt  Qt, in general  
 1. Compared to
equation (1), this inflow synthesization model consid-
ers the autocorrelation of the successive forecasting
errors: Qt  Qt, therefore the resulting artificial inflow
series are closer to the real situation.
As an index of the local deviation to the observed
discharge, and was used to generate hypothetic

A c ut a l w a et el r v e l
art j e c ot r y H: i n i )t(
Hin
Hin it ( 3 )
Hin it ( 2 )
Waterlv(m)
Hin it ( 1 )
1 2 3 T
/s)
3
 (m
t
Q
1 2
/s)
3
(m

t
Q
1 2
Figure 4. The coupling of long-term and short-term opti-
mization schedules. Hinit(t) are actual water levels which
also serve as the initial conditions of every short-term opti-
mization cycle; Hterm(t) are Long-term optimization
results, interpolated into daily water levels, served as termi-
nal conditions for each short-term optimization cycle; Qt
are Inflow forecasts (m3/s).
forecasted inflow series, the assumed absolute devia-
tion  is not the appropriate indicator to quantify the
forecasting accuracy. An universal indicator for fore-
casting errors is necessary to measure the forecasting
accuracies. The commonly used Nash-Sutcliffe coef-
ficient (R2) originally proposed by Nash and
Sutcliffe (1970) is adopted here. Once the forecasting
series are synthesized by using equation (1), their R2
values will be calculated. Next the synthesized fore-
casting series will be input into the short-term opti-
mization model to calculate the benefits.
The coupling of the long- and short-term optimiza-
tion models is shown in Figure 4. At stage 1, the ini-
tial state Hinit(1) is the actual water level at the
beginning of a hydrological year (the first of May). If
the lead-time of the short-term inflow forecasting is
set to T, the terminal state of the first cycle of the
short-term optimization (Hinit(1)) is picked up from
the long-term optimization results at stage T. Then the
forecasted inflow series (Figure 4(b)) superimposed
with forecasting errors are introduced into the short-
term optimization model, and the optimal releases
a( c ) o u p l i n gfo rohs t - l dna o n g- t e r om p t i mi z a t i o n mo d e l and water level from stage 1 to T are calculated. Only
W a et r el v e sl p r o p o s e d b y ol n g- the proposed release of the first stage is used to cal-
t e r m o p t i mi z a t i o n mo d e l : H t e r m( t ) culate the actual water level reached at the end of
stage 1 based on the real inflow (Qt). The actual water
level will be different from the optimized water level,
it ( 4 ) H t e 4(mr ) for the actual inflow will be different form the fore-
H t e 3(mr ) casted inflow. The benefit obtained from the opera-
H t e 2(mr )
tion during stage 1 will be calculated based on the
H t e 1(mr )
optimal releasing policy and the actual water levels at
the beginning and end of the stage. The actual water
level at the end of stage 1 will also be the initial state
of the second cycle of the optimization, which is
marked as Hinit(2) in Figure 4(a). At the end of the
mit e
operation of the first stage, the next round of inflow
b( nI ) olf w of er c a s t ni gi s ta deus t h eb gin n i n gfo ts a ge1 forecasting series will be introduced as shown in
Figure 4(c). The same procedure will repeat: first
optimize in a time horizon of inflow forecasting lead
time, and then apply the optimization result only for
the first stage. Such a procedure will proceed itera-
3 T mit e
tively to the end of the optimization horizon: one
hydrological year (from the first of May to the last of
c( nI ) olf w of er c a s t ni gi s ta deus t h eb gin n i n gfo ts a ge2
April of next year). Then the optimized operation
results of the whole hydrological year will be obtained,
which both short-term and long-term benefits are
considered and balanced to pursue the maximum
3 T mit e
benefit.
For each optimization cycle, the initial state is the
actual water level, and the terminal water level is the
water level interpolated from the monthly optimiza-
tion result. This implies that after the operation of one
optimization cycle, if the inflow forecasting is per-
fect, the water level should be able to fall back to the
water level proposed by the long-term optimization
model. In this way, the results of the long-term opti-
mization model form the basis and constraints for
short-term optimization model, and compromises
between the current immediate benefit and the future
benefit can be reached more economically.
4 RESULTS
4.1 Benchmark and actual operation benefits
The actual electricity generated during the hydrologi-
cal year 1997 is 2.219 billion kW.h according to the
reports provided by the Reservoir Regulation Center of
the Qingjiang Hydropower Development Cooperation.
In order to compare the benefits obtained from vary-
ing accuracies of inflow forecasting, a benchmark
benefit needs to be appointed for the comparison.
Here the benefit obtained from a perfect inflow fore-
cast 1 year ahead is appointed as the benchmark ben-
efit. It represents the theoretical maximum benefit
which could be obtained from the forecasting and opti-
mization. The recorded actual total electricity gener-
ated is not selected as a benchmark for its subjective
280
Figure 5. Optimized operation results under perfect inflow forecasts with lead time equals 365, 10 and 4 days.

nature and can be varying dramatically for different Table 2. Expected benefit under perfect inflow forecasting
operation policies. The optimized release, water level and actual benefit obtained from the real operation.
and power output trajectories are presented in Figure
Lead time Benefit % of benchmark
5(b), (c) and (d). For comparison, the corresponding
(day) (109 kWh) benefit
optimal results under 10 and 4 days perfect inflow
forecasts are also calculated and superimposed in the Perfect inflow 365 2.996 100
corresponding sub-figures. In Figure 5(c), the forecasts 10 2.800 93
monthly water levels proposed by the long-term opti- 4 2.567 87
mization model is also presented. Not necessarily fol- Actual operation 0 2.219 73
lowed exactly by the short-term optimization results,
the expected long-term water level trajectory gives a
guideline of short-term optimization practice. As shown in Table 2, the benchmark benefit (2.996
As shown in Figure 5(b), for longer lead time billion kW.h) has a dramatic increase by 35% com-
inflow forecasts, less water will be spilled from the pare to the recorded real-life operation (2.210 billion
spillways because of the flood control constraints. kW.h). And 10 and 4 days perfect inflow forecasts can
The total wasted volume under inflow forecasts of respectively realize 93.5 and 85.7% of the benchmark
1 year, 10 and 4 days’ lead time are 0.77, 2.02 and 2.47 benefit.
billion m3 respectively, correspond to 6, 16 and 20%
of the average annual inflow volume (see Table 2).
4.2 Benefits obtained from inflow forecasting with
Before the up-coming of the July 1997 flood event,
different accuracies
longer inflow-foresights lead to earlier full-load oper-
ation of the generators, so as to generate more elec- Figures 6 and 7 gives the optimized benefits calculated
tricity and make more space for the impending water. from the synthesized inflow series with different fore-
This pre-releasing operation is also noticeable from casting accuracies. The lead time of the forecasting is
Figure 5(c): for longer inflow-foresight, the optimiza- fixed to be 4 days, for this is the hydrological response
tion will start decreasing the water level earlier before time in the studying area. As the actual total electricity
the arrival of the flood event. generated from real operation is 2.219 billion kW.h

281
 2. 5 E + 0 9 thesized inflow at this stage (end of the flooding sea-
Total energy genrated (kW.h)

son) is quite uncertain, no matter how accurate the

2. 50E + 0 9
overall inflow forecasting is, the benefits obtained in
2. 45E + 0 9 a long-range period are quite uncertain too.
2. 40E + 0 9
5 CONCLUSIONS
2. 35E + 0 9

2. 30E + 0 9 The application of the method of coupling the long-

0 .7 0 7. 5 0 8. 0 .8 5 0 .9 0 9. 5 1 term and short-term optimization models in reservoir
R2 operation exhibits a great increase in benefit. A per-
fect inflow forecasting with 4 days lead time will real-
Figure 6. The relationship between the benefits and the ize 86% of the theoretical maximum electricity
Nash-Suttcliff coefficient of inflow forecasting series l. generated in one year. The extension of the lead time
will increase the benefit, but could be quite negligible
.2 E5 + 0 9 when the lead time is greater than 30 days. For inflow
Total energy generated (kW.h)

forecasting with a fixed lead time-4 days, for different

.2 E05 + 0 9
forecasting accuracies, the benefit can be ranging
.2 E54 + 0 9 from quite negligible (3%) to substantial (11% of the
theoretical maxima) compare to the real-life benefit:
.2 E04 + 0 9
74% of the theoretical maxima.
.2 E53 + 0 9

.2 E03 + 0 9
.0 50
Figure 7. The relationship between the benefits and the
relative mean absolute error.
(74% of the benchmark benefit), any 4-day ahead
inflow forecasting with R2 greater than 0.7 can at
least realize 77% of the benchmark benefit (2.31 bil-
lion kW.h), an improvement of 3%. And if we assume
the R2 value of 0.90 of a 4-day ahead inflow forecast-
ing is attainable, then 80% of the benchmark benefit
can be obtained, an increase of 6%. However, the
amount of benefits can be varying from very small
(77% of the benchmark) to quite substantial (85% of
the benchmark). And it is also indicated by Figures 6
and 7 that high accuracy inflow forecasts do not defi-
nitely lead to high benefits. This is probably because
of the un-optimal decision made at a certain stage will
arise not only the local loss, but also future losses. For
example, a mis-forecasting of the inflow at the end of
a flood season may dramatically lower down the
water level, and because of the lack of inflow water
during the forthcoming dry season, the low water
level will be kept for a long period. Because the syn-
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282
 ts
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Methods of measurement of contribution of large dams to

the national economy

A. Noori Esfandiari
Ministry of Energy, Bureau of Hydro economics, Tehran, Iran

T. Aryan
Mahab Ghodss Consulting Engineers, Tehran, Iran

ABSTRACT: Socio-economic and environmental impacts and/effects of large reservoir dams may have
broad range. Several analytical economic tools are available to asses direct and “ripple” (secondary and tertiary
market) effects on the economy of the region or nation. They are some methods for placing money values on
non-market impacts and improving assessment of the project costs and benefits, accounting for risk and uncer-
tainty and discounting the future. In this article, by reviewing some methods and techniques in the area, the
more advanced and important studies mostly done by using macro-economic models are presented. These
models are data intensive and require substantial investment of resources and technical expertise. The question
is how well do these models respond to the outstanding concerns held by many about the economic, environ-
mental and distributional impacts of large dam projects. Moreover, in developing countries historical data on
economic behavior at the microeconomic level or ecosystem/hydrologic function is required to equip them for
this task.

1 INTRODUCTION services. The states of water management at this

Historically, impacts of water and its related services
on development have been considered to be important.
However these impacts at different era and on differ-
ent regions could be distincted in various aspects and
dimensions.
Perhaps, the general pattern of water utilization
could be categorized historically, as follow:
– during early periods, the human interventions on
water cycle in the river basins were negligible and
water utilization systems became adapted with the
natural conditions. During these periods, social
lives are modified with the natural conditions and
natural regime of water resources (ecological-
oriented stage)
– Gradually, due to technological development and
population expansion, the dimension of human
interventions increased, mostly by construction of
different water works. The location of population
centers and human activities became less depend-
ent on the location of water resources and long dis-
tant water supply projects provided the water related
stage are construction-oriented.
– Finally, due to increased deteriorated water quality,
over-exploitation of groundwater tables and nega-
tive environmental impacts, the cost of water uti-
lization increased vastly.
At this stage, the water management system sup-
posed to be comprehensive-oriented.
At the comprehensive stage, the impacts of water
on development and vise versa could be divided into
positive and negative impacts. The positive impacts
of water on development could be enhanced through
implementation of water projects (by structural meas-
ures such as dams and Transfer and distributive net-
works and non-structural such as controlling rules
and regulation and economical instruments). Overall
positive contribution of water on development can be
divided into three groups:
– Water usage as a final product (such as domestic
uses)
– Water usage as a production inputs (such as irriga-
tion and industrial water)

283
– Water as a vital medium (such as an input in eco-
logical systems)
However, water utilization and water projects cause
some negative effects that can be sorted as follow:
– Direct costs due to resources allocated for water
projects and water management non-project actions.
– Indirect costs and economic externalities due to the
related projects and actions.
– Direct and indirect negative social and environmental
external effects related to the projects and actions.
The investigations to identify, assess and analyze these
positive and negative impacts based on economic
rationale are important tasks during comprehensive
management stage. In this article, by reviewing the
main analytical frameworks, examples of some promi-
nent studies will be presented and discussed.
2 METHODOLOGY REVIEW
Application of economical principles and criteria for
designing and planning of engineering works turns to
about a hundred years ago. Since that time, the con-
cepts and frameworks were developed and more com-
prehensive approach and methods have been evolved.
2.1 Methodology
Nowadays, what is known as economical appraisal or
analysis is one of the important basis during prepara-
tion, selection and investment decision on infrastruc-
tural or productive projects.
The principle function of economical evaluation is
the comparison between the negative and positive
aspects of the foreseeable activities that achieve
specific economical objective(s). During evaluation
process, positive effects related to the goal is consid-
ered the project benefits, and the negative impacts
would be called the project costs.
Identification and analysis of the benefits and costs
of a project could provide important information for
planning and scheduling of public sector investment
programs.
2.1.1 Social benefit–cost framework
Studies on economic literature show that the early
survey on project economic analysis mostly known as
“engineering economy”. After that the project eco-
nomical analysis was expanded as the governments in
developed and developing countries got more impor-
tant economical roles in planning of the state invest-
ment programs.
As the economical theories were developed, the
background of the economical studies and analysis
were completed and the main prominent works were
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published in early 1970s as the view of social benefit-
costs was expanded.
In this background, the effects of the long-term
investments, especially infrastructural investments
from national view are evaluated differently. In some
cases the prices are totally different from the market
values, which are called shadow prices.
The social or environmental effects with regard to
other social goals (i.e. other than economic growth such
as distributive and social equity) are not usually incor-
porated in the frame of social benefit-cost analysis. If
some of them are incorporated in some way, the out-
put of the analysis is called “the extended social ben-
efit- cost analysis”.
2.2 Models of general equilibrium
In order to measure the ripple effects (on the secondary
markets) of the regional or national economics, differ-
ent tools are available. The tools which are known as
general equilibrium models (GEMs), try to measure
the direct and indirect effects together.
The three types of models in macro economics are:
– Input-Output (I-O)
– Social Accounting Matrix (SAM)
– Computable General Equilibrium (CGE)
Major categories of potential economic impacts of
large infrastructure such as dam projects are consid-
ered below:-Changes in economic growth and produc-
tivity – Price impacts – Production and employment
impacts – Changes in government revenues and expen-
ditures – International trade and competitiveness
impacts – Regional balances
2.2.1 Input-output models
The main core at the input-output analysis is the table of
the input-output data showing the relations between the
sectors in a specific economy in a certain period of
time. Preparation of this table makes it possible that the
correlation between the inputs and products of differ-
ent economical sectors of a country would be calcu-
lated simultaneously and in a form of numbers and
technical multipliers.
By using this tool the economy of a country could
be considered as an integrated system and in a certain
period of time, the relation between different econom-
ical sectors and basic sectors (e.g. families, govern-
ment, importation and exportation, investments and so
on) could be analyzed and assessed.
The input-output table as being practiced over 60
years, in most of the countries is prepared every 5 or
10 year continuously. Preparation of benefit-cost
table at the level of international regions (e.g. country
members of A.S.A., etc.), national, provinces and sec-
tor levels (industry, agriculture sector) is possible.
2.2.2 Social Accounting Matrix (SAM)
Richard Stone, by using Kaynes’s production cycle,
Leontief rules of input-output system and Goodwin’s
work, tried to show the consumption accounts and their
specific description, production accounts, (input) pro-
duction factor accounts, investment accounts and for-
eign accounts in an algebraic matrix. His effort was
the base of the Social Accounting Matrix. The matrix
from 1970s onward was somehow reviewed by Gram
Psyat and Toric Rund.
In this practice, in order to show the flow of funds
and linkages of demand, production and income within
a national economy, the matrix structure is used. The
matrix while focuses on the correlation between a lot of
economic variables, it also emphasize on social entities
(e.g. poor families). Therefore, it provides information
about social equity and distributive concerns.
2.2.3 Computable general equilibrium model
The economical structural reforms in 1980s, 1990s pro-
vided a new background development of analytical
tools in different countries and paved the way for new
studies for other kind of models. At the end, it yielded
to a pattern that could provide forecast for economic
development over time. This model was known as
computable general equilibrium later. This model com-
parison with the other ones would use more details of
the consumers’ and producers’ behaviors (i.e. consump-
tion and production functions). This is for reaction
counting due to the market changes. Still there is no
way to include the details of activities, commodities or
regions in order to achieve a practical approach through
a model (by approximation).
2.2.4 Other models
The 3 approaches mentioned in 3.2, are practical ones
which could be used for analyzing the affect of gen-
eral equilibrium of the plans instead of partial analy-
sis in the frame of partial equilibrium models. There
are other approaches too, like dynamic simulation sce-
nario. Recently, it has been used in European Union
in order to demonstrate the technical or economical
changes.
Mathematical models are important in economical
affects measurement. In this approach, the objective
function which is limited to some variables would be
maximized. In this model, innovations and modifica-
tion for including the risk factors with benefits could
be used in the objective function. These models are very
good in micro studies. So for better and more accu-
rate studies, it is better to combine some of the mod-
els together.
For instance, it’s possible to forecast of the reaction
of consumers related to the governmental policies by
the mathematical programming approaches. And the
results could be used in input-output models.
285
3 SOME PROMINENT STUDIES
Assessment of economical effects can be managed at
different local, regional, provincial or national level.
Therefore, specific economic unit must be determined
and its economic forces must be recognized in order
to build/select its relative conceptual framework.
3.1 Ghazi-Barotha project
One of the best studies in this field is “Macro Economic
Analysis and Project appraisal of Ghazi-Barotha
Project” (Pakistan 1995). In this phase, financing meth-
ods of this large project has been analyzed subject to
2 different arguments:
– Project’s impacts on implementation of other pub-
lic sector projects and balance of payment.
– Effects on countries’ macro economic operation
especially due to this project.
Box No 1 shows the main results of this study.
3.2 Snake River Dams
Box No 2 shows another case of regional economic
analysis for Snake River Dams in the United States.
3.3 Komati River Basin Development Project
The Water Research Commission (WRC) of the
Republic of South Africa constructed a SAM to quan-
tify the socio-economic impact of the Komati River
Basin Development Project (KRBDP) and to deter-
mine major impediments or opportunities for sustain-
able development.
4 CONCLUSION AND
RECOMMENDATIONS
Project assessments and appraisal conducted by con-
sultants working in developing countries do not typi-
cally include detailed modeling of the regional and
macroeconomic impacts of dams. However there are
some exceptions such as Ghzi-Barotha in Pakistan
(World Bank SAR 1995) where the impact of the proj-
ect on the fiscal and balance-of-payment position of
the country was extensively analyzed. An additional set
of models that are used in the planning process are not
purely macroeconomic models but are rather studies
that employ economic optimization and mathematical
simulations.
Several analytical tools are available to assess sec-
ondary and tertiary effects on the economy of the region
or nation. These tools , known as “general equilibrium
models”. Whereas cost-benefit analysis is concerned
extensively with comparisons of benefits and costs to
Box 1. Macro Economic analysis of the Ghazi-
Barotha Project appraisal.
An assessment of the macroeconomic sustainability
of Pakistan’s Ghazi-Barotha Hydropower Project
(GBHP), which was approved by the World Bank
in November 1995, involved a comparison of key
macroeconomic projections for FY1995-210 result-
ing from the investment program of WAPDA (the
electric utility) with and without GBHP, using data
on investment costs, import requirements, and
financing plan for the project. Macroeconomic
and structural reforms were assumed to be slower
than the proposed Government’s reform program.
The expected total cost of the GBHP at appraisal
was $2.25 billion spread over an 8-year imple-
mentation period. This represents between 0.3 and
1% of gross domestic product (GDP).
The analysis showed that: (1) the share of
Wada’s investment program with GBHP in the
Public Sector Development Program would not
exceed historical levels even at the peak of project
investments in FY 1998, and would decline sig-
nificantly thereafter, as new thermal power plants
are to be built by the power sector; (2) the budget-
ary public investment/GDP ratio would decline
from 4.5% in FY 1995 to 4% by FY 2000 due
mainly to the policy of no new public sector invest-
ments in thermal power plants; and (3) the exter-
nal current account deficit is expected to worsen
during project implementation but would improve
over time in line with expected improvements in
export and economic performance.
The project’s local currency requirements dur-
ing the construction period and the debt service
for the foreign loans were expected to be met from
the cash flow of WAPDA. Hence, it was expected
that there should be no direct impact on the
Government of Pakistan’s finances and no direct
crowding out of other priority public investment
projects, including social projects. The World Bank
Staff Appraisal Report (SAR) did note, however,
that if budgetary resources would be required for
project financing, there could be a reduction in the
local counterpart funding of other high priority
projects (which has been a cause of time overrun
in previous World Bank financed projects). This
concern may have arisen because at the time
of appraisal, co-financing from other sources
($900 million) was still indefinite. The remaining
resources were to come from the World Bank
($350 million) and WAPDA ($1 billion).
There was further concern that if a significant
deterioration in the macroeconomic performance
were to occur in the medium term, the overall sus-
tainability of the balance-of-payments could be
286
further worsened by the project. A lower export
growth, in particular, would lead to debt servicing
difficulties and deterioration in creditworthiness
over the medium-term. Finally, emphasis on macro-
economic analysis in the appraisal may have been
related to the government’s decision to slow the
pace of power sector reform program in 1996 which
raised a number of uncertainties, and resulted in
a sharp deterioration in Pakistan’s balance-of-
payments position during the July-October 1995
period.
The SAR emphasized the need to closely
monitor the consistency between the power sector
investment program and the overall macroeconomic
targets, as well as the adequacy of the funding of
the Government of Pakistan’s Public Expenditure
Program and the Social Action Program, subject
to annual review with the World Bank.
Source: World Bank SAR for Ghazi-Barotha. 1995.
Box 2. Regional Economic Development Accounts:
Input-Output Models for the Snake River Dams, USA.
Four projects to improve juvenile salmon migra-
tion are being considered in the Snake River:
Alternative 1 (base case or existing condition),
Alternative 2 (existing conditions with maximum
transport), Alternative 3 (major system improve-
ments), and Alternative 4 (natural river drawdown
or dam breaching). A regional economic analysis
was undertaken to assess the net regional economic
impacts of changes in projected spending over a
100-year study period. The impacts were evaluated
in terms of business sales (gross receipts), employ-
ment (full-time and part-time jobs), and income
(wages, salaries, social insurance, and profit
received by individuals) using input-output models.
The input-output models were constructed
based on the 1994 Impact analysis for Planning
(IMPLAN) computer system originally developed
by the U.S. Forest Service. The regional models
are based on technical coefficients from a national
input-output model and localized estimates of
total gross outputs by sector.
For the study, 8 input-output models were
developed one for each of the affected states:
Washington, Oregon, Idaho, and Montana; and
one for each of the sub region areas: downstream,
reservoir, upriver and the lower Snake River study
area. The sub region models were developed to
examine cases where impacts are relatively local-
ized. The state models were used to evaluate
impacts, such as increases in electricity rates
that occur at a larger scale. In addition, a Fishery
 Economic Assessment Model (FEAM) based on
79%) of
IMPLAN technical coefficients was used to esti-
mate the economic impacts of changes in anadro-
mous fish harvests.
The input-output models assessed the direct,
indirect, and induced regional economic effects of
the alternatives by resource category, as follows:
(i) power, (ii) recreation, (iii) commercial and ocean
recreational fishing, (iv) transportation, (v) water
supply, (vi) implementation expenditure effects,
and (vii) avoided cost expenditure effects. The
short-term and long-term effects on business sales,
employment, and income, were then summarized
at the state level and by sub region. In addition, the
main component of the regional economic analy-
sis is a qualitative discussion of potential impacts
to regional industries that could not be addressed
using the input-output methodology.
Source: US Army Corps of Engineers. 1999. Draft
Lower Snake River Juvenile Salmon Migration Feasi-
bility Report/Environmental Impact Statement.
Box 3. Good Practice: Social Accounting Matrix of
Komati River Basin Development Project, Republic
of South Africa.
Method. Three different regions were identified
in the course of the project: Region 1: Komati
River Basin. RSA; Region 2: Komati River Basin.
Kingdom of Swaziland; and Region 3: The rest of
RSA, the rest of the Kingdom of Swaziland, and
the rest of the world.
The economic impact was quantified in terms
of the following economic variables: Production/
Output, Income/GDP, Factor payments (capital and
labour), Income distribution (individuals), Industry
impact, and Regional impact.
A cost-benefit analysis was performed. This
database was then used to build the SAM and to
compile an appropriate final demand matrix (shock
the SAM system). Additional information were
obtained from Household surveys, the national
Input-Output Table and the national SAM, national,
regional and local government budgets and reports
of the South African Reserve Bank, the Develop-
ment Bank of Southern Africa and Statistics
South Africa. The SAM for the Komati consists of
more than 300 rows and columns.
Results. The project has an annual impact on
the GDP of the area of $96 million which is approx-
imately a 14% increase relative to the base year.
The agricultural sector together with the agricul-
tural processing developments in both regions expe-
rience even larger expansions. In the case of the
287
Swaziland region, a near doubling (
agricultural activities occurs. Due to the low base
as well as the limited industrialized structure of
the two regional economies, the huge upturn in
agricultural and related production does not really
filter through to other sectors and commodities.
The Study shows that small commercial enterprises
would benefit the most from the project. Even the
large commercial enterprises benefit handsomely,
throughout the region’s economies. From a socio-
economic point of view, the substantial increase in
the number of small enterprises in agriculture will
do much to promote a sustained process of devel-
opment affecting a wide range of interest groups
such as informal/formal trade businesses and tra-
ditional financial and business services.
Impact of project Percent
impact
Income Value Percent (1993 as
groups $’000 distribution base year)
High 22,867 35.4% 11%
Medium 32,508 50.3% 23%
Low 9,259 14.3% 21%
TOTAL 64,634 100.0% 16%
The study indicates that the medium and low
income groups benefit much more than the high
income group. This in turn revolves around the
exceptionally rapid growth of the medium income
group of commercial farmers being specifically
targeted by the project from a development point
of view. The upliftment of the lesserdeveloped
part of each sub-region via this process can there-
fore be regarded as successful.
Cost. To construct the SAM and perform the
macroeconomic analysis costs $120,000 (on a $470
million project) and required specialized knowledge
in national accounts and computer software.
Source: David Mullins, Conningarth Consultants.
society created by a dam, macro-economic analysis
examines the distribution of the full range of eco-
nomic impacts and outcomes that may occur as the
result of a project, policy or other interventions. Still,
these models are expertise and data intensive and
require up-front investment, with the costs increasing
as the sophistication increases.
However, a cost-benefit analysis is indispensable
to such macroeconomic models as it will indicate
the basic fundamental and economic parameters and
viability of the project. The following point may be
useful in preparing projects such as large dams and
undertaking proper approach and method of economic
analysis:
– In each case, the decision makers should understand
the costs of incomplete understanding of macro-
economics effects and the costs of all studies. It
should be mentioned that even simple models with
very limited data also need appropriate budgets.
Although the costs of studies are much lower than
the costs of plan execution, these models are the only
way to show the affects of the secondary economi-
cal plans. If macroeconomics models were decided
to be prepared, kind of model and the amount of
investments should be considered simultaneously.
– Regional and macroeconomic impacts should be
undertaken in specific instances such as unemployed
resources, important secondary market effects, and
projects have explicit macroeconomic/distributional
goals.
– If it is not possible to use GEMs, there are addi-
tional set of models that could be used such ac eco-
nomic optimization and simulations and analysis
of macroeconomic impacts of dams on the fiscal
and balance-of-payment position of the country.
– First step for using GEMs is preparation of national
input-output table, as it have been provided for I.R.
of Iran and other developing countries. After that,
it is necessary to prepare a detailed input-output
model for water sector. Moreover, by developing
regional economic accounts in provinces, it will be
possible to prepare this kind of table at regional level.
– Ideally, in order to analyze the economic impacts
of a project the following sequence recommended
to be followed:
– Undertake discounted cash flow (DCF) and
cost-benefit analysis (CBA) to establish the
288
financial and economical feasibility and sus-
tainability of the relevant project.
– SAM preparation with fully equipped input-out-
put.
– Preparation of a computable general equilibrium
with functions for the future forecasting that
makes the price responses possible.
– Where possible obtain econometrical functions
to improve the quality of the results of general
equilibrium models.
REFERENCES
Iranian National Committee of Irrigation and Drainage
(1998); “Evaluation of Environmental Analysis of
Irrigation and Drainage Project”; Environmental team
work; Vol, 19.
The World Commission on Dams/Alyward et al. (2001);
“Financial Economic and Distributional Analysis”;
Final Version; www.dams.org
Banui, Ali Asghar (1997); “Input-Output table in the evolu-
tion of economic idea during recent half century”; Paper
presented in the first symposium of “Scientific Methods
for Preparation of Input-Output Tables” 2nd and 3rd
December 1997.
Asghari, Jafar (1996); “Input-Output Table for Water as a
management tool”; Water and development Journal, No 15.
Water Deputy of Ministry of Energy (1996); “The bases and
Methods of Measuring Economic Impacts of Water
Resources Projects”; Water Planning Office.

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Karun River hydropower cascade development and its
socio-environmental impacts
P.T. Shourijeh & A. Soroush
Department of Civil and Environmental Engineering, Amirkabir University of Technology
(Tehran Polytechnic), Tehran, Iran
N. Nemati & A.H. Izad-doustdar
Iran Water and Power Development Company (IWPC), Tehran, Iran
ABSTRACT: The status of hydropower cascade development in the Karun River basin (Iran) by the con-
struction of Karun II, Karun III and Karun IV dams is presented. The socio-environmental characteristics of the
development area are discussed. The possible impacts of large dam construction regarding the natural environ-
ment, man made constructions and society are assessed and highlighted. The cascade development plan is eval-
uated to be environmentally sound and feasible considering a thorough management and mitigation plan.
1 INTRODUCTION
The purposes of dams construction are to fulfill a vari-
ety of human needs, the most important of which are
power generation, water supply and flood control.
Generally, these needs are met upon the completion of
the structure, yet the environmental and social costs
are often undervalued during the design and planning
phases. Cost-benefit analyses tend to over-represent
the design benefits of proposed dam(s) while virtually
ignoring or dismissing potential negative impacts to
the non-human environment. However, even a most
innocuous structure will cause systematic changes to
the hydrologic, morphologic and ecologic functioning
of a river besides affecting the society and population
subsisting near the project area. Indeed, long-term
observations of both large and small dams have led
most developed nations to re-evaluate their dam build-
ing policies and many of these countries currently
emphasize dam removal rather than emplacement.
The impoundment of reservoirs in cascade dams
causes many farm lands and villages to go under
water. This is especially true in developing countries
where still a minority of population live in the small
villages among the mountains and hills. The residen-
tial population’s survival depends on the local work
such as agricultural activities and animal husbandry.
Scattered, small farm lands and pastures are vulnera-
ble to be affected by the changes in the area caused by
dam impoundment. Remote villages in the area of
impoundment are eventually evacuated from the sanc-
tuary of construction sites, while the displaced people
289
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leave behind their lands, habits and the way they have
learned to live.
One of the obvious consequences of dam construc-
tion is the impact on the fauna. The disruption of river
dependent ecosystems is inevitable in any dam con-
struction. In addition, the impoundment of water
behind the cascade dams causes large area of land to
be drowned and covered with water. This conse-
quence may affect the zoology of the region by alter-
ing the natural habitats of creatures.
In this paper the consequences of cascade develop-
ment in a part of the Karun River in Iran are reviewed
and discussed. The main focus is to give an insight into
the social and environmental characteristics of the con-
struction and reservoir areas of three large cascade
dams: Karun IV, Karun III and Karun II. Obviously,
accurately assessing the impacts or favors of large dams
regarding socio-environmental aspects is feasible dur-
ing the construction, after the construction and during
the dam lifetime. Thus, this paper presents the situation
of the exiting area of cascade development along with
the plans to reduce the impacts of dam constructions
and will not tend to predict the future affects definitely.
2 CASCADE DEVELOPMENT IN KARUN
RIVER
2.1 General specifications of the Karun River
basin
The Karun River, with a total basin area of about
62,000 km2 and an annual average volume of flow of
Figure 1. Layout of the Karun River basin and dam development projects.

21,900 million cubic meters, is the largest river in
Iran. This river originates by many branches from the
high, west slopes of the Zagros Mountains and flows
in the Khouzestan province (South West of Iran) where
it flows along the border with Iraq and finally ends to
the Persian Gulf. Due to the significant hydropower
potential of Karun River, 9 large dams with the pri-
mary objective of hydropower generation have been
constructed or are under construction or under study
in the basin. Among these dams; three have been con-
structed (Karun I, Masjed Soleyman and Karun III),
two are under construction (Upper Gotvand and Karun
IV) and the others are under study. The main aim of
dam development in this area is hydropower genera-
tion, flood control and also domestic and agricultural
water supply. Figure 1 illustrates the cascade dams in
the Karun River basin.
2.2 Karun IV, Karun III and Karun II dams
cascade development
The Karun IV (KIV), Karun III (KIII) and Karun II
(KII) dams are a part of cascade development in the
Karun River basin. Figure 2 depicts a schematic sec-
tion of these cascade dams.

290
 these, Azillia Eryngioides is critical and Cousinia
Bakhtiarica and Dionyzia Khuzistanica are endan-
gered species.

3.2 Social and economical environment

Affected social and economical environment was
Figure 2. Schematic section of the KII, KIII and KIV dams.
realized as two counties, namely “Lordegan” and
“Sarkhoon” with 5295 residents and 36 villages,
Table 1. Technical Characteristics of KIV, KIII and KII among them 16% of population and 50% of villages
dams. will be inundated by the reservoir. It is important to
notice that almost the entire region of “Sar-rag-
Specification KIV KIII KII Katoola” with 15 villages will be inundated. The
Dam type* VA/PG MV VA/PG
employment and unemployment rates in the region,
Height (m) 230 205 125 since 1996, were estimated as 11.4 and 36.1 percents
Reservoir length (km) 49 55 20 respectively, where most of the people gain their
Reservoir area (km2) 42 46 6 living expenses through agriculture and ranching.
Reservoir Volume (mcm) 2190 2750 200
Useful reservoir volume (mcm**) 749 1500 25
Crest level (masl***) 1035 850 670
Normal level (masl) 1025 840 660 4 DESCRIPTION OF THE AFFECTED
Power capacity (MW) 1000 2000 720 ENVIRONMENT BY KIII DAM
*
According to ICOLD classifications. 4.1 Natural environment (Ecology)
**
million cubic meters.
***
mean average sea level. The ecosystems are the same as the KIV area. Fauna
includes 47 species of birds with no survival con-
straint in the region. Among 26 species of mammals,
The KIII dam has been accomplished and the 22% are categorized as vulnerable. 25 different species
impoundment of the dam started in February 2005. of fish with diversity and coverage are registered with
The KIV dam is currently under construction with 30% Barbus being the most important. The flora species
progress. The KII dam is under study. The technical and the vulnerable ones are essentially the same as
characteristics of the dams are provided in Table 1. KIV reservoir area.
The development of these dam projects will pro-
vide a substantial amount of hydropower energy.
4.2 Social and economical environment
3 DESCRIPTION OF THE AFFECTED Affected social and economical environment was real-
ENVIRONMENT BY KIV DAM ized as three counties, namely “Izeh”, “Dehdaz” and
“Posht-e-Pian” with 19,197 residents and 97 villages,
3.1 Natural environment (Ecology) among them 13% of population and 15.5% of villages
will be inundated by the reservoir. It is important to
Ecology of the study zone consists of two inter-related notice that almost entire region of “Bajool” with 15 vil-
“aquatic” and “dry-mountain” ecosystems, which are lages will be inundated. The employment and unem-
the natural homes of flora and fauna species. ployment rates in the region, since 1996, were estimated
Specifically speaking, fauna includes 70 species of as 22.8 and 8.9 percents respectively, where most of the
birds with no survival constraint in the region. Among people gain their living expenses through agriculture
25 species of mammals, 23% (including bears, wolfs, and ranching.
Felis Catus and Panthera Pardus) are categorized as
vulnerable with preserving values.
Regarding fishes, 19 different species with diver-
sity and coverage are registered with Barbus being 5 ENVIRONMENTAL INDICATORS
the most important. From 53 species of identified rep-
tiles, none of them is registered as being endangered Environmental indicators are defined such that the
or vulnerable. environmental impacts could be evaluated by assess-
Considering flora, different species are identified ing their quality and quantity changes. The selected
in four habitats, namely, Quercus, Quercus  indicators for the cascade development area are illus-
Amygdalus  Pistacia, Astragalus, Vitex-Salix. From trated in Figure 3.

291
Figure 3. Selected indicators for dam construction identification and assessment.

6 ENVIRONMENTAL IMPACTS OF THE 8 An abrupt change in water level and discharge

CASCADE DEVELOPMENT
6.1 Impacts on physical and man made
environment
The impacts of the cascade development program on
the physical and man made environment are as fol-
lows:
1 Visual appearance and landscape is a certain
impact with positive and negative characteristics.
2 Induced earthquake is an uncertain-undesirable
impact which should not be ignored in Karun River
basin development.
3 Local climate change is probable with some posi-
tive and negative characteristics.
4 Intensification of aerial and riverbank erosion and
changes in erosion and sedimentation pattern is a
certain negative impact.
5 Air and noise pollution are considered as a tempo-
rary and negative impact.
6 Thermal stratification will form, resulting in
undesirable long-term impact on reservoir and
in-stream water quality.
7 Reduction of dissolved Oxygen in hypoliminion
layer and its intensification at entrance of KIII and
KII is a certain impact, with probable limited toxi-
city of water.
between KIV – KIII and KIII – KII is a certain unde-
sirable impact.
9 Reduction of flood peak and flooding risk in down-
stream is a positive impact.
6.2 Impacts on natural environment
The impacts of the cascade development program on
the natural environment are as follows:
1 Destruction of some plant habitats is considered as
undesirable, but retrievable impact.
2 Improvement in plant habitats in Lake Boundary is
a probable, positive and long-term impact.
3 River water level fluctuation (due to reservoir oper-
ation) has a negative, effect on rivers ecology and
surrounding habitats, which may be monitored.
4 Habitat integration break-up makes a risk for the
fish existence which has to be monitored.
5 Generally speaking, impacts on the birds and mam-
mals involve restricted negative and positive char-
acteristics, which can be retrieved and controlled.
The impoundment of the reservoirs of KIV, KIII
and KII will inundate a large area of land. A total area
of 2080 hectares (1 hectare
10,000 square meters)
of agricultural farm land will be covered by the reser-
voirs impoundment, from which 90% is owned by the

292
Table 2. Percentage of nonagricultural lands inundated by
the impoundment of KIV, KIII and KII dams.
Type of land Percentage
Grazing 29.4
Grazing and jungle 32
Jungle and grazing 9.30
Others 29.3
private sector and should be purchased by the govern-
ment for the aim of dam construction.
The mentioned farm lands are located in an area
with access to plenty of water for agricultural needs.
Besides, the compositions of the soils are rich, and as a
result the prices of the lands are higher in comparison
to the farm lands in other nearby places. It is obvious
that lands other than the farm lands will also be flooded
by the impoundment. Large areas of these nonagricul-
tural lands are pasture and grazing lands which have
significant values for the husbandries and also for the
moving tribes. Table 2 presents the percentage of non
agricultural lands that are flooded by the reservoirs.
6.3 Impacts on socio-economical environment
The impacts of the cascade development program on
the socio-economical environment are as follows:
1 The projects impact on the national income is pos-
itively pronounced.
2 Fundamental impacts (cf. Figure 2) in the study
zone are certain and negative.
3 The project has positive impacts on employment
and incomes and negative impacts on their expenses
during the construction phase.
4 The affected society may face unemployment if
not managed properly.
5 Project’s impact on local agricultural indicator of
directly affected environment is undesirable, cer-
tain and unavoidable.
6 Project’s impact on historical and religious heritage
is certain and unavoidable, however, not significant.
7 The project has extremely negative impact on hous-
ing in short-term, which could be recovered with
an applicable rehabilitation program followed by a
sound management.
8 Finally it has negative impact on population indices
in short-term, which might be improved by provid-
ing employment opportunities.
7 IMPACTS SINCE END OF USEFUL LIFE
After the end of the useful life of the dams, problems
may arise which are as follows:
1 Along with the accumulation of environmental
contaminants, gradual destruction of the residential
293
camp will cause undesirable changes in the sur-
rounding appearances that may be intensified by
time if it is deserted.
2 Flooding damage and danger will be increased in
the site area, which starts simultaneously with the
end of the project’s useful life.
3 Deserted lake, while partially filled with sediments,
might draw youth and teenagers attention for water
sports and recreation in an unsafe environment.
4 Creation of an elegant waterfall in each dam site is
a positive impact, which has to be properly planned
and operated.
8 IMPORTANT POLLUTANTS AND
RESIDUUM
Important pollutants and residuum from construction
and residential wastes as well as sanitary sewages are
categorized in the following four groups:
1 Construction solid wastes:
Storage and disposal of construction residuum,
especially an average of 700,000 cubic meters of
residuum resulted from rock excavation for each
dam due to uncontrolled explosions, is to be man-
aged by the environmental group.
2 Residential camp’s solid wastes:
Due to more than 6 million man-day workers in the
construction period of each dam, total residential
solid wastes may exceed 10,000 tons for each of
the dam projects, which calls for a suitable solid
waste disposal site.
3 Sanitary suspended solids:
More than 700 tons of sanitary sludge must be dis-
posed with an appropriate plan for each of the dams.
4 Fixed and mobile construction scraps:
Most of the mechanical devices are valuable for
the contractor and will be moved to other sites at
the end of construction phase, leaving almost no
significant negative impact.
9 ENVIRONMENTAL MANAGEMENT PLAN
To minimize the environmental impacts the following
precautionary measures are recommended:
Construction phase:
1 To reduce the erosion, an optimum site layout is
recommended.
2 Essential site layout and proper arrangement of
disposal systems might reduce the water pollution.
3 Proper arrangement of residential camps and offi-
ces, dampening of excavated material followed by
sprinkling of water and speed reduction in trans-
portation will minimize the impacts on air pollution.
4 Proper arrangement of residential camps and offices,
using personal protection devices against noise and
explosion may decrease the noise pollution.
5 Predicting a suitable disposal area for dumping
construction residuum resulted from rock excava-
tions along with removing what is already dumped
into the river, could minimize the impacts on the
river’s morphology.
6 To reduce the rate of incidents, providing a flood
warning system, training the labors and managers,
installing warning signs, arming the labor and staff
with self-protection equipments, continuous train-
ing of transportation staff and exercising rigid
driving regulations are recommended.
Operation phase:
1 To minimize the impacts of sudden changes in water
level, continuous notifications, installing warning
signs and applying gradual changes in initial hours
of operation is recommended.
2 Discharging from bottom outlet and aeration of
downstream flow and reservoir surface may reduce
the impacts on water quality.
3 Comprehensive dam break analysis and installing
flood-warning systems may reduce the conse-
quences of such a rare event.
4 Applying partial preservation, controlling the land
use in reservoir surrounding area, low flow require-
ment, ensuring ecological base conditions for
affected region’s habitats, reduces the impacts on
flora habitats.
5 Pisciculture development in affected regions, min-
imizing the time overlap of initial filling with nest
building and breeding of ground living birds, and
continuous monitoring on procedure of changing
the diversity of aquatics, may reduce the impacts
on habitats and wild life.
6 Providing a suitable resettlement program, con-
structing new residential areas, rehabilitation of
infrastructures, providing employment opportunities
and fair compensation for loss of assets incurred,
will reduce the impacts on populace displacement.
7 Conducting agricultural surveys and studies to
possibly compensate parts of the inundated areas
may reduce the impacts on agricultural activities.
10 CONCLUSIONS
The socio-environmental status of the cascade devel-
opment area in the Karun River basin has been
294
addressed. The prominent need of hydropower gener-
ation in developing countries makes the construction
of large dams unavoidable. However, the special situ-
ation of the environment and the residential society
affected by large dam construction possesses certain
problems for the development plans in these areas.
Widely distributed small villages which are inundated
by the reservoir impoundment are the most important
problem facing the cascade development programs.
Management programs for the moving population of
people should be planned so that the population is
accommodated in nearby similar areas. In this way
the migration of the local people to the suburbs of
large cities is prevented and thus they will live in
nearby areas which they can continue their life style
and also the economical production they had for the
society such as agriculture or ranching.
Realizing the role of KII, KIII and KIV cascade
development in national power generation plan and
referring to the impact analysis and study, the con-
struction of the dams is environmentally feasible.
However, controlling the destructive activities, imple-
menting good management on the activities and spe-
cially providing an appropriate rehabilitation program
makes the project environmentally sound.
REFERENCES
Iran Water and Power Development Company (IWPC), July
2003, “Environmental Assessment of Karun III dam-
Volume 2: Socio-Economical Conditions”, by Iran
University of Science & Technology.
Iran Water and Power Development Company (IWPC),
August 2003, “Environmental Assessment of Karun IV
dam- Volume 2: Social, Economical and Cultural
Conditions”, by Iran University of Science & Technology.
Iran Water and Power Development Company (IWPC),
February 2004, “Environmental Impact Assessment of
Karun III dam- Brief Report”, by Iran University of
Science & Technology.
Iran Water and Power Development Company (IWPC),
February 2004, “Environmental Impact Assessment of
Karun IV dam- Brief Report”, by Iran University of
Science & Technology.
Iran Water and Power Development Company (IWPC), July
2004, “Environmental Assessment of Karun II dam-
Volume 1: Description of Environmental Regulations”,
by Iran University of Science & Technology.
Iran Water and Power Development Company (IWPC), July
2004, “Environmental Assessment of Karun II dam-
Volume 2: Social, Economical and Cultural Conditions”,
by Iran University of Science & Technology.
 ts
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Role of large multipurpose dams in the economy of Pakistan

Zahid Majeed
Technical Officer General Manager (Hydro) Planning, Sunny view, Lahore, Pakistan

Zia-ul-Hasan
General Manager (Hydro) Planning, Sunny view, Lahore, Pakistan

ABSTRACT: Pakistan has over 169 km3 (137 MAF) of flows in its rivers annually for irrigation and 54000 MW
economically viable hydropower potential. Out of which only live storage capacity of 22 km3 (18 MAF) and
6547 MW of hydel potential have been developed which are about 12% of flows and total identified hydropower
potential available in the country. This paper highlights the economic benefits gained by the existing large mul-
tipurpose dam’s i.e. Mangla and Tarbela commissioned in 1967 and 1976 respectively. These constitute about 70%
of total existing storage capacity and hydropower infrastructure. Moreover the adverse impact on the economy of
Pakistan due to delay in construction of the Kalabagh Dam (3600 MW, LS 7.4 km3) since 1996 to date. The results
show that sustainability in the economy of country is only possible by building dams for storage, hydropower and
flood control.

1 GENERAL Pakistan from India and all the agriculture depends on

irrigated land by these rivers. Indus Basin Treaty was
Pakistan’s economy has undergone considerable diver- signed by Pakistan and India under aegis of World
sification over the years yet the agriculture sector is Bank. The Historic Indus Basin Plan was conceived
still one of the largest contributor to the gross domes- to end the water dispute between the two countries.
tic product (GDP) having a share of about 23 percent The Indus Basin Settlement Plan provided water of
(%). It accounts for 42% of total employed labour force three eastern rivers Sutlej, Beas and Ravi to India and
and is the largest source of foreign exchange earnings. three western Rivers Chenab, Jhelum and Indus to
(Govt. of Pakistan, 2005). Pakistan (Fig. 1). For supplying water to Pakistan’s
All the agriculture of the country is dependent on irrigation network, the largest man made canal system
Indus River System (IRS). IRS comprises the river in the world in the absence of eastern river flows, the
Indus, Jhelum, Chenab, Ravi, Bias and Sutlej and the Indus Basin Project (IBP) was designed. Under this,
northern and western tributaries of the Chitral, Swat,
Kabul, Haro and Soan rivers (Fig. 1). It maintains the
world’s one of the largest canal irrigation system, nearly
a century old, providing irrigation facilities to 17.85
million hectares (ha) of land, corresponding to about
57% of the total cultivable area.
Pakistan is located in arid or semi arid region where
rainfall is highly deficient and does not match the crop
requirement. In most of the plain areas, it is less than
500 mm and non-uniform over the year. Therefore the
storage dams are necessary to regulate water through-
out the year one can say there would not be enough
water without dams for irrigation.

1.1 Background
Pakistan after its independence in 1947 has a dispute
over water with India because all the rivers come to Figure 1. Map of Pakistan.

295
two mega multipurpose projects (Tarbela and Mangla
Dams), five barrages one gated siphon and eight inter
river link canals were to be constructed to convey water
of western rivers for diversion to irrigation canals tak-
ing off from eastern rivers. Pakistan Water and Power
Development Authority (WAPDA) completed the con-
struction of sixteen IBP components with in a decade
(Wapda, 2004). Tarbela and Mangla Multi purpose
mega projects sustain Pakistan’s agriculture economy
by supplementing and regulating irrigation supplies
and flood control. Moreover providing cheap electric-
ity to the country as a by product. Flows in rivers are
uneven and variation in high flow to low flow is more
than 100 times. More than 88% of flows are during 70 Figure 2. Tarbela Dam and its Lake.
to 90 days in Kharif (April to September) and 12%
flows are available for Rabi (October to March), (Ch.
Mushtaq April, 2005). It is reverse to the irrigation
requirement which is 60% for Rabi and 40% for Kharif.
Therefore high flow variation and deficient rainfall
dictates that mega storage dams should be constructed
to optimally use the water through out the year accord-
ing to crop requirements (Ch. Mushtaq, April 2005).
Due to the disputes and ignoring the construction
of large multipurpose dams during last three decades,
thermal projects were added to meet the power demand
of the country. As expensive furnace oil for thermal
power plants has to be imported, therefore, with
increased thermal share and inclusion of IPP’s, electric
tariff has tremendously increased over last 10 years
in Pakistan. Figure 3. Tarbela power house.
Neglecting proper addition of large multi purpose
dams for storage and hydel power generation accord- It is an earth and rock fill dam built across river
ing to the required demand resulted in higher tariff Indus (The largest of its type in the World) completed
and less availability of water for irrigation. It is clear in 1977. Its height above the river bed is 148 m with a
from the benefits gained from the existing dams built length of 2.75 km. It has a lake area of 256 km2 having
during IBP and the result of delay in construction of a total live storage of 14.20 km3 (presently reduced to
large mega multipurpose Kalabagh Dam in the last 11.90 km3) for supplementing and regulating irrigation
decade on the country’s power and agriculture sector supplies. Moreover it has hydropower generation
reflects importance of the large multipurpose dams in capacity of 3478 MW consisting of 14 units. First 4
the economy of Pakistan. units of 700 MW were installed in 1977, next 4 units
of 700 MW in 1982 then 2 units of 350 MW in 1985
and finally 4 units of 1782 MW capacity were installed
2 TARBELA DAM in 1992–93.
Main spillway has a capacity of 18413 m3/sec and
Tarbela Dam the last to be built under the historic Indus auxiliary spillway has a capacity of 23796 m3/sec.
Basin Settlement Plan, a major support to the country’s
economy, has greatly enhanced the agricultural and
2.1 Improvement in water resources
industrial potentials of the country. Tarbela has helped
almost to achieve self-sufficiency in food, and has also The total water storage benefits corresponding to
contributed to accelerating the pace of country’s eco- releases for irrigation between 1975–76 to 2005–06
nomic development. Billions of units of hydroelectric with total irrigation releases of 319 billion cubic meter
energy generated at Tarbela have reduced the gap (BCM) stands at billion US $ 3.7 (Calculated at a rate
between supply and demand, and also saved the coun- of Rs. 200/acre foot from 1975–76 upto 1991–92 and
try an enormous amount of foreign exchange in fuel from 1992–93 to 1996–97 at the rate of Rs.300/acre-ft
costs which would otherwise have been required for and thereafter at the rate of Rs. 900/acre-ft upto 2004–05
thermal power generation, besides helping to keep the and Rs. 2000/ acre-ft 2005–06 at various exchange
overall tariff down. rate of Rs with US $ over the years ) given in table 1.

296
Table 1. Water benefits from Tarbela Dam. Table 2. Power benefits from Tarbela Dam.

Year Release Benefits Year Generation Benefits

(June to July) (BCM) (million US $) (June to July) (GWh) (million US $)

1975–76 to 1980–81 50.53 828.7 1975–76 to 1980–81 15442.58 342.85

1981–82 to 1985–86 60.98 750.8 1981–82 to 1985–86 49278.81 678.63
1986–87 to 1990–91 55.30 474.3 1986–87 to 1990–91 32178.79 752.96
1991–92 to1995–96 40.94 298.0 1991–92 to 1995–96 68260.48 727.55
1996–97 to 2000–01 53.79 583.0 1996–97 to 2000–01 73360.76 537.96
2000–01 to 2005–06 57.55 792.79 2000–01 to 2005–06 66808.67 347.90
Total 319.08 3727.59 Total 305330.09 3387.85

2.2 Agricultural benefits

Table 3. Foreign exchange saving from Tarbela.
The agricultural benefits of the Tarbela project are
evident from the fact that canal-irrigated areas in the Saving of Saving of
country increased by about 45% from 10 million ha to Generation Furnance Oil Furnace Oil
15 million ha as a result of increased canal supplies Year (GWh) (million Rs) (million US $)
because of Tarbela Dam. The total cultivated area in the
country increased by about 13% from 19.5 million ha 1976–77 to 15442.58 3860.65 293.16
1980–81
before Tarbela to 22 million ha presently. 1981–82 to 49278.81 12319.70 1297.62
The Tarbela Dam also resulted in an improved 1985–86
cropping pattern for areas in the country provinces of 1986–87 to 32178.79 8044.70 1024.38
Punjab, Baluchistan and Sindh, receiving irrigated 1990–91
water from Tarbela. The increases in the cultivated 1991–92 to 68260.48 17065.12 1548.47
areas are, for wheat (37%), for cotton (45%), for rice 1995–96
(40%) and for sugar cane (52%). 1996–97 to 73360.76 18340.19 2395.36
Tarbela was designed to compensate for the loss of 2000–01
agricultural production resulting from 10 million ha 2000–01 to 66808.67 16702.17 2805.17
2005–06
resulting from ceding the three eastern river waters to TOTAL 305330.09 76332.52 9364.16
India and also to increase agricultural production to
meet the growing needs of the expanding population.
Tarbela’s groundwater irrigation provided a level of
reliability which had been deteriorating with the surface
irrigation system. The number of irrigation tube wells The incremental electricity generation benefits of
increased by almost 500% to date with a total number the Tarbela hydro plant, determined for generating
of 500,000 installations (Dr. Ahmed Zia, 2003). 305 billion units since its inception to date by saving
in 76 million tons of furnace oil with a total saving in
foreign exchange component of US $ 9.5 billion in
2.3 Cheaper electricity generation addition of avoided thermal plant emissions (at vari-
ous exchange rates of Rs with US $ and oil prices
The total electricity generated to date is 305.5 billion over the years) details given in the table 3.
KWh giving a direct benefits of US $ 3.5 billion
(Calculated at various exchange rates over the years
of Rupees with US $ price/unit is 0.3 Rs/KWh)
shown in table 2. The province of NWFP has received 3 MANGLA DAM
royalties last year at a rate US $102 million as envis-
aged in the 1973 constitution. This has greatly con- It is an earth fill dam built across river Jhelum (12th
tributed to the economic development of this province. biggest of its type in the World) completed in 1967.
The Ghazi Barotha hydro project downstream of Its height above the river bed is 116 m with a length of
Tarbela has recently been commissioned and will 3.15 km. It has a lake area of 256 km2 having a total
increase the power benefits of Tarbela by about 20%, live storage of 6.52 km3 (presently reduced to 5.52 km3)
resulting in another contribution to economic devel- for supplementing and regulating irrigation supplies.
opment and poverty alleviation. Moreover it has hydropower generation capacity of
Accumulated direct benefits to date from water 1000 MW (10  100 MW). Main spillway has a capac-
and power are of about 7 billion US $ which is equal ity of 28612 m3/sec and emergency spillway has a
to construction of one big dam like Kalabagh. capacity of 6500 m3/sec.

297
 Table 6. Foreign exchange saving due to Mangla power
house.

Saving of Saving of
Generation Furnace Oil Furnace Oil
Year (GWh) (million Rs) (million US $)

1967–68 to 41028 6110.09 617.18

1980–81
1981–82 to 21692 9376.30 694.04
1985–86
1986–87 to 28643 14698.40 748.94
1990–91
1991–92 to 30533 20302.04 695.05
1995–96
Figure 4. View of dam and reservoir from Mangla Fort. 1996–97 to 22532 33931.50 734.40
2000–01
2000–01 to 13823 33910.70 576.87
Table 4. Water benefits from Mangla Dam. 2003–04
Total 158251 118329.03 4066.48
Release Benefits
Year (BCM) (million US $)

1967–68 to 1980–81 76.96 1262.02 The incremental electricity generation benefits of

1981–82 to 1985–86 31.32 383.36 the Tarbela hydro plant, determined for generating 158
1986–87 to 1990–91 28.92 243.96 billion units since its inception to date by saving in 40
1991–92 to 1995–96 27.50 213.23 million tons of furnace oil with a total saving in foreign
1996–97 to 2000–01 28.06 364.06 exchange component of about US $ 4 billion in addition
2000–01 to 2003–04 27.94 219.32 of avoided thermal emissions (at various exchange rates
Total 220.7 2685.95 over the years) details given in the table 6.

Table 5. Power benefits from Mangla Dam. 4 KALABAGH DAM

Generation Benefits
It would be a rock fill dam proposed to be built across
Year (GWh) (million US $)
river Indus 210 km downstream of Tarbela Dam. Its
1967–68 to 1980–81 41028 1243.00 height above the river bed is 79 m with a length of
1981–82 to 1985–86 21692 488.15 3.4 km. It has a lake area of 256 km2 having a total
1986–87 to 1990–91 28643 444.90 live storage of 7.5 km3 for supplementing and regulat-
1991–92 to 1995–96 30533 317.20 ing irrigation supplies. Moreover it has hydropower
1996–97 to 2000–01 22532 149.46 generation capacity of 3600 MW consisting of
2000–01 to 2003–04 13823 70.50 12 units to generate 14.4 billion KWh annually.
Total 158251 2713.21 Direct benefits to be gained from water releases
and power generation has been calculated based on
conservative side by taking 60% and 80% of the
direct benefits gained from Tarbela respectively dur-
3.1 Water benefits
ing the last 10 years. Irrigation releases come out to
The total water storage benefits corresponding to be 66 BCM (60% of 111 BCM from table 1) equiva-
releases for irrigation between 1967–68 to 2003–04 lent to 825 million US $ and power benefits 112 bil-
equals to 221 BCM stand at billion US $ 2.7 lion KWh (80% of 140.2 billion KWh from table-2)
(Calculated at the same rates as adopted for Tarbela) comes out to be 707 million US $. An accumulated
shown in table 4. benefit comes out to be 1.54 billion US $. The incre-
mental electricity generation benefits of the Kalabagh
power plant, determined for generating 112 billion
3.2 Power benefits
units since its inception to date by saving in 28 mil-
The power house of Mangla generates 158.2 billion lion tons of furnace oil with a total saving in foreign
KWh of energy since its inception giving a direct bene- exchange component of 4.2 billion US $ in addition
fits of US $ 2.7 billion (Direct benefits are calculated of avoided thermal emissions (at various exchange
at 0.3 Rs/KWh corresponding to different exchange rates of US $ with Rs and oil prices over the years)
rates of Rs with US $ over the years) given in table 5. details given in the table 3.

298

Figure 5. Energy generation by WAPDA and Imports
(IPPs) (M.Fraser, March 2005).
Proposed Kalabagh Dam was delayed due to politi-
cal dispute between the provinces to date and its impact
is reflected in the economy of Pakistan appreciably.
Planned year of its commissioning was 1996. Due to its
delay not only shortage in water for irrigation has been
experienced but the governments had to opt an expen-
sive option to install IPPs. The operating cost struc-
ture was transformed by increasing purchases of
power from IPPs. With plant load factor assumed at
60%, the share of power from IPPs increased from
about 20% in 1997 to 46% in year 2000. Moreover
the share of hydropower generation (with its low
operating cost) declined from 47% to 29%; between
1997 to 2001 (Fig. 5) in the absence of the proposed
dam (M.Fraser, March 2005) .
If the Kalabagh Dam was built as per planned
schedule the hydel share instead of decreasing from
47% to 29% from 1997 to 2001 it would increased to
70% of total generating capacity. Presently if we eval-
uate the hydel share of electricity due to Kalabagh
Dam is still 50% of total generation which was 82 bil-
lion units last year i.e. 2004–05 due to Kalabagh Dam.
It resulted in stabilizing in electric tariffs due to less
operating costs of hydel generation. Moreover depend-
ence on IPPs reduced more than 50% (2000 MW
instead at present more than 5000 MW).
Storage capacity of existing dams (built in 80’s) in
Pakistan depleting at the rate of 0.18 BCM per year
(Dr. Haq-Izhar, April, 2005) leading to live storage
loss of 4.6 BCM which accounts for about 20% storage
loss for irrigation. Furthermore with average annual
increase in population of about 3 million, additional
water resources of 0.62 BCM are required to sustain
and extend irrigation net work of remaining area to
meet the food requirement of the country. Therefore
299
instead of increase in the irrigation net work a defi-
ciency of irrigation water for the existing system
especially in early Kharif (April to September) and
Rabi (October to March) has been experienced in the
absence of Kalabagh Dam.
5 CONCLUSIONS
The benefits gained from existing mega multipurpose
dams and the adverse impact on power and irrigation
sector of Pakistan due to delay in constructing of
Kalabagh Dam, it is evident that dams can provide
energy security by providing affordable electric energy
for agriculture, industrial and domestic sectors and
ensure essential irrigation water supplies for food secu-
rity which is necessary for sustainable economic devel-
opment of the country. The development of dams for
proper management of river waters can only improve
economic viability, preserve ecosystem and enhance
social justice of the country in the coming years.
Availability of cheaper electricity and required irriga-
tion water are the key factors for improvement in living
standard of common man due to large multipurpose
dams. The construction of larger multipurpose dams
such as Kalabagh and Basha for irrigation and power
is imperative in view of the benefits gained from exist-
ing Tarbela and Mangla Dam Projects.
REFERENCES
Ch. Muhammad Mushtaq, Bhatti S. Ali (April, 2005) “Water
storage and its role in the National economy” Lahore pro-
ceedings of Seminar on Water Storage by large dams.
The Institute of Engineers, Pakistan.
Dr. Ahmad Zia, Ahmad Tahir (2003) “Hydropower
Development and Poverty Alleviation in Pakistan”
Hydropower and Dams, Issue five.
Dr. Haq Izhar ul, Bhatti S. Ali (April, 2005) “Water security
and role of large dams”, Lahore proceedings of Seminar
on Water Storage by large dams. The Institute of
Engineers, Pakistan
Government of Pakistan, Finance Division, (June, 2005),
“Economic Survey of Pakistan” Islamabad, Pakistan.
M. Fraser Julia (May, 2005), “Lessons from the Independent
Private Power Experience in Pakistan” World Bank
Energy and Minning Sector Board Discussion paper.
Majeed Zahid, Abbas Ghulam (7–11, September 2005)
“Hydro Development for Sustainable Economic Growth
of Pakistan” International Symposium Water for
Development Worldwide, Istanbul, Turkey.
WAPDA (February, 2005), Power System Statistics – 29th
Issue, Planning Department Power Wing, WAPDA,
Wapda House, Lahore, Pakistan.
WAPDA, (2004), “WAPDA Annual Report 2003–04” Public
Relations Division, Wapda house Lahore, Pakistan.
 ts
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Ecological, irrigation and energetic criteria of construction of reservoirs

I.Sh. Normatov & G.N. Petrov

Institute of Water Problems, Hydropower and Ecology Academy of Sciences, Republic of Tajikistan,
Dushanbe, Tajikistan

ABSTRACT: Reservoir is the major control facility of water board resources. The main directions of using water
sewer in the regions of Central Asia are irrigated agriculture and hydroenergetic. In Central Asia all reservoirs
were built for them. Irrigated agriculture and hydroenergetic are competitors to each other. Energetic is inter-
ested in accumulation of water in the reservoir in summer and use it in winter. On the contrary, the irrigation, in
accumulation in water in winter and the wearing of reservoirs in summer in vegetative season. It is reflected on
the difference interests republic of the Central Asia in development of two branches. The countries of the zone
formation sewer of Kyrgyzstan and Tajikistan – which power is not more than 90% is based on hydropower, are
tested a deficit of electrical power in winter and have excesses, which do not find demands in summer. The coun-
tries of dispersions of sewer – Kazakhstan, Turkmenistan and Uzbekistan don’t the reliable water – supply of
irrigation sector during in vegetative season.

1 INTRODUCTION 1.3 Energetic

The creation questions of the reservoirs in view of geo-
graphical features of the locality now is actual, their
complex use and influence on surroundings.
1.1 Irrigation
From the point of view irrigation, the main criterion,
which connected with the placing of reservoir are losses
of water. In conditions climate of Central Asia the main
aspect of loss is evaporation. Therefore, the evapora-
tion is direct proportional to areas of a surface of the
reservoir:
F/W
K/H → min
Where F the area of surface W – volume of water in
reservoir, K – factor of the form of reservoir.
According to this criterion of advantage there are
mountains reservoirs.
1.2 Ecology
An ecological influence of reservoir on environmental
affects first of all in flooding area. From here, an eco-
logical criterion can be written:
F
kW/H → min
This criterion also prefers mountain reservoirs.
The main criterion of optimization of energy work of
reservoir is a maximum excavation of electric power.
In production of reservoir at the same time it would
be increase expenses of water through turbines and
reduction of pressure (H) on Hydroelectric-power sta-
tion. It is obvious, that depending on concrete condi-
tions the total result from two of these factors could
be just as positive, and negative.
2 RESERVOIRS OF TAJIKISTAN AND THEIR
MODERN CONDITION
The role of river water for agriculture in the countries
arid zones to which Tajikistan concerns is well-known.
One more feature of a river drain for it is that it is also
its basic power resources – 97 all electric power in
the country are developed on hydroelectric power
stations.
But the river drain differs the big non-uniformity,
both in seasonal, and in a long-term cut, therefore its
effective utilization demands corresponding regula-
tion. Such regulation of a river drain by water basins
is carried out.
Today in Tajikistan it is totaled 9 maintained water
basins having volumes of bowls from 0,03 up to
10,5 km3. Their basic total parameters are resulted in
Table 1.

301
Table 1. The basic total parameters on existing reservoir Having accepted with sufficient for estimated
of Tajikistan. accounts mark of tail-water in all cases constant, low.b.
the equation (3) we write:
Total area water mirrors
(km2) and full volume
Quantity of water (one million m3) at LHW (4)
basins with the area water basins the area

Pools of Less More Less More Where: H2
tlow.b.  low.b. – pressure on hydro-
the rivers 10 km2 10 km2 Total 10 km2 10 km2 Total
electric station, at the end of the work of reservoir.
Syrdarya 2 2 4 5,73 566 571,71 In evenly work of reservoir it may be accepted that
83 4490 4573 in second variation the hydroelectric station all the
Vakhsh 2 1 3 15,54 98 113,5 time worked with average pressure:
219,5 10500 10719
Pyanj 2 2 5,15 5,15
51,7 51,7 (5)
Total 6 3 9 26,4 664 690,4
354,2 14990 15344
And its energy production will be equal to:

3 MODELS FOR OPTIMIZATION (6)

What can be the role of reservoir here? It seems that this
task is easy. According to accepted point of view the
more works reservoir the more water will go through With consideration
9,81QHt
turbine and as a result hydroelectric station will produce Where -energy (kW/h), -efficiency, Q-water
more energy. Then, the most optimal mode should be consumption (m3/sec), H-pressure (m), t-time (h) and
such at which reservoir will be filled up to the great- (6) condition at which the work of reservoir brings to
est possible mode to the beginning of considered period additional effect can be written as:
and is completely worked at the end.
Let’s consider two variation of mode of hydroelec-
tric station work without any function of reservoir (on
transit flow). Appropriate to this variation the work of
energy on hydroelectric station will be equal:
(7)
(1)
As a result of elementary transformation from equa-
tion (7) we can get two following criterion:
Q0–the transit charge through reservoir and hydro-
electric station provided the tributary of the river,
H1
max upp.b.  low.b. pressure on hydroelectric
station, T-Duration considered period in day. (8)
In second variation reservoir in regular intervals
works for the considered period up to a mark t
upp.b. Having accepted that the area of water s mir-
rors in reservoir at all its level is equal S (m2) we con-
sider that in this variation the additional volume of
water passed through turbines of hydroelectric station
is equal:
(2)
and additional average consumption for entire period:
(3)
302
Kayrakkum hydroelectric station with reservoir has
following main parameters and can be served as an
example.
S
200 km2; H1
Hmax

maxupp.b. 
low.b.

347,5  327,5
20 m; 9 m  H2  20 m ; 0  Q0 
900 m3/s; Qaver.long.stand.
600 m3/s.
The appropriate calculation at formulas (7) and (8)
are given in the Tables 2,3,4. They show that for really
having a place for Kayrakkum hydroelectric station of
range of change (400  Q0  900) of the average con-
sumption and pressures of work (9  H2  20) the
efficiency of use of reservoir takes place only at it fully
Table 2. The maximal meaning of the period of time T/day
ensuring efficiency of work of Kayrakkum reservoir at vari-
ous meanings Q m3/sec and H,m.

Q\H 9 11 13 15 17 19

400 167.8 179.4 191.0 202.5 214.1 225.7

500 134.3 143.5 152.8 162.0 171.3 180.6
600 111.9 119.6 127.3 135.0 142.7 150.5
700 95.9 102.5 109.1 115.7 122.4 129.0
800 83.9 89.7 95.5 101.3 107.1 112.8
900 74.6 79.7 84.9 90.0 95.2 100.3

Table 3. The maximal meaning of water charge Q m3/sec

and ensuring efficiency of work of Kayrakkum reservoir at Figure 1. Effectiveness of working out of Kayrakkum reser-
various period of time T and H,m. voir for production of power energy in dependence of final
pressure and time.
T\H 9 11 13 15 17 19

10 6713.0 7175.9 7638.9 8101.9 8564.8 9027.8

30 2237.7 2392.0 2546.3 2700.6 2854.9 3009.3 The given analysis even in view of the made
60 1118.8 1196.0 1273.1 1350.3 1427.5 1504.6 simplifications show that the mode of operations of
90 745.9 797.3 848.8 900.2 951.6 1003.1 Kayrakkum reservoir accepted today in practice, is not
120 559.4 598.0 636.6 675.2 713.7 752.3 optimum from the point of view of power. The loss of
150 447.5 478.4 509.3 540.1 571.0 601.9 energy is obvious during such mode. Moreover, it is not
180 372.9 398.7 424.4 450.1 475.8 501.5 effective for irrigation because a big work of reservoir
210 319.7 341.7 363.8 385.8 407.8 429.9 would result in additional expenses of energy at pump-
ing station.

Table 4. The attitude of production of the electric power at

work to pressure H2 to a maximal pressure H
20 m at dif- 4 OPTIMIZATION OF KAYRAKKUM
ferent time of work/day and Q
const
600 m3/sec. HYDROPOWER
T\H2 9 11 13 15 17 19
As an example we consider the concrete task of opti-
10 3.80 3.47 3.05 2.56 2.00 1.35 mization of Kayrakkum hydropower station at Syrdarya
30 1.75 1.67 1.57 1.44 1.28 1.10 River in Tajikistan. Its capacity is 126 MWt; the volume
60 1.24 1.22 1.20 1.16 1.10 1.04 of reservoir is 4,6 km3 and useful –2,6 km3. The reser-
90 1.07 1.07 1.07 1.06 1.04 1.02 voir of Kayrakkum hydroelectric station is the biggest
120 0.98 1.00 1.01 1.02 1.01 1.01 for all northern zone of republic hydroelectric station,
150 0.93 0.95 0.97 0.99 1.00 1.00 which is isolated from its basic energy system and car-
180 0.90 0.92 0.95 0.97 0.98 1.00 ries out seasonal regulation of flow in the most intense
210 0.87 0.90 0.93 0.96 0.98 0.99
river pool of Aral Sea in the interests of following
republics: Kazakhstan, Turkmenistan and Uzbekistan.
The additional need in water for these republics in
vegetation period comprises 2,2 km3.
draining during no more than 70–120 that is much less For the defining of national and regional interests
shortage of the electric power of the autumn-winter we consider two regimes: for national-power and for
period, which is seven months (October–April). regional-irrigation. Thus all accounts in models we
Thus for representing practical interests of the peri- shall carry out for time units equal to one month with
ods of time (T
180) the efficiency of work of reser- use of monthly average of parameters.
voir for real pressures is provided only at average Basic settlement formula for production of energy
charges 300–400 m3 that is essentially smaller valid. on hydroelectric station after transformations shall
Concrete sizes of losses of production of the elec- present as:
tric power at work of reservoir shows Fig. 1. At usual
for today’s practice H2  10 m and T
180 days they
comprise 10% or in absolute meanings 70–80 mln
(9)
kWt/hour a year.

303
 From the last formula we get: (a)
4000

3500
(10)
3000

Volume reservoir
2500
Where: q-water consumption on energy produc-
tion on hydroelectric station, m3/kwt/h. 2000

The volume of water through hydroelectric station 1500

Wi is calculated by formula: 1000

500
(11)
0
October Novem. Decem. January February March April May June July August Se
i
Where: Qch – average monthly consumption of water Energetic regime Irrigation regime
through turbine of hydroelectric station, Ni-quantity 108

of days in 1-month, Wi-volume of water passed through

(b)
turbine of hydropower station in 1-month. 1000
The main entry condition for our model is an initial 900
volume of reservoir. For this we should define the set- 800
700
tlement period. We take it equal to 1 year (12 months) 600
expend, m3/S
not consider it as usual calendar year, but we take it 500
from the start of vegetation period from 1st October 400

till 30 September when the vegetation period is fin- 300

200
ished. Thus, it makes easy to consider irrigational issues
100
and also the issue of energy so as shortage of energy -100
and vegetation period are coincide. 0
October November Decem. January February March April May June July August September

Both in hydropower and in irrigational models the Energetic regime Irrigation regime

natural restrictions having clear physical sense are used.

1 The entry conditions on volume of reservoir (on
1 October) should be reproduced by the end of the
period, considered in models, (by September 30).
2 The consumption of water through turbines of
hydroelectric station should be more or equal to 0.
3 The volume of reservoir in any considered period
of time should not be less than minimally possible
and more than maximally possible.
4 The consumption of water through turbines of
hydroelectric station should not be more as possible
allowed on conditions for small pressures.
As a changing parameters in both models the con-
sumption of water through turbines of hydroelectric
station are accepted.
The criterion of optimization of operational regime
of Kayrakkum hydroelectric station from a position of
national interests of water-power engineering is defined
practically unequivocally i.e. maximization of produc-
tion of energy in winter: from October till April (May)
without any other conditions for other period of year.
A criterion of irrigational regional operational mode
of Kayrakkum reservoir is defined by need of water
Figure 2. Energetic and irrigation scheme of operation and
accumulation of Kayrakkum reservoir (a),Monthly average
drawn downs from Kayrakkum reservoir in energetic and
irrigation regime (b).
in vegetation period required by countries Uzbekistan
and Kazakhstan.
Both models were developed with the use of per-
sonal computers in framework of programs Microsoft
Office1998 or Excel and menu Service.
The algorithms of a simplex method and method
“branch-and-bound” for the decision of linear and non-
linear tasks with restrictions are developed by Yohn
Watson and Dan Fulstra, Frontline Systems, Ync.
For conducting of concrete calculation on mathe-
matic models the fact sheet, which were in use for the
last years (1998–2001) have been used.
The results of calculation are shown in Fig. 2.
Comparison of results of these two models allow to
define those direct losses of produced energy, which
bears Tajikistan rendering service on irrigational reg-
ulation of flow for Uzbekistan and Kazakhstan. They
are equal to:
719,183  472,334
246,849 mln kwt hour
As characteristics of this mode it is possible to note
that for maintenance of the maximal production of
energy in autumn-winter period there is no necessity

304
of the complete function of reservoir up to its minimal
volume 881,1 mln m3.The minimal volume of reser-
voir during its energy mode is1600,7 mln.m3.
Received results allow that by using of market
approach to optimize the use of water energy resources
of river on international level.
5 CONCLUSION
To certain extend it can provide considering by us the
maximization of regional benefit but with taking into
consideration the social aspects.
It is that: In conditions of priority for life-support
of Central Asian Countries and irrigational farming in
305
practice will be implemented irrigational regulation
of flow while the criterion will be the maximum pro-
vision of water for irrigated agriculture in vegetation
period. Countries of lower flow should compensate
the loss of energy, which bears the countries of upper
flow, getting by result of such scheme the additional
water for irrigation.
Such a scheme was implemented in Central Asia
for the most intense river pool – Syrdarya of Aral Sea.
In 1998 among Kirgizstan, Tajikistan Turkmenistan and
Uzbekistan the “Agreement of using of water-energy
resources of the river pool Syrdarya” was signed. This
agreement successfully worked during 5 years and in
2003 was prolonged by Central Asian Republics for
five years.
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Challenges of multi purpose dam project and management in African

countries: A case study of the River Niger Basin system

I.E. Ekpo
Secretary of the Nigerian Committee on Large Dams (NICOLD). Federal Ministry of
Water Resources, Abuja, Nigeria

J. Akanmu
Civil Engineer, lecturing at the University of Lagos, Nigeria

ABSTRACT: Dams planned for single or multipurpose have come to represent important assets that sustain the
modern world. Seventy percent of dams built on the various African rivers are for multipurpose uses. In most devel-
oping countries, water is available on a regional scale but generally unevenly distributed in space and time.
Considering population projection of over 400 million people expected to be living in at least 17 water scarce
African countries by the year 2010, multipurpose dam projects at regional levels are being proposed from eco-
nomic point of view despite the challenges this may pose. The New Partnership on African Development (NEPAD)
recently launched, is quite commendable. Time has come for technocrats and politicians to assemble Water
Treaties, Agreements and Protocols that abound to discuss, negotiate and tackle water crisis in Africa. Lack of an
integrated management for the continent’s water bodies will constitute a potential threat to regional stability.

1 INTRODUCTION Table 1. Africa: historical legacy.

Dams and reservoirs represent important assets that Basin No Countries

sustain the modern world and have improved the well-
being and wealth of the society as a whole. Dams built Nile 10 Sudan, Ethiopia, Egypt, Uganda,
Tanzania, Kenya, Rwanda, Burundi,
for multipurpose uses the world over are increasingly Eritrea, Zaire
important for regional economic development.
The continent’s water resources are under serious Congo 9 Zaire, Car, Angola, Congo, Rwanda,
Zambia, Tanzania, Cameroon,
threats from inadequate catchment management and Burundi
widespread pollution; including discriminate disposal
of hazardous substances. Aquatic species habitats and Niger 9 Niger, Nigeria, Mali, Guinea,
Burkina, C. d’Ivoire, Togo, Benin,
ecosystems are also at risk. With increasing water Cameroon, Chad
demand throughout Africa to support greater agricul-
tural productivity, industrial expansion and urban Zambezi 8 Zambia, Angola, Malawi,
Mozambique, Tanzania, Namibia,
growth, more water to meet human needs means less Zimbabwe, Botswana
for maintaining aquatic ecosystems. While water is
crucial for sustainable national development, in Africa Lake 8 Chad, Niger, CAR, Nigeria, Algeria,
Chad Sudan, Cameroon, Libya
and elsewhere, water is rarely confined to the bound-
aries of a single country. Few of these countries have Volta 6 Burkina, Ghana, Togo, Cote d’
effective institutional arrangements for consultation Ivoire, Benin, Mali
or cooperation.
Africa by its length of 4,200 km2. It flows through
Guinea, Mali, Niger, Benin and Nigeria. The river
1.1 Main international rivers
first takes a north-east direction towards the fringes
The African continent is endowed by six main river of the Sahara; on the way it traverses an inner delta
systems, namely: Nile, Congo, Niger, Zambezi, Lake where it looses an important part of its discharge by
Chad and Volta (Table 1 and Fig 1). The River Niger evaporation, then it turns back forming a large bend
which is our main focus in this paper, is ranked 3rd in and flowing south-east to the Gulf of Guinea (Fig 2).

307
Figure 1. Map of Africa.
The surface of its catchment area is shared by nine
countries (Mali, Niger, Benin, Togo, Cameroon, Chad,
Burkina Faso, Cote d’Ivoire, Nigeria) and can be
divided into 4 main sections with different physical
and geographical characteristics. They are:
1. The Upper Niger from its source in Guinea to
Segou, 200 km down stream of Bamako. The Upper
Basin covers a surface approximately 240,000 km2.
308
2. The Lake basin or Inner Delta from Segou to Tossaye
at the Niger bend, with an area of some 80,000 km2.
3. The Middle Niger between Tossaye and Malanville.
Its basin covers a surface of around 900,000 km2
including “theoretical” catchment areas at the left
bank which are practically without discharge.
4. The Lower Niger from Malanville to the mouth in
the Gulf of Guinea with a catchment area of
720,00 km2, including Benue River. Along 550 km2
Figure 2. Regional map showing some dams on rivers Niger and Benue (Niger basin).

the River Niger traverses the South-Western part Table 2. List of some existing and proposed dams in the
of the Republic of Niger from the Mali border River Niger Basin system.
until the frontier with Nigeria. In the down stream
part of the river forms Niger’s border with Benin. Country Existing dams Proposed dams

Niger Zango Gambou

The catchment area of this river system and their Kandadji
tributaries have abundant sites for the construction of
Guinea Selingue Fomi
dams particularly multipurpose dams for various uses.
The serious vulnerability of water resources in the Burkina Faso Ziga Sotuba
River basin entails somehow the necessity for water Bagre
storage infrastructures so as to face the increasing need Mali Otuba Tossaye
of the various sectors of utilization and among the Manantali
various countries. The multipurpose infrastructures Markali
find their justification in the need for the riparian coun- Benin Data unconfirmed Mekrou
tries to find solutions to the food and power crisis, Nigeria Kainji Lokoja
river quality improvement, inland navigation, drought Jebba Onitsha
tragedies most of them have been facing the continent
for several years.
being planned. Some existing and proposed Dam proj-
ects on the River Niger Basin are shown in Table 2.

2 STATUS OF DAMS DEVELOPMENT

IN THE BASIN
Geographic and climatic characteristics necessitate a
number of dams to be built in the region and others are
2.1 Challenges of multipurpose dam
One of the problems/challenges of multipurpose dams
in the continent is that of management, control and
ownership. This is aptly reported by William Adams

309
(2000) with respect to the Manantali multipurpose dam
located in Mali. They identified series of problems
relating to the ownership or control of the dam and con-
straints on freedom to allocate water. They pointed out
that even though dams are often multipurpose, control
may not reflect the full range of potential uses. For
example, the Ministry of Energy may manage a dam for
hydropower, who may be resistant to making flood
releases, which would reduce the amount of water avail-
able for hydro generation. A dam for irrigation managed
by the Ministry of Agriculture might also be resistant to
releasing water for small-scale flood plain agriculture.
Different levels of government have different priorities
(e.g. conflict between the Federal and provincial
Agencies). The solution to this problem must involve all
relevant government departments, for example in an
inter-ministerial committee that can act as the decision-
making body governing the operating principles of the
dam. This applies to most countries in Africa. Acreman
et al further described a similar example of different
organizations having different responsibilities, as is the
case of the Mahaveli dam in Sri Lanka. Acreman et al
identify four main types of purposes: single or primary
authority ownership (e.g. a power utility).
– Committee of primary authorities (e.g. joint own-
ership by power and agriculture Ministries).
– Independent authority (e.g. River Basin Authorities,
Nigeria, Kenya).
– User Communities (e.g. representatives of commu-
nities and stakeholder participation).
Other challenges associated with the construction
of large-scale multipurpose dams are:
– Limited available construction sites.
– Resettlement issues for displaced original
inhabitants.
– Sufficient funds to operate and manage the large
scale multipurpose dams.
– Unbalanced development between upstream and
downstream areas of the dams.
– Inadequate operation/maintenance of dams.
– Unreliable service delivery.
It has thus become necessary to evolve a policy in the
continent to spend scarce resources judiciously and
propose guidelines for “environmentally safe dam
design construction and management”.
3 ENVIRONMENT DEGRADATION
The River Niger basin constitutes one of the most
threatened river ecosystems in Africa. The environ-
mental degradation of the basin results from the
combination of the anthropic and natural factors con-
tributing to the reduction of water resources in the
basin. Beyond the patent and established threats such
310
as the desertification of some zones of the basin, other
threats of similar importance should also be noted
such as the degradation of the highlands, which con-
stitute the water heads of the River Niger and its major
tributaries. The degradation of some fragile ecosys-
tems such as the inner Delta and the Maritime Delta
(Nigeria) should be added to all this. The degradation
of the ecosystems of the River Niger basin coupled
with the variability of resources and the lack of water
storage infrastructures contribute to make fragile most
of the economies of the riparian countries of the River
Niger Basin whose major activities are largely tribu-
tary of the water potential. (NBA, World Bank Report).
4 VIRTUALLY UNTAPPED HYDROPOWER
POTENTIAL
To state that dams are very important for economic
development is not an under statement but African
countries have not particularly and sufficiently devel-
oped their dams and hydroelectric potential. This has
accordingly affected their economies. Fig 3 shows that
barely five percent of energy has been developed com-
pared to other developed continents like Europe and
North America. Hydropower and commercial agricul-
ture through multipurpose dam projects cannot be sup-
ported using local or private sector resources alone.
Annual investments in reasonable levels as articulated
in the African Water Vision is envisaged with a dedi-
cated water fund for Africa.
5 SOME INTERNATIONAL PRINCIPLE THAT
HAVE FAR REACHING IMPLICATIONS ON
RIVERS MANAGEMENT IN AFRICAN
– Copenhagen, 1991.
– Dublin, 1992.
– UNCED, Rio, 1992 Agenda 21, chapter 18.
– The International convention to combat desertifi-
cation, INCD adopted in 1994.
– Convention on the protection and use of Trans-
boundary watercourse and international Lake
Helsinki, 1992.
Some relevant policy principles which emerge from
these meetings are as follows:
– Fresh water is a finite and vulnerable resource,
which is essential to sustain life, development and
the environment.
– Effective management should link land and water
uses on an integrated catchment basis.
– Political will is required for effective policy imple-
mentation.
– Shared water resources should be managed cooper-
atively in a sustainable manner.
100%

80%
Europe
N. America

60%

40%
S. America
Asia Incl. China

20%

Africa

0%

Figure 3. Africa’s infrastructure – Hydropower potential tapped.

The potential for conflict over shared water resources
is real, so it is important that countries reach agreement.
In the process of reaching agreement, and through the
agreement and the mechanisms for consultation and
cooperation frequently created by such agreements,
countries manage conflicting interests, and defuse the
potential for conflict to escalate all the way to the
water wars mentioned earlier.
States recognizes the value of such agreements is
borne out compellingly by the innumerable Treaties,
Agreements and Conventions made through recorded
history in regard to navigation on, and boundary
demarcation along or across, rivers and lakes.
Since the dawn of hydropower and large-scale irri-
gation development in the twentieth century, however,
the focus of negotiation and of treaty making has
shifted away from navigation and from boundary
demarcation towards the use, development, protection
and conservation of water resources. The issues requir-
ing negotiation and agreement among states have
grown more complex and intricate, but the practice of
seeking a negotiated, agreed solution has remained.
6 WHAT TO DO
water and sanitation, of which energy and agriculture
are key sectors. NEPAD expresses the collective will of
African leaders to work together for the purpose of
uplifting the standard of living of Africans. Formed in
July 2002, some of the goals of NEPAD are:
1. To restore the peace and security of the nations.
2. To eradicate widespread poverty and underdevel-
opment.
3. To promote accelerated growth and sustainable
development.
6.1 Integrated Water Resource management
Water must be considered holistically for such pur-
poses as water supply and sanitation, irrigation,
energy generation through the construction of multi-
purpose dams. There is also need to implement the
following:
– Establish dialogue between and within countries.
– Use mass media to disseminate information on
Integrated Water Resources.
– Intensify training of water professionals and
– Financing the construction of multipurpose dams.

Agreements and protocols for equitable use of water in 7 CONCLUSION

these river systems have to be strengthened. This is per-
haps the very essence of the recently launched NEPAD Water treaties, agreements and conventions abound,
whose emphasis is on sustainable economic growth in but knowledge of them, and the relevant records are

311
not always easily accessible. The United Nations sys-
tem has perhaps the most extensive experience and
knowledge base regarding such treaties and their
negotiation.
The resource is increasingly becoming and regarded
as a potential point of conflict as the pressure of popu-
lation growth and development place growing demands
on limited infinite resources. The relationship between
water security, fuel security, catchments degradation and
national security is playing an increasing role in inter-
national relations and therefore should be addressed in
a broad sense.
With all the challenges posed, multipurpose dams
are highly recommended as well as management of all
dam issues from economic point of view. Finally mem-
ber countries are to review all international treaties and
agreement on shared basins to reflect the key issues in
the UN convention, 1998.
312
REFERENCES
Adams (2000), Social Impacts of Large Dams, Equity
and Distributional Issues Paper for World Commission
for Dams.
Ekpo (2002), Multipurpose Uses of Dams and Reservoir.
Proceedings of Workshop of the Nigerian Society of
Engineers (Calabar Branch) in Conjunction with Cross
River Basin Authority, Calabar Nigeria.
Ekpo and Petters (2005), Impact of Dam Failures: Nigeria’s
Experience. Technical Paper at the International
Conference on Energy, Environment and Disasters
(INCEED).
Grey and Sadoff (2002), the World Bank Water Resources
and Poverty in Africa: Breaking the Vicious circle.
African Ministerial Conference on Water (2002)
Water Resources Development and Fragile Ecosystems
Management in the River Niger Basin (2005) Niger
Basin Authority (NBA) World Bank Report.
 ts
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© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

The benefit of large dams to national and regional economy of Nigeria

B.O. Johnson Adewumi

Decrown (West Africa) Company Limited, Consulting Engineers, Abuja, FCT, Nigeria

ABSTRACT: The economy of Nigeria at pre-independence was mainly dominated by Agriculture. The level of
education was low and urbanization was not the trend. Therefore, greater proportion of the population devoted their
time to agricultural production through rain fed. The country prospered through the export of various agricultural
produce such as cocoa, groundnut, rubber, palm oil etc. Shortly after independence, the increasing demand for
hydrocarbon in Europe and America led to an astronomical increase in the income generated from crude oil.
Unfortunately, rather than investing the revenue in agricultural production, the importation of all kinds of consumer
goods took precedent. The Agricultural sector was drained of valuable labour force because of the drift from rural
areas into the cities resulting in the declined of agriculture as a major revenue generation for the country. The pop-
ulation of Nigeria was recently estimated to be 150 million with about 80 percent under 40 years of age. Agricultural
production through rain fed as practiced at pre-independence days, cannot appeal to the young and enterprising
Nigerian population of the 21st Century. Experts agree that large scale irrigation farming holds promise for the
future of the Nigerian economy and the welfare of the people. The irrigation needs, coupled with the demand
for energy and water supply for the large population calls for the construction of large dams. This paper examines
the present and the expected future contribution of large dams to the regional economy of state governments and the
national economy of Nigeria. It advocates the improvement of sources of funding for large-scale multipurpose large
dam projects to ensure the various identified dam sites are accorded priority in the national development plan.

1 THE COUNTRY: NIGERIA
Nigeria is a Federation of 36 states and located in
West Africa between latitudes 4° and 14° North and
longitudes 2° and 15° east. The total land area is
923.8  103 sq km and the overall relief feature is
very gentle with height increase of about 500 m from
the coast to the north. The annual rainfall decreases
from over 4000 mm in the southeastern part of the
country to less than 250 mm in the northeastern bor-
der. The rainy season reflects seasonal variation; wet
season lasts from July to September in the North, and
April to November in the South.
Nigeria was under Colonial Rule from 1914 but
obtained Independence on 1st October 1960. At inde-
pendence, large dams were non-existent and irrigation
was basically traditional. Although foreign trade was
limited since the population was predominantly rural,
the national and regional economies were robust,
dependent largely on the export of agricultural produce.
about 267.3  109 m3 with specific runoff yield of
178 mm/year. The drainage basins have been delineated
into seven hydrological basins.
The seasonal nature of rainfall calls for water con-
servation through the construction of dams. Studies by
national and regional governments call for the devel-
opment of the feasible sites for large dams mainly to
support the hydropower and irrigation development.
The first large dam named Kainji dam was con-
structed in 1969. The list of large dams in Nigeria is
presented in the table below.
In addition to the large dams already completed or
on-going as presented in the above table, the govern-
ment of Nigeria had undertaken Preliminary studies
for Markurdi, Lokoja, Onitsha, Mambila and Zungeru
dams primarily for flood control and power generation.
2 BENEFITS OF LARGE DAMS TO
NATIONAL ECONOMY

1.1 River system and drainage basins
Nigeria is drained by four major river basins; the Niger,
the lake Chad Basin, the rivers of cross and Imo, and the
western littoral. The annual runoff is estimated to be
Large dams have made significant contribution to the
economy of Nigeria particularly in the following areas:
• Hydro power generation
• Agricultural production through irrigation

313
Table 1. List of large dams in Nigeria. Table 2. Generation profile: National statistic.

Reservoir Occurrence
Name of Capacity Year Details MW Hour (hrs) Date
River dam (MCM)* Completed
Peak demand forecast 7500 2100 29/11/2005
Niger Kainji 12,000 1968 Actual generation
Kaduna Shiroro 7,000 1989 capability 3895 2000 29/11/2005
Niger Jebba 3,880 1983 Unit on bars capability 3655 2000 29/11/2005
Gongola Dadin Kowa 2,855 1988 Peak generation 3450.5 2045 29/11/2005
Kano Tiga 1,968 1975 Off-peak generation 2748.5 0500 29/11/2005
Rima Goronyo 942 1984 8-hourly duration peak 2861.2 0000–0800 23/11/2005
Challawa Challawa 930 1992 3033.4 0900–1600 23/11/2005
Gurara Gurara 880 Under construction 3450.5 1700–2400 23/11/2005
Ogun Ikere Gorge 690 Under construction Peak generation up 3774.4 2015 08/08/2005
Gongola Kiri 615 1982 to date
Sokoto Bakolori 450 1978 Maximum installed 4577.7 0800 12/11/2005
Oyan Oyan 270 1983 available capacity
Kampe Omi 250 1999 to date
Karaduwa Zobe 177 1983 Maximum actual 4247 2400 12/11/2005
Gada Jibiya 142 1990 generation capability
to date
* MCM – million cubic meters (106 m3) Maximum energy 7874 0000–2400 11/11/2005
generated (MWH)
to date
• Inland navigation
• Inland fisheries
The colonial administration at pre-independence
Less than twenty-seven million people out of the
did not emphasis the development of large dams as a
approximately 130 million Nigerians have access to
catalyst for industrial and social development. Between
electricity supply. The technological and Industrial
1911 and 1960, no large dams were constructed in any
growths of the country, considered the biggest market
part of Nigeria. Rather, records show about 261 urban
in Africa, have been severely hindered by inadequate
water supply schemes, mostly pumping from rivers and
power supply.
boreholes.
Two of the three large hydropower dams in Nigeria
are located on River Niger. This same Niger River is
2.1 Hydropower generation a source of food, water and drainage for five West
Although power generation started in Nigeria in African Countries. For hundred of years, more than
1896, it was in 1962 that the Niger Dams Authority half the population of Nigeria rely on the potentials of
(NDA) was established with the mandate to develop the Niger River and its tributaries for agriculture and
the hydropower potential of the country. The first water supply.
large dam, the Kainji, was built in 1968. Currently, With the possibility of the construction of Kandaji
the three large Hydro-power Dams in Nigeria with Dam proposed by the Republic of Niger and antici-
combined capacity of 1900 MW are as follows: pated increase of water use from River Niger by coun-
tries upstream of Nigeria, the continued operation of
• Kainji Hydropower station – 760 MW Jebba and Kainji Dams may be jeopardized thereby
• Jebba Hydropower station – 540 MW limiting the contribution of these important large
• Shiroro Hydropower station – 600 MW dams to the national economy of Nigeria.
The first phase of the Kainji Hydroelectricity proj-
ect, comprised of 4  80 MW units, was commis- 2.1.1 Status of power generation in
sioned in 1968. The second phase of the Kainji project Nigeria – Year 2005
was completed in 1978, adding 2  120 MW units. The installed power generation capacity of Power Hold-
By 1980 the third phase had been completed, adding ing Company of Nigeria (PHCN), formerly known as
2  100 MW units. The Jebba and Shiroro hydroelec- National Electric Power Authority (NEPA), is pre-
tric projects added installed capacity of 540 MW and sented in Table 2. The power demand forecast during
600 MW respectively to the country’s total capacity. peak hours is 7580 MW, while actual generation
There are plans for an additional 1210 MW of hydro- capacity varies between 2000 MW and 3895 MW.
electric installed capacity at Zungeru and Katsina. Also The total installed generation capacity is 5881 MW,
the Mambilla Hydroelectric project with the potential of which 2341 MW constitute hydropower contri-
for 3900 MW is at advanced stages. bution. Petroleum and Gas, Coal and lignite, biomass

314
and solar power account for the remaining energy
sources.
Hydroelectric power stations generated about
5250 GWH in 2004. The Nigeria’s technically feasible
hydropower potential was evaluated at 30,690 GWH/
year. The major hydroelectric project being considered
by Federal and State Governments will inject addi-
tional 5140 MW by 2008. These include Zungeru,
Katsina, Mambilla and Gurara Dam Projects. The
reviewed Hydroelectric project development by the
Federal Ministry of Power include a programme of
small hydro construction that will result in 702 MW of
installed capacity at 236 sites and 400 MW from mini
hydro plants. Nigeria has plans to increase access to
electricity throughout the country to 85 percent by
year 2010. About 8000 MW of hydro development
is planned through the construction of Mambilla
Hydroelectric Project and other small hydro schemes.
2.1.2 Irrigation and food security
Food and Nutrition is a growing problem for the Natio-
nal and Regional Governments in Nigeria. Domestic
food production supported by rain fed farming cannot
meet the demand of our growing population which in
the last twenty years has become more urbanized.
The development of large dams in the country to
support irrigation started about 1976 after the creation
of a Ministry for water resources development and
irrigation. This was to increase the prospect of agri-
cultural production. Studies have shown that existing
large dams constructed in the past thirty years have
irrigable areas of 320  103 ha. Conversely, down-
stream development has achieved only 70  103 ha –
an estimate which is less than 20 percent of the total
irrigable area.
Since 1985, with the intention of rejuvenating agri-
cultural production after years of neglect due to an
overdependence on crude oil sales, the Federal Gov-
ernment of Nigeria has progressively increased the
ban on imports of major foodstuff. Reports show that
agricultural production is currently increasing at
the rate of about 8 percent per annum, much ahead
of the population growth rate of about 2.5 percent.
However, rain fed farming accounts for much of the
increases recorded because the downstream irrigation
developments of most large dams have been hindered
due to lack of capital, high interest rates and inade-
quate incentives for large scale farmers.
Table 3 provides a summary and comparison of
planned irrigable area for some existing large dams
and their actual development thus far.
2.1.3 Inland navigation
The Niger and Benue River Systems provide about
3,000 km of navigable waterways including the delta
creeks, intercostals waterways and lagoons. In fact,
the expatriate traders during the colonial era made
315
Table 3. Summary of planned irrigable area for some
existing large dams.
Planned Actual
Name of dam development (Ha) development (Ha)
Zobe dam 8,200 5,000
Goronyo dam 69,000 17,000
Challawa 40,000 12,500
Tiga dam 22,000 26,000
Jibiya dam 7,000 3,500
Ikere gorge dam 15,000 650
Oyan dam 12,000 250
Omi dam 4,100 1,500
Bakolori dam 23,000 22,000
extensive use of the waterways to transport agricul-
tural products thereby boosting the local economy
significantly.
Eroded sediments from upstream watersheds of
Rivers Niger and Benue and their major tributaries
have adversely affected inland navigation. The flow
pattern and conditions of the waterways have deterio-
rated over the last thirty years. Until about 1970, river
transport was very prominent, accounting for over
30 percent of the product transport in the country.
The Construction of a few large dams on Rivers
Niger, Benue and their major tributaries enhanced the
water levels in the Niger – Benue River systems.
Large dams such as Kainji, Jebba, Goronyo and Tiga
have potential to adequately support local and com-
mercial passenger traffic. However, the local econ-
omy did not increase appreciably in the same period
due to poor maintenance of river courses and inade-
quate infrastructure. The situation may further be
improved through maintenance dredging and ade-
quate promotion of these valuable and cheaper means
of transport by the local governments in which these
projects are located.
2.1.4 Inland fisheries and ecosystems
The extensive reservoirs created by the large dams
in Nigeria continue to improve inland fishery activi-
ties in Nigeria. These reservoirs provide the oppor-
tunity for improved aquaculture and aid the policy
of National and State Governments in developing
nationwide self-sufficiency in fish production. The
Department of Fishery, which is an arm of the Federal
Ministry of Agriculture, executes projects and pro-
grams which focuses on the utilization of the large
dams aimed at accelerating the private sector participa-
tion in fish production, utilization and conservation.
Although power generation and irrigation remain the
main objectives of large dams in Nigeria, the devel-
opment of inland fishery and the need to release
the minimum maintenance flow to mitigate adverse
impacts to its downstream ecosystems constitute addi-
tional economic advantages of large dams in Nigeria.
 The Kainji Dam at New Bussa in Nigeria is an
instrumental part of the fishing industry. Though built
to provide a constant water supply to the massive
Kainji Hydroelectric Plant that provides electricity to
Nigeria and the Niger Republic, the dam has become
a major inland fishing ground. The same is true of
other large dams in the country, and with the prospect
of more conducive financial markets, the country can
become a net exporter of Fish in a few years.
2.1.5 International cooperation
The Kainji and Jibiya large dams are typical exam-
ples of how large dams can strengthen international
cooperation between countries.
The Jibiya Dam with Storage capacity of 142 MCM
was built by Federal Government of Nigeria on Gada
River. The River flows from Nigeria into the Niger
Republic and back again into Nigeria. Prior to the con-
struction of the dam, the river flows only during the
raining season. With the construction of the dam, there
is a regulated flow of water along the river course to
the extent that the communities downstream in Niger
Republic are assured of a release of at least 10 million
cubic meters of water at a given hydrological station
every year. This is a great achievement in terms of
cooperation and sharing of resources. This is also
to the advantage of Niger Republic since they con-
tributed nothing towards the dam construction. As a
result, the dam has further strengthened the bond of
friendship between Nigeria and the Republic of Niger.
In the case of Kainji Dam, Nigeria exports electric-
ity to the Republic of Niger to compensate the latter
from considering building Kandaji dam. This rela-
tionship, once again, displays the international coop-
eration as the construction and operation of Kandaji
dam would undoubtedly have adverse effects on the
proper functioning of Kainji Dam because the water
supply to its hydroelectric plants would be affected by
the upstream dam in Niger Republic.
3 LIMITATIONS
The importance of water resources development to
the economy of Nigeria is evident in various pro-
nouncements of government. The production of the
First National Water Resources Master Plan in 1995
316
emphasizes this need. The plan identified various small,
medium and large dams expected to be constructed
between 1995 and 2020. Ten years into the plan less
than 10 percent of the recommendations have been
implemented due to funding problems. The private
sector is weak, and government has too many com-
peting demands for the available resources while the
cost of construction continues to rise. There is agree-
ment that there is need for improvement of sources of
funding for developmental projects for most of the
plan to become reality. For the time being, government
is considering various schemes such as Privatization,
Commercialization, Build-Operate-Transfer (BOT)
and Build-Operate-Own (BOO).
4 CONCLUSION
Large dams have contributed enormously to the
national and local economy of Nigeria particularly in
agricultural, hydropower and inland transportation sec-
tors of the economy. Large dams have also enhanced
the international cooperation between Nigeria and the
neighboring countries through guaranteed supply of
power and maintenance of guaranteed low flow during
the dry season. Hydropower generation from existing
large dams contribute over 39 percent of the country’s
power generation. Additional 6000 MW is expected to
be available in the next few years from the three large
dam schemes currently being considered by the
Government of Nigeria. State Governments are also
preparing studies for the development large dams
within their catchment areas as a means of improving
their internally generated revenue.
The development of large dams is closely associ-
ated with the development of large scale irrigation in
Nigeria. Major dams developed in the past 25 years
have the potential to support about 320,000 Ha of irri-
gation creating millions of employment at local and
national levels. There is need for additional incentives
through provision of modern agricultural machinery,
easier access to capital and guaranteed market prices
to entice the growing number of unemployed Nigerian
youths to the farm. These irrigation farms hold promise
for the economy, reduction of youth unemployment –
which is currently about 60 percent – and improvement
in the National GDP.
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Redesigning existing large dams for multipurpose

M. Simainga
Zesco Ltd, Lusaka, Zambia

ABSTRACT: Among the natural resources, water has unique property of renewal with annual replenishment
to a greater extent. One may dangerously assume that the resource is unlimited and that the cost is negligible.
To the contrary the demand for water is ever increasing and hence the development of water resources and
indeed large dams must be carefully planned to achieve maximum utilization at optimum economic rates. While
large dams have undoubtedly played a significant role in bulk water supplies for various purposes they have also
been associated with negative effects. However within the definition of some of the negative impacts, there still
lies tremendous potential that can add economic value to surrounding and associated areas and thereby miti-
gating some of the negative impacts. Fifty years after commissioning some large dams even the most basic
social economic needs of surrounding areas are not easily accessed. Large dams designed for multipurpose
aspects can simultaneously mitigate some of the negative impacts and address some social economic needs.
This paper reviews some of the dormant potentials that large dams designed for multipurpose aspects and out-
lines the challenges associated with re-engineering the dams and re-designing the projects for multipurpose
aspects where the water is either for consumptive or non consumptive use in order to achieve maximum util-
ization and benefit at optimum economic rates while mitigating some of the negative.

1 INTRODUCTION planning, and the incorporation of a variety of mitiga-

Water has a great property of renewal and replenish-
ment by nature. Nature does not always render water
readily available to meet the various demands and usage
patterns. The demand for water is ever increasing and
the potential sites for storage are ever decreasing. Large
Dams have undoubtedly played a significant role in
bulk water supplies for various purposes. They have
also been associated with negative impacts. Dams basic-
ally alter rivers and the use of associated resources,
frequently entailing a relocation of benefits from
local users to new groups of beneficiaries at local,
regional or national level. While techno-economic
analysis provides useful guidelines during feasibility of
large dams, the needs of all affected communities add
to the perception on the dams’ benefits in the long run.
Given such circumstances, the challenge is therefore
how to identify, incorporate and manage competing and
diverse needs.
While dams provide significant benefits to society,
their impacts on the surroundings include resettlement
and relocation, socio-economic impacts, environmental
concerns, sedimentation issues, safety aspects.
With diminishing potential for the resource to be
stored, regulated and managed, the existing large dams
are an asset for the future. Negative impacts and
concerns can be reduced or eliminated by careful
tion measures.
2 PURPOSES OF DAMS: MULTIPURPOSE
DAMS AND SINGLE PURPOSE DAMS
Many dam projects can serve more than one basic
purpose-water supply, irrigation, hydroelectric power,
navigation, flood mitigation, recreation, sanitation.
Multiple uses of project facilities may increase bene-
fits without proportional increase in costs. A project
designed for single purpose but producing incidental
benefits for other purposes are not multi-purpose.
Projects designed and operated to serve two or
more purposes are multi-purpose.
2.1 Water supply for domestic and industrial use
The occurrence of both precipitation and runoff for a
given area does not at all marry with the domestic and
industrial water demands. To accommodate the varia-
tions in the hydrologic cycle, dams and reservoirs are
constructed to store water and then provide consistent
periodic supply. Water stored in reservoirs is also used
for industrial needs.
Dams contribute significantly toward fulfilling our
water supply requirements. The primary source of fresh

317
water supply is from precipitation. Throughout the
world, the hydrologic cycle varies and is not predictable.
2.2 Agriculture
One of the biggest uses of water on a world wide scale
is agricultural irrigation. Water requirements for irri-
gation are usually seasonal with a maximum during
the summer dry season.
Water requirements do not vary greatly from year
to year but low rainfall years usually create a great
irrigation demand.
It is estimated that 80% of additional food produc-
tion by the year 2025 will come from irrigated land.
Most of the areas in need of irrigation are in arid zones,
which represent a major portion of the developing
countries.
2.3 Flood control
Dams and reservoirs can be effectively used to regu-
late river levels and flooding downstream of the dam
by temporarily storing the flood volume and releasing it
later. The most effective method of flood control is
accomplished by a number of multipurpose dams
strategically located in a river basin. The dams are
operated by a specific water control plan for routing
floods through the basin without damage. This not only
eliminates flooding, but provides other benefits such
as water supply, irrigation, hydropower and water qual-
ity. The number of dams and their water control man-
agement plans are established by comprehensive
planning for economic development. Flood control is a
significant purpose for many of the existing dams and
continues as a main purpose for some of the major
dams of the world currently under construction.
The basic requirement for flood control is suffi-
cient empty storage space to permit withholding of
flood water during flood season.
2.4 Hydropower generation
The availability of energy is essential for the socio-
economic development of a nation. It is sustainable to
use energy that is clean, efficient, dependable and
renewable. Hydropower meets all of these require-
ments. The most technically advanced and economi-
cal source of renewable energy is hydropower.
Hydropower projects produce energy with a high
rate of efficiency and without burdening future gen-
erations with pollution or waste. Hydropower projects
can be developed with very small capacities for local
consumption or with very large projects as part of a
regional or national system.
As part of a multipurpose project, hydropower has
been used to finance other functions of a reservoir or
river, such as irrigation water for food supply, drinking
318
water, flood protection, improved navigation or
recreation.
Power demand usually has a marked seasonal vari-
ation depending on the type of area. Power production
is not a consumptive use of water and is therefore com-
patible with other uses of water. Water released from
a reservoir after power production can be dedicated for
irrigation downstream.
A well planned operation system can ensure that
efficiency and load factor of a hydropower plant is
kept high enough even when the reservoir is required
to supply water for irrigation.
2.5 Navigation
Natural river conditions, such as current, changes in
river level, ice, and changing river channels all create
major problems and obstacles for inland navigation.
The advantages of inland navigation over highway and
rail are the large load carrying capacity of each barge,
the ability to handle cargo with large-dimensions and
fuel savings.
In addition to the economic benefits, a river that
has been developed with dams and reservoirs for navi-
gation may also provide additional benefits of flood
control, reduced erosion, stable groundwater over the
length of the system and recreation.
2.6 Recreation
Reservoirs designed to provide water to sustain down-
stream flows for navigation represent a marked sea-
sonal water requirement with peak releases required
during dry season. The attractiveness of reservoirs for
tourism is often a significant benefit, in addition to
the other purposes of a dam. This is very significant in
areas where natural surface water is scarce or non-
existent. Recreational benefits associated with lakes,
such as boating, swimming, fishing, bird-watching and
nature walks can attract tourism. The operation of the
dam and reservoir can enhance tourism.
3 EXISTING LARGE DAMS
Long after commissioning some Large Dams, even
the most basic social-economic needs of surrounding
communities that can be tapped from a dam are not
provided or easily accessed. The reason may not nec-
essarily be that the water resource is limited or the
dam is unable to but mainly because the dam was
designed as a single purpose reservoir. Some of the
existing large dams have not realised their full poten-
tial because of:
• Lack of investments in auxiliary infrastructure
• Incomplete investments in auxiliary infrastructure
• Lack of integration with associated systems
• Lack of particular consideration in allocation of
project benefits
• Ineffective and outdated management
• Lack of flexibility in resource utilisation
Some of the negative aspects on record are
• Lack of Food Security
• Lack of Water Supply for domestic
• Lack of Water Supply for Livestock and agricul-
ture
• Inundation of arable land
• Land degradation
• Inaccessible areas and poor communication.
Large Dams designed for Multi-purpose aspects
can simultaneously mitigate some negative impacts
and address some social-economic needs
4 OPPORTUNITIES AND CHALLENGES
While its is acknowledged and appreciated that Large
Dams have undoubtedly played a significant role in
bulk water supplies for various single purpose objec-
tives, several aspects of the existing single purpose
dams can be re-designed and operated to increase
benefits to other water based economic needs.
From the basic definition of “Multipurpose” the issue
is that of re-allocation of benefits, re-evaluation, re-
designing and operation.A comprehensive post-project
monitoring and evaluation process and a system of
longer-term periodic reviews of the performance, bene-
fits, and impacts for all existing large dams can bring out
positive and negative issues, both of which can be used
for further development.
4.1 What potential benefits exist
Many dam projects can serve more than one basic
purpose:
– Provision of Water for domestic and Industrial use
– Provision of Water for Irrigation
– Provision of Hydroelectric Power
– Provision of Navigational channels
– Prevention of Floods in basin areas
– Provision of recreational facilities.
Environmental Mitigation – Reforestation.
4.2 Identifying opportunities
A comprehensive post-project monitoring and evalua-
tion process will expose the dynamics of the environ-
ment. If a system of longer-term periodic reviews of the
performance of some benefits and impacts becomes an
integral part of post-project monitoring and evaluation
a basis for decision making can be formed.
319
Many unforeseen technical, social and environ-
mental issues emerge during the commissioning phase
and the first few years of operation. More intensive
monitoring, extending from the construction phase
through the first few years of operation, followed by a
comprehensive post-project is important.
Evaluation will help to identify many issues.
Because the economic life of a dam may span many
generations, it is necessary to review the project oper-
ation periodically in light of the needs it is intended to
meet, and the services it can provide. These periodic
evaluations at suitable intervals should be compre-
hensive, integrated, cumulative and adaptive.
Where dams are part of a larger river basin and
regional development scheme, the evaluations should
take into account basin-level evaluations of all project
and programme components linked to the dam that
affect the environment and society.
4.3 Means to achieve additional benefits
In general terms there are several approaches through
which potentials on existing large dams may be tapped.
The particular aspects of a particular dam or reservoir
to be redesigned may entail revisiting one or a combi-
nation of the following depending on the situation
obtaining:
• Environmental mitigation aspects
• Reservoir Water use aspects
• River basin integration
• Physical infrastructure aspects
• Technological development aspects
• Management and operation practices
• Policy issues.
In particular, opportunities of increasing the bene-
fits from some existing dams exist in different forms.
One or the other programme approach among rehabilit-
ation, upgrading or optimization of reservoir, consid-
eration for integrated river basin may offer oppor-
tunities for a reservoir to play multipurpose aspects.
In particular:
• Rehabilitation of equipment and facilities resulting
in increased efficiencies and increased facilities.
• Modernisation of equipment and infrastructure
resulting in smooth operations
• upgrade equipment and infrastructure
• optimization of reservoir operations may cater for
additional water based activities on that reservoir.
• Consideration for an integrated water resources
use may entail identifying the role of an existing
reservoir in the whole basin.
Improving performance requires assessing each
dam for potential gains from modernisation, renova-
tion, and expansion, optimisation of local operations
and Optimisation of regional operations-Intergrated
Basin Management.
4.3.1 Auxiliary structures
Some large dams have excess capacity that has not
been utilised for other consumptive or no consump-
tive water based economic activities mainly due to
lack of investment in appurtenant structures.
For a consumptive use objective, introduction of
tertiary canal systems and drainage can significantly
improve the productivity of surface irrigation systems
attached to large dams and increase food security. The
issue might be that of defining the water needs and
designing appropriate facilities for drawing the water.
For a non consumptive use objective, Introduction
of harbours, docking facilities and ferry systems can
enhance transportation and improve economic activity.
4.3.2 Rehabilitation-upgrading
Many dam operators are focusing on rehabilitation
and upgrading to restore the economic life of existing
dams and increase the capacity of existing dams for
purposes of accommodating increased diverse needs.
While new supply options may be needed in many
countries, restoring or extending the life of existing
dams is an opportunity. The challenge during the
assessment and review is a thorough evaluation of
benefits that can be obtained from that dam. Where
feasible, expanding and improving services from
existing dams provide major opportunities for other
water based economic activities and social services.
Rehabilitation and Upgrading may entail
• increasing spillway capacity to handle higher floods
on the existing dam
• extending reservoir storage capacity by dam height-
ening
• Improving sediment flushing techniques.
• Introduction of generating plants on single purpose
reservoirs.
The extending of reservoir storage capacity may
enable utilities to have increased water capacities
which would in turn have a positive contribution to
some downstream or upstream water users.
The Itezhi tezhi reservoir on the Kafue River in
Zambia is currently being assessed for introduction of
hydropower generation in the order of 120 MW. The
outflows from the Itezhi tezhi reservoir resulting from
heightening of the 65 m rock earth fill dam is expected
to have a positive impact on the downstream wetlands
that are rich in tourism.
4.3.3 Optimisation of reservoir operations locally
In the last decade, many dam owners have imple-
mented techniques for optimising reservoir opera-
tions, especially for dams generating electricity. They
are considering other measures to increase benefits to
other water related economic activities.
Optimising operation of existing reservoirs may
just entail determining demand flow pattern of other
320
Figure 1. Proposed heightening of Itezhi-tezhi dam. (Harza
& Rankin).
water related activities and re-designing the operation
strategy of the reservoir. This may entail:
• daily and seasonal water levels and release patterns
for single or multi-purpose uses such as flood man-
agement and hydro generation
• Re-designing the rule curves for the benefit of
other consumptive or non consumptive economic
activities
• For example, experience is growing with flushing
and sluicing practices during monsoon floods to
reduce sedimentation and restore live storage in
certain types of reservoirs.
Most reservoirs offer indirect benefits to commu-
nities upstream and downstream whose main eco-
nomic activities border around fisheries and agriculture
Optimisation of operations by well coordinated reser-
voir level management and releases can enhance eco-
nomic activities in other areas that operate on water
based activities.
For the 4.9 billion m3 Itezhi-tezhi reservoir in
Zambia, surplus generating capacity within the coun-
try led to the conclusion that a power plant at the dam
was not economically justifiable. Today, there is a
proposed 120 MW plant which will discharge about
312 m3/s. The project optimisation has included other
water related economic activities. This has included a
thorough study of various scenarios on maximum
power scenario, maximum wetland scenario and max-
imum irrigation scenario where this project is target-
ing power supply, tourism and Irrigation.
4.3.4 Rehabilitation-modernisation
Modernising and upgrading equipment and controls,
and rehabilitating or expanding facilities associated
with the dam may be implemented within the frame-
work of an operation optimisation programme.
 Luswishi
R.

Lunga R. Machiya
Lufupa R.
Chifumpa Chilenga
Kafue LUKANGA SWAMP
BUSANGA
SWAMP
R. International boundary
Lubungu
Sub catchment boundary

Hook Rivers

1
ITEZHI-TEZHI 22 0 Hydrological Stations
RES.
19
Nyimba Marsh
Kasaka Zambezi
KAFUE GORGE
NATURAL RES.
RES.

Zimbabw

Figure 2. Reservoir operation rule for Itezhi-tezhi dam has

been revised. Figure 3. The Kafue river basin showing the location of
wetlands, existing power plant and planned power plant.

The modernisation of dam facilities, equipment

and controls may enable utilities to have increased
and well managed control of reservoirs outflows.
Increased outflows would in turn have a positive con-
tribution to some downstream wetlands for tourism or
agriculture purposes.
Management of reservoir outflows is the ultimate
desire of any dam operator but once multiple users
are involved, control equipment and facilities must
satisfy the various objectives.
The opportunities that result from Rehabilitation-
Modernisation of facilities may be an integral part of
an operations optimisation programme.
The Itezhi-tezhi spillway discharge control system
may require a much more user friendly mechanism
with more investment in hydropower and agriculture
downstream.

4.3.5 Optimisation of designs

Dams and the systems in which they operate are seen
as static over time. Changes in technological environ-
ment may transform benefits, needs, and impacts.
Optimisation of components of facilities associ-
ated with the dam may be implemented within the
framework of a system optimization, upgrading or
rehabilitation.
For instance, advantages and benefits of a
hydraulic design change may be employed as an inte-
gral part of other major programme.
In 2002, an example of a non planar helicoid system
was applied to the conduit arrangement for a hydro
generator rated at 300 MW with a flow of 500 m3/s and
80 m head and the following benefits were noted:
• Reduced likelihood of flow separation and cavita-
tion thereby improving efficiency
• Self cleansing of pipes or conduits through bends,
junctions, bifurcations which reduces downtime
and maintenance
• Improved generation efficiency due to axis
symmetry.
Figure 4. The Kafue river basin showing the location of wet-
lands, existing power plant and planned power plant (Sweco).
In this case research seems to point to the fact that
spiral or helicoids based geometry provides most effi-
cient hydraulic systems. (Piesold & Caro).
4.3.6 Integrated river basins
There are various opportunities in optimising the role
of the dam within the larger system it services. The
potential for increasing benefits from a particular
dam, or group of dams, in a basin depends on the
specific circumstance. Depending on the situation the
potential may be considerable.
The concept of integrated river basin approach in
its self is a basis for multi-purpose aspects related to
a particular dam in relation to the whole catchment.
Integrated River Basin Studies are a basic environmen-
tal impact assessment study that can bring out sig-
nificant issues concerning the potential of an existing

321
reservoir or reservoirs. The potentials may or may not
have conflicting demands in terms of water usage.
A typical scenario is where an existing hydropower
reservoir is required to be used to provide sufficient
water for irrigation, tourism and additional generation
downstream.
The Itezhi-tezhi reservoir on the Kafue River in
Zambia is currently being assessed for additional
potential benefits in increased power production from
heightening the dam. The issue is that of assessing
corresponding benefits to 6500 km2 of Wetlands down-
stream and considerations for other consumptive users
such as irrigation.
In the case of Itezhi-tezhi dam, it is envisaged that a
well planned, operated and adapted load management
practice to optimise the co-ordination of hydro gener-
ation at Itezhi-tezhi, Kafue Gorge Upper and Kafue
Gorge Lower from Itezhi-tezhi reservoir may facilitate
the accommodation of other water based economic
activities like tourism and irrigation successfully.
4.4 Major challenges
It is acknowledged that successful multipurpose
designed schemes have been noted all around the
world.
It is also noted that some projects that have been
designed to be multipurpose projects have been unsuc-
cessful. There are several issues that affect the suc-
cessful planning or implementation of multipurpose
projects. Some notable reasons are Complexity of eco-
nomic analysis leading to incorrect indicators, low
return on investment for some desired water related
activities, lack of compatibility for some desired activ-
ities incapacitating the joint use of the water resource,
complexities of composite management etc.
4.4.1 Complexity of economic analysis
For Single Purpose dams, economic analysis is a
complex analysis. Economic analysis for multipurpose
dams is a much more complex task.
Because the planning aspect is a complex process, it
will require more time and thus financial resources.Re-
engineering a Single purpose dam for multipurpose
aspects would therefore begin with assessing each
dam for potential gains from modernisation, renova-
tion, expansion, optimisation of operations or a com-
bination of all.
4.4.2 Return on investment
Hydropower has attractive returns and can be financed
from private funds. Flood control is regarded as pub-
lic works and is usually financed from public funds.
Irrigation and Water Supply tariffs are usually low in
comparison to the extent of investment. The challenge
322
on the compromise that must be made for the various
uses proposed to benefit the nation.
4.4.3 Compatibility
Irrigation, Navigation and Water Supply all require a
volume of water which cannot be jointly used and
hence a project combining these functions must pro-
vide clear allocation of storage space to each.
Where the need for a particular reservoir to operate
as a multi-purpose reservoir is a matter of Community
need and not necessarily abundance in the reservoir
potential, the key issue in incorporating the various
needs would be compromise.
4.4.4 Composite management
The management of rivers whose catchments extend
into several countries is a delicate and complex mat-
ter. Some of the contentious issues other than the
overall management evolve around the quality and
quantity of water.
5 CONCLUSION
The operation of the first hydropower station on the
Kafue river in Zambia in the 70 s was not met with as
much competing water needs as it does now. Other
than hydropower generation, it has now become clearer
that water users in the areas of agriculture and wildlife
conservation have become more concerned on the
utilisation of this limited resource.
In the late 70 s the Itezhi-tezhi dam was introduced
on the river to increase generation capacity at the
Kafue-gorge power station. Meanwhile, there has been
a marked growth and need in other areas of water based
economic activities namely agriculture and tourism.
The undertaking of the Kafue river basin inte-
grated study in Zambia indicates a measure of progress
in the direction of redesigning existing dams for mul-
tipurpose aspects. The case of the Kafue river basin
may have been initiated by the additional needs for
power generation but its important to note that the
opportunity arising from the possibility of heighten-
ing the dam and revising the operational rules of the
reservoirs is hereby made good use of.
The ever increasing demand for regulated water
supply will always entail the need for a reservoir and
hence dam construction. The potential sites for reser-
voirs are ever decreasing. Though dams and the envi-
ronment in which they operate are seen as static over
time. Changes in the physical environment, technolog-
ical environment, and changes in public policy may
transform benefits, needs, and impacts as noted on the
Zambian case at Itezhi-tezhi on the Kafue river.
Management and operation objectives must adapt
continuously to changing circumstances over the
project’s life. With a view that accommodates dynam-
ics of the environment and community needs, the
immense potential that lie in existing single purpose
dams awaits to be tapped from.
If there is further potential in single purpose dams,
then multi-purpose aspects must be investigated now
for future implementation.
It is therefore evident that the current negative effects
on some of the existing large dams are an investment
for the future needs.
323
REFERENCES
Integrated Kafue River Basin Environmental Impact
Assessment Study October 2002
Water resources Engineering 3rd Edition, Ray K Linsley,
Joseph B Franzinin
Dams Essential Infrastructure for Future Water Manage-
ment, Kaare Höeg March 2000
Benefits and Concerns About Dams, Committee on Public
Awareness and Education, May 1997.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

ITAIPU Binacional: An important factor of regional development

S. Mariano Abud & M. López

Itaipu Binacional- Paraguay

ABSTRACT: The objective of this paper is to briefly present some aspects of the ITAIPU Binational Entity,
as regards its contribution to the economies of Paraguay and Brazil. The creation of ITAIPU Binacional
occurred at the opportune moment for the entity to consolidate fraternity between the two countries, since both
nations were involved in a dispute concerning the sovereign rights over the Guaira Falls in the Paraná River. It
is known that the operational performance of the ITAIPU Power Plant is a world-wide reference, in which the
technological advances are present in all sectors and in which the energy is transformed into a weighty factor in
the national economies of Paraguay and Brazil.

1 BACKGROUND

By the middle of the sixties, the international commu-

nity commenced becoming conscious of the fragility
and complexity of the world’s natural resources and
of the need for their rational exploitation. On the other
hand, the International Legal Association (ILA) in its
Conference of New York in 1958 and in its subsequent
meetings, amongst them that of Helsinki, dictated rules
relating to the uses and exploitation of international
waters and, after the United Nations Conference on the
Environment and the Habitat, meeting in Stockholm
in 1972, incorporated into legal terminology the accept-
ance of Shared or International Natural Resources.

2 INTRODUCTION

ITAIPU is the largest Hydroelectric Power Plant in
operation in the world, located between the Munici-
pality of Hernandarias, close to the city of Ciudad del
Este, capital of the Department of Alto Paraná.-
Paraguay and Foz de Iguazu, State of Paraná – Brazil.
This is a privileged location in every respect, situated
close to the Iguazú Falls, the largest falling water spec-
tacle on the planet. A very special place that synthesizes
the diversity of populations, located in a unique region
that forms the frontier of three countries, Paraguay,
Brazil and Argentina, as illustrated in Figure 1.
Much more than a challenge, ITAIPU Binacional,
like few corporations of its kind, initiated a singularly
opportune mission by consolidating the brotherhood of
two neighbouring countries, Paraguay and Brazil, since
both countries were involved in a dispute concerning
Figure 1. Regional situation of ITAIPU.
sovereign rights over the Guaira Falls in the border
zone on the Paraná River.
The ITAIPU Power Plant is the result of intense
negotiations between Paraguay and Brazil, which
gained impetus in the decade of the 60s.
The signature of the Treaty of ITAIPU represents
an unprecedented milestone in the regional relations,
by ratifying a total understanding between Paraguay
and Brazil, thus demonstrating an iron will to forge a
future of development for their people.
The management model of ITAIPU since its incep-
tion has rested upon four main axes: on human
resources, on a good design, on the employment of

325

Figure 2. Historical evolution of the production of
GWh/year.
appropriate methodologies for all the processes and the
guarantees of them being faithfully put into practice.
For its operation and maintenance, ITAIPU adopted
the policy of executing both activities with its own
human resources. This demanded the specific training
of the personnel by specialization and by subject, dele-
gating to them as their first activities the placement in
service of the permanent equipment and systems that
are directly related to the process of energy production.
This also demanded the implantation of a laboratory
structure. From the beginning of operation this assured
the permanent availability of specialised personnel
with absolute mastery in their respective fields.
In terms of performance, in the year 2000, ITAIPU
held the World Record for Energy Production with
93,427.60 GWh (see Figure 2), with availability
indexes surpassing 96%. ITAIPU is a Hydro Power
Plant with electrical energy production records that
guarantee 25% of the electrical energy consumed in
Brazil and 97% of that in Paraguay.
In these new times in which humanity lives under a
clear threat of belligerence and with a fragile eco-
logical balance, ITAIPU Binacional undertook to
continue generating high quality electrical energy,
with social and environmental responsibility, driving
the sustained economic, touristic and technological
development of Paraguay and Brazil, as dictated by
its new mission, to:
“Generate quality electrical energy, with social
and environmental responsibility, driving the sus-
tained economical, touristic and technological devel-
opment in Paraguay and Brazil.”
3 THE TREATY OF ITAIPU
On the eve of the Treaty of ITAIPU, the Paraguayan
electrical sector had reached an age that extended lit-
tle more than a decade. Its experience was limited to
one hydroelectric power plant of 90,000 kilowatts and
326
a 220,000 volt transmission line, with the annual con-
sumption of electrical energy at 190 kilowatts/hour
per inhabitant.
In Brazil, on the eve of the Treaty of ITAIPU, the
electrical sector was already very developed with
16,700,000 kilowatts, of which 12,438,000 kilowatts
were hydroelectric.
ITAIPU was created in 1973 by an international
treaty between the Republic of Paraguay and the
Federative Republic of Brazil for “…..the hydroelec-
tric development of the hydraulic resources of the
Paraná river, belonging to both countries in condo-
minium, from and including the Salto del Guairá or
the Salto Grande das Sete Quedas to the mouth of the
Yguazú river”.
The following form part of the Treaty:
1 the Statutes of the binational Entity known as
ITAIPU (Annex A);
2 the general description of the installations destined
for the production of electric power and of the aux-
iliary works, with the eventual modifications as may
be necessary (Annex B);
3 the financial bases and arrangements for delivery of
electric energy and services by ITAIPU (Annex C).
4 FINANCIAL BASES AND
ARRANGEMENTS FOR DELIVERY OF
ELECTRIC ENERGY SERVICES
The power installed in the ITAIPU Hydroelectric
Power Plant is 12,600 megawatts.
The utilities purchasing the electric energy services
of ITAIPU are ANDE for Paraguay and ELETRO-
BRAS for Brazil, or at their discretion through the
intermediation of Paraguayan and Brazilian utilities
or entities that are indicated; Paraguay through ANDE,
has the right to acquire the 50% and, in consequence,
Brazil through ELETROBRAS, the remaining 50%.
4.1 Cost of the energy service
Annex “C” expressly defines that the cost of the
energy service shall be composed by the annual por-
tions corresponding to the amounts necessary for the
payment of the profits on the capital, by the financial
burdens on the loans received, by the amortization of
the principal of the loans received, by the “royalties”,
by the compensation for the administrative and super-
visory services, as well as by the amount necessary to
cover the expenses of operation and the balance, sur-
plus or deficit, of the operating account pertaining to
the previous financial year.
The unit cost of the energy service CUSE is defined
as the quotient between the annual cost of the energy
service and the power contracted by the purchasing

Figure 3. Graph of the payments from 1985 to 2002.
utilities, and expressed in dollars of the United States of
America per unit of the power contracted per month.
Cost Components of the energy service:
– Services of Capital
– Financial burdens of the loans received
– Amortizations of the loans received
– Royalties
– Compensation for the services of administration
and supervision
– Operating expenses
– Balance from the overall exploitation account of
the previous financial year
4.2 Financial obligations and royalties
The following Figure indicates the values paid to the
Governments of Paraguay and Brazil, since the begin-
ning of commercial operation, resulting from the
exploitation of the ITAIPU Hydroelectric Power Plant,
and originating from the diverse cost compon-ents of
the energy service, as well as the compensation for the
cession of energy.
4.2.1 Royalties
Royalties correspond to the payments to each of the
States, Paraguay and Brazil, for the utilization of the
hydraulic potential of the Paraná river.
The States of Paraguay and Brazil receive royalties
in equal amounts and their value is a direct function of
the energy generated and measured at the Power Plant.
They are calculated in accordance with:
Royalties
Energy generated  US$ 2,600
 Adjustment Factor
Adjustment Factor
1  0.5 Vcp  0.5 Vic

1.471
Wherein Vcp and Vic are variations of the eco-
nomic indexes in the U.S.A., the Consumer Prices and
327
the Industrial Goods, based on the same indexes cor-
responding to the year 1986.
4.2.2 Profits on capital
This is the amount necessary for the payment, to the
parties comprising ITAIPU, of profits of twelve per
cent per annum on their participation in the paid-in
capital, which is the equivalent of US$ 100,000,000.00
(one hundred million dollars of the United States of
America).
4.2.3 Compensation for the services of
administration and supervision
This is the payment in equal parts, as the compensation
for the services of administration and supervision relat-
ing to ITAIPU, and calculated as the equivalent to fifty
dollars of the United States of America per gigawatt-
hour generated and measured in the power plant.
4.2.4 Compensation for the cession of energy
By virtue of that established in the Treaty, ITAIPU is
assured the sale of the total power it places at the dis-
posal of the purchasing utilities.
As a matter of fact, the requirements of the
Paraguayan and Brazilian energy purchasing markets
are different. Thus, while the Brazilian market has the
capacity to absorb the entire half of the power produced
by ITAIPU, that by virtue of the treaty belongs to it, the
Paraguayan market, under the present conditions, only
requires 13% of the other half, and the Paraguayan State
cedes the use of that energy, which by rights belongs
to it, at the rate of US$ 1.2000, plus the corresponding
factor of adjustment for each gigawatt-hour ceded.
In absolute values, this is equivalent to approxi-
mately 40% of the amount received by the Paraguayan
State in concept of royalties.
4.2.5 Expenses of exploitation
The expenses of exploitation correspond to the costs
entailed by the normal functioning of the hydroelec-
tric power plant and for the attainment of the annual
objectives of the Entity.
5 ENERGY FOR DEVELOPMENT
The financial benefits of the exploitation, paid to the
governments of Paraguay and Brazil, and resulting
from the operation of the Hydroelectric Power Plant,
i.e., the energy of ITAIPU that is transformed into
money, are an important factor in the economies of
both partner countries in the condominium, because
since the commencement of commercial operation of
the Hydroelectric Power Plant, in 01/03/85, until
31/12/2002, ITAIPU has paid the Paraguayan and
Brazilian States a sum exceeding nine thousand five
hundred million dollars of the United States of
America (US$ 9,500,000,000.00).
 The ITAIPU Binacional of the 21st century believes
and invests in a firm that cannot be restricted only to the
production of energy, but tends to act in favour of the
community. It practices social responsibility, today its
principal concern – as stated in its mission.
Every firm should be moved by social responsibil-
ity under pain of not surviving, developing works and
approving projects in favour of the communities and
making donations to charitable entities; these are now
common practices of this Entity. There are, today,
foundations dedicated to research, teaching, commu-
nity work for the underprivileged, which are sup-
ported by ITAIPU Binacional.
ITAIPU Binacional, besides producing high qual-
ity energy at a low cost, acts in various areas in favour
of the community by subsidising projects and works
of infrastructure, of social impact, granting priority to
the areas of health, of education, and complementing
the government’s natural organisms, thus permitting
them to broaden their areas of action.
5.1 Actions of social responsibility
• Health
With regard to health, the Entity provides medical
and dentistry assistance to the rural population through
their travelling health clinics. Thus, it also intervenes
in campaigns to eradicate dengue fever, leishmania-
sis, schistosomiasis and German measles.
• Health Infrastructure
As regards the implantation, modernization and
maintenance of the health infrastructure, the Entity
provides ambulances, as well as improving the build-
ings, installations, and supplying equipment to
Hospitals and Health Centres in the region.
• Farmer Settlements
The “Programa Jahapó ó Mboriahú” (from the
guaraní: uproot poverty) is structural and integral and
allows widespread community participation. Through
328
this Programme, ITAIPU provides support to thou-
sands of families, distributed in hundreds of farmer
and indigenous settlements. It consists of the training
and provision of technical assistance for the forma-
tion of channels of production, through the delivery
of seed for self-planting, of small agricultural imple-
ments, promoting direct planting, mechanization and
sustainable soil management, with the aim of attain-
ing alimentary security. Technical assistance is pro-
vided to increase income by means of alternative
crops, as well as the processing of the raw materials in
the search for added value.
• Constructions
Works of paving with asphalt or cobbles, and illu-
mination, are executed to improve the orderliness and
beauty of cities.
• Education
In the field of education, ITAIPU collaborates with
the construction and upgrading of thousands of class-
rooms, complemented by the distribution of furniture
and school kits.
• Security
The Binational Entity complements the actions of
the Governments and provides vehicles and equip-
ment to the Police Forces to combat crime.
• Technological Park – PTI
The technological park develops activities in the
areas of integration, the culture of solidarity, environ-
mental education, creation of businesses and techno-
logical innovation, and intends to become the largest
research centre of the Mercosur.
• Work Initiation
For hundreds of adolescents, the programme of
work initiation and incentives, is an opportunity to
learn a profession and to obtain a first job.
 By means of the youthful gardener project many
youths are trained as gardeners, with ITAIPU provid-
ing them with the complete kit of gardening tools and
by means of agreements with florists and hotels,
introduces them into the labour market.
5.2 Actions of environmental responsibility
• Pisciculture
The principal objective of the Pisciculture pro-
gramme of ITAIPU Binacional is the development of
artificial reproduction techniques in native fish
species for their subsequent sowing into dam reser-
voirs and tributaries. The constant monitoring of the
fish in reservoirs and tributaries aims to provide a
quantitative, qualitative and seasonal accompaniment
of the ichthyofauna. The studies have resulted in the
identification of more than a hundred species, which
by this means will permit greater knowledge of their
biology and general aetiology.
• Aquiculture stations
The constant ichthyological monitoring in the
reservoir and tributaries has as its objective the quan-
titative, qualitative and seasonal accompaniment of
the ichthyofauna.
• Animal breeding and environmental education
Groups of wild animals that are representative of the
region are maintained in captivity, and semi-captivity as
the object of intense studies of research, resulting in
important successes on the world level, such as the
reproduction in captivity of the Speothos Venaticus,
marsh deer, and of other species in danger of extinction.
329
In the farm area, productive units of family vegetable
gardens have been implanted, as also the breeding of
pigs and barnyard fowl with animals of high genetic
quality.
• Plant nurseries and reforestation
For the conservation and improvement of the envir-
onment, there is a forestry nursery for the production
of native seedlings, of fruit trees and ornamental shrubs,
which are used in the reforestation campaigns and for
delivery to groups of people interested in the preser-
vation of the environment.
• Management of hydrographical basins
The objective of this programme is to preserve the
natural resources by the adequate management of the
water, soil, flora and fauna for the sustainable devel-
opment of the communities, taking into consideration
the concept of an environmental partnership.
This programme is founded on documents such as
the Earth Charters, Agenda 21 and the Millennium
Goals of the United Nations.
• Drinking water
Hundreds of artesian wells have been drilled with
their corresponding elevated tanks and distribution
networks, by this means improving the quality of life
for thousands of people.
A programme of public awareness has begun pro-
moting the rational use of water in the entire region of
the Paraná River basin.
The idea is to draw the attention of the population
to the problem posed in the world environment by the
shortage of drinking water, both due to the increased
consumption and to the contamination.
Various other programmes form part of this
Project, such as: Organic Agriculture, Direct Planting,
Medicinal Plants, Fish Cages and others.
• Biological refuges and parks
ITAIPU is preserving natural forests, streams and
springs of crystalline waters and a rich fauna.
• Museum of the Guaraní land
If to the region, rich in biodiversity, we add the
wealth of the Guaraní culture, this converts it into a
booming centre of tourist attraction, in which the Entity
has been carrying out works of infrastructure in order
to transform the region into a pole of development,
thanks to “the industry without chimneys”.
In this manner, samples of the local fauna and flora,
history, data, anecdotes are preserved in computer-
ized panels. More than ten thousand years of human
presence in this region demands that we pause to
learn of an adventure that will endure, all of which we
can appreciate in the historical and ecological museums
of the Entity.
• Zoo
We can know the behaviour and reproduction of
the wildlife in an environment similar to their natural
habitat, thanks to the Zoo, where the fauna receives
special attention, taking care of all its needs of health,
nutrition and living space.
• Piracema Fish Migration Park
The Paraná River, interrupted by the ITAIPU Dam,
required a new path for the schools of migratory
fishes to swim upstream and spawn in calm waters.
This work has become an important factor in the
preservation of the ichthyofauna.
The same channel can also serve for other pur-
poses, such as for walks and the practices of white-
water rafting and kayaking.
Other contributions
Support for the development of organizations,
such as, Producer Committees to optimise production
and marketing.
Promotion of Non-Traditional Products: by tech-
nical assistance to silk production and the home indus-
trialization of products, providing added value to raw
materials.
330
Technical support to the consolidation of dairy
farming and pisciculture nuclei.
Improvement to the systems of bee-keeping: in
order to optimise the production of honey, pollen,
propolis and other apicultural products.
Recuperation of regional productive systems: pro-
viding investments and training for the dissemination
and consolidation of coffee production.
Campaigns to combat endemic diseases, the sexual
abuse and commerce of youths and children, support
for vaccination campaigns, improvements to indigen-
ous communities of the region.
6 FINAL CONSIDERATIONS
ITAIPU has researched and analysed the realities in
its region of influence, employing well defined con-
cepts and criteria, and has prepared innumerable pro-
grammes and projects that are executed through
cooperation agreements with governmental and non-
governmental organizations, with the principal aim of
attaining Sustainable Development, thus raising the
quality of life of its communities.
In the search for regional development, in addition
to the generation of electric power, the administration
of ITAIPU has remained faithful to its philosophy of
supporting regional initiatives and of collaborating
with the institutional improvement of the various
organisms that share multiple aspects with the Entity.
In the field of Productive Projects ITAIPU
Binacional supports the execution of community
development works for the population settled in its
area of influence with the aim of encouraging them to
take root on the land, based on the sustainable pro-
duction of their farms and attenuating the negative
impacts on the environmental order in their search for
a better quality of life.
The fruits of this mission can now be seen fulfil-
ling the objective of the Entity regarding human devel-
opment in Paraguay and in Brazil, that the people
composing the society not only obtain greater income,
but also have access to equal opportunities in order to
lead productive and creative lives and to integrally
satisfy their needs.
The priority of the internal policy of the Entity is to
combat poverty, centering on providing constant sup-
port to the people, so that even the most deprived popu-
lations have the opportunity to live with dignity.
ITAIPU Binacional, without neglecting its princi-
pal mission, which is to generate high quality energy,
energy with social responsibility and, above all, to be
An Important Factor in the Regional Development.
To fulfil this mission it executes activities destined to
empower values and latent actions in the Paraguayan
and Brazilian populations, covering essential needs of
the citizens’ health, education and security.

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© 60 2
The holistic vision of the role of large dams in Peru in the XXI century
M. Suazo
Hydraulic civil engineer, Specialist in planning and design of dams and hydroelectric power stations, President of
COPEGP (Peruvian committee of large dams), Peru
R. Rodriguez
Hydraulic civil engineer, Specialist in design of hydraulic structures and irrigations, Treasurer of COPEGP, Peru
ABSTRACT: Peru is a country having climatic and geographical conditions that makes it mandatory the devel-
opment of dam projects for supplying drinkable water as well as for power generation, irrigation and other pur-
poses. This article, based on available projects and statistical information, outlines a minimal dam construction
program for the period 2005–2050.
1 PERUVIAN TERRITORY
Peru is located between latitudes 0°048S and
18°2103S. Its extension is 1285,200 km2 and com-
prises three regions:
Coast, 136,200 km2
Sierra, 394,860 km2
Forest, 754,140 km2
The climate in the coast and sierra is affected by
marine currents of Humbold (cold) and El Niño (warm),
as well as by the influence of the Andes range. Because
of this, climatic characteristics in these regions are
different to those expected at this latitude. The forest
presents tropical characteristics similar to those in the
rest of South America up to the foot of the Andes area,
known as “ceja de selva”.
From the point of view of availability of water the
following has to be considered. The coast is very dry,
with rainfall from 5 to 200 mm per year, making these
areas some of the most arid in the world. The sierra
rainfall ranges from 200 to 2000 mm per year. In the
forest is higher than 2000 mm per year.
The coast, which extends for more than 2500 km
along the Pacific Ocean, consists of a narrow strip of
land between the sea and the foothills of the Andes at
an altitude of 2500 m, crossed by forty rivers rising at
over 5000 meters above sea level. These rivers are short,
torrential and seasonal. The coast is the most developed
area and largest population is established there.
To satisfy the always increasing demand of water
in the coastal region, from remote times and especially
during the last 50 years, the most important projects
of reservoirs have been developed there, including
ts
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diversion of water from the Atlantic to the Pacific
basin.
Most of the dams that serve the coastal strip
are located in the sierra at altitudes, generally over
3500 masl, with no major problems. Dams having
complications are those located under 2500 masl
because silting problems, particularly because of the
recurrent El Niño phenomena. This leads to rising
dams and/or to construction of new ones in order to
satisfy the water demand and to cover larger demands.
The sierra consists of the interandean space
between 2500 masl at the western side of the Andes and
1500 masl of the Atlantic basin on the eastern side part
of the Andes. As was mentioned before, dams built in
this area were mainly to satisfy the requirements of the
coastal region or to regulate the water for power gener-
ation. There are however various small to medium size
dams to cover agricultural needs, energy for mines, and
drinkable water for the towns in the area.
The forest, which belongs to the Amazon basin, is
under 1500 masl on the eastern slope of the Andes. As
is known, the Amazon basin is one of the largest water
resources in the world, particularly in the peruvian
territory. There is where the humid currents which are
dragged by cyclones and anti cyclones coming from
the south of the continent are stopped by the Andean
peaks causing its concentration and the heaviest rain-
fall in the country.
In this region is located the largest hydroelectric
potential, and it could be used only by the construc-
tion of medium to large dams.
To date there exist only the planning studies made
between 1970 and 1980(2) which include pro-
grammes aimed at obtaining basic data needed for
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Table 1. Existing dams in Peru as of 2005. The coast, where most of the population and indus-
tries are concentrated, because of its dryness and the
Capacity rivers regimen (that discharge in 5 months more than
Dam (hm3) Purpose 90% of the annual total), is one that represents the
main challenge. In order to increase the availability of
Poechos* 400 Irrigation
Tinajones 400 Irrigation the resource during the shortage water season and to
Gallito Ciego** 270 Irrigation try to cover the increasing demand, it will be neces-
Parón 40 Energy/Irrigation sary to build new regulating dams.
Viconga 40 Irrigation As there exists in this region a strong process of
Sistema Rimac 250 Energy/Cleaning/ silting of the reservoirs built at lower altitudes, the
Irrigation useful capacity of these reservoirs should be recov-
Marca III 200 Energy/Cleaning/ ered urgently by means of new dams or rising the
Irrigation existing ones.
Choclococha 100 Irrigation
The future dams in the sierra will mainly be used
Condoroma 280 Irrigation
Pañe 100 Irrigation for drinkable water of the towns as well as for small
Laguna del Indio 10 Irrigation irrigations, and in some cases to cover mining and
Aguada Blanca*** 30 Irrigation/Energy industrial requirements that could be necessary, includ-
Fraile 140 Irrigation ing power generation.
Pasto Grande 500 Irrigation/Cleaning In the forest, with scarce density of population and
Lagunillas 500 Irrigation limited development, the dams should be mainly for
Tablachaca 9 Energy power generation.
Junín 500 Energy Analysing the water regulation schemes to be pro-
Mantaro System 200 Energy
jected and the growing demand a minimum programme
Otros 500 Energy/Cleaning/
Irrigation of construction should be as follows:
TOTAL 4469 In next five years, seven dams should be constructed
Irrigation 2230 with storage capacity of around 655 hm3 to satisfy the
Power 749 demand of different sectors.
Multipurpose 1490 From 2011 to 2020, it is estimated that thirteen
dams should be built with a total capacity of 2715 hm3.
* Original volume 1000 hm3, silted in 30 years. For the period 2021 to 2030, the construction of
** Original volume 400 hm3, silted in 25 years. eight dams with a capacity of 840 hm3 has been con-
*** Original volume 46 hm3, silted in 40 years.
sidered for power generation and irrigation.
From 2031 to 2040, another five dams with a capac-
their feasibility. These studies and programmes are ity of 1800 hm3 should be constructed for projects as
actually only partially developed and/or suspended. mentioned above, but also including water supply.
Finally, from 2041 to 2050, another three dams
should be constructed with a capacity of 800 hm3 for
2 REGULATING INFRASTRUCTURE similar purposes, as detailed in Table 2.
DEVELOPED TO DATE Location of these dams is shown in Figure 1.
To this total 1  2  3  4  5 another 1000 hm3
The capacity and purpose of existing dams in Peru, as should be added for small projects related to irrigation,
of 2005(4), are as detailed in Table 1. water supply and energy, as well as other projects for the
All of them are located in the coast and sierra. recovery of active storage lost due to the silting process.
A problem of supply that has to be evaluated as
precisely as possible is that caused by the green house
3 FORECAST FOR THE FUTURE effect. This world-wide phenomenon which, on one
hand, is producing a quick disappearance of the
The peruvian population was 27.9 million inhabitants Andean glaciers that feed many peruvian rivers and,
in 2005. Prediction for 2050 is 42.8 million.(1) on the other hand, is causing marked climate changes
On the other hand, the energy consumption in 2005 as turning arid zones into tropical areas. These
was 3223 MW, and it could reach 16,480 MW of max- changes could also affect the north and central coast
imum demand in 2050 (3). with greater flooding, and originating severe droughts
This growth involves an increase in the demand of in the south of the country.
water for domestic, agriculture, industry, mining and The way to handle the problem of not having large
energy that has to be covered by new sources, as well dams for multiyear regulation or not having enough
as by the traditional ones, but carefully regulating its capacity to transit extreme flood flows in existing reser-
availability. voirs should be carefully studied. The solution will

332
 Table 2. Dam projects, date of commissioning and their purpose.

Capacity
No Dam Year (hm3) Purpose

1 Pillones 2006 70 Mining/Energy

2 Paltiture 2008 15 Irrigation
3 Paucarcocha 2009 70 Energy/Irrigation
4 Pomacocha & Pomacocha Bajo 2010 100 Cleaning/Energy
5 Regulating Mantaro Dam 2010 200 Energy
6 Choclococha Dam Extension 2010 100 Irrigation
7 Marañón 2010 100 Energy
SUBTOTAL(1) 655 E
300 PM
240 I
115
8 Poechos (A) 2012 600 Energy/Irrigation
9 Acarí I 2013 50 Irrigation/Cleaning
10 Gallito Ciego (A) 2014 150 Irrigation/Energy
11 Recreta 2015 200 Energy/Irrigation
12 Angostura 2015 1000 Irrigation/Energy
13 Chili Fload regulating (A) 2015 80 Cleaning/Energy/Irrigation
14 Tacna 2015 40 Cleaning/Irrigation
15 Morro de Arica 2016 205 Energy/Irrigation
16 Languilayo 2016 100 Energy
17 Molloco I 2017 60 Energy
18 Mantaro 250 2018 50 Energy
19 Huaura 20 2020 120 Energy/Irrigation
20 Molloco II 2020 60 Energy
SUBTOTAL(2) 2715 E
270 PM
1695 I
750
21 Sama 2022 100 Energy/Irrigation/Saneamiento
22 Mantaro 270 2022 40 Energy
23 Marañón 440 2025 200 Energy
24 Puyango-Tumbes 2025 70 Energy/Irrigation
25 Tinajones II 2025 150 Irrigation
26 Huallaga 10 2028 120 Energy
27 Ocoña 2030 120 Irrigation/Energy
28 Acarí II 2030 40 Irrigation
SUBTOTAL(3) 840 E
360 PM
290 I
190
29 Palo Redondo 2030 120 Irrigation
30 Urubamba 2030 400 Energy
31 Acarí III 2032 30 Irrigation
32 Inambari 2032 1000 Energy
33 Pativilca Region 2035 250 Energy/Irrigation
SUBTOTAL(4) 1800 E
1400 PM
250 I
150
34 Ene 40 2042 800 Energy
35 Acarí IV 2043 40 Irrigation
36 Acarí V 2046 40 Irrigation
SUBTOTAL(5) 880 E
800 I
80
TOTAL 1  2  3  4  5 6890
E
3130 hm3
I
1285 hm3
PM
2475 hm3

(A) Recovery of silted volume.

undoubtedly be focused by the construction of as 4 CONCLUSIONS

many reservoirs as possible to take into account both
contingencies.
To give the best possible usage to available water
should be kept in mind. Now there are programmes in
Peru to make the population aware of the paramount
importance of water and the need to use it in the best
way in all sectors.
– The program presented corresponds to a desirable
minimum plan because it will only cover the needs of
growth of the country at today’s rate. This growth will
obviously be insufficient to reach levels desirable for
a developing country and without covering the possi-
ble climate changes due to the green house effect.

333
Figure 1. Locations of projects of dams in Peru. Period 2005–2050.

334
– If the politics and programmes to be undertaken REFERENCES
had a stronger boost according to the desire of all
peruvians, the programme to build dams should be [1] INEI 2005. Population census 2005
increased substantially. [2] ElectroPeru 1980. Master Plan of Electricity
– Peru has to face this challenge counting on the sup- [3] MEM 2005. Demand increase forecast 2005–2050
port of the international community. [4] ONERN 2004. Development Plan
– Not generating the conditions to develop the pro-
grammes of construction of regulating dams, would
threaten the wishes and rights of all peruvians for
better life conditions.

335
 ts
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The construction of Angostura’s Dam and two Hidropower

D.A. Loayza
Civil Engineering, Autoridad Autónoma de Majes, Arequipa, Peru

ABSTRACT: The constructions of Angostura’s Dam and the Hidropowers of Lluta and Lluclla, are the yearn-
ing of the Arequipa’s people in particular, and of the south of Peru, in general. That construction had been
waited for more than 30 years to be reality. This yearning is understood, by the necessity of having opportuni-
ties of sustainable development in the south of Peru, with emphasis in the export of agricultural products and
the electric power.

1 INTRODUCTION Angostura’s Dam has a capacity of reservoir of

The Special Project Majes-Siguas is at the moment,
one of the most important works of irrigation in Peru,
which is developed in the department of Arequipa, at
the south region of Peru. This project was divided in two
stages, being achieved in its first stage the qualifica-
tion of 15,000 Hectares of desert lands, having for it
hydraulic infrastructure to it Dams it of Condoroma,
the regulation dams of Tuti and Pitay and a system of
101 km of tunnels and channels that you/they bring
water from you walk them from Arequipa to 4,100
meters on sea level until the Pampas of Majes-Siguas
located at 1,300 meters on sea level. The Cost of this
first stage for the Peruvian state was of US $1200
millions.
The second stage is conformed by the construction
of the Angostura’s Dam, a tunnel of conduction of
the water of the Apurímac river from the basin of the
Atlantic, toward the basin of the river Colca, in the
basin of the Pacific, and of two hydroelectric, with an
approximate investment of US $300 millions.
1,000 MM3 with a mirror of water of 42 km2.
The Hydroelectric of Lluta and Lluclla are located
in the county of Caylloma, department of Arequipa,
once operative will generate 656 Mw of hydraulics
energy both.
2.2 Social and economic aspect of the Irrigation
Majes-Siguas
The Special Project Majes-Siguas has achieved the
incorporation of 15,000 Hectares of cultivation. For the
residents of the area, their activity is basically centered
in a mixed activity, so much agricultural as cattle.
Of the total of the cultivated surface, 78.6% is ded-
icated to the alfalfa production, following him in
importance potato’s cultivation with 9.6% and the

2 THE ANGOSTURA’S DAM AND

HIDROPOWERS LLUTA AND LLUCLLA

2.1 Location
The Angostura’s Dam is located in the district of
Tisco, county of Caylloma, department of Arequipa.
Angostura is a dam of Roller-Compacted Concrete
(RCC), located among the 4115 to 4220 meters on
sea level, in the bed of the Apurimac River. The work
is located 550 meters waters under the fork of the rivers
Hornillos and Apurimac, belonging to the Atlantic Figure 1. Area of development of the first one and second
Basin. stage of the Irrigation Pound.

337
forage corn with 3.1%, in the time, it has left gradu-
ally increased another type of cultivations of more
profitability like the paprika, yellow onion, garlic and
other cultivations, but to scales not very significant.
The cattle population that is mainly bovine, consti-
tuted the regional cattle population’s 15%, one has
54,020 heads, with cows in production of 20,828 an
average of 15.5 liters of milk for cow/day.
The production milkmaid of the area of the project
means 39% of the departmental production.
The Majes Irrigation has been characterized through
the history to have a productive structure based mainly,
in the agricultural activities, the same one means that
the Gross Value of Production (GVP) it was of 49,41
million dollars, with an Agricultural Gross Domestic
Product of 32,21 millions of dollars that meant 7.8%
of the regional agricultural GDP. A Secondary GDP
Sector of 13,68 million dollars and a Tertiary GDP
Sector of $20,11 million dollars, generating a total of
23,135 employments.
However, it is prominent the importance that the
trade activities have been coming acquiring and other
services in the last years, the same ones that, on the
whole, they contributed the PBI in this same year, Figure 2. Electric power export to the neighboring countries.
authenticating, through these activities, their vocation
of structured axis of the economy of the area. the industrial uses. Also with the obtained surplus of the
two new hydroelectric power stations, the possibility
opens up of exporting electric power to the neighbor-
2.3 Economic benefits ing countries, obtaining this way new entrance sources,
The construction of the Angostura’s Dam will gener- making of the region a prosperous agricultural indus-
ate 515 million dollars in gross value of production, a try with many development possibilities.
value of export of 360 million dollars, an increment The economic impact in the south region, reaches
of 80% of the regional exports and a creation 84,000 the departments of Arequipa, Cuzco, Puno, Moquegua
permanent employments. The population seated in the and Tacna.
Irrigation Majes-Siguas, will elevate its Gross Domestic
Product (GDP) to US$ 250 millions, being able to 2.4 Social impact
reach in exports of agricultural products for US $120 From the social point of view, the construction of the
annual millions. Angostura’s Dam and the two hydroelectric of Lluta
With the consolidation of the first stage and the and Lluclla, they constitute an opportunity of perma-
development of second, two new cities will be cre- nent work for 84,000 people of the whole south of the
ated, those that will harbor the new farmers. It is con- Peru, this factor, in a country characterized by the lack
sidered that the new population will reach the 350,000 of formal and well remunerated employment, means
habitants. an important contribution at regional level.
The construction of the Angostura’s Dam, will allow Additionally, due to the formation and establish-
incorporating in the first stage of the project Majes- ment of companies dedicated to the export of agricul-
Siguas, 8000 Hectares of cultivation, and in the second tural products, and to the creation of new cities in the
stage they will incorporate to the agriculture 34,000 irrigation, permanent indirect employments will be cre-
additional Hectares of new lands, making a total of ated, which are considered in 100,000 new work posi-
42,000 new Hectares. tions, consolidating this way the south region, as the
It will also have the hydric resource enough for the biggest pole in development of the Peru.
operation of the two hydroelectric power stations of
Lluta and Lluclla, those that will make possible the
2.5 Recovery of the investment on the
generation of 274 Megawatts and 382 Megawatts
part of the State
respectively, being the total of 656 Megawatts both,
making the far away places and poor of the region to The State recovers for concept from the General Tax
benefit, where they will decrease the electric power to the Sales (IGV 19%) more than 58 million annual
costs, so much stops domiciliary connections as for dollars when the 42,000 have they are in production

338
Table 1. Recovery of the investments of the State for IGV. Table 3. Economic indicators.
(repayment by IGV services)
Indicator Unit Amount
Qualification of lands (Ha) Year IGV 19%
Regional GDP 2004 US$ 8,428,000,000.00
2625 5 14,698,434.75 GDP generated by US$ 5,155,000,000.00
5250 6 17,638,121.70 angostura
7875 7 20,577,808.65 % Increase GDP % 6.12%
10500 8 23,517,495.60 Regional export 2004 US$ 447,123,000.00
13125 9 26,457,182.55 Exports generated by US$ 360,850,000.00
15750 10 29,396,869.50 angostura
18375 11 32,336,556.45 Increase regional export % 80.70%
21000 12 35,276,243.40 Permanent employments Number 84,000.00
23625 13 38,215,930.35
26250 14 41,155,617.30
28875 15 44,095,304.25
a value of export of 360 million dollars, an increment
31500 16 47,034,991.20
34125 17 49,974,678.15 of 80% of the regional exports and a creation 84,000
36750 18 52,914,365.10 permanent employments. See Table 3.
39375 19 55,854,052.05 As you can appreciate, the social investment of the
42000 20 58,793,939.00 State is easily recoverable so alone for taxes, for what
TOTAL 587,937,590.00 is demonstrated that the social aspect of the works is
not opposed to the economic or profitable aspect.

Table 2. Recovery of the investments of the State by IGV. 3 CONCLUSIONS

(repayment by tax of the rent)
The construction of new dam represents development
Qualification of lands Year Rent’s tax 15% in the benefited populations, bringing gets invest-
ments, services and quality of life, mainly in coun-
2625 5 2,661,281.25
tries in development as the Peru.
5250 6 5,322,562.50
7875 7 7,983,843.75 The State should prioritize the investment in this
10500 8 10,645,125.00 type of projects, all time that has been demonstrated
13125 9 13,306,406.25 that at the same time of contributing to a sustainable
15750 10 15,967,687.50 development of the towns, this investment is quickly
18375 11 18,628,968.75 recoverable, via the taxes.
21000 12 21,290,250.00 The new hydropowers construction represent an
23625 13 23,951,531.25 important decrease in the costs in the diverse indus-
26250 14 26,612,812.50 tries of the region, at the same time that they take devel-
28875 15 29,274,093.75
opment and progress to the poorest towns.
31500 16 31,935,375.00
34125 17 34,596,656.25
36750 18 37,257,937.50
39375 19 39,919,218.75
42000 20 42,580,500.00
TOTAL 361,934,250.00

and an accumulated of more than 587 million dollars in

20 years of qualification of lands, like leave in Table 1.
Of the simulation of the production identification,
it has been considered an annual collection of the
State for tax to the rent (15% of the operative utility)
of more than 42 million dollars when the 42,000 have
they are taking place and an accumulated of more
than 361 million dollars in 20 years of qualification
of lands, like leave in Table 2.
The investment of 120 million dollars the State, gen-
erates 515 million dollars in gross value of production,

339
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Meteorological and hydrological forecast as an improvement of

hydroelectric management in the North-Patagonia Argentina

M. Marizza
Universidad Nacional del Comahue, Neuquén, Argentina

F. Losano
Autoridad Interjurisdiccional de Cuencas, Argentina

P. Fernández Carrasco
Universidad Politécnica de Madrid, Spain

ABSTRACT: Water is a strategic resource for the economic development of the Comahue region, which is scarce
due to the hard competition for its use. This resource acquires value in economic terms if it is rationally and effi-
ciently distributed. This consideration seeks to identify and incentive all possible water uses that contribute to
the development of the region and in particular to those that generate a greater growth of the geographic product.
Because the water resource belongs to the society as a whole, it is necessary to come to an agreement to its social,
economic and environmental values. The total amount of water demands and offers in the region considered its
territorial union of the basins of the Limay, Neuquén and Negro rivers, enable us to detect the best opportunities
for its use, minimizing at the same time all negative impact to others, or to the environment. This is the context in
which the Comahue region is framed. It already counts with an important hydroelectric development with sea-
sonal attenuation capacity, with probabilities of a greater development in the near future, with an installed power
around 5000 MW and a 20% of national energetic argentine participation. In the last years, the improvements in
the meteorological techniques and hydrological forecast have revealed future contributions with medium certainty
of success. These relative improvements pose a new optimization of the water management, taking into account
common wealth of society as a whole, considering both probable benefits and damages up and downstream, dimin-
ishing eventual conflicts between its uses, and even facilitating its resolution.

1 INTRODUCTION Since August 1993 the Comahue hydropower cen-

The hydrological and meteorological forecast is an
essential tool for the planning and management of
the basins water resources. The use of these tools in
extreme events or in different scale future scenarios
for the hydroelectric, agricultural demands or environ-
mental necessities are now a days very common.
The initial first forecasts in a basin scale can be
found in 1960 for the spring-summer water volumes
in the watering system from Alto Valle del Río Negro
in Argentina. For the hydropower centrals of El Cochón
and Cerros Colorados was necessary to establish a flood
forecast network that included real time hydrometeo-
rological gaugins stations plus the previous meteoro-
logical forecasts. New hydropower central in the basin
together with an increasing pressure on water demands
originated a continued improvement in methodologies
and in instruments used.
trals pass to the private sector but the Basin Autority
“Autoridad Interjurisdiccional de Cuencas (AIC)” still
in charge of the hydrometeorological network and the
controller and referee of the water concessions related
to users water contracts (1). This new situation meant
and important change in the information available and
for the new forecasting methodologies.
The system operation with the clear target of min-
imizing the total costs can be one of the main object-
ives of many agents involved.
The results can be different and even the input data
may vary depending on the system or agent who
does the study, who can be an operator, private con-
cessionary, electric desk organism or water regulation
authority.
For a hydropower system and for an optimum
operation schedule, it is necessary to apply successive
restrictions like the transport to demand points, the

341
water release problem down dams, liability restriction
and other necessary technical limitations.
To simulate a system one needs to know the main fac-
tors that are involved in the results like the initial hydro-
meteorological basin conditions, the hydrological and
meteorological forecast, the electricity demands or
technical operation availability among others.
Some of these factors can be determined like the
water yield, thanks to an improvement in meteorolog-
ical forecast and the help of the hydrological models.
Other factors do not permit trustworthy forecasts
because they involve an elevated number of variables.
The stochastic techniques are necessary and the
processes will be less deterministic.
2 TARGET
To evaluate with the improved meteorological and
hydrological forecast the best management of hydro-
power desk, taking in account an objective global social
function from the system, where the benefits and dam-
ages down dams are included.
3 GEOGRAPHIC AREA
La Patagonia is located in the South American Contin-
ent and its contribution to Argentina economy stands
out in the energetic sector.
Comahue region is on the North Patagonia and it is
crossed by three main rivers: Neuquén, Limay and
Negro, the two first ending in the Negro river. Negro
river, 1000 m3/s, is the main only Argentinean river and
still with a high quality level and opportunities for
future sustainable planning.
The rivers regime presents two highs, one in winter
due to rainfall and other in spring-summer due to snow
melting. This last high obviously has more predictable
regularity.
Neuquén river has a very quick hydrometeorologi-
cal response due to the slow storage capacity. Limay
river has a slower response due to the natural lakes in
its basin. In these rivers the hydropower system are
approximately 5000 Mw, and with an annual energy
generation of 14,500 Gwh, 20% of the Argentinean
budget.
Negro river ends in the Atlantic Ocean crossing 20
cities and valleys with theirs economies lying in agri-
culture irrigation.
4 BASIN INTEGRATED MANAGEMENT
The Basin Authority “La Autoridad Interjurisdiccional
de Cuencas (AIC)” includes the national and regional
342
competences from three provinces, Neuquén, Río
Negro and Buenos Aires. This structure pretends to
rationalize and harmonize the water use.
The AIC runs the fiscal control of the hydropower
concessions, the meteorological forecasts and the water
schedule release (2). But also tries to make compatible
the water use down dams and effects from flooding and
high drainage level from irrigated valleys.
5 OPERATIVE SYSTEM FOR WATER
FORECAST
The basin has 170 river gauging station, 60 of them
with satellite connection, and a few of them in high
mountain level. Every day the satellite information is
analyzed.
A hydrological integrated system is operative to
evaluate in time the basin water recourses. The water
yield to the reservoir is forecasting to help in the electric
desk. This management includes the operative restric-
tion previously assumed in the legality rules.
The water yield forecast is estimate by and concep-
tual hydrological model, distributed in the basin and
on daily scale (3). Different soil moisture, lakes level,
snow melting, and runoff algorithms are applied,
Figure 1.
The model is applied for short and medium term.
Short term is used to determinate flood peaks. The
medium term is used in spring and summer to estimate
the flood peak and the runoff volume, important task
for the seasonal reservoir like the ones in Comahue
region (4).
The programming can be applied for multi-purpose
objective like the electric desk, where major electric
generation has to overlap with the better seasonal price,
to guarantee the minimum water river caudal in drought
periods, control the water level after agricultural field
drainage in wet period.
Figure 1.
 In this context the conflicts between competitive in short and medium term associated to their uncer-
water user need to harmonized the economic profit or tainty degree level, as we propose in this paper,
loss from the downstream habitants and the prof- Figure 3.
itability of the hydropower centrals.

7 ECONOMICS ASPECTS
6 MANAGEMENT RULES FOR WATER USE
River Negro and River Neuquén Valleys can be con-
Due to the presence of different actors in the dams’ sidered as a big productive system growing from the
management (AIC, power generation concessionaries, desert, with the help of the water that crosses these
electric desk organism) it is necessary to follow oper- valleys.
ating rules in concordance with the reservoir water level The inside basin product is only 2.5% of the total
and with the season. Argentinean product, in concordance of the ratio of it
The programming operation has several main level: population and the whole Argentinean population, with
emergency level (FE), flood smoothing level (FAC), a growing tendency.
normal level (FON) and extraordinary level (FOE) (fol- 80% of the population are in the river border, down-
lowing Spanish terminology), Figure 2. stream of the big hydropower and regulation dams.
In each level each actor has different degree of free- Fruit tree production is one of the main incomes of
dom operation and different restriction for operation. the region and it moves in the order of 500 million
This conventional work operation level is not enough American dollars per year.
because the future demands (maximum or minimum) Hydrocarbon and hydroelectric activities make the
need of water volume seasonal forecast, derived from basin like the main generator and exporter of energy
meteorological data and from snow thickness, in res- from Argentina. Natural gas still to extract is more than
onance with the daily electric desk, that ensure the 40% of national reserve. The annual amounts reach up
downstream future necessities. 1,000 millions American dollars.
For this reason, the operating process has to be The hydraulic systems over the river network have
founded in meteorological and hydrological forecast multipurpose criteria, with supply and irrigation water,
flood control and hydropower generation among the
principal objectives.
Hydropower generation is around 300 million
American dollars per year and it is among the main
producers in the country.
From the region depart 4 lines of 500 kv that trans-
port 90% of the energy generated to demand centres
placed more than 1,000 km away.
The operators fix water values in function of the
reservoirs levels and offer the energy in a market that
is close to a perfect competitive market. The energy is
selling in two markets, the SPOT and forward. In the
last years the concessionaire authority has introduced
additional regulations.
Another aspect that affects the commercial water
Figure 2. use of the reservoir waters is that the maximum water
price is very low compare with the production from
liquid combustibles.
This singularity generates in winter times, that the
6 0 lack from gas generation is supplied by water resources,
.Q .R M . m( /3 s )
5 0 AC ADU L ER A L
without no possible opposition from hydroelectric oper-
4 0 IL M . S U P . AC .DU ators while the water level is in the thickness of the
L I M .IN FER IO R normal level operation, that was establish in water man-
3 0 agement rules.
.Q .R S . m( /3 s )
2 0 The strategies from some concessionaries to pass
10
to maintain the water level in the thickness level that
let priority to the AIC demands in concordance with
0
SEP OC T N OV D IC E N E F E B M AR dry or wet periods.
The medium term operation is not strongly adopted
Figure 3. and this produce frequent violations of the minimum

343
and maximum operation levels, with all the detriment
to the downstream communities.
8 SEARCHING FOR THE GLOBAL
OPTIMUM
To reach the system optimum means to minimize the
total cost and maximize the profit, in a situation of
limited resources usually scarce.
To find the best price to the water in a place and in
a determinate time are associated with a release and
with contour restrictions, operational or institutional.
The mentioned value is represented in the model
apply (5) by the economic profit function that gives the
society disposition to pay for the water.
The values for the different water uses (power gener-
ation, water supply, irrigation, flood risk, tourism, etc.)
can change with the volume used. They are expressed
by growing demands curves.
The target is to evaluate the global system economic
efficiency, with all the goods and services in play and
with no monetary interchange between them. In oppos-
ition to a financial efficiency view, where only the cash
flow is analyzed and it increase when the net financial
return grows. In the economic efficiency option, the
increase is measured by a global social benefit, that it
is the objective now.
9 CONCLUSION
The real operation conditions runs with a degree of
uncertainty that need from a more accurate forecast
available.
It is necessary to count with the natural complexity
of the hydraulic systems, number and characteristic
344
of each reservoir and each energy generator, etc, and
the different limits from the income of water and the
changes in the price of the energy in the market.
The improvement in the runoff forecast in the
Neuquén river basin, where the snow factor is high, will
permit acceptance of new rule management to apply
to the operation system (6).
The optimization tools applied permit the use the
volume of water in an efficiency way for the alternative
water demands. Also is possible to analyzed new option
in the use of the water, in the social point of view, help-
ing with this new tool to the planners and evaluators
of the hydropower central.
REFERENCES
Estudio de las normas de operación de los embalses de Piedra
del Aguila y El Chocón – J.G. Karacsonyi, J.C. Fassi – Julio
1992.
BETA STUDIO-ISMES, 1997, “Sistema de Pronósticos
Hidrológicos para las Cuencas de los Ríos Limay, Neuquén
y Collón Curá”, Padova-Bergamo, Italia.
HBV-IHMS Instituto Sueco de Meteorología e Hidrología
(Swedish Meteorological and Hydrological Institute –
SMHI) – Versión 5.3 – Octubre 2005.
La previsión hidrológica en las cuencas de los ríos Limay,
Collón Curá y Negro.
Aníbal G.Asensio y Juan Carlos A. Roca, AIC, Griselda
Ostertag, y Fernando Frassetto, CeProPa , Río Negro,
Argentina 1995.
AQUARIUS: A Modelling System for River Basin Water
Allocation – Diaz, Gustavo; Brown, Thomas and Oli
Sveinsson – USDA Forest Service – Colorado State Univ. –
GTR RM-GTR-299 – August, 2000.
Propuesta de modificación a las normas de Manejo de Aguas
del Río Neuquén – Porrino, Julio ; Petri, Daniel – 1994.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Economic impact caused by the transfer Tagus-Segura in the

southeast of Spain

F.J. Flores Montoya

Doctor Ingeniero de Caminos, Canales y Puertos. Ministerio de Fomento. Madrid, Spain

G. Liébana del Pozo

Ingeniero de Camino, Canales y Puertos. Confederación Hidrográfica del Tajo Madrid, Spain

M.A. Ortiz de Andrés & J. Mora Colmenar

Ingenieros de Caminos, Canales y Puertos. Initec Infraestructuras S.A.U., Madrid, Spain

ABSTRACT: The Law 21/71, of 19th June, approved the construction of the infrastructures provided by the
General Draft for the joint utilisation of water resources in the Centre and Southeast of Spain. In the first stage,
a maximum volume of 600 hm3, to be diverted from the Tagus’ surplus, was authorised. The Tagus-Segura
Transfer allowed the exploitation, or its improvement, of 174000 ha of highly productive land in the southeast,
and it is used to supply a total population of more than 2 million people in Murcia and Alicante counties. This
paper analyses the importance of the economic sectors that depend on the transferred resources, comparing it
with the Spain’s total. We focus in the economic impact of the transfer in terms of agricultural GAV in the south-
east and the growth of GDP in the receiving areas. It also studies, in terms of aggregate values, the paying-off
of the building costs, the economical compensations from the receiver basins to the transferring one and the
negative effects to the hydroelectrical power stations in the Tagus basin. All that has implied a decrease in the
Tagus’ Confederación Hidrográfica’s income.

1 INTRODUCTION their concessions. These maximum volumes are called

The Segura basin, in the southeast of Spain and main
receptor of water transferred from the Tagus, has mild
temperatures and lack of icing in most of its land.
Hence, it is a region with great possibilities in growing
citrus fruits and vegetables in an intensive manner.
However, the hydrological conditions in the area don’t
help at all, due to the scarcity of water resources.
This is why the “National Plan for Hydraulic Infra-
structures” in 1933 proposed to fix that situation with
the help of a water transfer from the head of the Tagus.
In 1967, the “General Draft for the joint utilisation of
water resources in the Centre and Southeast of Spain”
was written, and approved in 1969. The clauses in the
concessions for the hydroelectric exploitation down-
stream the Entrepeñas and Buendía reservoirs were
modified the same year.
The Law 21/71, on the 19th of June, approved the
constructions proposed in the Draft. During the first
stage, a maximum volume of 600 hm3, to be diverted
from the Tagus’ surplus, was authorised.
Every group of users can use the infrastructures up
to the maximum volumes fixed by the legislation and
“Potential Volumes” and have the following values at
destination – that is, discounting wastes:
– Irrigations at the transfer’s southeast: 400 hm3
(Art. 14 law 52/80)
– Urban supplies at the transfer’s southeast: 110 hm3
(Art. 14 law 52/80)  30 hm3 (law 52/80 and crite-
rion passed by the Transfer Commission that states
that fewer wastes permit more supplies for the
southeast)
Apart from the receptors of water from the Tagus
to the southeast, the current legislation gives the right
to use the infrastructure to the following users:
– Lands in the southeast irrigated with own water.
– Population supplies in the southeast satisfied with
own water.
– Flows diverted to Tablas de Daimiel.
– Urban supplies at the head of the Guadiana River
with diverted water.
– Compensations for the leaks of the Talave tunnel in
Los Llanos de Albacete.
– Irrigation of Los Llanos de Albacete from Alarcón.

345
 – Urban supply of Albacete with water from Alarcón. The increment of the contribution of Murcia to the
– Urban supplies of Marina Baja with water from national GDP is comparable to Ceuta’s and Melilla’s
Alarcón. that, according to the National Institute of Statistics,
was a 0.3% of the national in 2000.
The population supplies at the head of Guadiana
One of the factors that explain the economic devel-
cannot be satisfied yet because the infrastructure is still
opment in the Region of Murcia in recent years is the
under construction.
agricultural development, directly related to the func-
The starting up of the transfer Tagus-Segura has
tioning of the Tagus-Segura Transfer. In Table 2 and
brought an important agricultural development in the
Figure 2 we indicate the increase in Gross Added Value
southeast of Spain, that has been a paramount factor
of agriculture in the region.
for the economic development of the region during the
It is appropriate to underline the fact that, accord-
last decades. In this paper we analyse the economic
ing to the National Institute of Statistics, agriculture
impact that the transfer has had in Murcia, trying to
contributed with around 8.11% of the total Gross
overcome the lack of reliable statistical data.
Added Value of the Region of Murcia, which is
almost twice as big as the national average, as it is
2 ECONOMIC EFFECT IN THE shown in Tables 3 and 4.
REGION OF MURCIA Irrigations in Murcia not only develop the agricul-
tural sector, but it is also important in the industrial
During the period from 1960 to 1975, Murcia lost sector. Several industries are directly connected to the
comparative wealth, in terms of GDP. Since the start- irrigations, like the canning industry and factories
ing up of the Tagus-Segura Transfer (TST) the rela- that transform agricultural products. For instance, in
tive contribution to the national GDP has risen from 2002, food industry in Murcia generated 25% of the
2% in 1975 to 2.33% in 2000 (Source: “Evolución region’s GAV, as opposed to the average 5% for the
económica de las regiones y provincias españolas en whole Spain, as indicated in Table 5.
el siglo XX.” Fundación BBVA, December 2003), as The resources from the Tagus-Segura Transfer are
it is shown in Table 1 and Figure 1. of vital importance for the irrigations in the Region of

Table 1. Evolution of Murcia’s GDP (present value in 1995 Table 2. Evolution of agricultural Gross Added Value in
terms). Figures in thousands of euros. (Source: Fundación the Region of Murcia (present value in 1995 terms). Figures
BBVA. Evolución económica de les regions y provincias in euros. (Source: Fundación BBVA. Evolución económica
españolas en el siglo XX). de las regiones y provincias españolas en el siglo XX).

Year Murcia region Spain % over national Year Region of Murcia

1960 2.517.098 115.713.545 2,18% 1960 300.391.900

1965 3.424.338 169.095.362 2,03% 1965 335.160.400
1970 4.450.356 219.666.726 2,03% 1970 350.750.700
1975 5.688.150 285.048.513 2,00% 1975 408.165.400
1980 6.190.815 301.883.584 2,05% 1980 461.421.000
1985 7.165.693 332.535.123 2,15% 1985 691.783.000
1990 9.599.010 434.959.287 2,21% 1990 824.366.200
1995 10.593.601 460.994.019 2,30% 1995 1.079.297.500
2000 13.444.039 576.748.963 2,33% 2000 1.408.141.300

1, 60E+ 9
Re gionfMurciaGDP/Spsh 1, 40E+ 9
2 ,40%
1, 20E+ 9
2 ,30%
1, 0 E+ 9
2 ,20% 8 , 0 E+ 8
2 ,10% 6 , 0 E+ 8
2 ,0% 4 , 0 E+ 8
2 , 0 E+ 8
1,90%
0 , 0 E+
1,80% 1960 1965 1970 1975 1980 1985 1 90 19 5 2 0
1960 1965 1970 1975 1980 1985 190 195 20 Pres nt v a t 19 5inlues e rm s

Figure 1. Evolution of GDP in the Region of Murcia Figure 2. Evolution of agricultural Gross Added Value in
(present value in 1995 terms). (Source: Fundación BBVA. the Region of Murcia. (present value in 1995 terms).
Evolución económica de las regiones y provincias españolas (Source: Fundación BBVA. Evolución económica de las
en el siglo XX). regiones y provincias españolas en el siglo XX).

346
Murcia and for the whole area at the southeast of
Spain, as a high percentage of the water resources
used in the irrigations come from the Tagus basin.
The National Hydrological Plan (document “Análisis
de sistemas hidráulicos”, page 235) estimates a flow
of 400 hm3/ year from the transfer and 54 hm3/year of
urban wastewater, as said above, most of it from the
transfer, out of the total 1432 hm3/year for land irriga-
tion in the Segura basin. To sum up, it can be said that,
when the transfer is working at full capacity, around
30% of the water for agricultural uses in the Segura
basin comes from the Tagus.
Moreover, the agricultural exploitations irrigated
with water from the transfer are the most efficient
ones, as they were built or updated recently in the
areas with the best climate of the basin (Valle del
Guadalentín, Campo de Cartagena, etc.).
3 POPULATION SUPPLY
The importance of the Tagus-Segura Transfer in the
economic development of the Spanish southeast is
not only due to its positive impact in agriculture and

Table 3. Comparative importance of agriculture to the GDP of the Region of Murcia (present value
in 1995 terms). Figures in euros. (Source: INE. Contabilidad Regional de España, Base 1995).

GAV
Economic sectors 1995 2000 2002

1. Farming and fishing 788.173 979.982 1.003.829

2. Industry including 2.749.533 3.546.881 3.818.212
energy and construction
3. Tertiary sector 6.138.639 7.542.799 8.022.821
FISIM* 431.945 430.879 473.790
TOTAL 9.244.400 11.638.783 12.371.072
% GAV agriculture/total 8,53% 8,42% 8,11%
in Region of Murcia
*
FISIM: financial intermediation services indirectly measured.

Table 4. Comparative importance of agriculture to the national GDP in Spain. (present value in 1995
terms). Figures in euros. (Source: INE. Contabilidad Regional de España, Base 1995).

GAV
Economic sectors 1995 2000 2002

1. Farming and fishing 18,63 10 6

21,76 10 6
21,47 106
2. Industry including 125,02 106 152,81 106 160,64 106
energy and construction
3. Tertiary sector 278,70 106 326,97 106 345,74 106
FISIM 18,83 106 17,89 106 19,45 106
TOTAL 403,52 106 483,65 106 508,40 106
% GAV agriculture/total 4,62% 4,50% 4,22%
in Spain

Table 5. Comparative importance of food industry in the Region of Murcia. (present value
in 1995 terms). Figures in thousands of euros. (Source: INE. Contabilidad Regional de
España, Base 1995).

GAV 1995 2000 2002

Industry 1.535.690 2.002.171 2.114.525

Food, drink and tobacco 468.386 499.951 521.891
% Region Murcia 31% 25% 25%
% National 17% 15% 15%

347
140 Regions like Murcia, that were places from where peo-
120 ple migrated, are now attractive zones to where people
10 moves. The population growth, shown in Figure 3, has
80 been possible due to the transfer from the Tagus, that
60 made more water resources available for the popula-
40 tion supply.
20
0
190 1920 1940 1960 1980 20 4 CONCLUSIONS

Figure 3. Demographic evolution of the Region of Murcia.
related activities, but also because it supplies water
resources for around 2 million people in Alicante and
Murcia. We must keep in mind that the availability of
water resources for population supply is essential for
the development of every economic sector.
In 2002 the Community Canales del Taibilla, that
depends on the Ministry of Environment, managed
207 hm3 of water from which 119 hm3 (58%) came
from the Tagus. This community supplies 95% of the
population of Murcia and 55% of Alicante.
The economic development of the southeast area of
Spain has brought a significant demographic growth.
The Tagus-Segura Transfer allowed the exploitation,
or its improvement, of 174000 ha of highly productive
land in the southeast, and it is used to supply a total
population of more than 2 million people in Alicante
and Murcia counties.
This transfer is one of the main factors responsible
for the economic development of the area. Regions like
Murcia, in clear economic decline, with growing rates
inferior than the spanish average before the transfer
was built, have experienced a boost since the starting up
of the diversion, and now present higher growing rates
than the national average.
The economic development has been achieved
thanks to the availability of water resources for popu-
lation supply from the transfer.

348
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Socioeconomic development vs. available hydric resources.

The case of the region of Madrid

F.J. Flores Montoya

Doctor Ingeniero de Caminos, Canales y Puertos. Ministerio de Fomento. Madrid, Spain

G. Liébana del Pozo

Ingeniero de Caminos, Canales y Puertos. Confederación Hidrográfica del Tajo. Madrid, Spain

M.A. Ortiz de Andrés & Jesús Mora Colmenar

Ingenieros de Caminos, Canales y Puertos. INITEC. Madrid, Spain

ABSTRACT: There is a connection between demographic growth and availability of hydric resources. In this
paper we present two cases that agree with the proposed thesis: The comparison between France and Spain, and
the counties of Madrid and Almería. Around the second half of the 19th century, the spanish government started
the construction of hydraulic infrastructures (reservoirs, pumping stations and pipelines) that increased the
amount of available hydric resources in Madrid. The rise of hydric resources allowed the demographic growth
of Madrid during the last 150 years. France has always had more natural water resources than Spain and its
population has been significantly higher, but the ratio was getting lower as the available resources were rising
in Spain. The population of Almería, the region with less hydric resources in Spain, despite having a high birth
rate, didn’t increase until more hydric resources were available.

1 INTRODUCTION

The availability of hydric resources is essential for the

socioeconomic development, as it is a basic necessity
indispensable for productive sectors (for instance,
irrigation) and for the population supply.
Water has been decisive in the foundation of centres
of population and their consolidation and growth. It is
significant that every european capital city, except
Madrid, is placed by the sea or along a main river’s side.

2 EVOLUTION OF THE POPULATION IN

MADRID AND AVAILABILITY OF
RESOURCES

Before Madrid was designated as Court in 1561, its

population can be estimated to be between 5000 and
10000 people and the water supply consisted of small
wells that extracted it from the ground.
Its designation as Court brought about an impor-
tant increment of the population, which on the late
16th century reached 80000 people. During the 16th
and 17th centuries, the so-called “viajes del agua”
(subterranean galleries of Arab origin for drainage
Figure 1. Inside view of the “viaje del agua” of Amaniel.
and water transport) were built. These allowed the
increase of available volume of water in the city up to
3.600 m3 per day.
However, as the population grew, also the built-up
land increased and the surface of scrubland got smaller.
It deteriorated the nature of the humidity in the ground

349
and reduced the supply to the subterranean galleries. The dams built at the “Sierra de Guadarrama” dur-
Therefore, when at the middle of the 19th century, the ing the 20th century made possible to have an important
population was 200000 inhabitants, as it is shown capacity to regulate the hydric resources, increasing
in figure 2, the “viajes del agua” could only supply notably the guaranteed urban demand in the water
2000 m3/day. That is, just 10 litres per person and supply of Madrid (figure 5).
per day.
The shortage of hydric resources prevented the
4.E+06
demographic development of Madrid. For this reason,
3.E+06
on the 18th of June of 1851, the Royal Decree of
3.E+06
Bravo Murillo created the Canal of Isabel II, which
2.E+06
diverted water from Lozoya River to the city. Since
2.E+06
then, the State, either directly or through the Canal of 1.E+06
Isabel II (that supplies Madrid and most of its 5.E+0
county), has built big hydraulic structures that have 0.E+
allowed the demographic growth of Madrid city and 190 190 1920 1930 1940 1950 1960 1970 1980 190 20
its surroundings, spectacular all along the 20th century Year
(figures 3 and 4).
Figure 3. Evolution of the population in Madrid city.

7 E. 60+
6 E. 60+
5 E. 60+
4 E. 60+
3 E. 60+
2 E. 60+
E.1 + 60
0 E. 0 +
0 91 019 0291 0391 0491 0591 0691 0791 0891 09 1 02
eY a r
Figure 2. Evolution of the population Madrid city from
1561 to 1857. Figure 4. Evolution of the population of Madrid county.

Figure 5. Relation between cumulative volume of reservoirs and guaranteed urban demand in the Madrid’s water supply.

350
3 COMPARISON OF THE DEMOGRAPHIC 4 COMPARISON OF THE EVOLUTION OF
EVOLUTION IN MADRID AND ALMERÍA POPULATION IN SPAIN AND FRANCE

The county of Almería, at the Southeast of Spain, is
the one with less hydric resources in the whole Iberian
Peninsula. The scarcity of hydric resources has been a
paramount handicap in its socioeconomic develop-
ment that traditionally made it an emigrant producing
region.
Hence, whereas up until the middle of the 19th cen-
tury the population of the county of Almería was
slightly higher than the population of the county of
Madrid, since the foundation of the Canal of Isabel II
and the building of many important hydraulic infra-
structures for regulation, that made enough hydric
resources available, the population in the county of
Madrid started an unstoppable growth whereas the
population in Almería got held up (figure 6).
It is remarkable that highly productive irrigated land,
created thanks to the increase of available resources that
took place after the 70’s in the 20th century, played a
very important role in the economical and social devel-
opment of Almería during the last decades. The increase
of resources was possible due to the generalization
of submersible pumps, which allowed the intensive
exploitation of the groundwater, and the dam of
Beninar.
E0 .7 + 0 6
E0 .6 + 0 6
M irda
E0 .5 + 0 6
Alm
E0 .4 + 0 6
E0 .3 + 0 6
E0 .2 + 0 6
E0 .1 + 0 6
Spain, with slightly less surface than France, has sig-
nificantly fewer hydric resources than the neighbour
country. This reduced availability of resources implies
a handicap that has been one of the main factors respon-
sible for the different demographic development of both
countries, as it can be seen in figure 7.
It can be stated that in Spain, considering mean
interannual values, the hydric resources available to
satisfy the demand without flow regulation are hardly
a 5% of the overall natural contributions, while it
reaches the 40% in France.
The need to regulate river flows in Spain, in order
to increase the available water resources, has led to the
fact that the water dam capacity has gone from almost
null at the beginning of the 20th century to the current
over 50000 hm3 at the end of the century, as it is shown
in figure 8.
It can be checked, as the following figure 9 shows,
that the population in France has been up to 2.8 times
higher than in Spain, as well as, almost at the same
time as river flow regulation began in Spain by means
of reservoirs, the ratio decreases almost continuously
up until 1981. From 1981 to 1996 French population
rose somewhat faster than the spanish, whereas since
1996 the spanish population is growing more than the
french, mainly due to the immigration from countries
outside of the European Union.
d
e r’a
E v tulo fo n i t h e c u m alu t i v e r e s e r v rio v mulo e
06
vo lu m e n
05
04
3

E0 . + 0 0
h m

03
0571 0 81 0581 0 91 0591 02 05 2
v o ul em

02
eY a r
01

Figure 6. Historic evolution of the population of Madrid 0

190 1920 1940 1960 1980 20
county compared to Almería’s. raeY

PopulatinFrcedS Figure 8. Evolution of the reservoir volume in Spain.

7 , 0E+ 07

6 , 0E+ 07
PopulatinrFcedS
5 , 0E+ 07
3.0
4 , 0E+ 07
rF ecna 2.5
3 , 0E+ 07
2.0
2 , 0E+ 07

1, 0E+ 07 1.5
France/Spi

Sp a in
Populatinr

0 , 0E+ 0 1.0
52

05

57

52

05

57

52

05

57

52

05

57
0

0
61

61

61

61

71

71

71

71
81

81

81

81

91

91

91

91

02

160
1625
1650
1675
170
1725
1750
175
180
1825
1850
1875
190
1925
1950
1975
20

Year Year
Figure 7. Compared evolution of population in France and
Spain. Figure 9. Evolution of the France/Spain population ratio.

351
5 CONCLUSIONS
The availability of hydric resources has been, and still
is, a paramount factor in the demographic and socio-
economic development of cities, regions and countries.
We have checked it comparing France with Spain
and comparing the counties of Madrid and Almería.
The demographic development in Madrid was
limited, before the second half of the 19th century, by
the shortage of resources, which mostly came from
draining galleries. The construction of dams and reser-
voirs to regulate the hydric resources of the Sierra de
Guadarrama, that increased the available resources,
enabled the population growth of the city, making it
one of the biggest cities in Europe.
352
Historically, the county of Almería has suffered
water shortages that have been a disadvantage for its
demographic and socioeconomic development, simi-
larly to the city of Madrid before the second half of
the 19th century. However, unlike the case of Madrid,
the increment of available resources in Almería wasn’t
achievable until the last third of 20th century and that
has provoked a smaller development of this region
compared to other spanish regions.
The future economic development of both counties
will depend on the ability to increase the availability
of resources.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Demographic impact of the regulation of surface waters. The case of the

public irrigated areas in the Tagus River basin

F.J. Flores Montoya

Doctor Ingeniero de Caminos, Canales y Puertos. Ministerio de Fomento. Madrid, Spain

G. Liébana del Pozo

Ingeniero de Caminos, Canales y Puertos. Confederación Hidrográfica del Tajo. Madrid, Spain

M.A. Ortiz de Andrés & J. Mora Colmenar

Ingenieros de Caminos, Canales y Puertos. INITEC. Madrid, Spain

ABSTRACT: This paper analyses the socioeconomic impacts of the starting up of public irrigated land, as a
consequence of the construction of dams. In particular, we analyse the influence of the public irrigated land, cre-
ated by the government, in keeping the rural population in its surroundings. Since 1940 several dams have been
built in the Tagus basin, which reservoirs facilitated the creation of public irrigation land. Currently, there are
114500 ha of public irrigated land in the Tagus basin. The most important are: around the Alberche River, sup-
plied by Burguillo and San Juan reservoirs; Tietar River, with water from Rosarito, Alagón and Gabriel & Galán
reservoirs; irrigations of Árrago, from the Borbollón and Rivera de Gata reservoirs; irrigations of the Henares
Canal, that improved their guarantee after the Pálmaces and Alcorlo dams were built.

1 INTRODUCTION Before 1940 the irrigated land in the basin occupied

In this paper we analyse the socioeconomic impacts of
the starting up of public irrigated land, as a consequence
of the construction of regulating dams. In particular,
we analyse the influence that the public irrigated land
created by the State had in the maintenance of rural
population.
2 PUBLIC IRRIGATED LAND IN THE
TAGUS BASIN
The current irrigable surface in the basin is around
230720 ha, which are the 7.1% of the national irri-
gated land. Table 1 shows how much of that land is
private and how much is public.
During the 20th century the Administration has
promoted the irrigation of land in several basins, the
Tagus’ among them.
Table 1. Irrigated land in the Tagus basin.
Type
Public
Private
Basin total
only 9340 ha, corresponding to the traditional irri-
gated areas of the Aranjuez Canals, the “Real Acequia
del Jarama” and the Henares Canal.
Since 1940 several dams have been built in the basin,
in order to regulate the resources. These have allowed
the irrigation of public land, leading to a total irrigated
surface of 114500 ha.
Among these public irrigated areas the following
can be highlighted: those around the Alberche River,
supplied by Burguillo and San Juan reservoirs; the
ones close to the Tietar River, with water from
Rosarito, Alagón and Gabriel y Galán reservoirs; irri-
gations of Árrago, from the Borbollón and Rivera de
Gata reservoirs; irrigations of the Henares Canal, that
improved their guarantee after the Pálmaces and
Alcorlo dams where built.
3 CHARACTERISTICS OF THE POPULATION
IN THE TAGUS BASIN
Surface (ha) The surface of the spanish part of the basin is
55.870 km2 and, according to the census 2004, it has a
114.500
116.220
population of 7 million people. This gives a density of
230.720 120 inhabitants/km2. However, it is extremely unbal-
anced due to the weight of the surroundings of Madrid,

353
 Poblaci—ne190 Poblaci—ne198
N
N

Menosd50hab
Menosd50hab hab105De
De51a0hb De10a.hb
De10a.hb De1.0a5hb
De1.0a5hb De5.01ahb
De5.01ahb De50.1ahb
De50.1ahb Masde50.hb
Masde50.hb
0 5 0 1 0 150 20 250 30 Kilometrs
0 5 0 10 150 20 250 30 Kilometrs

Figure 1. Municipalities’ population in the basin in 1900. Figure 4. Municipalities’ population in the basin in 1981.

Poblaci—ne1940 Poblaci—ne204
N N

Menosd50hab Menosd 50hab

De51a0hb De51a0hb
hab1.0De De10a.hb
De1.0a5hb De1.0a5hb
De5.01ahb De5.01ahb
De50.1ahb hab50.1De
hab50.deMs Masde50.hb
0 5 0 10 150 20 250 30 Kilometrs 0 5 0 10 150 20 250 30 Kilomet rs

Figure 2. Municipalities’ population in the basin in 1940. Figure 5. Municipalities’ population in the basin in 2004.

Poblaci—ne1960 Densidapoblc—190
N
N

2
Menosd50hab Menosd5hab/km
2
hab105De De6a10hb/km
2
De10a.hb De1a25hb/km
2
hab5.01De De26a50hb/km
2
De5.01ahb De51a0hb/km
2
De50.1ahb De10a5hb/km
2
Masde50.hb De501a.hb/km
2
De1.0a3hb/km
0 5 0 10 150 20 250 30 Kilometrs 2
0 5 0 10 150 20 250 30 Kilometrs M‡sde3.0hab/km

Figure 3. Municipalities’ population in the basin in 1960. Figure 6. Population density of the basin’s municipalities
in 1900.
that during the last century received lots of immigrants
from rural areas. The migrations during the 20th cen-
tury provoked the rural depopulation as many people by the reservoirs. The following figures show the
drifted to the cities. demographic evolution of the different municipalities
In 1940, the percentage of population of Madrid in the basin.
over the total basin’s was 56%, whereas in 2004 it The consequences of rural depopulation are even
reached the 88%. clearer when we analyse the evolution of the popula-
Since 1940 most towns in the basin have decreased tion density. Some areas of Guadalajara and Cáceres
their population. The exceptions are: those in the zone currently have densities of less than 10 inhabitants/
of influence of Madrid city, the capitals of the counties km2, as it is shown in the next figures (figures 6–10).
and those linked to the public irrigated lands supplied It is remarkable that big areas, mainly at the head of

354
 Densidapoblc—1940 Densidapoblc—204

N N

2
Menosd5hab/km 2
De6a10hb/km
2 Menosd5hab/km
2
De1a25hb/km
2 De6a10hb/km
2
De26a50hb/km
2 De1a25hb/km
2
De51a0hb/km
2 De26a50hb/km
2
De10a5hb/km
2 De51a0hb/km
2
De501a.hb/km
2 De10a5hb/km
2
De1.0a3hb/km
2 De501a.hb/km
2
2 De1.0a3hb/km
0 5 0 10 150 20 250 30 K ilometrs M‡sde3.0hab/km 2
0 5 0 10 150 20 250 30 Kilometrs M‡sde3.0hab/km

Figure 7. Population density of the basin’s municipalities Figure 10. Population density of the basin’s municipalities
in 1940. in 2004.

Densidapoblc—1960

2
Menosd5hab/km
2
De6a10hb/km
2
De1 a25h b/km
2
De26a50h b/km
2
De51a0hb/km
2
De10a5hb/km
2
De501a.hb/km
2
De1.0a3hb/km
2
0 5 0 10 150 20 250 30 Kilometrs M‡sde3.0hab/km

Figure 11. Irrigated land and population evolution from

Figure 8. Population density of the basin’s municipalities 1940 to 2004.
in 1960.

Densidapoblc—198

Re gadiospœblc
Evoluci—npba1940-2
Entrel-10%y
Entrel0%y5
Entrel50%y1
2 Entrel10%y
Menosd5hab/km N
2 M‡sdel10%
De6a10hb/km
2
hab/km25De1
De26a50hb/km 2 0 3 0 6 0 9 0 120 150 180 Kilometrs
2
De51a0hb/km
2
De10a5hb/km
2
De501a.hb/km
2

0 5 0 10 150 20 250 30 Kilometrs

De1.0a3hb/km
M‡sde3.0hab/km 2 Figure 12. Irrigated land and population evolution from
1970 to 2004.
Figure 9. Population density of the basin’s municipalities
in 1981.
depopulation. Hence, areas with public irrigated land
have escaped from the generalised trend of drifting
the Tagus, are almost depopulated, having less than from the land that took place during the 20th century.
5 inhabitants/km2. The irrigated land has been the origin of the eco-
nomic development of the area.
Figures 11 and 12 below show the result of the
4 CONCLUSIONS public irrigated land avoiding rural depopulation. We
present the population evolution in the periods
One of the main aspects of the public irrigated land in 1940–2004 and 1970–2004 for every municipality in
the Tagus basin, is the positive impact avoiding rural the basin.

355
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Dam failure consequences on water resources system

E. Triana, I. Escuder, M.G. de Membrillera & L. Altarejos

U. P. V. Universidad Politécnica de Valencia, Valencia, Spain
Departamento de Ingeniería Hidráulica y Medio Ambiente, Instituto de Ingeniería del Agua y Medio Ambiente

ABSTRACT: The estimation of dam failure consequences has been historically aimed to evaluate damages
caused by flooding. This work starts with a review of existing techniques used for that purpose as well as for life
loss estimation. Afterwards, a methodology to extend those existing methodologies and therefore account for
other consequences on the water resources system by means of numerical simulation coupled to economical
evaluation of the resource is made. Finally, a study case is presented.

1 INTRODUCTION a study case is presented and several conclusions

Dam safety issues have been since ever a major con-
cern related to such structures. Specially during last
three decades, the standards on this matter have been
raised and the probability of failure of dams has been
drastically reduced all around the world (Ministerio
de Obras Publicas de España, 1996).
Actually, the world trend on dam safety is focused in
establishing criteria to mitigate potential risks imposed
to the society and environment.
Assuming the objective impossibility of eliminate
risks, the so called risk analysis, assessment and man-
agement techniques are very useful in order to quantify
failure probabilities and consequences related to any
significant failure mode.
This work proposes a methodology that improves
consequence evaluation in the context of such tech-
niques. The estimation of dam failure consequences has
been historically aimed to evaluate damages caused
by flooding, without considering short, mid and long
term effects on the water resources system in which
the reservoir is integrated.
An approach to this extended problem was made
by Ekstrand (2000), who included the loss of benefits
or the cost of substituting the water supply source for
the users inside the total cost associated to dam failure.
This is the starting point of the present work where,
after reviewing the general trends on the matter, a
methodology to better account for those consequences
is proposed.
In addition, a detailed justification on how to use
the methodology to evaluate not only freeboard costs
as done previously by Escuder et al (2004) but also the
global impact on the water resources system is given,
remarked.
2 LOSS OF LIVES
Life losses related to dam failure floodings can be
estimated by means of different methodologies, most of
them developed to reproduce existing events making
use of rules and equations generally related to the so
called population at risk.
According to Waarts (1992), number of casualties
are depending on factors that can be divided in two
groups: First, the hydraulic characteristics of the flow
such as depth, velocity, peak discharge etc. and, second,
those features related to soil use and population (dens-
ity, occupation, emergency systems, etc.). The main
obstacle in order to perform a realistic estimation is to
reproduce the relation between all those individual
factors. As an example, Waarts (1992) fits two different
functions to reproduce data available from a flood in
Holland that happened in 1953.
(1)
(2)
Where h1
Casualties in terms of inhabitants in
zones 1 and 2 and h
water depth in meters.
Brown & Graham (1988) incorporated to life loss
estimation the concept of alarm time, defined as the
time from beginning of evacuation and the moment
when the dam failure wave flow reaches the place where
people are at risk. This alarm time is subsequently

357
split in three intervals, resulting in three different and
complementary equations:
(3)
(4)
(5)
where F
Casualties and (PAR)
Population at Risk.
Equation 3 applies for an alarm time inferior to 15 min-
utes. Equation 4 should be applied for an alarm time
between 15 and 90 minutues and Equation 5 for a time
exceeding 90 minutes.
Dekay & McClelland (1991) alter analysing 29
flooding events, fit two equations also defined in terms
of population at risk and alarm time, by means of
expressions that explicitly incorporate alarm time:
(6)
(7)
where Equation 6 is applicable to those case in which
more than 20% of houses are destroyed or seriously
damaged and Equation 7 is used for the complemen-
tary case.
Graham (1999) recommends some weights applic-
able to the PAR according to flooding severity, alarm
time, and people understanding of such alarm time.
Severity of the flooding is divided in 3 groups: 1. High
Severity is applicable to the vicinity of the dam and also
in case of concrete dam failures. 2. Medium Severity is
applied to areas where houses are seriously damaged
but people can still save their lives inside. 3. Low
Severity would apply to where houses are reached but
not affected by flooding. A complementary rule to
distinguish Low and Medium severities is to consider
Low Severity when water depth is kept below 10 feet.
3 ECONOMICAL COSTS
3.1 Direct and indirect damages
Kates (1965) proposed a methodology to unify damage
estimation due to flooding in areas where potential
damages may vary with time, consisting in a five step
approach: 1. Using of an economic model to estimate
population growth during the time analyzed. 2. Define
flooding areas by means of hydrological analysis and
include predicted increment of residential zones. 3.
Define type, location, size, content and economical
358
value of each structure in the flooding area as a func-
tion time. 4. Develope a curve to relate severity and
damages for every structure also in terms of time.
5. Aggregate curves that relate severity and damages
to derive another set of curves that show variation
with time.
James & Lee (1971) exposed that damages caused
by flooding are generally evaluated as the replacement,
fixing or rehabilitation cost of the affected zones. These
factors can be estimated by means of an in-depth
examination immediately after the event. With these
estimations repeated during several years a curve
frequency-damage can be built up. In parallel, the
distribution of potential damages can be obtained by
superimposing maps with information related to soil
uses, which should be also classified for different
ranges of frequency-severity pairs. In particular, in
order to express the severity on urban areas in mon-
etary terms a linear relation is used:
(8)
where Cd
flooding damages in monetary terms
Ms
Market price and d
water depth in feet.
In case of agricultural areas, damages can be esti-
mated as the difference of the obtained benefit with
and without flooding. In addition, the benefit can be
obtained by subtracting, from the final selling price of
the product, the budget needed for the production.
This production budget should include, in case of
flooding, cleaning and re-plantation costs. Indirect
damages are considered to be a 15% of direct damages
in case of urban areas and 10% in agricultural fields.
U.S.A.C.E. (1995) remarks the fact there are no avail-
able data to build the so called frequency-damages
curve, so other functions such us flow-depth and depth-
damages curves can be coupled (see Figure 1).
Frequency-flow function can also be built from
results coming from hydro-metereological models,
empirical equations or even by watershed inference
Figure 1. Illustration of transformation for traditional
expected annual damage computation.
analysis. Frequency-depth can be built from direct available to flood control. In any case, depending on
observations or by means of hydraulic models that the characteristics of the system, the location of such
can account river bed and flow conditions. volume, and the spatial and temporal structure of the
Finally, the so called “Plan de Acción Territorial de demands, the system will be more sensible to any type
Caracter Sectorial Sobre Prevencion del Riesgo de of freeboard requirements or, in an extreme case, to the
Inundación en la Comunidad Valenciana (PATRI- failure of the dam.
COVA)” provides a simplified methodology to esti- Ekstrand (2000) also considers inside of the so called
mate direct and indirect damages making use of the benefit losses of the project, the loss of benefits of the
depth in the flooded area and the vulnerability. The users that depend on the water supply from the dam.
influence of water table is included in the function of For this case, Ekstrand (2000) estimates such losses
depth-damage while vulnerability is expressed by according to the global demand of the resource multi-
means of coefficients related to different soil uses. plied by the cost reached by the water in different
(See Table 1). demands.
In this case, indirect damages can be considered to
a maximum of 55% of the direct ones.
4 PROPOSED METHODOLOGY TO ESTIMATE
3.2 Reconstruction costs
WATER RESOURCES SYSTEM COST
In dam failure cases, the cost of reconstruction and
operation of a new dam should be considered. Gener- 4.1 Economical evaluation of freeboards
ally, the procedure consists in a simple review of the
Escuder et al (2004) presented a methodology based in
former budget to actualize it. Ekstrand (2002) recom-
economical evaluation techniques together with water
mends estimate reconstruction costs from recent dam
resources system modelling to obtain the economical
safety rehabilitation projects.
value of freeboards. In that study, the economical affec-
tion of any increase of freeboard is defined as the dif-
3.3 Water resources system costs ference between the economical benefits received by
Wurb & cabezas (1987) described dam operation as a all the users without increasing freeboards and in the
conflict between the storage volume and the volume case of reducing the storage volume.
The method implies a post-analysis where the eco-
Table 1. Vulnerability (Direct Damages). PATRICOVA. nomical analysis is made after simulating the water
resources system operation without considering any
Magnitude economical parameter in the operating rules.
To perform the analysis it becomes necessary to
Cod Name High Low know the real performance of the system and how
resources are assigned to demands in any of the months
00 Residential General 68.7 22.9 under study, both for the normal case (BASE CASE)
01 Residential Low Density 68.7 22.9
02 Residential Medium Density 56.3 18.8
as for any reduction in storage capacity (MODIFIED
03 Residential High Density 75.0 25.0 CASE). Economical information to be used requires
04 Residential Very High Density 100.0 33.3 of economical demand curves, as shown in Figure 2.
05 Camping 68.7 22.9
06 Industrial, Storages, Garages 16.9 5.6
07 Industrial Low Density 16.9 5.6
08 Industrial high Density 68.7 22.9
09 Equipment 51.8 17.3
10 Services 52.8 17.3
11 Mixed 51.0 17.3
12 Without definition 0.0 0.0
20 Irrigation Vegetables 0.89
21 Irrigation Crops 0.34
22 Irrigation rice 0.34
23 Irrigation fruits 0.56
24 Irrigation citrics 0.83
25 Irrigation others 0.34
36 Dry herbs 0.34
37 Dry grapes 0.56
38 Dry olive 0.56
39 Dry fruits 0.56
40 Dry others 0.34
Figure 2. Net profit and net loss.

359
Those curves allow to characterize the behaviour of
the users, and are obtained by means of resource evalu-
ation techniques such as those described by Agudelo
(2001).
According to resource assignations during the simu-
lation period and for all demands considered in the
BASE CASE, the curve of economical demand of
every use allows to obtain the net profit as the integral
of the demand curve, as shown in Equation 9:
In addition, it is also important to introduce in the
model how hydrological uncertainties may affect the
costs related to the water resources system. With that
purpose, the described procedure should be run many
times making use of synthetic hydrological series.
With the results of the simulation model, and
applying equations 9 to 11, a cost can be obtained for
each input data thus making possible to estimate the
probability associated to that cost.

(9) (12)

where BNcbi
base case net profit for i demand,
fei
economical demand for i demand, Qcbi
base
case resource assignation for i demand.
Identically, once known the resource assignations
for the MODIFIED CASE, net profit can be obtained:
(10)
where BNcmi
modified case net profit for i demand
i, Qcmi
modified case resource assignation for i
demand.
The sum of net benefit for each of the uses consti-
tutes the total net profit of the system for both BASE
CASE and MODIFIED CASE. The economical value
of freeboard is obtained as the difference of this two
values (see equation 10):
(11)
where VER
economical value of the free-
board, BNScb
net profit of the system for the base
case, BNScm
net benefit of the system for the modi-
fied case.
where: Pcsr
probability of cost in the water resources
system due to dam failure, Ni
number of simula-
tions with a cost value inside the interval m
total
number of simulations.
This approach becomes especially important in the
risk analysis context.
5 STUDY CASE
5.1 Water resources system
The Turia River Basin is mainly located inside the
Comunidad Valenciana, with an approximate area of
7187.2 Km2. Population is over a million and a half
inhabitants, with a majority living close to the
Mediterranean Sea (see Figure 3).
Nowadays, a total area of 42662 Has is used for irri-
gation. 1736 Has are located at Teruel Province, while
the complementary (40926 Has) are in Valencia. A
significant portion (90%) of these irrigation fields are
downstream Loriguilla Dam, as shown in Figure 4.

4.2 Applicability to costs related to dam failure in

water resources systems
The exposed methodology directly analyzes the stor-
age capacity variation in a reservoir and the effects on
the water resource system, without introducing vari-
ables that could limit its applicability to reduced inter-
vals. In addition, the methodology can be used to find
the cost caused by dam safety failure in water resources
system, making equal to zero the storage capacity at
the failed dam for the MODIFIED CASE.
The time extent of the simulation should last as many
months as needed for reconstruction and operation of
the dam. The global cost can be thus obtained by means
of equations 9, 10 and 11.
Time scale depends on the interval adopted for cal-
culation (days, weeks, months, etc.) and for demand
curves definition. In any case, the time interval should
be the same for the simulation and demand curves. Figure 3. Urban demands location.

360
 The whole system is integrated by four dams Five sets of historical data related to different input
(Arquillo de San Blas, Benageber, Loriguilla and El locations are used (series extended from 1940/41 to
Buceo). The three first are located in series upstream 1999/2000) as hydrological series. Figure 6 shows the
Loriguilla dam. The total storage capacity is 286.5 Hm3, annual distribution of the 5 series used as input data
and only 54.2 Hm3 are kept in Loriguilla Reservoir to to the model).
its maximum level. In order to generate synthetic series an ARMA (2)
generator has been adjusted according to Mashwin
model, a stochastic analysis model that provided 1000
5.2 Modelling the system series out of each five historical ones.
The system has been modeled by means of the well
known Aquatool software package (Universidad Table 2. Urban demands.
Politecnica de Valencia), able to simulate complex
water resources systems, incorporating groundwater Demand
flows, links between groundwater and superficial Name Hm3
sources, and losses due to seepage, sun exposure, etc.
In addition, all type of operating rules, storage capacity 8.01* 0.158
and prioritization can be defined into the model. If the 8.02* 0.274
simulation is repeated a sufficient number of times, 8.03* 0.125
8.04* 0.023
statistical indexes related to hydrological risks can be 8.05* 0.283
obtained in order to evaluate the system (Andreu et al, 8.06* 0.069
1992). 8.15* 1.054
In particular, the Turia River model accounts for 25 8.16* 0.209
monthly defined urban demands, 14 of which are feed 8.18* 0.374
from underground sources. 10 of them are to be sup- 8.19* 0.095
plied from surface and are located downstream 8.20* 1.928
Loriguilla Reservoir with an annual 130.56 Hm3. 8.22* 21.458
On the other hand, 10 agricultural demands have 8.23* 10.043
8.25* 17.754
been considered (total annual value of 385.68 Hm3, as Burjasot 4.211
shown in Table 3). Paterna 6.528
The higher demand (Camp del Turia) in the System Manises 3.371
is supplied from Benageber Reservoir when the total Aldaia 2.902
storage volume adding Benageber and Loriguilla is Quarts de Poblet 2.917
greater that 80 Hm3, and otherwise is given form Xirivella 3.173
groundwater sources. Mislata 4.749
The three reservoirs included in the model are Paiporta 2.267
Arquillo de San Blas (21 Hm3), Benageber (211 Hm3) Torrent 11.745
Valencia 29.385
and Loriguilla (54.2 Hm3), as shown in Figure 5. Teruel 3.664

* Aquifer or groundwater source.

Table 3. Agricultural demand.

Demand
Name Hm3

Sierra de Albarracín 4.23

Riesgos Altos del Turia 18.78
Serranía de Valencia 5.37
Hoya de Buñol y Chiva* 17.41
Camp del Turia 90.33
Manantial de San Vicente* 8.89
Pueblos Castillo 72.90
R. Tradicionales. Acequia Moncada* 50.16
R. Tradicionales. Resto de Acequias 82.74
R. no Tradicionales de l’ Hort Nord 23.93

Figure 4. Localización de las Demandas Agrícolas. * Feed from groundwater sources.

361
 Table 4. Reliability associated to water supply for the
BASE and MODIFIED cases.

Base cases Modified cases

Name % %

Burjassot 97.361 97.222

Paterna 97.500 97.361
Manises 97.778 97.369
Aldaia 97.500 97.361
Quarts de Poblet 97.361 97.222
Xirivella 97.361 97.222
Mislata 96.806 96.667
Paiporta 96.944 96.806
Torrent 97.083 96.944
Valencia 97.083 96.944
Puyol 97.639 97.500
Camp del Turia 100.000 100.000
Pueblos Castillo 94.028 93.194
Acequia Moncada 94.028 93.194
Resto de Acequias 94.167 93.333
Riegos no Tradicionales 97.369 97.500

Figure 5. Reservoir location.

Figure 7. Cost frequency curve (costs to the water resources

system caused by dam failure).
Figure 6. Annual hydrological series (natural regime).

(1998) for the “Acequia Real del Jucar” have been

The first analysis has been performed for the so
called BASE CASE, making use of historical series
and with the three reservoirs at their maximum stor-
age capability (accounting in any case for the season
freeboards). Secondly, the so called MODIFIED CASE
is simulated without any storage capability at Loriguilla
dam, thus assuming its failure. As main results, the
supply reliability of all demands, focused on incre-
mental effects caused by the Loriguilla Dam failure.
Urban and agricultural demands located downstream
the dam are a 0.5% less likely to be satisfied (see
Table 4). The Camp del Turia demand is not affected
as it can be provided from aquifers but the increase in
pumping implies an additional cost that has to be
accounted.
In order to economically characterize the affected
demands, curves as those proposed by Sumpsi et al
adapted for traditional irrigation. To characterize the
demands of Pueblos Castillo, non traditional irrigation
areas and the Acequia Moncada curves proposed by
Deidda (2004) have been adjusted. Once such curves
have been adjusted, a monthly base decomposition has
been done for those curves to be consistent with the
simulation model. Lastly, urban demands have been
incorporated making use of a Cobb-Douglas type
equation, with constant elasticity through the year.
As a second step analysis, a 1000 simulation have
been made for both cases making use of synthetic
hydrological series.
The adopted time to replace the dam effects on the
system has been 7 years, and the obtained results are
summarized in Figure 7.
The highest obtained cost is 78.003.300€ for the
whole period, while the most usually obtained is in the

362

Figure 8. Accumulative cost probability (costs to the water
resources system caused by dam failure).
Figure 9. Cost accumulative probability due to pumping
increment in Camp del Turia (costs to the water resources
system caused by dam failure).
range 4.680.198€–5.460.231€ with a probability of
12.53%. Figure 8 shows the accumulative probability
of the cost.
From the curve, a cost of 11.700.495€ has an
exceedance probability less than 95%.
Re-analyzing the historical pumping needed by
Campo del Turia, additional pumping with a 95%
probability, would imply a cost of 8.039.925€ for the
whole simulated period (see Figure 9).
6 CONCLUSIONS
Dam failure consequences are typically divided in
two types: 1. Human Losses and 2. Economical costs.
These costs are also generally split in “direct” and
“indirect” due to flooding, dam reconstruction, and
water resources system affection. This last effect has
rarely been accounted.
Nowadays, the improvements in economical evalu-
ation of the (water) “resource” and in simulation capa-
bilities of complex systems, can be very useful to
evaluate these type of costs.
In particular, the methodology herein proposed
evaluates the incremental affection to the system due
363
to the loss of storage capacity. In addition, uncertainty
can be estimated by means of a sufficient number of
simulations, making use of synthetic hydrological data.
Also, these statistical indicators that can be obtained,
makes the method very suitable in a dam safety risk
analysis context.
However, as can be observed from the study case,
efforts have still to be done in order to properly char-
acterize demands (economically).
ACKNOWLEDGEMENTS
Research has been undertaken under a research project
entitled “Analisis de la influencia de la disminucion
de riesgos de rotura de presas sobre el incremento de
riesgos de la insatisfaccion de las demandas en sis-
temas de recursos hidricos” sponsored by the Spanish
Ministry of Science and Technology (30%) and
FEDER funds of the European Union (70%).
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Simges de Simulación de la Gestión de Recursos Hídricos
incluyendo Utilización Conjunta. Manual de Usuario 2.0.
Universidad Politécnica de Valencia. Valencia, España
Balairon, L. 2000. Gestión de Recursos Hídricos. Centro de
Publicaciones del Camp Nord. Barcelona, España.
Brown, C. & Graham, W. 1988. Assessing the Treat to Life
from Dam Failure. Water resources Bulletin, 24 (6):
1303–1309.
Deidda, D. 2004. Análisis Económico de Sistemas de Recursos
Hídricos Mediante Modelos de Simulación: Aplicación a
la Cuenca del Río Jucar. Ejercicio Fin de Carrera.
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Dekay, M. & McClelland, G. 1991. Setting decision çthresh-
olds for Dam Failure Warning: A Practical Theory-Based
Approach. Center for Research on Judgment and Policy,
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Nacional de Hidráulica e Hidrología, Armenia 29–31
Octubre. Armenia, Colombia.
Graham, W. 1999. A Procedure for Estimating Loos of Life
Caused by Dam Failure. U.S Department of the Interior.
Bureau of Reclamation. Report Number DSO-99-06.
James, L. & Lee, R. 1971. Economics of Water Resources
Planning. McGraw-Hill Series in Water Resources And
Environmental Engineering. McGraw-Hill (ed.) New York.
Kates, R. 1965. Industrial Flood Losses: Damage Estimation
in the Lehigh Valley. Department of Geography Res.
University of Chicago. Paper 98:37.
Ministerio de Obras Públicas de España. 1996. Reglamento
Técnico Sobre Seguridad de Presas y Embalses.
Salas, J. Delleur, J. Yevjevich, V. & Lane W. 1980. Applied
Modelling of Hydrologic Time Series. Water Resources
Publication (ed.) Michigan, U.S.A.
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Sumpsi, C. Varela, J. Garrido, A. Blanco M. & Iglesias, E.
1998. Economía y Política de Gestión del Agua en la
Agricultura. Ediciones Mundi – Prensa. Madrid, España.
U.S. Army Corps of Engineers. 1995. Hydrologic Engineering
Requirements for Flood Damages Reduction Studies.
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Wurb, R, & Cabezas L. 1987. Analysis of Reservoir Storage
Reallocation. Journal of Hydrology. 92:77-95.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

New large dams are necessary in FYR Macedonia

L. Tanc
ev & L. Petkovski

University “Sts Cyril and Methodius”, Faculty of Civil Engineering, Skopje, FYR Macedonia

ABSTRACT: FYR Macedonia has an area of 25,713 km2 and a population of 2 million. The annual average
precipitation is approximately 730 mm/year, but it ranges from 380 mm in some parts of Eastern and Central
Macedonia, up to 2000 mm in the some mounting regions of Western Macedonia. Total mean annual runoff is
7.5 km3. The uneven distribution of water regarding space, time and quality, to a great extent renders difficult the
utilization of water resources. This imposes a need for the artificial redistribution of waters by undertaking
expensive engineering measures, in order to obtain water for a given place and in a defined quantity as well as at
a pre-determined moment in time. The construction of dams in the FYR Macedonia dates from 1938, and until now
24 large dams have been built which enclose impounding reservoirs, with total storage capacity of 2.4 km3. The
dams are mostly multipurpose – they serve for irrigation, electricity production, flood control and water supply. The
highest dams among them are the embankment dams Kozyak with structural height of 130 m, Tikvesh (113.5 m )
and Shpilje (112 m). The potential of rivers in FYR Macedonia is utilized to hardly 30%, and yet there is a per-
manent shortage of water for various purposes. Due to this fact, as well as due to strongly expressed uneven dis-
tribution of water, it is indispensably necessary to construct new large dams with impounding reservoirs.

1 INTRODUCTION
Water plays an exceptionally significant role in the
economy and in the life of all countries. It is of crucial
importance to the existence of people, animals, and
vegetation. The settling of people in different regions of
the Earth has always been closely dependant on the
possibilities for water supply, parallel with those for
providing food, shelter, and heat. The increase in pop-
ulation, as well as the development and enrichment of
mankind, in a number of places has reached a level at
which the water supply, needed for the population,
industry, irrigation, and production of electric power,
has been brought to a critical point.
FYR Macedonia is located in the central part of the
Balkan Peninsula, in the area between 20°27’and 23°01’
longitude East (East from Greenwich) and 40°51’ and
42°21’ latitude North. It covers an area of 25,713 km
with a population of about 2 million inhabitants. Its
mountain relief, vast valleys and numerous long and
narrow ravines distinguish the topography of the ter-
ritory of the FYR Macedonia (Dodeva 1999).
The territory of the FYR Macedonia is under an
influence of the modified Mediterranean type of cli-
mate resulting from the Continental, Middle European
and dry Eastern climate influences, the influence of the
mountain climate, as well as the secondary factors –
relief and elevation. As a result of the climate corridors,
the relief in the inland area and its high latitude, there
is a great spatial variability of different climatic param-
eters: rainfall, temperature, air pressure, winds, low
humidity and other factors significant for the water
regime.
The distribution of the rainfall is very unfavorable in
space and time and relatively small in quantity, as a
result of the Continental climate and the Mediterranean
influence. Nevertheless, it contributes with its input to
the renewable water quantity in our country, and is the
most important factor for the water cycling. The uneven
distribution in time and space results in long dry periods
(summer-autumn and shorter winter periods). On the
other hand, there is abundant rainfall between October
and December, and limited rainfall between March and
May. Such a distribution of the precipitations, together
with the other meteorological phenomena categorizes
Macedonia as a semi-arid area.
For the people in our region, agricultural production
has been even for ancient times the basic source of exis-
tence. The first agricultural civilization in Europe has
been existent on Macedonian land some 10,000 years
ago. In order to fight droughts, and at the same time
protect themselves from floods, the farmers associated
themselves in different ways. They tried jointly to
capture the surface water and convey it to the arable
land or to make primitive embankments in order to
defend themselves from the destructive power of
floods (Dodeva 1999).

365
 After the World War II, from 1945 onward, when the
first Assembly and Government of the FYR Macedonia
were constituted (in the frame of Federal Republic of
Yugoslavia), special priority was given to water and
water management. At that time, within a relatively short
period, plans were elaborated for the water manage-
ment development, respectively for irrigation, drainage,
hydropower, flood control, protection of the riverbeds
and riverbanks, erosion and torrent control, pollution
control, etc.
2 AVAILABLE WATER RESOURCES
2.1 Surface water
The most significant place in water supply among
usable waters is that of river courses. The rivers in the
FYR Macedonia belong to three catchment basins,
Figure 1 (Tanc
ev 2005):
1. The Aegean basin, in which they flow out through
the rivers Vardar and Strumica;
2. The Adriatic basin, to which they are taken away
through the river Crn Drim (Black Drim); and,
3. The Black Sea basin, through the river Binachka
Morava, which extends over a quite insignificant part.
The biggest is the catchment basin of the River
Vardar, which extends to some 20,525 km2 or 80% of
the territory of the FYR Macedonia, Figure 1. Taken on
Figure 1. Catchment basins in the FYR Macedonia.
366
average the rivers in the FYR Macedonia contain around
0.4 km3 of water, i.e. a total of 7.5 km3/year flows
through these rivers. From this, it is possible to con-
clude that each inhabitant of the FYR Macedonia has
half the quantity of river water in the world average.
The annual average precipitation in the entire state is
approximately 730 mm/year, but it ranges from 380 mm
in some parts of Eastern and Central Macedonia, up to
2000 mm in some mounting regions of Western
Macedonia. According to the particular catchment areas,
the precipitations are distributed as follows: Vardar
catchment area approximately 700 mm, Crn Drim
980 mm, and Strumica 791 mm.
Droughts sometimes are extending to over a hundred
days, usually in the central part of the country, mainly
during the summer period (July–September). The short
and intensive rainfall is also a typical feature of the FYR
Macedonia. It produces intensive erosion and local
floods that sometimes cause destruction of structures
or land sliding.
Very important water resources for FYR Macedonia
are their three natural lakes: Ohrid, Prespa, (belong
to Crn Drim catchment area), and Doyran (belongs to
Vardar catchment area).
The biggest is Ohrid Lake (under protection of
UNESCO), with endemic characteristics similar to
those of the Baykal Lake and the Tanganyika Lake.
The total volume of Ohrid Lake is 50.7 billion m3, the
water surface covers an area of 356.8 km2, and its
maximum depth is 270 m. The water surface is at an
average elevation of 693.4 m.a.s.l. 105.82 km2 of its
water surface area belongs to the Albania. The River
Black Drim, a very important energy resource, out-
flow from Lake Ohrid.
The Prespa Lake is separated of Ohrid Lake by
Galichica Mountain. Situated at higher altitude than
Ohrid Lake (850 m.a.s.l.), Prespa Lake has a total vol-
ume of 4.8 billion m3, with a water surface of
327.7 km2, and maximum depth of 55 m. This Lake
we share with Albania and Greece, so that 197 km2 of
its water surface belongs to Macedonia, 48.4 km2 to
Albania and 82.3 km2 to Greece. During the last 15
years, there has been a significant decline of the water
level of Prespa Lake (up to 6 m).
Doyran Lake, situated in the South-Eastern part of
Macedonia, is our smallest natural lake. It is also a bor-
der lake that we share with Greece. The total water sur-
face area is 42.6 km2, of which 25.6 km2 belong to the
FYR Macedonia, and 17.0 km2 to the Greece. From
1988 to 2002, the lake lost fl of the water quantity,
which means reduction to 50 million m3. The reasons
for this rest both on a dry cycle, and on the human fac-
tor. The Doyran Lake is a separate ecosystem with very
specific flora and fauna, threatened to be destroyed
by this disaster. During last three years the level of the
Doyran Lake has risen, as a result of the improved
hydrological situation, but also as a result of an artificial
water supply from an aquifer, situated at a distance of
more than 20 km. Namely, in 2002 a water supply sys-
tem, containing 10 wells, pumps, 20 km long pipeline,
reservoirs, channels, and other necessary structures and
equipment, was built. This system, with capacity of
1 m3/s, enables up to 30 million m3/year underground
water to be transferred to the lake.
2.2 Underground water
The underground water does not have any impact on the
available water balance, but they are important because
of their quality. One part of this water recharge the
underground reservoirs-aquifers, mainly created in the
main ravines and river valleys. They are fed by rainfall
water. There is insufficient data about the underground
water. However, there is some information about the
underground water level oscillations in the Polog Valley,
Skopje Valley, Ovche Pole, Kochani Valley, Strumichko
Pole, the Bitola part of Pelagonija, and Strushko Pole. It
is estimated that more than 300 million m3 water per
year percolates in the underground.
2.3 Spring water
The total registered number of springs accounts for
4414, of which 58 have a capacity of over 100 l/s. Most
of them are located in the western regions. In the
River Treska catchment area there are 18 springs, in
the River Vardar catchment area to the River Pchinja,
367
excluding the River Treska, there are 19 springs of
which the most important is the Rashche spring with
an average capacity of 3.5 m3/s (the maximum is over
6.0 m3/s). This spring is of extreme importance for the
water supply of Skopje and its surroundings, with its
inhabitants of over 600.000. In the catchment area of
the River Crna there are 4 such springs. In the catch-
ment area of the Crn Drim, including the Ohrid Lake,
there are 7 springs, of which the biggest one is
St. Naum with a capacity exceeding 10 m3/s. A specific
feature of the spring water is the oscillations in its
capacity. It reaches its maximum during May and June
and after the heavy autumn precipitation. According to
the existing estimations, the total flow of these springs
is over 24 m3/s (Dodeva 1999).
2.4 Mineral water
There is cold mineral water in the regions of Bitola,
Skopje, Kumanovo etc, exploited and used for drinking.
Thermal water is spatially connected with the neo-
tectonic fissure structures in the Vardar zone or with the
transversal fissure marginally located in the depressions.
This water is mainly used for thermal bath needs, while
limited quantity, as for example in Kochani, is used for
heating greenhouses and premises. Because of their
rather small quantity, as well as the chemical compo-
sition, they are treated as water resources for specific
purposes.
3 DAM CONSTRUCTION PRACTICE
3.1 General questions
The construction of dams in the FYR Macedonia dates
from 1938, when the Matka arch dam was built, located
on the River Treska, in the vicinity of Skopje. Until now
24 large dams have been built which enclose impound-
ing reservoirs, Figure 2 and Table 1, as well as 4 tailing
dams, (Tanc
ev 2005).
The highest dams among them are the Kozyak
(H  130 m above the foundation), Tikvesh (113.5 m )
and Shpilje (112 m) embankment dams. Many small
dams (110) have also been constructed, chiefly, dur-
ing the last 30 years. Different kinds of dam sites are
presented in Macedonia concerning the geological,
topographical and hydrological conditions. That is why
between the built dams there are both concrete and
embankment dams (Tanc
ev 2003).
3.2 Concrete dam practice
The oldest and at the same time the only dam built in
Macedonia before World War II (1935–38), is the
Matka, now St. Andrea dam, a reinforced concrete arch
dam (near Skopje), which still serves its purpose –
forming a reservoir and a head for electricity production.
Figure 2. Dams in Macedonia (after Tančev 2005).
It dams the gorge of the River Treska, at a narrow site
with a V-form, composed of sound rock. The dam
consists of 10 arches with different radii of curvature,
each being 3 m high. The thickness of the lowermost
arch is 1.6 m, while that of the uppermost is 1.0 m.
The concrete contained 325 kg cement per m3 of high-
strength low-setting. Between individual arches there
have been carried out horizontal joints with several
coatings of bitumen and a thin zinc sheet.
For achieving water-impermeability a copper sheet
of 0.5 mm has been built in, which has penetrated some
25 cm into the neighbouring arches. On the right side
there have been constructed a spillway structure and
an outlet works, while on the left side the intake struc-
ture to the power house has been placed. The sound
rock in the foundation and also the rather solid and reli-
able construction of the dam, have enabled it to be in
service up to the present day, surviving without dam-
age the strong Skopje earthquake of 26th July 1963
(YCOLD 1970, 1971).
Since the World War Two, five other arch dams of
medium height have been constructed. The construc-
tion with a constant external radius of the arches, and
with a constant central angle, which is suitable for rec-
tangular dam site, has been employed for the Lipkovo
and Gratche dams.
The Lipkovo Dam, 40 m high above the founda-
tion, has a ratio H:L  1:5. It impounds a reservoir of
368
2.25 million m3, intended for irrigation and water sup-
ply. It has been carried out in geologically favorable
conditions. The relatively wide dam site has imposed
a constant radius and a central angle type of dam. The
central part of the dam is an overflow part, with nine
uncontrolled spillway spans, with a total capacity of
152 m3/s. The concrete has been placed in blocks 2 m
wide and 8 m long.
The Gratche Dam has been constructed on the
Kochanska River, which flows through a canyon with
very steep banks. The foundation is composed of crys-
talline schist. The height of the dam above the ground
amounts to 29 m, while above the foundation it is
43 m. The part above the ground is a thin reinforced
concrete structure, founded on a massive concrete
block, which cuts into the thick layer of river sediment.
At the crest, 150 m long, the dam is 1 m wide. Going
downwards, the thickness increases and, near the con-
crete block, it amounts to 3.45 m. The massive con-
crete block in the foundation is 6.45 m wide and 14 m
deep. It plays the role of a plug through the deposited
sediment material, serving also as a foundation of the
dam. In the horizontal sections of this dam, as in the
other arch dams carried out in Macedonia, there is a
constant thickness. In the dam’s body there have been
incorporated 12,000 m3 of concrete, with an average
reinforcing with 40 kg reinforcing steel per 1 m3 of
concrete.
Table 1. Large dams in Macedonia.

Year H HS L VD [m3 VR [m3

Name River completed Type [m] [m] [m]  103]  106] Purpose

1. Matka (St. Treska 1938 AR 29.5 38 64 3 3.55 HEP

Andrea)
Mavrovska 1952 EAR 54 62 210 777 357 HEP, IR
2. Mavrovo Lipkovska 1958 AR 29.5 40 203 13 2.25 IR, WS
3. Lipkovo Kochanska 1959 AR 29 43 150 12 2.4 WS, IR
4. Gratche Otovica 1962 AR 27 34 73 2.56 8 IR
5. Mladost Crn Drim 1965 E-R 82.5 90 196 998 58 HEP
6. Globochica Vodocha 1965 E-R 4 48.7 185 316.8 26.7 IR, WS
7. Vodocha Oreovechka 1966 MA 35 38.5 408.5 25.5 6 IR
8. Prilep Crna Reka 1968 E-R 104 113.5 338 2722 475 IR, HEP
9. Tikvesh Bregalnica 1969 E-R 85 92 240 1389 127 IR, HEP
10. Kalimanci Crn Drim 1969 E-R 101 112 330 2699 520 HEP
11. Shpilje Ratevska 1972 AR 49 53 194 21.7 10.5 WS, IR
12. Ratevska Turiya 1972 E-R 77.5 93 417.3 1978 48 IR, WS, HP
13. Turiya Lipkovska 1972 AR 71.5 80 344 168 22 IR, HEP
14. Glaznja Lakavica 1975 E-R 37.5 49 138 261 47.5 IR, WS
15. Mantovo Shemnica 1982 E-R 76 84.6 632 4300 112 IR, WS, HEP
16. Strezevo Luda Mara 1982 EAR 21.1 21.5 310 185 2.9 HEP
17. Paljurci Suvodolska 1982 EAR 33.9 38.3 941 1740 7.88 IR
18. Suvodol Mavrovica 1982 EAR 24 29 360 400 2.8 R, WS
19. Mavrovica Ilovichka 1999 E-R 27.8 29.8 274 131 0.5 WS, IR
20. Ilovica Treska 2004 E-R 114 126 300 3340 550 WS, IR
21. Kozyak Markova 2005 E-R 26 30 72.5 64.6 0.66 R, HEP,
22. Markova Reka (2006) ERT 66 76.9 579.6 3295 23 WS
Reka
23. Lisiche* Topolka (2006) R-F 41 45.2 165 260 1.08 WS
24. Loshana* Loshana WS, IR
WS

Key: H – height above ground; Hs – structural height; L – length of dam crest; VD – dam volume; VR – maximum reservoir
capacity; EAR – earth-fill dam; E-R – earth-rock dam; R-F – rock-fill dam; AR – arch dam; MA – multiarch; WS – water supply;
IR – irrigation; HEP – hydroelectric power; R – retention; *– dams are finished, some appurtenant structures are under construction.

The frontal spillway is completely separated from
the dam’s body and consists of four spillway spans,
with total overflow capacity of 120 m3/s. The pipe of
the bottom outlet, accommodated in the central part
of the dam, has a diameter of 1000 mm.
Other three arch dams are with a double curvature –
the Mladost, Glazhnja and Ratevska River dams.
The Glazhnja dam, built in 1971, is located 5 km
upstream of the Lipkovo dam. With its structural height
of 80 m, it is the highest concrete dam in Macedonia.
The dam impounds a reservoir storage of 22 million m3,
intended for a quality regulation of the waters of the
Lipkovska River. In its central part there has been car-
ried out an uncontrolled spillway with discharge capac-
ity of 175 m3/s. Downstream of the dam it has been
formed a stilling basin in to which, also, the water of the
bottom outlet is discharged. The concrete mixture was
prepared with crushed limestone, while concrete depo-
sition has been carried out in blocks of 1.5  14 m.
The third arch dam constructed in Macedonia by
using double curvature, is the Ratevska River dam. It
impounds a reservoir with a volume of 10.5 million m3,
intended for irrigation. The dam site is composed of
gneiss, while the lack of symmetry from a topographical
viewpoint has been corrected with massive concrete
blocks in both banks. The spillway, with a capacity of
70 m3/s, is situated in central dam’s part. The struc-
tural dam height is 53 m. The dam’s body is divided
by means of vertical joints at each 16 m. Below the
dam, there has been carried out contact grouting, as
well as a deep grout curtain.
It is characteristic that all three arch dams with
double curvature built in Macedonia are inclined
towards the upstream face, although all of them have
an overflow part. This means that advantage has been
given to the stability of the dam, in relation to the con-
ditions for overflowing.
The seventh concrete dam in Macedonia is the but-
tress dam Prilep, built in the vicinity of the town of
the same name (March 1964–March 1966). The dam
is 35 m high above ground, while the dam site, with
granite bedrock, is wide, so that the length along the
crest of the dam amounts to 408.5 m. The clients
decided in favor of a combined dam with a dominant

369
central part of a buttress dam with a multiple-arch deck,
280 m long. It consists of 14 inclined cylindrical shells,
resting on 13 buttresses and two blocks at the ends. The
buttresses are spaced at a mutual axial distance of 20 m.
The buttresses have been reinforced with 14 kg reinforc-
ing steel per 1 m3 concrete. In the longitudinal direction
the buttresses are stiffened with six beams. The cylindri-
cal shells have a constant thickness along the entire
height – 0.60 m. The execution has been in impermeable
concrete (30 MPa) and reinforcement amounting to
45 kg steel per m3 concrete (Tanc
ev 2003, 2005).
At the right side there has been executed a gravity
concrete part, with a maximum height of 10 m, which
has been shaped as a spillway, which consists of 8
overflowing spans. To the left the dam ends with an
embankment part, 78 m long, with a maximum height
of 14 m. A reinforced concrete facing 20 cm thick has
been constructed to act as an impermeable element
for this small embankment. The dam’s body is carried
out of rockfill, with slope inclination of 1:1 upstream
and 1:1.2 downstream.
The dam forms a reservoir with an available stor-
age capacity of 5 million m3, intended for irrigation
of tobacco fields. In the course of its 35-year service
it has been operating successfully. There are ideas for
increasing the available storage capacity by heighten-
ing the dam.
3.3 Embankment dam practice
The practice of embankment dam construction in
FYR Macedonia started with the Mavrovo dam. It is
an interesting example because the construction was
commenced in 1948, in time when powerful equipment
were not available. The entire hydraulic scheme was
commissioned for use 10 years later. The dam is
located at the beginning of the craggy part of the
Mavrovo River, at 25 km from Gostivar. It impounds
a storage capacity of 357 millions m3. The Mavrovo
dam is the key-structure within the hydraulic system,
intended for electricity production. It is an earthfill
zoned dam, 56 m high, with 210 m long dam crest.
The dam’s body consists of different materials,
located according to their purpose. Different low-
pervious earth materials have been built into the cen-
tral part. The shells are carried out of schist, protected
on the surface by means of a lining of crushed stone.
Below the upstream and downstream shell, as well as
partially below the low-pervious zone, the layer of
sediment of alluvium gravel has been left. The foun-
dation at the dam site consists of volcanic andesite
and dacite tuff. There is a grout curtain below the dam
(YCOLD 1970, 1971).
It is interesting that the hydraulic scheme Mavrovo is
not provided with spillway. This is possible due to high
retention capacity of the reservoir, the small catchment
area (part of the water is supplied by tunnel from
370
another catchment area) and high installed capacity in
two power plants.
Later on, several other earth dams are built in
Macedonia, but important achievements on the field of
embankment dam construction are gained by using
earth-rock dams with central clay core. Among them,
the largest are several dams with slightly sloping core.
One of them is Turiya, carried out in the sixties in the
vicinity of Strumica. The embankment is 80 m high
and is built on a thick layer of alluvial sediment. The
clay core is founded on wells of clay-concrete, which
has lower stiffness than concrete, which makes it pos-
sible to adapt to the deformations. The mix of clay-
concrete is designed to correspond to the requirements
set up with the seismic analysis, to be impermeable at
least same as the core and, to be able to be built in by
means of pumps. It has been achieved strength of the
incorporated clay-concrete greater than 1500 kN/m2.
Tikvesh Dam, built in the period 1964–68, was the
highest embankment dam in former Yugoslavia. It dams
the river Crna Reka in the vicinity of Kavadarci and
enables storing of 475  106 m3 water, aimed for irriga-
tion and electricity production. The foundation at the
dam site consists of various kinds of schist, while in the
riverbed amphibolites are found. The rock mass, mainly,
is non-homogeneous and anisotropic. The dam body
has been compacted in layers of 5 m each, with hydro-
monitors. The thin clay core is quite slightly inclined. It
is joined with the foundation through a grouting gallery,
which rests on a high concrete block. A three-row grout
curtain was carried out from a gallery.
Two significant embankment dams, with sloping
core, are built on the river Crn Drim – Globochica
(H
82.5 m) and Shpilje. Shpilje dam, located near
the Albanian border, was constructed in the period
1966–70. With its height of 101 m above the ground, it
impounds a storage space of 520  106 m3. The dam is
carried out of gravel with a clay core. The foundation
of the dam site has a complex geological structure.
Basically, limestone and marly schist are present,
while in the riverbed – the alluvial sediments reach
the depth of 12 m. Because of the tectonic damage con-
ditions, the materials in the foundations are moderately
to high water-permeable. The sediment material in the
riverbed is cut off with a concrete diaphragm wall 6 m
thick, in its greatest part worked out as a caisson type,
under conditions of unprotected construction pit. The
diaphragm wall is carried out by sinking 4 caisson
blocks each 12 m long, with free space in between of
0.8 ÷ 1 m, filled with sediment. At the downstream
face, these interspaces are closed by means of sheet
piles and by grouting with clay-cement mixture.
Through a grouting gallery, which is placed on a cais-
son diaphragm wall in the riverbed, a grout curtain
100 ÷ 145 m deep is carried out.
In the summer 2004 the highest dam in Macedonia
was commissioned – Kozyak Dam, on River Treska,
some 16 km upstream from existing dam Matka. This
is a key-structure in the multipurpose scheme with
the main task flood protection with retention storage
of 100  106 m3. Also, it will serve for electricity pro-
duction (152  106 kWh per year) and water-supply.
Kozyak Dam is an earth-rock dam with structural
height of 130 m. The dam site is narrow, with valley
slopes of 1:1 and 1:1.5 respectively. The dam body is
built from rockfill (limestone), taken from the quarry
near the dam, while the waterproof element is in the
form of slightly inclined core. The clay was transported
from distance of 15 km. For transition layers separated
material from River Treska was used, but additional
quantity of material was transported from distance of
40 km.
At the beginning of 2006 Loshana dam is expected
to be finished, our first rockfill dam with geosyn-
thetic lining. With a height of 41 m, it forms a reser-
voir with storage capacity of 1  106 m3, for water
supply of the town of Delchevo. The foundation is
from granite, as well as the dam body. The material
was borrowed from the future reservoir. The decision
to apply geosynthetic lining was imposed by the lack of
suitable cohesive soil material in the dam site vicinity.
Firstly, a reinforced concrete plinth in the upstream toe
was constructed with purpose to support the lining and
to serve as a grouting base. A filter layer was provided
below the lining (2 m thick in normal direction to the
lining) and above foundation (1 m thick). The lining
consists of following elements: 1) supporting layer of
lean concrete with cement content of 65 kg/m3, maxi-
mum grain-size 12 mm, 7 cm thick; 2) geotextile,
500 gr/m2; 3) PVC geomembrane, d
2.5 mm;
4) geotextile, 500 gr/m2; 5) protective precast reinforced
concrete slabs 1  1 m, d
10 cm. The joint between
the geomembrane and the concrete plinth was made by
special care. Above the geomembrane along the whole
length of the joint a strip from special non-oxidize steel,
40 mm wide and 6 mm thick, was placed. The steel
strip, together with the geomembrane, was fixed with
the plinth by means of special screw-bolts, Ø10 mm, at
a distance of 15 cm. The watertightnees was improved
by special putty placed between the geomembrane and
the concrete below the whole length of the steel strip.
The protective concrete slabs were produced in the
contractor’s factory of precast elements located 16 km
from the dam-site and were placed by means of a
crane. The total covered area was 9000 m2 and the
effective construction time of the lining was 3
months. Geosynthetic material was produced in
Belgium and Spain and the placement was done by a
firm from Croatia. The dam is provided by side-chan-
nel spillway. The dam body was finished at the end of
2002, but due to lack of funds the grouting works
were postponed (Tanc
ev & Petkovski 2003).
At higher embankment dams shaft (morning
glory) spillways was used (Shpilje, Tikvesh, Kozyak,
371
Globochica, Strezhevo), while at others side-channel
and frontal spillways were used. The flood water was
calculated with probability of 0.01% for embankment
dams, and 0.1% for concrete ones. The largest capacity
has the shaft spillway of Shpilje Dam – 2100 m3/s, but,
during the 30 years of service there was not spilling
larger than 150 m3/s. The similar situation we have at
other dams.
During the whole period of almost 70 years con-
struction and service of dams in Macedonia, there was
no serious incident, despite the lack of funds for main-
tenance and reparation. Monitoring and surveillance
have performed continually, but a lot of devices are out
of use and have to be replaced.
In the last 25 years much attention was given to the
development and application of advanced methods for
static and dynamic analysis of dams. Contemporary
models and computer programs have been developed
for numerical analysis of both concrete and embank-
ment dams. They have been applied in the scientific
and practical problems (Petkovski & (Tanc
ev 2003,
Tanc
ev & Kokalanov 1995). Also the usage of com-
mercial programs is spread. Last years, we have worked
on the three-dimensional models for analysis of
embankment dams. With the rapid advancement of
computer technology the three-dimensional analysis
of embankment dams becomes much more accessible.
In the future, at narrow dam sites, with inclinations of
the valley sides steeper than 1:3, the three-dimensional
analysis should be compulsory (Dodeva et al. 2002,
Tanc
ev et al. 2005).
4 FUTURE NEEDS
Current needs for potable and industrial water in
Macedonia are around 400 million m3/year. In this
moment it is very difficult to estimate the rate of
country’s economic growth in the next decades. There
is an estimation, which seems reasonable, that in
2025 the need could be doubled, i.e. new 400 million
m3 water per year would be necessary.
With the existing irrigation systems 35–40% of the
suitable agricultural land is covered. The current
demand for water for this important water economy
branch is 900 million m3 per year. To maximize the
economic effects in the next period, priority is given
to the rehabilitation and reconstruction of the existing
old infrastructure. One of the aims is to reduce water
losses, which in some systems exceed 50%! However,
to cover 230.000 ha of arable land suitable for irrigation
in the next decades – which is our plan – it will be nec-
essary to ensure new 1700 million m3 water per year.
The total annual electricity consumption in FYR
Macedonia is around 7000 GWh, representing a per
capita consumption of about 3500 kWh/year. During
the next decade the consumption is expected to increase
by 3 percent/year. The main sources of electricity in
average year are: thermal plants on coal 80%, hydro
15%, and import 5%. But, it is important that there is
520 MW of installed hydro capacity in operation,
mainly with large reservoirs, suitable to satisfy the
peak demands.
To satisfy the growth of the demand in the next two
decades, new production facilities, with a total installed
capacity of more than 1400 MW and a possible annual
production of 4200 GWh, need to be constructed.
Around 760 MW power, and 1200 GWh/year produc-
tion is planed to be gained by hydro plants (according
to the Master Plan from 1975 the technically feasible
hydropower potential is around 5500 GWh/year). The
major hydropower projects planned (all with large dams)
are: Sveta Petka, river Treska, H
50 m, 36 MW,
53 GWh/year, (under construction); Boshkov Most, river
Jadovska, H
45 m, 70 MW, 127 GWh/year; Chebren,
river Crna, H
192 m, 150 MW, 286 GWh/year);
Gradec, river Vardar, H
42 m, 55 MW, 252 GWh/
year), Galishte, river Crna H
140 m, 195 MW,
257 GWh/year, and, Lukovo Pole, 103 GWh/year.
Two of these dams, Chebren and Galishte, will serve
also for irrigation. To satisfy the increased demands for
different purposes, more large dams are planned, as:
Knezhevo, (main structure of the multipurpose
hydrosystem “Zletovica”), H
75 m, commencement
of the construction is planned for August 2006; Vakuf,
river Kriva Reka, (multipurpose); Razlovci, river
Bregalnica, irrigation; Konjsko, river Konjska, irriga-
tion; Plavaja, river Plavaja, irrigation.
Damming the rivers and forming large reservoirs,
two major axioms are always under our consideration:
The development must respect the principle of sus-
tainability, and the environment has to be protected
from possible negative effects. By fully respecting these
two major axioms and using our own experience, as
well as the experience of the developed countries, the
future generations may enjoy the benefits of clean,
well preserved, wisely utilized and planned water
resources (Dodeva 1999).
5 CONCLUSIONS
Concerning the number of citizens and the area of ter-
ritory, one can conclude that FYR Macedonia has a rel-
atively rich practice of dam construction. From the first
finished dam in 1938 up to now 24 large dams and,
about 110 small ones, have been constructed. The total
volume of the reservoirs is around 2.4  109 m3.
With two-three exceptions, the large dams in Mace-
donia have been built on rock foundations and in rela-
tively favorable topographical conditions. The most of
372
dams are of embankment type, but, also one multiple
arch dam and six arch concrete dams have been con-
structed. Among embankment dams three are higher
than 100 m and they are appreciable achievements not
only for Macedonian conditions. Embankment dams
are mainly of earth-rock type, but, in the latest time a
geosynthetic lining has been applied as a waterproof
element at one rockfill dam. Most of the dams were
built up to 1982 and a need of some reparations and
replacement of the monitoring equipment is necessary.
The need of water for different purposes increases
from year to year. On the other hands, an appreciable
part of the river potential in Macedonia is still unused.
That means we have to build new dams in order to cre-
ate more reservoir space for water supply, irrigation,
electricity production, flood control, and so on. The
development must respect the principle of sustainabil-
ity, and the environment has to be protected. By
respecting the principle of sustainability, taking care
of the environmental protection, the future genera-
tions may enjoy the benefits of wisely planned water
resources.
REFERENCES
Dodeva, S. 1999. Water management of Republic of
Macedonia. Skopje: PWME.
Dodeva, S., Tanc
ev, L. & Kokalanov, G. 2002. Influence of
the river valley slopes on the deformations and stresses at
embankment dams (in Macedonian). Proceedings, Vol.13,
Skopje: Faculty of Civil Engineering, pp.39–50.
Petkovski, L. & Tanc
ev L. 2003. Dynamic Analysis of a Rock-
fill Dam with Geosynthetic Screen. Proceedings,
International Conference on Earthquake Engineering,
August 26–29, Skopje-Ohrid, CD-ROM.
Tanc
ev, L., 2003. Dams in Macedonia. Proceedings, 5.
Symposium SLOCOLD, Ljubljana, pp.85–104.
Tanc
ev, L. & Petkovski, L. 2003. Dam Loshana (Republic of
Macedonia) with geosynthetic lining (in Serbian), Proceed-
ings, II Congress JDVB, October 7–10, Kladovo, T4-R04.
Tanc
ev, L. & Kokalanov, G. 1995. Application of joint ele-
ments at finite element analysis of embankment dams.
In: M.H. Aliabadi, C. Alessandri (eds): Contact Mechanics
II – Computational Techniques. Computational Mechanics
Publications, Southampton, 1985, pp.209–216.
Tanc
ev, L., Kokalanov, G. & Petkovski, L. 2005. Three
dimensional analysis of Kozyak Dam (in Macedonian).
Proceedings, Symposium MACOLD, Skopje, 24–25
Oct., pp.63–76.
Tanc
ev, L. 2005. Dams and appurtenant hydraulic structures.
Leiden: A.A. Balkema Publishers, The Netherlands, a
member of Taylor & Francis Group plc.
YCOLD 1970. Dams in Macedonia. Skopje (in
Macedonian): Yugoslav Committee on Large Dams.
YCOLD 1971. Dams in Yugoslavia. Belgrade: Yugoslav
Committee on Large Dams.
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Hydro power plant “Kozjak”, a key water management system of future

optimum development for the capital Skopje

S. Mihajlovski
A Civil Engineering Institute Macedonia, Skopje, FYR. of Macedonia

B. Dimitrievska
ABC Consulting, Skopje, FYR. of Macedonia

ABSTRACT: The multipurpose hydro power plant “Kozjak” was constructed on Treska river, right tributary
of Vardar river, located some 25 kilometers south west of the capital Skopje. The rockfill dam “Kozjak” with
height of 126 m is currently the highest dam in the country. With the dam, 32 kilometers long reservoir was
created, having total storage capacity of 550 million m3. This reservoir has headwater position among the three
dams with reservoirs in cascade along the river course. Generally, “Kozjak” reservoir has the major role in the
utilization of Treska River. The most important role of the reservoir is to provide a retention capacity of
100,000,000 m3 as a control and flood protection of the capital Skopje and the downstream valley. Multipurpose
reservoirs are real necessity especially for small countries, which are constructing dams with large reservoirs;
they can’t allowed the luxury to use them just for one purpose, because they are too costly and precious. So instead
of being source of conflicts of interest multipurpose reservoirs must become sources of common interest and
benefit for all potential users.

1 INTRODUCTION

The Skopje Valley, including the capital Skopje, had

suffered often floods both in its distant and recent past
by flood water of Vardar river which runs through
Skopje.
The flood of November 1962 and the earthquake of
July 1963 had imposed seriously the issue of protection
against floods of the capital Skopje and neighboring
villages in the valley. NORKONSULT A.C. a consult-
ing company from Norway was engaged (1996-1970)
through the UN development program to workout a
Study addressing the overall management and control
system for flood protection including Vardar river
regulation through the capital Skopje and the valley.
The study resulted in setting out a Base Concept of
flood control and protection of the capital Skopje
including combination of two technical solutions such
as the following: Figure 1. “Kozjak” dam location.

– Vardar river training/regulation through the Skopje

valley providing safe release of design flood peak
flow of 1600 m3/s (as the flood of 1962) and return
period 300 years.
– Construction of a dam and reservoir at the dam site
“Kozjak” with additional retention i.e. flood control
volume of 100,000,000 m3, for control of Treska
river, a right tributary which is inflowing into Vardar
river at one of Skopje’s north-west suburbs.
According to such Basic Concept for flood control
and protection of the capital and the valley, following
technical documentation was worked out within the
frame of the above said Study: Detail design of Vardar

373
River training/river bed regulation through and down- years. The works started in August 1994 and in May
stream of the capital and Detail design of a multi- 2003 reservoir’s first filling has started. In July 2004
purpose reservoir created by the “Kozjak” dam. the first generator of the powerhouse was set in oper-
According to the adopted Detail design, implemen- ation, while the operation of the second one started in
tation of Vardar river bed regulation in the Skopje area September 2004.
was completed in the 70-ties of the past century. Water intake and distribution system’s structures
The river bed training works through the Skopje val- as well as those of the irrigation system are not con-
ley were executed in three sections as the following: structed yet; their construction is planned for the second
Section through Skopje (city section) from village implementation phase of this multi purpose system.
Saraj to the Markova Reka confluence into the Vardar According to the results obtained by the measure-
river with length of 17 km; downstream section in the ments of the surveillance system during the period of
valley (from the river Markova Reka confluence down construction, the period of first reservoir filling and
to village Zelenikovo, with length of about 20 km; and the initial period of operation of the power plant, it
the upstream section (from village Saraj to village can be resumed that the dam and the related structures
Rasce) with length of about 10 km. behavior is within the expected values determined by
Vardar river bed regulation through the city section the design calculations.
was constructed as of double trapezoid cross section
consisting minor and major river bed, with maximum
discharge capacity of 1150 m3/s. 2 GENERAL CHARACTERISTICS OF
Main objectives of the river bed regulation works KOZJAK DAM AND APPURTENANT
were to provide protection of the capital Skopje against STRUCTURES
flooding, to draw down the underground water level, to
provide surface drainage of the urban area by gravity “Kozjak” dam with its height of 126 m is up to now
and finally to create an attractive and well fitted struc- the highest dam constructed in R. Macedonia.
ture in the neighboring urban landscape. The river bed Basic characteristics of the dam are the following:
regulation works through Skopje were completed in
– Type of dam – rockfill dam with inclined clayey core
1975/76. Due to lack of funds, construction of “Kozjak”
– Structural dam height: 126 m
dam started in 1994 and was completed up to 2004.
– Upstream dam body slope: 1:2.2
“Kozjak” dam was constructed on Treska river some
– Downstream dam body slope: 1:2.0
22 km upstream of the capital Skopje, or about 25 km
– Dam crest width: 10 m
south-west of the capital Skopje. Along Treska river,
– Dam crest length: 305 m
some 18 km downstream of “Kozjak” dam, another,
– Total dam body volume: 3,400,000 m3
existing arch concrete dam (“Matka”) is located, erected
in the year 1937. Between these two dams, a new dam In order to provide safe release of flood wave
(“Matka II”) is currently under construction, which flows, a spillway structure was constructed on the right
means completion of reservoirs in cascade arrangement bank of the dam site. The spillway structure is designed
for Treska river control and management of the said to accept occurrence of two consecutive flood waves.
stretch of the river. The first flood wave shall fulfill the retention volume
Already constructed “Kozjak” dam has created a of 100,000,000 m3, while the second one estimated as
multipurpose reservoir with length of 32 km and a design maximum flood of 1500 m3 which is 10,000
gross reservoir volume of 550,000,000 m3. year’s flood, shall spill over the spillway structure and
The primary role of the reservoir is to provide reten-
tion/storage volume of 100,000,000 m3 purposed for
flood control and protection of the downstream capi-
tal Skopje and the valley.
Besides this primary role, provided effective storage
enables meeting future demands for few more purposes
such as: long term water supply of the capital Skopje
and the neighboring villages, irrigation of Skopje val-
ley, providing minimum ecological flows and power
generation/production of electricity.
The provided dead volume achieves protection
of downstream area against transport of deposits.
Secondary benefits of the “Kozjak” reservoir are sport,
fishing, recreation, tourism and other activities.
Construction works of “Kozjak” dam with appurtenant
structures and the power plant lasted for almost 10 Figure 2. “Kozjak” dam and reservoir.

374
be released safely downstream. Base characteristics of 3 OBTAINED EFFECTS OF THE RIVER
the spillway structure are as the following: BED REGULATION
– Type – spillway shaft with spillway tunnel
In the past 30 years, periods of wide range of water
– Capacity – (Q10,000): 1500 m3/s
flows have been registered through the regulated river
Both for discharge of water and preservation of Vardar bed, out of which a flood that occurred in
empty/free retention volume, an outlet structure was November 1979 with maximum food water of 980 m3/s
constructed having the following basic characteristics: was the greatest. This flood water which was almost
as the design flood adopted for sizing of the river bed
– Type of outlet – built within the spillway shaft
regulation capacity, was released through the city sec-
– Capacity: 154 m3/s
tion of the regulated river bed without any damages
For emergency and planned emptying of the reser- and thus has justified the investments for construction
voir, a bottom outlet was constructed, with the follow- of such a significant structure for protection of the
ing basic characteristics: capital Skopje against floods.
– Type – intake and tunnel with circular cross section
and diameter of 4.70 m and 3.75 m
– Capacity: 240 m3/s 4 EXPECTED EFFECTS OF THE
– Period/duration of emptying: 30 days RETENTION- FLOOD CONTROL VOLUME
A headwater structure is distributing the water from OF “KOZJAK” RESERVOIR
the reservoir to the power plant, having the following
basic characteristics: Potential effects of the retention reservoir volume in
regard to appearance of characteristic flood waves
– Type – intake and headwater tunnel with circular reaching the “Kozjak” reservoir are presented on Table1
cross section, diameter 5 m below.
– Capacity: 100 m3/s Table 2 shows possible impact of “Kozjak” retention
The power plant has following basic characteristics: reservoir volume on the Vardar river through the cap-
ital Skopje.
– Type – immediately downstream of the dam body
– Rated flow: 2  50 m3/s
– Rated power: 2  41 MW
– Average annual production of electricity: Table 1. Potential effects of the retention reservoir volume.
150,000,000 Kwh
Created multi purpose and year-to-year reservoir Recurrence Flood With Peak Time
period wave retention reduction delay
of “Kozjak” dam has the following water manage- (year) (m3/s) (m3/s) (m3/s) (hour)
ment availability:
– Retention volume of 100,000,000 m3 for control of 10,000 1500 1250 250 8
the flood and discharge flows toward Skopje 1000 1140 930 210 10
100 783 616 170 12
– Effective reservoir volume of 260,000,000 m3 for 10 438 328 110 14
multi purpose utilization – power generation and
meeting future demands for water supply, irriga-
tion ecological/sustainable downstream flows
– Dead reservoir volume of 190,000,000 m3, for pro-
tection against deposits Table 2. Possible impact of retention reservoir volume on
r. Vardar flows, through the city of Skopje.

Flood wave Flood wave

Recurrence without with Peak
period Kozjak Kozjak reduction
(year) (m3/s) (m3/s) (m3/s)

1000 1900 1400 500

300 1600 1150 450
100 1330 930 200
10 760 570 190
5 580 450 130
2 300 260 40
Figure 3. Vardar river bed regulation through Skopje.

375

Figure 4. Cascade power utilization of Treska river.
5 EXPECTED POWER GENERATION
EFFECTS
When estimating the expected effects of the power gen-
eration, the simultaneous operation of the three power
plants in cascade disposition should be taken in con-
sideration, so that water discharges of Treska river shall
be utilized in the three future power plants.
In that case, the total average annual power
generation/production of electricity shall be about
250,000,000 Kwh.
6 CONCLUSIONS
Upon completion of the flood control concept for the
capital Skopje and the neighboring villages, a part of
the basic preconditions for future successful develop-
ment of the capital shall be fulfilled. The multi pur-
pose significance of “Kozjak” hydro-system shall result
in long term resource of water supply of Skopje and
sufficient water for irrigation of the Skopje plain in the
future. From hydro-energetic point of view, by already
completed “Kozjak” hydro system, completion of the
“Matka 2” power plant (currently under construction)
and by upgrading/doubling the rated power of the exist-
ing power plant “Matka”, planned accomplishing of
the most valuable potential of Treska river shall be
376
achieved, thus giving significant contribution to the
entire energy sector development of the country.
Completed implementation of the “Kozjak” water
management system together with related infrastruc-
ture, which should be constructed in the future, shall
strongly support the development of few economic sec-
tors within the entire Skopje Valley region.
On the other side, it should be mentioned that con-
struction of “Kozjak” dam took place in the period of
transition, which resulted in extended period of con
struction and along with it increased investment costs,
directly reflecting the efficiency and profitability of
this hydro-system utilization.
Generally, in spite of the above difficulties, the ben-
efits of the constructed “Kozjak” dam and reservoir
shall be experienced through generation of precious
peak power/production of electricity, future reliable
meeting of water supply and irrigation demands, per-
manent flood protection of the capital and benefits in
other secondary sectors in the future.
The overall “Kozjak” system optimization shall be
achieved upon implementation and participation of
all stakeholders. According to the fact that 20 years
has passed from the preparation of the technical doc-
umentation of “Kozjak” dam and the appurtenant
structures up to its completion, for efficient control
and management of Treska river it will be necessary
to update and permanently register (by regular mea-
surements) all relevant parameters such as hydro –
meteorological data in order to provide more reliable
prognostic/flood prediction and management models.
REFERENCES
“NORCONSULT A.C.”, Norway, Study on food control and
Vardar river bed regulation, 1968/69.
Head office of Vardar river regulation, Skopje Detail Design
of Vardar river bed regulation, 1970/71.
“HIDROELEKTROPROEKT”- Skopje, Detail Design of
“Kozjak” dam, 1986.
Water Development Institute, Skopje, 1982, Study for Floods
in Republic of Macedonia wit Proposed Measures to pre-
vent Floods and Other observations.
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The PSHPP Chebren and Galishte opportunity for rehabilitation of

Mariovo – Macedonia

Ilija Andonov-Chento
Honorary Member of MACOLD, FYR Macedonia

Trifun Paskalov
Honorary President of MACOLD, FYR Macedonia

ABSTRACT: Crna River is a right tributary of Vardar, the principal river, which is originated in Macedonia and
flows in Greece. The drainage area of Crna River exists of 5887 sq km and consists of nearly one quarter of the
drainage area of Vardar. This river itself is long 222 km, and according to its characteristics it can be divided into
four parts: the first part starts from the spring at elevation of 1500 m.s.l, and it is long 40 km to 615 m.s.l; the sec-
ond part is flowing through the Pelagonia Valley and its length is 80 km to 565 m.s.l; the third part, long about 80 km,
is passing through the mounting region of Mariovo, to 165 m.s.l, and finally; the last section, long 22 km up to
the inflow into the Vardar at 133 m.s.l. During the 1960’s the General Plan of Crna River in its part passing through
the Mariovo region was elaborated. In this investigation document three hydro-systems are provided as follows: The
system “Chebren” with a dam 192.50 m high at 76 km upstream from the inflow of Crna River, then the “Galishte”
system with a 145.00 m high a dam at 51 km upstream of the inflow to Vardar, and finally the existing system of
“Tikvesh”, with a dam 113.50 m high. The design documents of “Chebren” and “Galishte”, as multi-purpose sys-
tems, were subjects for planning during the last 50 years. The population of the 1390 km2 Mariovo mounting region
was and steel is expecting the realization of these systems for increasing their living standard. But, after loosing
their hope, it has started emigrating and resettling the neighboring towns and cities. Now in this region lives only
10% of the inhabitants compared to those of the 1970’s. Any how, in now days there are steel hope at the remaining
population of the region, if the realization of “Chebren” and “Galishte” stats soon, to enable progressive revital-
ization of the living conditions in Mariovo region.

1 INTRODUCTION close to Thessalonica in Greece. The drainage area of

The region Mariovo is located at the south-central part
of the Republic of Macedonia, close to the border with
the Republic of Greece (Fig. 1). This region, with an area
of 1390.00 km2, is typical high-valley surrounded at the
south-east side by the Nidze Mountain with the high-
est peak Kaymakcalan, with elevation of 2.520 m.s.l.,
and Kozhuv Mountain, while at its western side the
region is surrounded by Selechka Mountain. At the
central part of the region the Crna River flows, in a
rather deep canyon, with direction south-north east. In
the region dominate magma rocks (gneiss-granite) and
the region is considered as quietest in Macedonia from
seismic point of view. The climate is continental, with
remarkable influence of Mediterranean climate com-
ing along the Vardar River valley. Crna River is right
and largest tributary of Vardar River. The later is origi-
nated in the Republic of Macedonia and inflows, under
the Greek name of Axios, in the Aegean See immediate
Crna River amounts 5.887 km2 in the south-western
part of Macedonia, and reaches about a quarter of the
Vardar River drainage area. Crna River accepts several
tributaries among which the most significant are those
which inflow in Pelagonia valley as: Blato, Shemnica,
Dragor and Elashka, which originates in Greece, and
additionally in Mariovo: Konyarka, Bela Reka, Satoka,
Buturica and Blashica, which are originated in Nidze
and Kozhuv mountains.
The existence of this water pool, which passes
through the largest ravine in the Republic of
Macedonia – the Pelagonia valley, where there are about
1 00 000 ha of suitable agricultural land, always has
intrigued for its utilization for economic development.
During the period before the Second World War there
were made no attempts for taking any serious engineer-
ing steps. The utilization of water resources at that time
was in terms of extensive irrigation, but for energetic
purpose, the water was used only in minor water-mills,

377
Figure 1. Map.

mostly in the tributaries of Crna River. After this War

more serious attempts were taken first of all in analyz-
ing the opportunity for integral development of these
water resources for flat protection, irrigation and energy
production.
First practical work along this line was the elimi-
nation of the marshy areas in the southern part of
Pelagonia valley, which appeared as a result of flatting
due to the extremely large quantity of alluvium wash
brought by Elashka River, creating a kind of threshold
in its immediate inflow in Crna River in the region
of Mariovo. Within the study projects for irrigation of
Pelagonia a preliminary design war elaborated for two Figure 2. Catchment area of Crna River.
hydro-systems, i.e. irrigation of “Buchin” area of about
50 000 ha, and “Strezevo” for 20 000 ha of suitable agri-
cultural land. For the latest one final design were pre-
pared and the entire system built during the period a height of 113.50 m and a body volume of about
from 1978 to1982 utilizing credits from the World 2.72  106 m3, which creates the most downstream
Bank for Development – Washington DC, and is in water reservoir in the region of Mariovo accumulating
operation since then. The principal object of this system of 475  106 m3 water volume, out of which 240 
is the 95 meter high rock-fill dam “Strezevo” with 106 m3 is usable storage. For irrigation of 18 300 ha
volume of 4 219 000 m3 built in material, creating a of land, 90  106 m3 of the water storage is spend
water reservoir of 120.00  106 m3 capacity. Besides each year.
these two larger hydro-systems, in the year of 1956 the
system “Prilep” was erected mostly for irrigation of
6200 ha of agricultural land for high quality tobacco 2 RAINS AND DISCHARGE
production.
Crna River in the region of Mariovo overcomes a The average annual rain in the catchment area amounts
water head of 400 m and flows through a wide canyon of 700 mm. The river flows are characterized like cloud-
type of river bed, in which there are no areas for irriga- burst, due to the insufficient forestation of the catchment
tion purposes. Because of this situation this is an ideal area, and are extremely high during intensive rains in
case for creating huge water reservoirs for high qual- autumn and winter months, as well as during the early
ity hydro-energy production and irrigation of lend spring months due to the snow melting. Opposite,
downstream of the canyon river bed, i.e. along the during the summer period the rains are very small.
Vardar River basin. For this purpose during the years The ratio between the maximum and minimum
1964–1968 the rock-fill dam “Tikvesh” was built with average annual river flows some times can be as much

378
 AVERAGE MONTHLY FLOW
VARIANTS:SKOCHIVIR - CHEBREN
m3/s AT DAM SITE CHEBREN
20

Vardar River
180 maxiu
160 aver ge

26.0km
81.0km

17.0km
104.km

56.0km
59.km
140 minu

Skochivr108.5m
DamsiteRAKIT

DamsiteTIKVESH

DamsiteMAKRI
DamsiteCHEBRN

DamsiteGALISHTE
120 565.00

DamsiteELNOK
10
HPP CHEBREN-1
80 VARIAN
NTT 1.1
392.00
60
HPP RAKITA-1
40
565.00 265.00
550.00 HPP TIKVESH
20
0 HPP CHEBREN-2
J F M A M J J A S O N D 392.00
Month VA
VARIAN
ANT
T 1.
1.22
HPP RAKITA-2
565.00 265.00
Figure 3. HPP TIKVESH
500.00
HPP CHEBREN-3

as 20:1. The envelopes of the average, maximum and 392.00

VARIA
ANNT
T 1.33
minimum monthly water flows in the period of years HPP RAKITA-3
565.00 265.00
1946–1980 in the dam site Chebren is shown in HPP TIKVESH
Figure 3. HPP CHEBREN-4
450.00
The rains and consequently the water flows not only 392.00
are variable throughout the year, but they are variable V
VARIA
ANNT 11.44
even in longer periods of time. So, the average flow at 265.00
the Chebren dam site during different analyzed peri- HPP TIKVESH

ods starts from 30.40 m3/s, in the period 1926–1965,

and reaches 27.80 m3/s during the period of years
1946–1980. With the completion of the hydro-system
“Strezevo” and the TPP “Bitola” 630 MW install capac-
ity, the average available water flow at Chebren dam site
will be 24.72 m3/s, while at Galishte dam site will be
28.13 m3/s, respectively.
3 VARIANT SOLUTIONS FOR ENERGY
PRODUCTION CRNA RIVER IN
MARIOVO
The first more significant investigations and studies
are initiated in 1950, when the following dam sites on
Crna River in the region Mariovo are mentioned and
treated first: Rakita (104.0 km from the inflow into
Vardar River), Chebren (81.0 km), Elenok (59.5 km),
Galishte (56.0 km), Tikveš (26.0 km), and finally
very close to inflow of Crna River into Vardar River
the dam site Makaria (17.0 km). The basic energetic
solution for Crna River was completed in 1961, when
the conception building the “Tikvesh” hydro-system,
within the program for creating irrigation complexes
in Macedonia, among which to the irrigation system
of Tikvesh field, consisting of 18 300 ha agricultural
land, mostly for grape production, was erected.
The normal level of the Tikvesh reservoir is
265.00 m.s.l. in order to make available gravitational
watering of the agricultural fields, The sector from
Skochivir (565.0 m.s.l.), where Crna River in enters
Figure 4.
in Mariovo up to the Tikvesh reservoir, where over-
comes a fall in water level of 300 m, was considered
in two parts:
– the first part from Skochivir to the dame site
Chebren at elevation 392 m.s.l. (Fig. 4);
– the second section is from Chebren dam site to the
Tikvesh dam site, i.e. the new dame site Galište.
(Fig. 5).
In all variant solutions attention is paid not to loose fall
in water level, which is achieved more or less with little
derivations. Even though that the basic solution was
analyzed with install water flow of 60 m3/s, which is 2–3
times larger than the average multiannual flow, the
obtained results are not refuted with later analyses, in
which the analyses were performed with a water flow of
180 m3/s.
At the section Skochivir-Chebren four variant solu-
tions were taken into consideration with two water reser-
voirs: Rakita and Chebren.
In all considered variant solutions the reservoir
Rakita was analyzed with reservoir water level of
565.00 m.s.l., and the hydropower plant in the two
options was provided as derivative.

379
 Table 2. CHEBREN – GALISHTE.

Variant Power Plant Index

2.1 HPP Chebren-5 1.21 1.21

2.2 HPP Chebren-6 1.24 1.24
2.3 HPP Chebren-7 1.18 1.18
2.4 HPP Chebren-1 1.00
HPP Galishte-1 1.47 1.13
2.5 HPP Chebren-8 1.12
HPP Galishte-2 1.43 1.20
2.6 HPP Chebren-9 1.07
HPP Galishte-3 1.51 1.16
2.7 HPP Chebren-1 1.00
HPP Galishte-4 1.45 1.14

Figure 5.

Table 1. SKOCHIVIR – CHEBREN.

Variant Power plant Index

1.1 HE Chebren-1 1.00 1.00

1.2 HE Rakita-1 4.10
HE chebren-2 0.96 1.20
1.3 HE Rakita-2 2.07
HE Chebren-3 0.75 1.21
1.4 HE Rakita-3 2.44
HE Chebren-4 1.40 2.09
Figure 6.

The reservoir Chebren is analyzed for three normal

water levels, and in all variants the hydropower station have concluded that, witin the entire section the price
is located below the dam body. of the produced electro-energy is more or less for vari-
The analysis results, via the index of the produced ants 1.2 and 1.3, while the lowest one is that of variant 1,
energy value, are shown on Table 1. The designers which enables better control of the water regime.

380
Figure 7. Optimal energy solution on Crna River.

Table 3. SKOCHIVIR – GALISHTE. the dam sites Chebren and Galishte with elaboration of
basic projects for the dams and preliminary designs for
Varianta Postroenie Index the power plants. Regardless the investigation progress
in these two dam sites, during the years of 2000–2001,
3.1 HE Rakita-1 4.10 1.15
HE Chebren-2 0.96 several new variants were analyzed again [10], intro-
HE Galishte-1 1.47 ducing a new dam site, Skochivir, between Chebren and
3.2 HE Rakita-2 2.07 1.18 Rakita.
HE Chebren-3 0.75 However, the results of this latest study have proven
HE Galishte-1 1.47 that the optimum solution is that with the two dam
3.3 HE Rakita-1 4.10 1.18 sites, Chebren and Galishte, which was confirmed in
HE Chebren-10 1.02 all previous study documents. The only differences
HE Galishte-2 1.43 between some of the studies are only in the quantity
3.4 HE Rakita-2 2.07 1.20
of the installed water flow and the idea to incorporate
HE Chebren-11 0.95
HE Galishte-2 1.43 reversible aggregates.
2.7 HE Chebren-1 1.00 1.14 Finally, it can be assumed that the solution shown in
HE Galishte-4 1.43 Fig. 7 looks quite presumably and can be accepted,
with possibility for stage installment of the reversible
aggregates.
At the section Chebren-Galishte seven variant solu-
tions are taken into consideration (Fig. 5), in which the
reservoir Chebren is treated with normal water level
of 565.00 m.s.l., while the hydro-power plant is 4 PSHPP CHEBREN
designed in five variants as derivative and in two other
variants located immediately below the dam body. At the dam site Chebren rocks of gneiss and granite are
The hydro-electric power plant in the case of Galishte presented with rather good geotechnical characteristics.
is designed with diversion tunnel in three variants, as The basic object for the Pump Storage Hydro Power
well as and in two variants located close by the dam. Plant Chebren (Fig. 8 and Fig. 9) is the arch concrete
The power plant Galishte is treated in three variants dam with structural height of 192.50 meters, and crest
with the dam Elenok and in one variant located close length of 533.00 meters, respectively.
by the dam Galishte. The analysis results are pre- The dam volume amounts 1.15  106 m3. With this
sented on Table 2, where from it can be seen that the dam structure, a water reservoir of total storage capacity
variants 2.4 and 2.7 appear as solutions with lowest of 915 hm3 will be created, out of which the active stor-
index. age varies between 150 and 510 hm3, depending on the
Another five additional variants along the whole analyses by different authors, or on the installed water
section were analyzed as: Skochivir-Galishte, which flow. The power plant is provided on the left bank of the
are shown on Fig. 6, while the obtained results are given river, about 500 m downstream of the dam. The tunnel
in Table 3. From this table can be easily noted that the conduit is 400 m long, having a diameter of 8.20 m.
variant 2.7 is the one with the smallest index. The installed power varies from study to study as
Having in mind the above stated facts, the research follows: 420 MW [9], or 330 MW [10]. The authors of
continued in more detailed investigations concerning this paper have suggested giving priority for erecting the

381

Figure 8. Layout of PSHPP CHEBREN.
Figure 9. Cross section of The Dam CHEBREN.
system in stages, i.e. in the first stage the installed power
to be about 300 MW, with two aggregates, with possi-
bility additionally to install another more aggregate.
The average annual production of electric energy from
the water flow of Crna River amounts about 270 GWh.
In order to enable reliable work of PSHPP Chebren,
10 kilometers downstream is selected a dam site called
Orlov Kamen, where will be created the downstream
reservoir enabling a water storage of 14.92 hm3. The
height of this dam is 55 m, the crest length 260 m and
the dam volume about 56 000 m3 of concrete.
382
Figure 10. Option RCC gravity dam Galishte.
Figure 11.
5 PSHPP GALISHTE
At the dam site Galishte the rock masses consist of
Precambrian gneisses with rather good geotechnical and
hydro-geological characteristics, covered by declivity
material, which’s depth reaches up to 10 m. In the pre-
liminary design stage a rock-fill dam was provided with
a height of 135 m above the ground level, the length of
the crest is 420 m, and the body volume 6.5  106 m3
of rock and earth material.
This structure enables creation of a reservoir with
total water storage of 344 hm3, while the active stor-
age is about 144 hm3.
Here also, the authors of this paper are proposing
solution with arch-gravity or pure gravity dam built
implementing Roller-Compacted-Concrete (RCC) tech-
nology of design and construction, which surely is
more reliable and more economic solution compared
to the rock-fill type. 10a Option RCC arch-gravity dam.
The RCC dam would require 1.10  106 or 1.60 
6 3
10 m of concrete. With this solution all the conduits
from the reservoir to the power plant building are get-
ting shorter than the previously designed, which is
better for installing reversible aggregates (Fig. 10 and
Fig. 11), the first set with gravity dam, and the second
with arch-gravity.
In any of the options the installed power would be
300 MW.

6 CONTRIBUTION OF PSHPP CHEBREN AND

GALISHTE TO REVITALIZATION OF THE
REGION OF MARIOVO

The experience has proven that, around the large

water reservoirs in the Republic of Macedonia, condi-
tions are originated for development of tourism and
Figure 12. Option RCC arch-gravity dam Galishte.
fishing economy, in which the local population can
gather certain income. Also, the existing reservoirs are
highly contributing to the improvement of the climate
conditions, especially during the summer arid period.
The creation of Chebren and Galishte reservoirs
enables development of the fishing and tourist activity,
like, for instance, at the existing Tikveπ reservoir
where two large tourist settlements have been created
so far. For this purpose, especially the vicinity around
the Chebren reservoir is very suitable for developing
special tourist settlements, due to its proximity to the
city centers Bitola and Prilep.
Also, parallel to the activity of creation the
Chebren and Galishte hydro-systems other economic
activities will be pushed for further development. First
of all it is expected that the forestry, the hunting tourism
and the ecological food production will be pushed
remarkably. It is very important to point out also, that
the two reservoirs would not create damaging conse-
quences, in terms of inundating usable agricultural land
or resettlement of the local population.
For erection of these two hydro-technical systems it
is important to build accessible roads. It is important to
point out that the nonexistence of good communication
links in this region, are the basic reasons for emi- Figure 13.
gration of the population. Namely, in the Republic of
Macedonia till the year of 1960, in the communication
network roads of modern type did not exist, there created a massive movement of young people from the
were only such with macadam surface. As far as during province to the large cities. This trend could not over-
the period 1960–1970 an intensive road construction of come the residents of Mariovo. This population was
modern type took place in Macedonia, which enabled expecting the start of building the Chebren and Galishte
the population quick access to the city centers and reservoirs, with a hope that construction of modern
services of high standard. Unfortunately, the region of road infrastructure will take place, too. Disappointed
Mariovo was not involved in the action of modernizing with by the empty promises and intrigued by the oppor-
the road infrastructure. The local population was forced tunity for getting jobs in the industrialized cities, in
spend several hours to overcome a 50 km of road to 1970 a massive emigration of the people of Mariovo
reach the neighboring cities of Bitola and Prilep, took place. This trend of resettlement has not got
because there was not properly organized public trans- decrease even when a modern road from Prilep to the
portation due to bed road conditions. From the other central village of Mariovo, Vitolishte, was erected in
side, at that time with the intensive industrialization 1975, mostly because its realization was going very
of the country, industrial workers are needed and this slow. In now days in the region of Mariovo are living

383
only 10% of the population from 1970, or less than 1
(one) person in a square kilometer. In order to complete
the two new systems it is necessary to construct more
than 50 kilometers of roads, which must connect some
of the villages of the region. This construction activity
will push ahead the start of an intensive economical
expansion, enabling enlargement of the job opportuni-
ties and, hopefully, returning of part of the emigrated
population. It is expected that part of the city population
might be provoked to try to find existence in this region
as construction workers or in service facilities. This
might be due to the fact of remarkable job reduction in
the cities.
7 CONCLUSIONS
We, the authors of this paper, not only as experts and
investigators, but mostly as distinguished citizens of
Macedonia, have dedicated large part of our profes-
sional live in the field of study, design, construction
and monitoring of important infrastructural systems,
like the hydro-systems analyzed above. This effort must
be taken as an appeal to the experts and responsible
business authorities who may find interest for puting
their financial sources in construction of such struc-
tures, which according to our knowledge are very prof-
itable. This appeal is due to the fact that our country is
not in a full condition to do this job by utilizing own
financial sources. This is because we are still in the
stage of developing country.
384
REFERENCES
Basic Study of Crna River Basin (1961): “Hydroelectro-
project”, Skopje, Macedonia.
Basic Study for Perspective Development of the Electro-Energy
System of Macedonia for the Period till 1985 (1973):
“Institute for Electro-Economy”, Zagreb, Croatia.
Preliminary Design Project of HS “cebren” (1964): “Hydro-
electroproject”, Skopje, Macedonia. 
Study for Optimum Shape of the Arch Concete Dam “cebren”
(1971): “The Civil Engineering Faculty”, Skopje,
Macedonia.
Preliminary Design Project of “Galiπte” Dam (1974): “Hydro-
electroproject” and “The Civil Engineering Faculty”,
Skopje, Macedonia.
INTEGRATED DEVELOPMENT OF THE VARDAR/
AXIOS RIVER BASIN, (1978): Tippets-Abbet-McCarthy-
Straton New York, N.Y., USA for UNDP.
Study for Energy Development of Republic of Macedonia from
1986 to 2005 (1986): “EMO-Institute for Energy”, Skopje,
Macedonia. 
Preliminary Design Project of HPP “ Cebren” (1989): HEGI
(“Hydroelectroproject”, “EMO-Institute for Energy”,
“The Civil Engineering Faculty” and “The Institute for
Earthquake Engineering and Engineering Seismology”),
Skopje, Macedonia.
Study for Development of Possible PSHPP in the Republic of
Macedonia (1989): “EMO-Institute for Energy”, Skopje,
Macedonia. 
Preliminary Design Project of HPP “Galiste” (1991):
“Hydroelectroproject Institute for Energy-EMO”, Skopje,
Macedonia.
Crna River System for electricity production (2001): Exergia,
Greece.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

A multipurpose lower Sava river project in Slovenia: Examples of the

Blanca and Krško cascades

A. Širca
IBE, Consulting Engineers, Ljubljana, Slovenia

B. Barbič
HSE Joint Venture, Ljubljana, Slovenia

ABSTRACT: In the frame of a Joint Venture led by a Concessionaire Holding of Slovenian Powerplants
(HSE), a construction of five run-of-the-river hydropower plants is foreseen on the lower Sava river in Slovenia
till 2018. The other partner of the Concession Contract is the State of Slovenia which will cover the costs of nec-
essary modifications and improvements of the infrastructure with the primary goal of assuring adequate flood
protection of the river valley area. Main project data are presented for the Blanca and Krško HPPs with approx-
imate maximum power of 40 MW each. Especially in the early stages of the projects considerable efforts of
investor and project designers are put into licensing process and public relations which are also presented. As a
conclusion, a list of main expected benefits for both parties of the Contract as well as the basic principles of cost
division between them, are given in the paper.

1 INTRODUCTION the Boštanj HPP is in full course of construction and

shall be completed in the first half of 2006, when a trial
In the framework of the Joint Venture Project being run shall start. According to the time schedule which
implemented by Holding Slovenske Elektrarne (HSE) assumes a four-year construction period with a three-
in the lower Sava section between the Vrhovo HPP and year shift of work commencement between consequent
the Croatian border a construction of five run-of-the- stages, the Blanca HPP construction started at the end
river hydropower plants is foreseen till 2018 (Fig. 1). of 2005. The basic design for the Krško HPP will be
Beside the HSE as a Concessionaire, the project is completed in early 2006 with the construction start
supported also by the State as a second partner of the foreseen for middle 2007. This is earlier than all other
Concession Contract with its relevant share of funds stages since two construction pits will be mandatory.
providing implementation of the infrastructure part of This article gives basic data on the Blanca and Krško
project. The Vrhovo HPP was completed in 1992 while HPPs projects (Tables 1–2). Based on the Investor’s
decision and on the earlier lower Sava HPPs chain uni-
fication studies supported by additional analyses made
THELOWRS
AVRIESCTO
in 2004 both structures are as much standardized as
N
Table 1. Hydrological characteristics of the Blanca and
Krško HPPs locations (old measurements: period 1926–1975,
VO HPP

new measurements: period 1951–2000).

9)

15)
VRHO

O NPP

15)

HPP Blanca HPP Krško

° KOHP(201)

KRŠK
BO°TANJHP(206)

KR
BLANCHP(20

Discharge (m3/s) old new old new

BREZICHP(20

MOKRICEHP(20

Lowest observed 40.8 41.2 41.3 41.7

Mean 237 228 239 230
Highest observed 2930 3037 2964 3050
Q2 1695 1670 1716 1680
Figure 1. Layout of the lower Sava river HPPs chain with Q10 2491 2440 2517 2460
due completion years. The Vrhovo HPP and the Krško Q100 3189 3270 3210 3290
Nuclear Power Plant (NPP) are presently existing structures.

385
Table 2. Technical characteristics of the Blanca and Krško
HPPs. Values given in brackets for the Blanca HPP shall
apply after the Krško HPP construction. For the Krško HPP,
the values given apply for the state without the Brežice HPP.
HPP Blanca HPP Krško
Reservoir elevation 174.2 m a.s.l. 164.0 m a.s.l.
Utilizable volume 1.30  106 m3 1.18  106 m3
Gross hydraulic head 9.19 m 9.42 m
Installed power 38 MW 40 MW
Annual production 151 GWh 157 GWh
possible from the point of view of hydraulic operation,
civil structures dimensions, hydromechanical, electri-
cal and mechanical equipment.
2 GENERAL DATA
Hydrological data for the lower Sava HPPs chain design
were updated in 2002, when some higher flood waters
as well as lower low waters were determined as regards
older analyses till 1990 (Table 1).
In the Blanca HPP area the foundation soil consists
of cretaceous flisch layers. Layers of marly limestone,
limestone with chert, lime sand-stone, marl and marly
shale are interchanging and form a rather weak, partly
very weak rock mass and only exceptionally, a satis-
factory rock mass (as per Bieniawski classification).
Main foundation problems are expected at construc-
tion of the construction pit protection wells and at
spillways foundations. In the HPP Krško area the foun-
dation soil is substantially better since it consists of
upper triassic dolomite, mostly covered by sediments of
cretaceous age. By the Krško HPP foundation a prob-
lem of shallow local cross fractures with crushed
areas in generally solid rock mass shall be solved, while
the main attention as regards geological composition
shall be paid to dredging of the downstream river bed
along the old town of Krško which shall be performed
in 35% in crushed and partly compact dolomite
(3rd–5th category of excavation).
Technical and operational parameters of the Blanca
HPP have already been determined precisely in the
Design for obtaining Construction Permit while for
the Krško HPP they are still being optimised in the
framework of a Basic design (Table 2).
3 BLANCA HPP
3.1 Dam structure
The Blanca HPP dam cross section is located in the Sava
km 760  627, approximately 100 m upstream from
the today Čanjski potok outfall on the left Sava river
bank. In the dam profile from the left to the right river
bank the main structures as connecting embankment
386
POWERHUS
174.20resvoil ROADBIGE
Sav
Q10=7.3
164.5(tailwerv)
Sav
Figure 2. Longitudinal section through the powerhouse of
the Blanca HPP.
(earthfill dam), five spillways and a powerhouse, are
located.
The spillway structure shall be made of five sections
with radial gates (H
8.17 m) and flaps (H
2.95 m)
and with four intermediate piers. On the left side they
shall be limited by a lateral wall and on the right side
with a powerhouse. The spillways shall be of 15.0 m
width and the piers of 3.0 m width. Due to a relatively
weak rock mass additional safety against sliding shall
be provided by an upstream shear key. On the down-
stream side the spillway structure shall continue with
stilling basins, the dimensions of which, regarding the
original Vrhovo and Boštanj HPP stilling basins, shall
be increased due to expected more severe hydraulic
conditions. This shall enable efficient and safe opera-
tion of spillways in the majority of actual operating
manoeuvres, some of the most critical being related
to occasional washing away of the floating debris.
In its lower part under the elevation of 166.15 the
powerhouse (Fig. 2) shall consist of three run-off sec-
tions of the Kaplan turbines while in its upper part it
shall enclose the main hall with control and auxiliary
rooms. These rooms shall be situated in three floors
on the upstream side of the main hall and in an adjacent
building at its right flank. This adjacent building shall
contain also a covered erection platform, a metal-
enclosed switchyard and a network transformer. On
the downstream side along the whole structure, there
shall run a bridge for a local road founded on lateral
powerhouse supports, turbine generator sets separat-
ing piers and spillway piers. The length of the central
powerhouse cubus encompassing the main power-
house hall and the up-stream auxiliary rooms shall be
about 58 m and its width about 21 m. The lowest ele-
vation of the foundation under the turbine generator
set shall be at 145.05 m.a.s.l. while the highest eleva-
tion of the roof structure shall be at 182.70 m.a.s.l.
which shall give a total height of the structure reach-
ing 37.65 m. Right from the structure a fish path in
the form of naturally shaped cascades is foreseen. The
structure protection against flooding from the down-
stream direction shall be provided up to at least Q1000.
3.2 Reservoir and downstream river bed
The Blanca reservoir covers a part of the Sava river bed
between km 760  627 (Blanca HPP dam) and km
769  677 (Boštanj HPP dam). This Sava river sec-
tion is sited in a rather urbanised area between the
town of Sevnica and the Blanca village. In this area
the Sava river forms gentle meanders down the river
valley and approaches successively the right and then
the left valley slopes. Due to the planned Sava river
dammed water table being set to the elevation of
174.20 m.a.s.l. some protective measures will have to
be taken on the left river bank with a crest elevation
at 175.70 m.a.s.l. and in the total length of around
3147 m. This length includes 2000 m of classical
embankment dam constructed in the area of Lower
Brezovo field, while the remaining section shall be
arranged in form of a heightened relief of the existing
area with reconstruction of agricultural surfaces and
arrangement of a permanent disposal site of Kračnica.
With such solution the permanent occupation of the
existing agricultural surface shall be decreased to
minimum – only to a road lane on the top of the bank,
in comparison with a classical solution where this
permanent occupation would be extended to the whole
embankment body. The embankment shall be sealed
by a sealing curtain down to the impervious soil,
while the disposal site shall have no sealing. The
embankment width in the crest shall reach 4 m and
the bank slopes shall have the generally adopted incli-
nation of 1:2 on both sides with some exceptions of
1:1.5 along some spatially critical sections.
On the right river bank upstream from the dam and
in the length of 650 m the space between the embank-
ment dam and the road shall be used for a permanent
disposal site of Veliki Travniki with the same main
principles to be met as in case of the Kračnica disposal
site: conservation of the agricultural surfaces, as short
permanent occupation as possible and as short distance
from the fill-material source as possible. Another area
of the right river bank reservoir arrangement is the
present Impoljca orchard, which shall be placed to a
higher relief as well, i.e. at the elevation of 175.70
(1.5 m above the future underground water level). The
arrangement shall be performed slightly inland from
the existing river bank in order to provide its major
parts (under water) to remain unchanged due to envi-
ronmental requirements. Along the narrowest part of
the present Sava river bed a part of the existing bank in
the width of 30 m shall be removed in order to provide
better discharge capacity in this section. The third
agricultural surfaces reconstruction area on the right
river bank is the extensive area of the Log field.
The purpose of the river bed dredging downstream
from the Blanca HPP is to achieve a hydraulic head
which shall otherwise be lost due to the (abandoned)
Brestanica HPP location elimination, and to protect the
Blanca village against flood waters. The selected solu-
tion has been obtained by alternating of the dredging
scope where hydraulic as well as economic effects of
individual alternatives have been considered. The river
387
bed downstream from the HPP shall be dredged for
1.0–1.5 m, mostly on the whole river bottom width.
On the entire dredging length the river bed shall also
be widened for approximately 20 m, with the new
river banks being regulated at an inclination of 1:1.5.
3.3 Infrastructure
Water management regulation in the framework of
the Blanca project encompasses regulation of out-fall
sections of tributaries as well as regulation of the
reservoir banks. There have been nineteen confluents
regulated in total, out of which there are two located
downstream from the dam (Čanjski brook, Blanščica),
while the others are upstream from the dam. By the
Mivka, Globoški and Mačji brook tributaries a natural
form of the outfall shall be preserved due to required
establishment of sustainable regulation, while at the
Vranjski creek outfall some complex arrangements in
connection with the road network will be necessary.
The Florjanski and Drožnjski brooks in Sevnica repre-
sent a specific problem of tributaries regulation in a
highly urbanised area. On the Mirna river and Sevnična
rivulet there shall be only minimal measures taken.
The Blanščica brook shall be regulated regarding new
road sections while the foreseen bypass road of Blanca
represents a flood water protection at a time.
The Blanca reservoirs banks shall be regulated
more or less along the whole reservoir with the left
bank being more important since on its long sections
along the river there runs a main railway or a local
road. On the right bank the main road only occasion-
ally comes near to the Sava river while on longer sec-
tions in the area of Log field the existing banks shall
be preserved in accordance with the environmental
protection directions. On the section downstream
from the power plant an extremely solid lining will be
necessary. Flood embankments on the left river bank
along the town of Sevnica are highly important while
the section along the old town centre which is the
most subject to flooding shall even be sealed to the
impervious layer. This shall, at the same time, form a
permanent protection of a number of near-bank pri-
vate houses and other buildings against influences of
the elevated water table in the reservoir.
The main road of G1-5 Celje-Krško on the right
bank shall be reconstructed in the length of 3410 m
due to dam construction and due to protection against
Q100. The regional road of R3-679 Sevnica-Brestanica
on the left river bank shall be reconstructed in the
length of 2450 m. Technical solutions for both stretches
of road network are presently however under strict
review as regards some recent legislation which intro-
duced lower flood protection safety levels (e.g. only
Q20 for the major roads). In the rail network along the
Blanca reservoir area no major interventions which
would be a result of underground water level increase
are foreseen, since the tracks run at quite a long distance shall most likely start already in the middle of 2007
from the reservoir banks. As regards sewage system instead of the foreseen start of construction at the end
the Blanca reservoir shall have the greatest impact to of 2008.
the town of Sevnica which shall be taken into con-
sideration by the actual reconstruction and new col- 4.2 Reservoir and the downstream river bed
lectors construction design. Connection to the 110 kV
In the influential area of the Krško reservoir the reme-
OH lines network shall be performed to the left bank
diation of impacts of the Sava river water level to
towards the 1150 m distant Trbovlje – Brestanica exist-
the agricultural surfaces of the Pijavško field shall
ing line. On the right bank a new 20 kV connection for
represent the most important intervention which shall
the HPP station service shall be performed with recon-
be running also in connection with the foreseen
struction of the 4450 m of the existing lines, the 1140 m
improvement of local flood protection. The two men-
of which shall be put under ground. Some minor inter-
tioned aspects quite ideally comply with the antici-
ventions are foreseen on water mains, gas pipeline sys-
pated works in the downstream river bed (dredging,
tem and telephone grid (mostly in the town of Sevnica)
local widening) wherefrom a major part of the mate-
as well as on municipal and railway cable grids.
rial necessary for relocation of the Pijavško field to a
higher relief shall be provided. The fourth effect of
the rather extensive earthworks performed during the
4 KRŠKO HPP Krško HPP construction project shall be the increase
of the flood safety of the Krško town – the Sava river
4.1 Dam structure water level at Q100 shall be lower for approximately
0.5 m. In the anticipated alternative of the earthworks
The Krško HPP dam cross-section is located in the Sava
197,000 m3 of material shall be removed from the
river km 751  575 by the settlement of Sotelsko on
downstream river bed and another 250,000 m3 of mate-
the left river bank. Due to the unification of the plant
rial shall be removed from the area of the construction
with the Blanca HPP the powerhouse is identical to
pit and the intake structure. Due to the increased
the one of the (next upstream stage) Blanca HPP (see
underground water level after establishment of the
description of the Blanca HPP) as regards its outside
reservoir water table the agricultural surfaces will be
view as well as its essential dimensions. The differ-
in need of rehabilitation which implies building in of
ence is only in the height of the main hall which is
319,000 m3 of material while the surplus material above
increased for 1.2 m at the Krško HPP. This difference
this quantity shall be used to increase the flood safety of
is incurred by a narrow tailrace bed of the Krško HPP
these agricultural surfaces.
which implies a much higher tailwater levels in case
In the Krško reservoir itself the greatest interven-
of flood discharges than it is the case at the Blanca
tions into the Sava river bed shall be performed on the
HPP. Due to a narrow river valley and limitations
right part of the river bottom along the Pijavško field,
directed by a road on the right bank and a railway on
while the left bank shall remain practically the same as
the left bank the erection and manipulation surfaces
it is today which complies with the environmental pro-
at the Krško HPP are more humbly dimensioned. On
tection directives. On the southern part of the Pijavško
the left river bank there is only a platform of minimal
field a new terrace with higher flood safety shall be
dimensions foreseen while on the right river bank, an
most likely formed, while due to the river bed dredging,
upper and a lower plateau, a connecting road and a
the flood safety of the north-western part of Pijavško
fish path are foreseen. The spillways of the Krško and
field which shall not be reformed at a higher relief, shall
the Blanca HPPs are standardised as regards hydrome-
also be somewhat better than today. On the right river
chanical equipment, there are some minor differences
bank two smaller areas in Gunte shall be reformed at a
only in their civil construction part.
higher relief due to the ground water level increase.
A great difference between the structures of the
Blanca and the Krško HPPs is however foreseen in
4.3 Infrastructure
their modes of construction, which, in case of the lat-
est, shall be performed in two construction pits. At In the reservoir area and in the area of the downstream
first, four spillways and a connecting embankment shall river bed dredging, a regulation of 23 tributaries’ out-
be constructed in the first pit and then, after the water fall sections will be necessary, with the most demand-
course has been redirected over the spillways, the ing being the complex regulation of a stream and of
powerhouse and the last spillway in the second pit the lower part of the settlement of Brestanica.
shall be accomplished. Such a construction mode is The most extensive interventions in the infrastruc-
mandatory due to a narrow river bed and it will pro- ture section will be necessary on roads where con-
long the construction time for at least one year in struction of a new Sava bridge some 100 m downstream
comparison with the other plants in the HPPs chain. from the Krško HPP and a new bypass main road
This is the reason why the Krško HPP construction along the left Sava river bank including two major

388
junctions shall be built according to requirements of
INTAVEOPRSL
the local community. This topic appeared unexpect- (SP)
edly and very late during the State Site Plan (SSP)
process (see special chapter below) and caused a
STUDYOFINAVE, 1stSPATIL
major delay of the SSP development of approximately PROGAMESL CONFER
6 months; however, it was brought under control and
thus the general time plan was kept in schedules. The
AMENDTOFHPRGWI
in-time construction of the bridge before commence- RECOMNDATISBUGPL
ment of the works on the Krško HPP is however CONFER,ADPTIHGM
very important for the Concessionaire as it represents a PUBLICATONHEFGZRS
replacement of a planned temporary construction
bridge. Beside these new structures, reconstruction and ACQUISTONFDREVPLG
improvement of some 1250 m of main road G1-5 and HOLDERS
105 m of other roads will also be necessary. Compared
with other upstream reservoirs, relatively large inter- COMPARISNFLTEVU
ventions are needed on the railway line where regula- (DEVLOPMNTFACRISUY)
tion of 21 culverts, bridges and underways with 580 m
of supporting wall is foreseen. One of the major inter- PROSALFTHEMUIBNV
ventions will also be the adjustment of the 20 kV grid
while the interventions on railway communication OPTIMSANRL
cables and the telephone grid will be performed only
locally. Adjustments of the 110 kV grid (with excep- DETRMINAOFHSUBLV
tion of the Krško HPP OH line connection to the left
bank) and of the gas pipeline systems are not fore- DETRMINAOFCHLUS
seen. As regards residential and commercial structures
as well as auxiliary structures on 16 locations the most ELABORTINFHSP
demanding shall be the reconstruction of the lower
castle in Brestanica. By the reservoir operating water 2ndSPATILCONFER
level only some structures in Brestanica town shall be
menaced while the threat of Q100 water level shall be PUBLICEXHTONF PUBLICHEARNG(S)
significant for the other structures. Among the affected THESPROAL
structures there are quite some of them in very bad
condition so they shall be proposed for sale and demo- VIEWPONTSARGDMK
lition. A relatively low number of interventions or SUGETIONBADHPLCX
even none of them are foreseen in the water mains and OFTHESPRAL
sewage system areas since they are quite distant from
the Sava river or even located at a higher relief above AMENDTOF DEVLOPMNTFA
TECHNIAL AMENDSP
the dammed water level already in the present state. DOCUMENTAI PROSAL

5 LICENSING PROCESS ACQUISTONFPLGHDER«

The lower Sava river HPPs chain represents a project ADOPTINFECRHSBY

which shall have an impact on the environment,
whereto it will be sited, not only during construction
but also in long terms since the chain will be over
50 km long. For such projects the Slovenian legisla-
tion anticipates a siting procedure dictated by a State
Site Plan (hereinafter referred to as “SSP”) which is
regulated by law and consists of the phases shown in
the flow chart diagram (Fig. 3).
5.1 SSP development initiative
The procedure of the SSP development initiation for-
mally starts by the initiative given by the competent
Ministry of energy and addressed to a competent
Ministry of environment and spatial planning.
GOVERNMTFHSADPUBLIC
OFICALGZETHRS
Figure 3. Flowchart of a State Site Plan (SSP) process.
5.2 Development programme and spatial
conference
The SSP implementation starts on the basis of a devel-
opment programme adopted by the competent Minister
of energy and in consent with the initiator. The devel-
opment programme covers all the necessary activities
with a description of obligations and definition of
legal terms in relation with the SSP adoption: (1)
legal bases for SSP adoption; (2) subject of treatment;

389
(3) definition of planning zone; (4) holders of spatial
planning; (5) list of required technical documents;
(6) time schedules. In order to harmonize the interests
of the spatial planning holders the first spatial con-
ference to be attended by all spatial planning holders
shall be organised prior to the development programme
adoption.
5.3 Planning guidelines acquirement
After the development programme adoption, the SSP
designer shall ask the spatial planning holders to sub-
mit the planning guidelines of foreseen spatial arrange-
ments within a time period prescribed by law. The
SSP designer shall make an analysis of these guide-
lines and with due consideration of the same as well
as of a spatial analysis he shall develop an orientation
policy to be considered by spatial planning and to be
approved by the Concessionaire and the grantor.
5.4 Elaboration of alternative solutions and
comparison of alternatives
With purpose of optimisation of the planned spatial
arrangement some alternative solutions shall be made
and examined. The SSP designer shall develop a com-
parative study wherein the alternative solutions shall
be compared among each other from the functional,
environmental and economic points of view as well as
from the point of view of their acceptability in the local
environment. In a final synthesis of this comparative
study the most suitable alternative solution shall be
suggested and some directives for its optimisation
shall be given. The alternative solution for which a pro-
posal of a Site Plan shall be made, shall be given con-
sent of the Government of the RS on the proposal of
the Minister of Spatial Planning and the competent
Minister of energy.
5.5 Elaboration of technical documents and the
SSP proposal
After the guidelines have been confirmed, the elabora-
tion of all technical documents on the basis of which
the SSP proposal shall be made, shall be provided.
Prior to its public exhibition, the SSP proposal shall
be reviewed by experts from the spheres of spatial and
water management planning, energy, environmental
protection and finances. Prior to the SSP proposal pub-
lic exhibition announcement the SSP designer shall
organise the 2nd spatial conference with a view to
obtain and adopt recommendations, directives and
legitimate interest (opinion) of local communities,
economic sectors, interest groupings and organised
public as regards foreseen solutions given in the SSP
proposal.
390
5.6 Public exhibition and public hearings
Pursuant to a decree the competent Minister od spa-
tial planning determines a public exhibition of the
SSP proposal at the Ministry of Environment, Spatial
Planning and Energy and in Municipalities where
the planned arrangements shall be performed (i.e.
Sevnica and Krško in this case); this public exhibition
shall last 30 days at least. During this public exhibi-
tion and in cooperation with the Concessionaire and
the grantor the SSP designer shall organise a public
hearing which shall take place in the area of planned
spatial arrangement. During the public exhibition and
the public hearing all written and oral remarks and sug-
gestions of different entities, organisations and individ-
uals shall be recorded and examined and a proposal of
viewpoints as regards their taking into account shall be
prepared.
5.7 Elaboration of an amended SSP proposal
After the public exhibition the SSP designer shall pre-
pare an amended proposal in accordance with the opin-
ions and remarks given during the public exhibition
and after all amended technical documents, if any,
have been obtained. The SSP designer shall call the
spatial planning holders to submit their opinion to the
amended SSP proposal and he shall acquire a review
of an expert from the field of spatial planning as well
as a viewpoint of a competent Minister of Energy to
the amended SSP proposal. Pursuant to the opinions
and viewpoints obtained the SSP designer shall elab-
orate an amended SSP proposal.
5.8 SSP adoption
The competent Minister of space in agreement with
the competent Minister of energy shall submit the
adjusted and amended SSP proposal to the Government
of the RS in approval. A component part of the docu-
mentation consists of recommendations of spatial
conferences and viewpoints as regards remarks and
proposals obtained during public exhibition. The
Government of the RS approves the SSP by a decree
published in the Official Gazette of the RS.
5.9 Practical experience
The above described procedure is relatively long since
it takes 2 years at least, while in practice it can be
extended to three or more years especially due to
consent-givers. On the basis of experience obtained
up to now there are no rules as regards which phase
could cause most delays. However, the phases of the
procedure adjustment with the requirements of local
communities are as a rule the most demanding ones
since they are connected with local communities’
requirements of additional accompanying investments
in the area of infrastructure which are not necessarily
in direct relation with the construction itself.
Natura 2000 is another special issue relating to the
project siting. The problem has been solved in a way
as to avoid areas with such a status as much as possi-
ble, also on account of slightly increased costs.
A special approach has been planned as regards
harmonisation of activities with local communities.
These have founded a Committee of the lower Sava
river HPPs Construction Monitoring with representa-
tives of all communities impacted by the relevant con-
struction who shall promptly solve all open questions.
At the beginning there was every indication that this
Committee would represent a problem and even an
obstacle, however, during construction itself it showed
up as quite positive and constructive, facilitating the
work of the energy part and especially of the infra-
structure part of the project. Regular meetings enabled
solving of open questions and replying to requests of
local communities which resulted in a relatively quick
and effective construction process.
6 PUBLIC RELATIONS
A special attention has been paid also to public rela-
tions, especially in the area impacted by the construc-
tion. Initial advertising and laying of stress upon the
project advantages via local media, radio and newspa-
pers continued with special written material being
delivered to all households of the area, all with a pur-
pose of first-class dissemination of relevant informa-
tion. Sponsoring of local societies, sports and cultural
clubs was organised in order to represent positive
effects of the construction and siting into the area.
After a year of construction a telephone survey was
organised by which the following goals would have to
be achieved:
– to establish in what extent the people know the
Company building the hydropower plants;
– to measure the reputation of the Company;
– to establish in what extent the people are acquain-
ted with the project of the lower Sava river HPPs
construction;
– to establish actual and desired information sources
regarding the project;
– to establish effects of local sponsoring;
– to enable support to the Company in achieving
future communication goals.
The survey surprisingly showed that more than 80%
of people participating in the inquiry supported the
project. Such a positive response was not anticipated,
nevertheless, in further activities much precaution
shall be used since the results in the area directly
impacted by physical work were much worse. It has
391
been established as well that younger and middle
generation as well as people with higher education
know the Company and the project of the lower Sava
river HPPs construction much better, however, they
express also more criticism, mostly as regards envi-
ronmental impacts. This is of great concern especially
with those living closer to the sites where the power
plants are or will be in construction.
On the basis of a public opinion research some
communication measures were taken, which meant
that the announcements in mass media were reduced
while the others were made only in local media, and
sponsoring was directed to local sports clubs with most
numerous membership. The survey shall be repeated
in the whole area every year and also in future, meas-
ures shall be taken only on the basis of the results
obtained.
7 AIMS, COSTS AND BENEFITS
7.1 Aims
The Blanca and the Krško HPPs represent two of the
three most powerful stages of the future lower Sava
hydropower chain with more than 150 GWh of annual
production each. The whole chain fulfills a number of
strategic aims of both the Concessionaire as well as of
the State which were also adopted in the recent
National Energy Programme:
– to increase energy production from renewable
sources (presently 30% of total national electricity
production);
– to favor energy supply from renewable sources
(presently less than 10% renewables in total pri-
mary energy consumption);
– to favor environmentally less disputable energy
sources;
– to increase the hydropower production and capac-
ity on long-term basis;
– to give preferential status to the lower Sava river
chain of HPPs in view of the energy utilization of
the entire Sava river in Slovenia;
– to help fulfill the national requirements and aims
of the Kyoto protocol.
The national economy view of the project covers
three main topics:
– An important role in the national development with
ability of domestic companies to offer technical
solutions of up to 90% of the investment, retaining
of the competitiveness of domestic civil contrac-
tors and industry and improvement of local and
national employment rates.
– Environmental management consisting of water
management of the Sava river and her tributaries,
flood and erosion protection of settlements and
Table 3. Final agreed shares of costs of arrangements in State part of the project. A list of the national economy
the infrastructure part of the Blanca HPP project. benefits is however much longer and includes also
engagement of civil contractors and equipment pro-
Infrastructure cost division (%) ducers on a large scale, water management of the
Sanitation of
river network, improvement of energy supply by util-
influences on: E* W* S* L*
ising domestic sources, improvement of qualifications
Land acquisition – 100 – – and competitiveness of domestic companies of differ-
Settlements 18 82 – – ent profiles, tax and non-tax incomes and resulting
Railroad network – – 100 – overall economic development of the region and of
Road network 1 27 63 9 the State as a whole.
Agriculture** 45 55 – –
Water infrastructure 27 73 – –
Energy network & 1 – 95 4 8 CONCLUSIONS
communication
Urban infrastructure – – – 100
Natural & rural landscape – – 17 83 A Joint Venture project of the lower Sava river in
Slovenia is presently one of the largest infrastructure
* E – Energy infrastructure; W – Water infrastructure; and energy sector projects in Slovenia. At the same
S – other State infrastructure; L – Local infrastructure. time, it is one of the most extensive hydropower pro-
** Includes costs of extensive river dredging with disposal jects in this part of Europe, with possibilities and
of masses on agricultural land including recultivation intentions to be both complemented downstream
and measures for sanitation of increased water levels on with the chain of HPPs in Croatia as well as extended
agriculture. upstream to the reaches of middle and upper Sava
river in Slovenia.
infrastructure and general improvement of the Beside practical technical experience gained dur-
water regime control. ing construction of the first stage of the Vrhovo HPP
– Influences on state and local municipal budgets some ten years ago and of the recently completed
with long-term increase of cash inflows and taxes Boštanj HPP (to be put into full trial operation during
as well as a number of other indirect inflows. 2006), our knowledge is constantly being increased
also in the field of effective collaboration of the Con-
7.2 Costs cessionaire and of the State on assuring common goals.
Examples of the Blanca and Krško HPP projects
From the viewpoint of the Concessionaire, costs
are described briefly in the paper from technical, legal,
include energy part of the investment costs, a part of
public-relation and economical viewpoints which all
production costs, concession duties and taxes. The
together represent the core of the project. A constant
State must pay for the infrastructure part of the invest-
mutual adaptation and development of these view-
ment costs and for the other part of production costs.
points is proving to be effective as both projects are
From the wider national economy viewpoint the costs
being kept in the given time schedules and – with
are a sum of costs of both parties as listed above.
some exceptions – also in the given economical lim-
The division of costs between Concessionaire and
its. At the same time, this experience will be very use-
the State has been basically agreed with the conces-
ful both for the continuation of work on the remaining
sion contract but is being biased into detail for each
two stages of Brežice and Mokrice HPPs downstream
separate stage of the HPP chain according to different
as well as for possible similar projects in Slovenia or
local factors. The clearest general division rule was that
abroad.
the State covers the flood protection costs up to the
level of Q100 while the Concessionaire contributes
the above-Q100-level arrangements necessary for
energy production. A practical example of cost divi- REFERENCES
sion for the Blanca HPP project is given in Table 3.
IBE 2005a. HPP Blanca, Basic Design (in Slovenian). Project
documentation. Ljubljana, Slovenia.
7.3 Benefits IBE 2005b. Blanca Hydropower Plant, Feasibility Study for
the Energy Part of the Investment (Prepared for EIB).
A list of benefits includes above all sale of electrical Ljubljana, Slovenia.
energy and electrical system services on the Conces- IBE 2006. HPP Krško, Basic Design (in Slovenian). Project
sionaire part and concession and tax incomes on the documentation. Ljubljana, Slovenia.

392
 Theme 3
Dam engineering and analysis of alternatives
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

General Report – Session III

J. Polimón
Dragados S.A. Technical Director, Spain

1 INTRODUCTION of the Three Gorges Project Permanent Ship lock

(Guo yu, Chen Shouyu) CHINA”: Paper devoted
Despite the social and environmental pressure on dam to analyzing mathematically the stability of a rock
construction, nowadays the fact that dams mean great slope in Three Gorges project.
benefits on the social and economical countries devel- 2. “The landslide event in left bank of Sseymareh
opment, places new dam construction in the limelight. dam project: the history, geotechnical conditions
The main boost to this activity is focused on Asia,
Latin America and East Europe; thus, in the wake of it, Table 1. Papers received for dam engineering.
some 79% of paper contributions to this session come
from those areas. Country No of papers
All told twenty seven countries have sent on papers
to this session ALBANIA 1
These construction and project dam activities have ALGERIA 2
AUSTRALIA 2
been reflected in new engineering concerns which
BRAZIL 4
have generated seventy eight paper contributions to CANADA 1
dam engineering and nine to analysis of alternatives. CHINA 18
The seventy eight papers of dam engineering come CROATIA 1
from 23 countries (Table 1), and the nine papers of EGYPT 1
alternatives analysis come from 6 countries (Table 2). ICELAND 1
All told twenty seven countries have sent on papers to INDIA 1
this session. IRAN 21
Dam engineering is a very wide issue, as the num- IRAQ 1
KOREA 4
ber of papers reveals. So, in order to make this report
LATVIA 1
clearer, the papers of dam engineering have been clas- MEXICO 3
sified into eight general topics as follows (Table 3). NETHERLANDS 1
General Report aims at making the papers consul- PARAGUAY 1
tation easier, preventing the reader from having to PORTUGAL 1
wade pointlessly through papers to look for particular REPUBLIC OF MACEDONIA 1
information. Therefore we are going to highlight the SPAIN 6
main point of the papers for each topic, and also a SWEDEN 4
brief description of each paper will be produced. SWITZERLAND 1
USA 1
Total 78
2 DAM ENGINEERING TOPICS

2.1 Geotechnics and rock mechanics Table 2. Papers received for alternative analysis.
Five papers have been classified into this topic. The Country No of papers
main concern of the authors has been slope stability;
three papers have been devoted to this issue. ALGERIA 1
Another paper deal with the in-situ rock modulus CHINA 1
assessment and the last one is a useful compilation of GERMANY 2
sundry karsts problems worldwide and its treatment. KOREA 1
Table of contents and brief paper descriptions are: PAKISTAN 1
SPAIN 3
1. “Comprehensive Evaluation with Variable Fuzzy Total 9
Sets for Global Stability of High-steep Rock Slope

395
Table 3. Dam engineering papers classification. 2. “Abrasion of Dam Surface by High-Velocity
Sediment-Laden Flow and Effect of Aeration on
Topics No of papers Abrasion Resistance (X. B. Huang) CHINA”.
Sediment action on hydraulic structure faces.
Geotechnics and rock mechanics 5
3. “Appropriate application of artificial neural net-
Hydrology 7
Numerical and mathematical models 28 works for flow forecasting (Xiaohua Dong, C.
Dam flaws 7 Marjolein Dohmen-Janssen, Martijn J. Booij and
Dam monitoring and behavior 9 Suzanne.J.M.H. Hulscher) CHINA”. As its title
Project features 12 suggests the paper deals with artificial neural net
Waterproofing and drainage 3 applications to forecasting flows. It stands for its
Safety and durability 7 accuracy and suitability.
Total 78 4. “Prévision Multisite des Entrées liquides
annuelles des Grands barrages au nord d’Algérie
(Boukharouba K. et Kettab A.) ALGERIA”. The
and remedy works (Mahmoud Yazdani, Khashayar
paper is a hydrologic forecast case study on the
Solgi) IRAN”: Big landslide description in
rivers of the north of Algeria applying the so-
Seymareh project, geological conditions and
called Kalman filter on the annual flow volume
remedial works.
rates. It is the only paper in this session written in
3. “A mass movement and risk assessment in Komani
French.
Hydropower area, (Ylber Muceku, Hamza Reçi)
5. “System of management and hydrology forecast
ALBANIA”: Rock mass movement description in
in Itaipu dam (Ana Paula do Nascimento,
Komani hydropower station affecting some
R.M.Amirón, J.M.R.Sosa, A.M.G.Vera)
hydraulic structures. Decisions made and reme-
PARAGUAY”. This paper describes the hydrologic
dial works description.
forecast system set up at Itaipu hydropower cen-
4. “Estimation of the In-situ Modulus of
tral station. The article highlights the great impor-
Ramamurthy Empirical Equation, a Case Study of
tance of counting on an accurate flow prediction
Masjed Soleyman Cavern (Shafiezadeh, Nadia,
system for hydroelectric stations like Itaipu.
Bagheri, Mehdi) IRAN”: Ramamurthy procedure
6. “Simulation of rainfall-runoff process by ANNs
application to get the in-situ rock mass distortion
and HEC-HMS model (M. Akbarpour, M.B.
modulus. Case study of Masjed Soleyman cavern.
Rahnama) IRAN”. Its title is clear and the paper
5 “Analytical and comparative Study on Karst.
deals with a simulation of rainfall and runoff process
Problems and treatments in World’s dams
making use of ANNs and HEC-HMS models.
(N. Talebbeydokhti, Mohammad Hadi Fattahi)
7. “Soil Water Balance Model of a Grass-covered
IRAN”: Useful compilation of several and impor-
Clay Slope in England (Li Gang, Derek Clarke)
tant karst troubles worldwide; their description
CHINA”. This is a novel paper that deals with the
and remedial works.
soil grass influence on the runoff and the ground
humidity amount. It has been founded on physical
2.2 Hydrology models made in England.
Seven papers have been produced on this topic. Two
authors are concerned with abrasion troubles gener- 2.3 Numerical and mathematical models
ated by sediments in hydraulic ducts, structures faces
It seems that theoretical calculations have been the
and hydro-mechanical elements.
author’s main concern in this symposium, since twenty-
Four papers are devoted to rainfall and runoff fore-
eight papers have been produced on this issue.
cast in order to predict flows, two of them describe
Papers deal from structural calculation, including
neural networks applications, one deals with Kalman
seismic behavior and thermal-stress models, to ice
filter and another depicts the hydrologic system man-
loads on dams, going though cracking theoretical treat-
agement at Itaipu dam.
ment, seepage, spillways flow, dam breakages, stabil-
Finally one paper deals with the soil grass influ-
ity and profile optimization.
ence on the runoff and the soil humidity.
Eight papers are devoted to analyzing the stress
Table of contents and brief paper descriptions are:
dam behavior under different circumstances like earth-
1. “Effective modelling of sedimentation system in quakes and thermal loads. Four of them deal with
the Himalayan region Karcham wangtoo hep sed- seismic calculation, always supported by 3D mathe-
imentation chamber-A case study (Satish Kumar matical models. Three deal with thermal-stress calcu-
Sharma) INDIA”. Sediments influence on hydraulic lation equally backed up by 3D models, and one stands
ducts and turbine runners at an hydraulic power sta- for the Concrete Faced Rockfill Dams calculation in
tion in Himalayan region. A case study is presented. 3D models.

396
 Five papers deal with seepage and drainage. Three
of them put forward 3D models to study seepage nets
more accurately; one deals with seepage though rock
fractured massifs and the last is a theoretical study to
optimize the placement of the gravity dams’ drains
curtain.
Four articles are devoted to spillways and flow fea-
tures models. Two of them deal with flow features in
spillways. One is about procedures to analyze the old
spillway’s condition and capacity, and its need of refur-
bishment. Eventually one deals with surge tank flow
features and behavior.
There are three novel articles about concrete dams
profile optimization. Two are devoted to arch dams and
the other one to gravity dams.
There are also three papers devoted to flow-simu-
lation generated by dam breakage.
Two articles deal with earth dam stability; another
two are about concrete cracking simulation in dams
and hydraulic structures and finally there is an unusual
paper about ice loads simulation on dams.
Table of contents and brief papers descriptions are:
1. “The prediction of pore pressure development in
earth dams with mixed clay core during earth-
quake loading; case study: Karkheh Large
Embankment (Mohammad Hosseini,
H.Nasrollahi) IRAN”. The paper deals with the
pore pressure evolution in a clay core of an earth
dam during earthquakes. Studies are supported
by a 3D-model application. The case study of
Karhke dam is produced.
2. “Analysis of Earthquake Induced Permanent
Deformation for Jiudianxia Concrete Face
Rockfill Dam (Shen Zhen-Zhong, Wen Xu-yu, LV
Sheng-xi) CHINA”. The paper is about a mathe-
matical analysis of seismic behavior of the con-
crete faced rockfill dam of Jiudianxia. Authors
analyze stresses response to dynamic actions and
settlements on concrete screen and especially on
joints.
3. “3D non-linear dynamic response of rock-fill
dam (Violeta Mircevska, Mihail Garevski,
V.Bickovski) REPUBLIC OF MACEDONIA”.
The paper is about a general study, in 3D mathe-
matical model, of earth dams seismic behavior.
4. “Successive seismic methods aided to find the
change of structure and material properties in
center core type earth-fill dam (H.S. Kim, H.G.
Park, Y.S. Yoo, J.Y. Kim, Y.S. Kim) KOREA”. The
article deals with the application of geologic
seismic methods prospecting to old earth dams
condition research.
5. “Numerical Analysis as a Frame for RCC Dam
Feasibility Analysis (D. A. V. Krüger, R. D. Machado,
M. B. Hecke, E. E. Kavamura, N. F. Carvalho)
BRAZIL”. The paper is about a numerical
397
methodology for the thermal-stress analysis of
concrete structures in 2D and 3D. Authors pro-
vide a special application to RCC dams.
6. “A new comprehensive framework for the analy-
sis of mass concrete: thermo-chemo-mechanical,
experimental, numerical and data modeling
(E. M. R. Fairbairn, R. D. Toledo Filho,
M. M. Silvoso, F. L. B. Ribeiro, A. G. Evsukoff,
I. A. Ferreira, E. A. Guerra, W. P. Andrade,
M. A. S. Andrade, E. F. Faria) BRAZIL”. Authors
introduce a new thermal-stress model and
program.
7. “Numerical Analysis as a Frame for RCC Dam
Feasibility Analysis (D. A. V. Krüger,
R. D. Machado, M. B. Hecke, E. E. Kavamura,
N. F. Carvalho) BRAZIL”. This paper compares
in a thermal-stress model the construction of a
gravity dam by means of either vibrated concrete
or RCC methods. Authors conclude that RCC
method inflicts lower thermal stresses.
8. “Numerical analysis of concrete face Rockfill
Dam under Three-Dimensional conditions
(A.Frutuoso, A.P.Assis, M.M.Farias, P.Falcâo)
(BRAZIL)”. This interesting article stands for 3D
calculation models for concrete faced rockfill
dams, especially when narrow valleys. The
authors provide a calculation example to back up
their assertions.
9. “Study of admissible exit gradient values with
respect to the piping phenomenon using physical
and numerical modeling (Bassem Mansour)
EGYPT”. The paper describes the 2D physical
sandy model made to study the piping phenome-
non in the old Assiut Barrage on the river Nile.
The author also produces a comparison between
physical and numerical models.
10. “Inspection of gypsum layers effects on seepage
through Upper Gotvand dam foundation
(J. Sadrekarimi, M. Kiyani, A. Mozaffarishams.)
IRAN”. Description of the 2D and 3D seepage
models of Upper Gotvand dam. Seepage models
take into account the gypsum layers effect.
11. “New seepage-related design graphs for rock-fill
dams (A. Soleimanbeigi; F. Jafarzadeh) IRAN”.
The paper analyzes in 2D and 3D the seepage net
of an earth dam and compares the 2D and 3D
results with the actual data. The authors conclude
that the 3D seepage analysis is extremely impor-
tant in earth dams located in narrow valleys.
12. “The Study of Simulation Calculation and Analyse
of Seepage In Fractured Rock (Zhao Jian, Ji Wei)
CHINA”. The article is a mathematical simulation
of the permeability through a theoretical cracked
rock massif. Rock cracks are simulated by means
of the Monte Carlo statistical method.
13. “Control of water head in the vertical drain
(A. Djehiche, K.Kotchev) ALGERIA”. The paper
 deals with the description of a theoretical model
work to optimize the vertical drains situation in a
homogeneous earth fill dam.
14. “Hydraulic Characteristics of Stepped Spillway
in Haraat Earth-fill Dam (F.Golzari Rahatabad)
IRAN”. Study in physical model of stepped spill-
way features and energy loss.
15. “Predicting Submergence Effects for Labyrinth
Weirs (B.P.Tullis, J.C.Young, A.Chandler) U.S.A”.
The paper puts forward more accurate formula-
tions to assess at flow discharge in labyrinth canals
weirs working submerged.
16. “Application of numerical modeling to spillways
in Australia (David Ho, Brian Cooper, Karen
Riddete, Shane Donohoo) AUSTRALIA”. The
paper is an interesting description of the method
applied in Australia to assess condition and capac-
ity at the old spillways, and its need of refurbish-
ment. The procedure is a 3D model fed with actual
data and automatically re-adjusted.
17. “Role and Behavior of Surge Tank in Hydropower:
Case of the LG2-Hydroelectric Power Plant in
Quebec, Canada (Fuamba M., Brosseau G.,
Mainville E., Colameo, S.) CANADA”. The arti-
cle is about a study in 3D model of the hydraulic
flow in a surge tank at Robert Bourassa hydro-
electric power station. The author concludes that
the results observed agree very well with the pre-
dicted by the model.
18. “The Research and Application on Set of
Optimization Design Method of High Arch Dam
Based on The Finite Element Method (Su Chao,
Jiang Hongdao) CHINA”. The paper describes
the mathematical process used in China to design
and optimize arch dams.
19. “Polynomial curves and lofting. Applications to the
design of an arch dam (Delgado Olmos, Ángel H.)
SPAIN”. The article describes the use of polyno-
mial curves to generate arch dam shapes easily.
20. “Research of new reasonable section of gravity
dam on the base of topological optimum (Sun
Bei, Su Chao) CHINA”. The paper deals with a
mathematical topologic study to generate an opti-
mized new section for gravity dams. The authors
also include a comparison with traditional grav-
ity dam sections.
21. “The Numerical Simulation of Flood Induced by
Dam-break for Power Stations in Cascade (Liu
Xiaoqing, Li Tongchun) CHINA”. This article is
about a description of the EF mathematical
development to simulate floods generated by dam
breakages. Authors provide an application to dams
in cascade.
22. “Dam break waved comparisons analysis related
with its most important parameters. A case study
in the Conf.Hid.del Ebro, Spain (Guillermo
Cobos, Miguel Angel Eguibar) SPAIN”. The paper
398
deals with the Vadillo dam breakage simulation.
Authors compare outcomes according to break-
age period, type of dam and Manning coefficient.
Comparison between simplified and FLDWAV
methods are also provided.
23. “Badoosh dam-break hypothetical using HEC-
RAS (Ali Hussein Dahir) IRAQ”. This paper is
about the application of the HEC-RAS program
to the hypothetical breakage of Badoosh dam.
24. “Effect of number of layers on incremental con-
struction analysis of earth and rock fill dams (Ali
Zomorodian) IRAN”. The article stands for the
use of ten layers at least when using the Geo-
Slope stability program in order to analyze the
pore pressure influence properly.
25. “Simultaneous Effect of Embankment Dams
Dimension and Shear Strength Parameters on
Slope Stability Analysis - Two Case Studies in
Iran (M. Veis Karami, M. A. Mehrdad, A. Eslami)
IRAN”. This paper analyzes the influence of par-
ent materials parameters (friction angle, cohe-
sion and distortion modulus) and the calculation
procedure (Bishop, etc) on the earth fill dams
stability calculation.
26. “Crack propagation analysis in concrete gravity
dams by discrete crack method (R.Attarneja,
A.R.Lohrasbi) IRAN”. This article analyzes the
crack behavior of gravity dams by means of a
computer program developed by the authors.
27. “The comparative study of discrete crack &
smeared crack methods in concrete gravity dams
(R.Attarneja, A.R.Lohrasbi) IRAN”. The paper
compares different crack EF mathematical mod-
els, namely the discrete crack model and the
smeared one. The authors conclude that the dis-
crete crack model provides more useful out-
comes than the smeared one.
28. “A model of ice loads on dam structures
(T. Ekström) SWEDEN”. This is a good article
devoted to introducing a more accurate proce-
dure to evaluate the ice loads on dams. The pro-
cedure is founded on 3D structural calculations.
2.4 Dam flaws
Seven papers have been classified into this topic. The
main concern of the authors has been the seepage
through the reservoir walls. Four papers have been
devoted to this issue.
There is also one paper devoted to the effects of ice
on dams, another one to crack in buttress dams and
the last one to flood effects on a hydroelectric power
station.
Table of contents and brief papers descriptions are:
1. “Study dam-detouring leakage at the left abutment
of Xiaolangdi reservoir using nature tracers (Cheng
 Jianshenh & Fan Zhechao; Dong Haizhou)
CHINA”. The paper deals with the seepage study
at Xiaolangdi reservoir. It has been made by means
of nature tracers like temperature, chemical water
composition, conductivity, etc.
2. “Dam leakage and relevant leakage diagnoses in
China (Liu Jiangang, Fang Fang, Chen Jiansheng)
CHINA”. The paper is a description of the leakage
system diagnosis procedures commonly used and
developed in China.
3. “The Contribution of Lar Dam-Polur Lineament
on the Lar Dam Leakage (Khalilallah Feghhi)
IRAN”. The article is about Lar Dam-Polur linea-
ment description and its contribution to Lar Dam-
Polur reservoir seepage.
4. “Construction of pressure relief wells under flow-
ing artesian conditions, Karkheh storage dam-
Iran (Mohammad Heidarzadeh, Ali A. Mirghasemi;
Faramarz Slamian; Habib Niroomand; Seyed M.
Etemadzadeh) IRAN”. The paper describes the
first relief wells fault in Karkheh dam and the
construction of the new wells. Authors conclude
that the new relief wells improved the dam safety
factor by 40%.
5. “Estimating development of the Urridafoss ice
jam by using a river model (Jonas Eliasson, Gunnar
Orri Gröndal) ICELAND”. This article deals with
the development of wide channel ice jams by means
of heat loss and hydraulic theories in order to pre-
vent damages on dams.
6. “Safety of cracked buttress dams today – an
example (T. Ekström) SWEDEN”. The paper is
about the 3D crack analysis of a buttress dam in
Sweden. The article is aimed at explaining the rea-
son of the cracks, estimating the current dam safety
and proposing suitable actions when the safety is
not good enough.
7. “The influence on drawdown in a water power
station due to eroded material in the outlet chan-
nel. (Frederik Persson) SWEDEN”. The article
deals with the study for assessing and weighing up
the need of withdrawing eroded material in a tail
race channel of a hydroelectric power station.
2.5 Dam monitoring and behavior
Nine papers have been classified into this topic. In
this case the main concern of the authors has been the
behavior analysis of existing dams according to their
monitoring data. Five articles have been sent on this
issue.
Two articles are devoted to monitoring systems;
one of them proposes the use of groundwater quality
as a monitoring factor and the other one puts forward
a new field calibration system for monitoring devices.
One paper analyzes the possibility of using reac-
tive aggregates in concrete dam construction and the
399
last one is an excellent article that analyzes the fact of
setting out the actual seepage field in earth dams by
means of monitoring the water temperature field inside
the dam body. It would mean the possibility of know-
ing, in a very easy way, the seepage field in a contin-
uous basis.
Table of contents and brief papers descriptions are:
1. “Deformation Behavior Analysis of Concrete-
Faced Rockfill Dam Based on Monitoring Data
(Deok-Joong Yoon, Young-Chul Song, Gi-Sung
Pang, Myoung-Soo Won, You-Seong Kim)
KOREA”. This paper is a very useful study of
internal stresses, distortions, Young modulus,
joint openings, etc of concrete faced rockfill dams
based on fifteen actual dams made in Korea.
2. “Behavior Analysis and Deformation Guidelines
of Rockfill Dams (You-Seong Kim, Myoung-Soo
Won,Yong-An Lee, Gi-Sung Pang, Young-Chul
Song, Deok-Joong Yoon) KOREA”. The article is
a comparative study between actual and predicted
settlements in six existing rock-fill dams in Korea.
3. “Safety Management of Pumped Storage Power
Plant Rockfill Dam by Monitoring System (Gi-
Sung Pang, Young-Chul Song, Young-Min Kim,
You-Seong Kim, Myoung-Soo Wong, Hyoung-Woo
Ko) KOREA”. This paper is about a safety param-
eter study of Cheongsong concrete faced rockfill
dam based on monitored data. Namely the rela-
tionship between the rockfill modulus and the
internal settlement has been analyzed, as well as
the earth pressure distribution and the perimeter
joints distortion in accordance with the water
storage level.
4. “Back analysis of dam based on uniform design
and genetic neural network (Li Duan you, Gan
Xiao qing, Guo Yianyang) CHINA”. This article
enters a new displacement back-analysis system
for existing dams based on monitored data and
combining BP neural network with uniform design
and genetic algorithm.
5. “Application of BP network to multiple-spot model
of dam deformation monitoring (Li Duanyou, Zhou
Yuanchun) CHINA”. The article sets out the pro-
cedure to build a multiple spot BP network model
of dam deformation.
6. “Evolution of groundwater quality around dam-
site and its significance (Song Han-Zhou, Huang
Jian-Fu) CHINA”. In this paper, the basic charac-
teristics of groundwater quality are studied in
detail related to the geological and hydro-geolog-
ical environment and the man-made engineering
involved, taken Xin’an Jiang Hydro-power station
as an example.
7. “A new device for field calibration of total pres-
sure cells in Doosti and Esfarayen dams
(R. Jamshidi Chenari , M. Nikkhah) IRAN”. The
 paper highlights the need of counting on reliable
monitoring devices in earth-fill dams as well as a
trustworthy placement into the dam body. To get it
the best is a good in-situ calibration. The paper
puts forward a new in-situ calibration procedure
and describes its application to Doosti and
Esfarayen dams.
8. “Analysis of the possibilities of using reactive
aggregates in the construction of new concrete
dams (Judit Segarra Foradada, Juan Manuel Buil
Sanz, Antonio Aguado de Cea) SPAIN”. The arti-
cle stands for the use of reactive aggregates in
some opportunities taking preventive measures.
The authors conclude that the use of reactive aggre-
gates does not necessarily mean that the reaction
will occur, even if it happens there are several pre-
ventive measures to reach a reasonable solution.
9. “Study On The Seepage Monitoring Theory with
Temperature in Embankment Dam (LI Duan-you,
XIONG Jian,WANG Huang) CHINA”. This excel-
lent article deals with the relationship, in earth-
fill dams, between temperature and seepage fields
enabling to monitor the actual seepage field by
means of temperature sensors.
2.6. Project features
Twelve papers have been produced for this topic. There
is not a mainstream, thus the articles of this topic make
a motley collection.
Three of them are devoted to describing sundry
features of El Cajón concrete faced rock-fill dam; one
of them deals with filters and upstream materials,
another one with joints and the last one describes the
river diversion.
Two papers are about earth dam features and two
more about spillway features.
There is one article devoted to features description
of each of the following issues: earth dams with
asphalt core, gravity dam, dam monitoring, geologic
conditions and coastal dykes.
Table of contents and brief papers descriptions are:
1. “The upstream zone of a very high CFRD
(F. Mendez & H. Marengo Mogollón) MEXICO”.
Good description of design and construction fea-
tures of the upstream zone of the 188-m high El
Cajon concrete faced rock-fill dam (CFRD) one
of the highest CFRD’s currently under construc-
tion in the world along with methods, equipment
and actual embankment placement sequence and
production rates.
2. “Joint seals for concrete face dams Aguamilpa, El
Cajón and La Parota, in México (Javier Fuentes
Nava; E. Mena) MEXICO”. The objective of this
work is to show how laboratory tests and assays
in prototypes realized in 1991, determined the
400
selection of materials to be used for the seals of the
Aguamilpa Dam where this seals have shown a
great performance for 13 years, becoming a pat-
tern to improve the seal design in the Hydroelectric
Project El Cajón and the possibility of using the
same technology for the H. P. La Parota.
3. “Hydroelectric project El Cajón, Nay, México.
Design and construction of the deviation project
using the criterion of compound corrugation
(H. Marengo, L. Athié; O. Calahorra) MEXICO”.
In detail description of design and construction
methods of diversion tunnels for El Cajón dam.
Tunnels have been designed deeming that the
floor and walls should be covered with conven-
tional concrete and the vault should be covered
exclusively with thrown concrete.
4. “Use of non plastic material in core of Shamil &
Nian earth-fill dams (F. Jafarzadeh; Y, Daghigh;
A. Reza Goli Lou) IRAN”. The paper describes
the use of no plastic material in the core of
Shamil and Nian earth-fill dams. Authors con-
clude that in this case taking care of filters
through NEF test and mixing carefully the material
controlling the water content without bentonite
addition would be enough to get asafe core.
5. “Phased construction of the barragem de Cerro
de Lobo (M. Oliveira Toscano; M. Cambridge)
PORTUGAL”. This is an interesting article about
history, data and construction and heightening
details of Cerro Lobo tailing dam.
6. “The flood energy dissipation features and
feasibility analysis for Wudongde Hydraulic
Power Station (Han Jibin & Lu Hong, Han
Xijun, Guo Yanyang) CHINA”. This paper is
about the description of the surface spillways of
Wudonge dam.
7. “Innovative design of durable and economic
spillway structure using SFRC (M. Safi,
M. Hamidian & H. Sahranavard) IRAN”. In this
paper a new design of spillway structure was pre-
sented using synthetic fiber reinforced concrete
(SFRC). Through a real case study it was shown
that this design can result in an economical and
durable structure.
8. “Specific procedures used during the construc-
tion of the asphaltic concrete core in Mora
de Rubielos dam (Spain) (J.M.Benlliure,
M.G. Membrillera, C.Seitl, V.Flórez) SPAIN”. This
paper describes the Mora de Rubielos dam con-
struction, designed as a zoned embankment with
asphalt concrete core after the analysis of several
technical alternatives.
9. “Current progress of HPP ‘LESCE’ under con-
struction in Coatia (N. Petrovic, S. Uzelac,
M. Feketic) CROATIA”. This paper deals with the
design description of Lesce hydropower station
and the changes entered in the preliminary works.
10. “Monitoring system as a tool of the dam safety
improvement at Plavinas HPP (Sigita Diπlere)
LATVIA”. The article is about the Plavinas dam
complex and hazardous geologic conditions and
the monitoring system to recognise the changes
in soil properties as soon as possible to notice
any incidents at an early stage.
11. “Lessons learnt from karst hydro-geological and
geological investigations at Bar-Aftab dam site
(Southern Iran) (M. Shirouyeh, M. Giahi,
M.T.Goudarzi) IRAN”. This paper is about the
description of the complex and difficult geologi-
cal and hydro-geological conditions at the future
Bar-Aftab dam location. The authors conclude
some pieces of advice to improve the knowledge
of the location .
12. “Technical and Economical Comparison between
Two Reinforcement Methods of Coastal Dykes
(Y.Daghigh, A.Karami Khaniki, H.Shahroozifar,
A.Tolooiyan) IRAN”. The paper compares two
different methods of coastal dyke reinforcement
to be applied at HENDIJAN coastal dyke (40
kilometers length). The first method consists of
using geo-textile filaments in parallel layers into
the dyke body. The second method consists of
using a layer of geo-textile on the dyke bed.
2.7 Waterproofing and drainage
Only three papers have been produced to this topic.
One proposes a method to optimize the foundation
drainage in gravity dams. Another one deals with the
difficult task of coarse alluvium waterproofing, and
the last one puts forward more user- friendly relief
wells.
Table of contents and brief paper descriptions are:
1. “Optimization of concrete gravity dams founda-
tion drainage systems (J.F. Da Silva) BRAZIL”.
The paper deals with a numerical three-dimen-
sional nonlinear flow analysis for the optimization
of the subsurface drainage systems of concrete
gravity dams. The author produces a case study on
applying the analysis to Isamu Ikeda dam.
2. “Application of jet grouting water tightening of
coarse grained alluvium (Hamid Bagheri) IRAN”.
This honest article describes a unsuccessfully cut-
off wall construction in coarse grained alluvium.
The author concludes that for jet grouting works,
utilization of suitable equipment, experienced and
competent personnel and the use of suitable
grout at appropriate pressure are of the utmost
importance.
3. “Research and Application of New Technique of
Seepage Control - Replaceable Relief Wells
(C. Y. Wu & W. Zhang) CHINA”. This paper intro-
duces a new relief well structure which falls into
401
two parts, the fixed and the removable one, the
former acts as the supporting framework, and the
later as the main filter for keeping it clean and
prolonging the relief well service life.
2.8 Safety and durability
Seven papers have been classified into this topic. Six
of them are devoted to safety issues and one to dura-
bility.
There is not a trend in safety issues, two articles
are devoted to management themes, another two to
hydraulic structures adaptation to new guidelines, and
another two to overtopping anticipation.
There is one paper devoted to durability in leached
concrete dam structures.
Table of contents and brief paper descriptions are:
1. “Flood Management system for controlled releases
(J. Gras, P. García Rubí, R. Rollán) SPAIN”. The
paper introduces a flood evacuation procedure from
floodgates regulated dams. The procedure limits
the outflow discharges according to current down-
stream damage boundaries, taking into account the
dam and downstream assets safety. The system
allows the integration of the dam operation into the
natural floods management systems.
2. “A certain degree of risk: The results of an assess-
ment of flood risks in the Netherlands (C.J. van
Westen) NETHERLANDS”. The article shows a
new procedure applied in Netherlands to identify
and assess flooding risk as a result of dyke failure.
The procedure takes into account a new risk
concept.
3. “Safety review of dams of the Catalan Water
Agency. Practical cases: La Baells, La llosa del
Cavall and Sant Ponç. Detected problems and
adopted solutions (J.M. Dieguez, C. Aguilar,
J. Gras, P. García Rubí) SPAIN”. The paper intro-
duces sundry works performed by the Catalan
Water Agency to conform its dams to the
REGLAMENTO TÉCNICO DE SEGURIDAD
DE PRESAS Y EMBALSES (Technical regula-
tion of dam and reservoir safety), and in particular
regarding hydrologic-hydraulic safety.
4. “Study of historical hydraulic structures of
Shushtar under extreme loading (F.Khoshnoudian,
R.Tavakoli) IRAN”. This paper discusses the eval-
uation and design procedures recommended for
the old Shushtar hydraulic structure refurbish-
ment execution. Old Shustar structures date back
to two thousand years ago and its refurbishment is
a part of the earthquake reconstruction program of
Shustar government.
5. “Flow resistance and design guidelines for
embankment stepped chutes (C.A.González,
H.Chanson) AUSTRALIA”. As a result of design
flow re-evaluation many earth dams have resulted
 in spills often larger than the original ones, show-
ing up a lack of storage and spillway capacity of
reservoirs. Stepped chutes with moderate slopes
represent a convenient embankment overtopping
protection. So this article puts forward new exper-
imental flow resistance results to help designers to
predict accurately energy dissipation on moderate
slope stepped chutes. Some recent advances in
design guidelines are also discussed.
6. “Experimental Study on Hydraulics of the
Overtopped Cofferdam used for Flood Diversion
Project in Hydropower Engineering (Chen
Qingsheng & Zhou Chuntian, Li Jing, Teng Libing)
CHINA”. This paper discusses the energy dissipa-
tion and erosion prevention of an overtopped cof-
ferdam based on laboratory test.
7. “Service life of leached concrete dam structures
(T. Ekström) SWEDEN”. The paper presents an
investigation of a leached concrete wall at a
hydropower station. Models are presented for water
flow and leaching, both for homogenous and for
cracked concrete. Two examples on leaching are
given. The study shows how the concrete proper-
ties change due to leaching.
3 ALTERNATIVE ANALYSIS
Into this symposium schedule, this issue should have
been the main topic; nonetheless only nine papers have
been produced, though most of them of high quality.
These nine papers deal mainly with three themes:
dam alternative studies, spillway alternatives and
hydraulic resource studies.
Four articles are devoted to the first issue, dam
alternative studies, two to the second one, and three to
hydraulic resource studies.
Table of contents and brief papers descriptions are:
1. “La Colada dam (Córdoba): an example of tech-
nical, economic, social and environmental viabil-
ity (Alejandro Albert Rodríguez, Paz Elías
Fernández) SPAIN”. The paper deals with the
technical and economical viability study of La
Colada dam and its different possible location
assessment. La Colada dam lies on the
Guadamatilla River and its main purpose consists
of supplying fresh water to Los Pedroches region.
2. “Construction of the First Concrete Faced
Gravel- fill Dam (CFGD) in Korea - Hwabuk Multi-
purpose Dam (Wan-Ho Lee, Kyung-Taek Yum,
Heui-Dae Lim) KOREA”. Hwabuk dam was orig-
inally planned as a CFRD since in Korea rock mate-
rials are generally abundant and easily obtained, and
besides CFRD has a high resistance to the sudden
failure and earthquakes. However, the original plan
was changed from CFRD to CFGD (concrete faced
402
gravel dam) in order to make use of the abundant
gravel-pits near the dam site construction. Then
this paper deals with the models and assays made
to validate the alternative.
3. “Bankable Feasibility Study for Rogun HEP Stage
1 Construction Completion in Tajikistan (Dr.-Ing.
R. Schmidt, Dr.oec. S. Zambaga-Schulz, Dipl.-Ing.
M. Seibitz) GERMANY”. This interesting and
excellent article outlines the current status and
tentative recommendation of the ongoing Bankable
Feasibility Study for Stage 1 Construction Com-
pletion of Rogun Hydroelectric Plant (HEP) in the
Republic of Tajikistan. Rogun dam could become
the highest dam worldwide reaching 330 m and
housing a 3,600 MW power plant. The paper
describes its features, geologic conditions and
type of dam alternative studies, as well as dealing
with social and environmental assessment.
4. “Decision-making System of Optimal Design for
High Arch Dam (Su Chao, Pan Hai-lin) CHINA”.
This paper introduces a basic solution to making
decisions for high arch dam form design optimiza-
tion. And it is based on the current arch dam design-
ing process and method used in China. The method
makes use of LAN. This system can be applied in
different levels of arch dam design, and it will
make the design process much more scientific.
5. “Design of a new economic shape of weir (Ahmed
Ouamane; F. Lemperiere) ALGERIA”. This inter-
esting article is about a new shape of weir bap-
tized Piano Keys Weir (P.K.Weir), which
represents an effective alternative for most new
dams and can increase at low cost the capacity of
evacuation and\or storage of several existing dams.
Authors include two examples made on Algerian
dams, showing that this kind of weir represents an
effective solution to increase the reservoir storage
capacity.
6. “Small overtoppable earth dams as alternative for
flood protection purposes (R.Siebel) GERMANY”.
In Germany due to environmental and landscape
architectural reasons, state authorities increas-
ingly decide to perform decentralised solutions,
which means planning several small reservoirs for
local flood control instead of one big dam. Most
of the dams of these reservoirs are not provided
with conventional concrete spillways anymore.
Instead of that, earth dams can be designed either
partly or totally overtoppable for flood relief.
Thus, this article deals with extensive experimen-
tal programme on the stability of slope protection
layers for the dam body, which has been carried
out at the Institute of Hydraulic Engineering at
Universität Stuttgart, resulting in design proposals
for those protection layers.
7. “Upgrading Capacity at Mangla Dam –
Alternative Resolutions (Wassay Gulrez, Zaheer
 M. Malik ) PAKISTAN”. Mangla dam was built in
1967. Its raising necessity was felt due to loss of
the reservoir storage on account of sedimentation.
Various alternatives to the Mangla raising consist
of a possibility of constructing storage dams
upstream of Mangla, the viability of desilting
Mangla reservoir, and raising the operation level
by constructing a parapet wall on the dam crest.
This paper focuses on the study of these alterna-
tives as viable options for maximum utilization of
the Jhelum River resources. Analysis of the viabil-
ity of the alternatives is reviewed over technical,
economic, social and environmental aspects.
8. “Analysis of alternatives for increasing the avail-
able hydraulic resources from the Alberche River
for Madrid water supply (Francisco Javier Flores
Montoya, Gabino Liébana del Pozo, M.A. Ortiz de
Andres) SPAIN”. The article is about the possibil-
ity of increasing the available water resources sup-
plying Ávila, Madrid and Toledo populations, from
the Alberche River, changing the San Juan and
Burguillo reservoirs management, as well as the
system of reservoirs that supply Madrid. This could
delay the determination of building more dams.
9. “Analysis of the viability of a flood control dam in
a Spanish Mediterranean basin (M.G. Mañueco;
C. Torres-Quevedo, M. González; A. Molina; J.C.
403
Gutiérrez; F. Soriano; F. Villalba; S. Hoppe;
I. Escuder) SPAIN”. The Safor region of Valencia,
Spain, has historically suffered the consequences
of extreme floods; a series of measures have been
defined in order to mitigate such effects, including
a dam designed exclusively for that purpose. This
paper describes a methodology applied to evaluate
different solutions considering technical aspects,
economical, efficiency, and social concerns.
4 EPILOGUE
All eighty seven papers mentioned have been produced
to this session. It means a hardworking effort to clas-
sify and summarize these contributions. Surely involun-
tary mistakes have been made, we apologize for them.
Our effort would be greatly rewarded if readers
feel this report is useful.
As it may be understood, in a meeting session it is
neither possible nor practical to make an oral presen-
tation of all of them, thus we have chosen a bunch
which represents sundry trends into dam engineering;
nonetheless we deem it a highly advisable reading or,
at least, worth having a quick look at. Doing so is one
of the best ways of being updated on the current trends
in worldwide dam engineering.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Bankable Feasibility Study for Rogun HEP Stage 1 construction

completion in Tajikistan

R. Schmidt, S. Zambaga-Schulz & M. Seibitz

Lahmeyer International GmbH, Bad Vilbel, Germany

ABSTRACT: The article outlines the current status and tentative recommendation of the ongoing Bankable
Feasibility Study for Stage 1 Construction Completion of Rogun Hydroelectric Plant (HEP) in the Republic of
Tajikistan. This study was assigned to Lahmeyer International GmbH, Germany, by Russian Aluminium
(RUSAL), in agreement with the Government of Tajikistan. The authors are leading the team in charge of
preparing of ongoing study, which is comprising technical, environmental and social issues. Relevant technical
aspects include HEP layout- and dam type options, with particular regard but not limited to: the prevailing geo-
logical setting and seismicity, construction planning, HEP operational regime, sedimentation and the use of
existing construction works.

1 OBJECTIVES AND SCOPE OF BANKABLE
FEASIBILITY STUDY
Russian Aluminium (RUSAL) of Russia, in agreement
with the Ministry of Energy (MoE) of the Republic of
Tajikistan, has commissioned Lahmeyer International
GmbH (LI), Germany to carry out a Bankable Feasi-
bility Study (BFS) for Stage 1 construction comple-
tion of Rogun HEP in Tajikistan.
LI’s scope of services comprises the technical review
of various project layout concepts and related existing
studies and the elaboration of the optimal project lay-
out option, on a level of detail and quality, that inter-
national financing institutions would accept the study
for their consideration.
Main objectives of the BFS are:
1.1 Audit of previous design studies
Lahmeyer International has reviewed the available
project documentation, including the original design
by Hydroproject Tashkent (1978), the Feasibility Study
by Hydroproject Moscow (2000), as well as the Co-
nceptual Study by Hydrospetsproject Moscow (2005).
1.2 Evaluation of incomplete construction and
existing plant and equipment
LI was to investigate the possibility, and to determine
the extent of using existing construction works in the
new project, and to evaluate the remaining value of
such works.
1.3 Assessment of the feasibility of different dam
and power plant layout options
The scope of LI comprises the assessment of the fol-
lowing five project layout options:
• Clay core earthfill dam with underground power-
house
• Double curvature concrete arch dam with under-
ground powerhouse
• Ditto, with surface powerhouse
• Concrete face rockfill (CFR) dam with 120 m high
upstream heel dam and underground powerhouse
• Ditto, with surface powerhouse
Main criteria for all options are:
• Provision of a rational power scheme with annual
power generation of 5.6 TWh for Stage 1,
• Achievement of minimum specific capital expenses
within the shortest possible construction period, and
• Provision of the possibility of a staged increase in
dam height and rated capacity,
Under due consideration of international hydropower
safety and design standards, especially with regard to
the geological and tectonic setting at site and with
respect to rock properties and seismicity.
2 BASIC PROJECT INFORMATION
2.1 Site geography
Rogun HEP is located in the Republic of Tajikistan
on the Vakhsh river, some 340 km upstream of the

405
Figure 1. The hydroelectric system on Vakhsh River:
1-Rogun HEP, 2-Shurob HEP, 3-Nurek HEP, 4-Baipaza HEP,
5-Sangtuda-1 & -2 HEP, 6-Golovnaya HEP, 7-Perepadnaya
HEP, 8-Centralnaya HEP.
Figure 2. Model of Rogun HEP as designed by Hydroproject
Tashkent in 1978; 1-Dam, 2-Spillway, 3–500 kV Switchyard.

confluence with Pyanj river and some 110 km from

Vakhsh river slope varies from 0.041 to 0.0007 and
the capital Dushanbe. Rogun HEP is the uppermost
it is heavily loaded with sediments, especially in the
hydroelectric project along a cascade of HEP’s on the
upper stretch, where Rogun is located.
Vakhsh river (Fig. 1).
At Rogun dam site (Fig. 2), Vakhsh river is flowing
Tajikistan, with its mountainous terrain and exten-
through a narrow and deep V-shaped gorge, formed
sive glacial river systems, possesses almost 4% of the
by Hrusurkh mountains on the right bank and Vakhsh
world’s hydropower resources, ranking 8th in the
mountains on the left bank. Slopes of both banks are
world on an overall basis (after China, Russia, USA,
as steep as 50°, and reach up to 400–500 m above the
Brazil, DR of Congo, India and Canada), and first on
river.
a per-capita basis.
The land which will be impounded during Stage 1
During the period from June to August about 80%
is of comparatively low biodiversity, and there are no
of the annual runoff of Tajikistan’s rivers is discharged.
important habitats or rare species, which would be
The Vakhsh river basin, with a total drainage area of
endangered. The Stage 1 reservoir would inundate
about 39,000 km2, is located in the highest part of
about 1,600 ha of cultivated land, of which 1/3 is arable
Middle Asia within the Pamir-Altai Mountains. About
and the other 2/3 are pasture.
30% of the river basin is located above 4,000 masl and
The population of the valley upstream of Rogun
covered by snowfields and glaciers. Downstream the
dam consists nearly entirely of ethnic Tajiks. The fam-
confluence of Vakhsh and Pyanj, the river is called
ilies are generally farmers and herdsmen. The main
Amu-Darya.
economic activity is agriculture dominated by live-
The flows within the Vakhsh river basin are mainly
stock. Other economic activities are trade and services.
formed by melt water from glaciers and of seasonal
Infrastructure and access are limited. The people range
snow. The annual runoff of Vakhsh river at Rogun site
from poor to very poor, partly as a result of the civil
is approximately 20 km3, corresponding to a long-term
war. Remittances from young men working abroad
average discharge of 635 m3/s. The runoff is expected
are extremely important for most of the families.
to remain largely unaffected by global climate changes,
Due to the Stage 1 impoundment of Rogun reservoir,
at least until 2050. This constitutes a favourable con-
10 settlements will be flooded, with in total 715 fam-
dition for investments to further utilise the hydropower
ilies to be resettled. Main- and access roads, trans-
potential of the Vakhsh river cascade. Currently, con-
mission lines, and telecommunication infrastructure
struction of Sangtuda-1 HEP has recommenced. After
have to be rebuilt.
its commissioning, the number of hydropower plants
on the Vakhsh river will increase to six (6). Thus, Rogun
HEP would be the seventh plant, whereas the imple-
2.2 Project history
mentation of Shurob HEP and Sangtuda-2 HEP is cur-
rently not envisaged. The Rogun HEP Project has a four decade history. The
The hydraulic potential of the Vakhsh river is mainly project was conceived as a dual-purpose project, pri-
used for energy generation but to a small extent also marily for irrigation water management at Amu-Darya
for irrigation purposes. Over 95% of electricity in river, and secondary for hydroelectricity generation.
Tajikistan is generated by hydroelectric power plants, The original project’s main components (Fig. 2) were
mainly by the Vakhsh river cascade and particularly a 335 m high clay core earthfill dam, the reservoir
Nurek HEP (10.5 TWh/a), with its 300 m high clay core of 13.3 km3 total volume, a spillway comprising
embankment dam, which is the highest worldwide. intake shaft, tunnel and open chute, an underground

406
powerhouse with 6  600 MW installed capacity,
an outdoor switchyard and a 500 kV transmission line
system. The dam would have been the highest dam
worldwide.
Three alternative dam sites were originally investi-
gated, two of which were eliminated because of their
adverse geological and economical conditions.
During 1965–1978, first a feasibility study and then
the design for construction of Rogun HEP project were
developed. Preparatory construction works commenced
in 1976 and the main construction activities started
during 1982. In 1990, construction works were sus-
pended because of the collapse of the Soviet Union.
The scope of work implemented during the period
from 1976 to 1990 constitutes a significant volume of
construction with major parts of underground works,
construction of some surface facilities and under-
ground infrastructure completed. During the flood of
1993, blockage of the diversion tunnels led to overtop-
ping of the 45 m high upstream embankment coffer-
dam, which consequently was washed away.
In October 2004, RUSAL and the Government of
Tajikistan reached an agreement for Stage 1 construc-
tion completion of Rogun HEP. Under this agreement
RUSAL undertakes an investment of up to 560 million
USD against a stake in the Joint Stock Company (JSC)
Rogun HEP. Main purpose of the hydropower project
would be the supply of electricity for upgraded exist-
ing and new aluminium smelters in Tajikistan.
Rogun HEP will not only generate power by its
own, but has also significant positive effects on the
existing downstream hydropower plants, in particular
due to increased energy output during winter.
Furthermore, due to sediments held back by Rogun
dam, the life-time of Nurek HEP, which is located
70 km downstream of Rogun HEP, will be substan-
tially prolonged. Additional energy output of the
Vakhsh cascade, beyond the requirements of the Tajik
aluminium industry, could be sold on the local power
market or even exported to neighbouring countries
within the Central Asian region (e.g. to Pakistan or
Afghanistan).
Under these preconditions, the bankable feasibility
study investigates Stage 1 of the project, with provi-
sion for a future increase in dam height and installed
capacity (Table 1). For the required annual energy
output of 5.6 TWh, the Stage 1 dam height correspon-
ding to 225 m, with a total reservoir volume of 2.78 km3
(life storage 1.92 km3); the required capacity to be
installed is 1,000 MW. During further project stages,
the dam height would be raised to 285 m (Stage 2), or
even 335 m (Stage 3).
In view of the significant inflow of sediments into
the future Rogun reservoir (up to 0.1 km3 annually),
dam heightening to Stage 2 should take place latest
15 years after Stage 1 commissioning, but preferably
earlier.
407
Figure 3. Geological section with clay core earthfill dam
(according to original design by Hydroproject Tashkent, 1978)
and present faults: 1-Ionakhsh Fault, 2-Fault #35, 3-Fault
#28, 4-Dam.
2.3 Site geology
2.3.1 Seismicity
Rogun dam site is located in an area of high seismicity
and is characterised by significant tectonic movements.
As shown in Figure 3, the dam is to be constructed on
a wedge of Cretaceous sediments, which bounded by
actively moving faults, i.e. Ionakhsh thrust fault on
the upstream, reverse Fault #28 coinciding with the
end of the gorge on the downstream side.
Additionally, Faults #35 and #70 cut through the
wedge. They constitute a conjugate set of shear planes
in conjunction with the Ionakhsh Fault in the leading
edge of the thrust sheet.
In terms of seismic hazard the prevailing faults are
rated in different orders:
• The Gissaro-Kokshal/Illiak-Vakhsh fault zone is
the most active element in the project area and is
considered first order. It is the border between Tien
Shan and Tajik Depression, and extends for some
500 km, with a cumulated displacement of up to
6 km vertically and about 10 km horizontally. The
currently observed rate of displacement averages
on the order of 1 mm per year. The strongest
recorded earthquake related to this source zone is
the 1907 Karatag earthquake with M
7.3–7.4.
The sources of this zone, which are located in rela-
tively close vicinity to Rogun site, have a seismic
potential of Mmax
6.5–7.5.
• The Gulizindan and Babatag fault zones are rated
as second order faults. Earthquakes of Mmax  6.0
may occur in these zones.
• The Ionakhsh is classified as a third order fault,
with an estimated seismic potential of Mmax
5.5,
which corresponds to the level of dispersed seis-
micity. However, the views on the seismicity of this
 fault diverge, and the fault is also considered as a
major second order fault with a much higher cap-
acity. According to Leith et al. (1981), the fault
consists of several segments, which can be traced
over a distance of some 100 km. The average rate
of displacement is 1.8 mm per year.
• Fault #35 is a third degree fault and is the largest of
its kind within the site area. It dips in upstream
direction and crosses the river bed about 120 m
downstream of the projected dam axis. Within the
site the fault is mainly represented by two branches
enclosing a lens of tectonized rock.
In the case of the Ionakhsh Fault it could be argued
that the presence of the Gaurdak salt has a lubricating
effect with the result that much of the energy is
absorbed by aseismic slip. In consequence of this
assumption, however, fairly large displacements would
have to be predicted on the faults at the dam site.
Sympathetic movements in the decimetric range are
considered possible on the higher order shears and
faults traversing the dam site.
Regarding Reservoir triggered seismicity at the
Rogun site, much can be learned from the experience
gained at the Nurek dam site and reservoir. Leith et al.
(1981) place the seismicity at Nurek into the upthrust
side of the Ionakhsh thrust fault in response to a gen-
erally aseismic slip along the decollement surface.
The main difference between the Nurek and the
Rogun site is that at the Rogun site the Ionakhsh fault
zone crosses the reservoir and will therefore become
submerged. Under this condition it would be prudent
to admit the possibility of a triggered earthquake
reaching a magnitude of M
6.6 as has already been
experienced with shallower and smaller reservoirs.
2.3.2 Heterogeneous rock
Bedrock at the Rogun site dates exclusively from the
Mesozoic Era and is of sedimentary origin with evap-
oritic intercalations. The lithological sequence proceeds
from the older, Jurassic, to the younger, Cretaceous
units. In this sequence the units also crop out from
upstream to downstream, with the Javan mudstones at
the entrance to the gorge and the Turonian shales down-
stream of the gorge. More resistant sandstones form the
narrow entrance and end of the gorge.
Whereas the sandstones and limestones at the dam
site are strong and stable rocks, present mudstones,
especially of the Jurassic salt formation, show gypsum
intercalations, and a comparatively low rock mass
shear strength is to be expected. This applies particu-
larly in case of changes in water saturation, or if
exposed to significant deviatoric stresses, which would
involve a risk that the mudstone could deteriorate and
lose strength.
Project reports have distinguished four classes of
rock mass quality: Class I, the poorest rock, has reduced
408
strength, intensive fracturing, high permeability and
low modulus, less than 2.5 GPa. Classes III and IV cor-
respond to sound, tight rock with the modulus reach-
ing 8.5 GPa. For a zoned embankment, part of the
shells could be placed on Class I rock. Foundations
for a concrete dam, especially for an arch dam, would
have to be taken to better quality rock, requiring ex-
cavation to penetrate at least into Class II quality rock.
Additionally, extensive consolidation grouting would
have to be carried out in the foundation of a concrete
dam. In terms of the GSI rating, a range between 35
and 60 would apply to the rocks at the dam site, with
still lower rating for fault zones.
Deep excavations, as required in case of a concrete
dam, would have to be made with special precautions
with respect to the possibility of sliding wedges,
which can be formed mainly on the right abutment of
the dam.
2.3.3 Salt protection
Along the Ionakhsh Fault, the Gaurdak salt formation
squeezes upward. Where it approaches the surface,
the salt is leached, leaving an up to 12 m wide zone of
soft residue.
Leaching of the salt to larger depth would risk to
cause seepage and, more critically, deformations of
the foundation (as experienced at the Nurek switch-
yards). Protective measures were already partially
constructed, comprising galleries for grouting, for the
creation of a hydraulic barrier and for hydrochemical
stabilisation. Alternative to development of these meas-
ures, increased grouting of the grout curtain of the dam,
to an extent dependant on the preferred dam type
option, is considered at current stage.
2.4 HEP operational conditions and regime
By operation of the first stage of Rogun HEP (dam
height 225 m), the present annual energy output of
Vakhsh cascade will increase by 0.9 TWh/a (Table 1)
or 6%, from 16.5 TWh/a to 17.4 TWh/a.
During the first 18 years of Nurek reservoir oper-
ation since 1972, practically the entire solid runoff
of Vakhsh has accumulated in this reservoir, in total
about 1.84 km3, which corresponds to an average
annual deposition of in the order of 100 million m3
(0.1 km3/a).
Since there is no significant lateral inflow between
Rogun and Nurek reservoirs, the same average annual
sediment deposition rate may reasonably also be
assumed for the Rogun reservoir.
Thus, after commissioning of Rogun HEP, sedi-
mentation at Nurek will significantly reduce, thereby
increasing the remaining economic life-time of Nurek
reservoir by at least 15 years. This constitutes an add-
itional benefit of Rogun HEP, besides the additional
energy output of the downstream cascade.
Table 1. Summary of key parameters of staged develop-
ment of Rogun HEP.

Parameter Stage 1 Stage 2 Stage 3

Dam height [m] 225 285 335

Full supply level [masl] 1180 1240 1290
Minimum operating 1120 1180 1185
level [masl]
Initial reservoir 2.78 6.76 13.3
volume [km3]
Initial life storage 1.92 3.98 10.3
volume [km3]
Intended installed 1000 2000 3600
capacity [MW]
Mean annual power 6.1 10.2 13.3 Figure 4. Vakhsh gorge at Rogun site, with exiting access
generation by Rogun bridge no.1, near main dam axis.
HEP [TWh/a]
Additional annual power 0.9 1.5 2.0
generation of cascade
[TWh/a] Table 2. Tentative list of existing construction items,
which can be used for new construction, irrespective the
finally selected HEP layout option.
On the other side, the initial storage of Rogun HEP Item Quantity Value [106 USD]
Stage 1 only amounts to 2.78 km3, with a correspond-
ing life storage of 1.92 km3. With the sedimentation Permanent operation roads 19.26 km 10.7
rate of 0.1 km3/a, it becomes evident that the life time Temporary site roads 28.32 km included
of the first stage of Rogun HEP is limited. In order to Transport tunnels 3.19 km 17.7
maintain the mean annual power generation above the Saline adit 1.24 km 4.6
requirement of 5.6 TWh, it will be necessary increase Road bridges 4 nos. included
the dam height and storage volume by Stage 2 con- Alluvial material 6.4 106 m3 10.8
struction, by the latest after an operation period of 15
years.
the project layout option: Table 2 gives an overview of
existing construction items, which can be used for
new construction, irrespective the finally selected
3 ASSESSMENT AND VALUATION HEP layout option.
OF INCOMPLETE CONSTRUCTION
WORKS
4 ASSESSMENT OF HEP LAYOUT OPTIONS
The assessment and valuation of the current condition
of incomplete construction works, existing plant and The following assessment comprises the five project
equipment was made according to following categories: layout options as listed in subsection 1.3.
All three studied dam type options (clay core earth-
• “usable”: items which could be used for the con-
fill dam, concrete dam and CFR dam) could be com-
struction completion project, without substantial
bined with an underground powerhouse utilising
refurbishment or repair works, e.g. interim storage
the partly excavated cavern, which was started in
of alluvial material extracted from quarry (14.1
September 1986 and stopped in May 1990, at a depth
million m3);
of 35 m (corresponding to 53% of the total volume).
• “usable after refurbishment”: items, the use of
About 70% of the length of the existing powerhouse
which, for the construction completion project,
cavern is located in sandstone, while the remaining
would require substantial refurbishment or repair
length comprises weaker mudstone.
works, e.g. access tunnels and bridges (Fig. 4), partly
The results of geodetic convergency measurements
excavated powerhouse- and transformer caverns;
performed from 1989 to 1999 indicate a creeping
• “not usable”: items, which, due to their state and/
potential of the mudstone reach. Back analyses by
or design cannot be used for the construction com-
numerical simulation of the different total convergence
pletion project, e. g. most construction plant items.
in sandstone (120 mm) and in mudstone (200–220 mm)
The extent , to which items classified as “usable” confirms the viability of full excavation in sandstone,
or “usable after refurbishment” could be used in the but also shows that this is problematic for the mud-
construction completion project, largely depends on stone reach. It is therefore suggested to stabilise the

409
Table 3. Main quantities and construction data for con- (6,500,000 m3) and an accordingly prolonged con-
struction of Stage 1 projects with different dam type options: struction period, which constitutes a major disadvan-
Clay core earthfill dam (CCED), double curvature arch dam
tage of this option. Another disadvantage, compared
(DCAD), CFR dam (CFRD).
to concrete dam options, is the requirement to prevent
Item Unit CCED DCAD CFRD overtopping of the dam crest under all circumstances;
consequently, the full PMF (7500 m3/s) has to be dis-
Excavation for 106 m3 1.0 6.9 3.2 charged via a separate open spillway.
main dam The CCED has a valid precedent in the Nurek dam,
Rockfill for main dam 106 m3 34.5 0.0 14.1 where the geologic and seismo-tectonic environment
Concrete for main dam1 106 m3 0.0 5.7 2.2 is similar to Rogun. Nurek dam has experienced earth-
Reinforcement steel 103 t 135 160 140 quakes and many shocks from reservoir-triggered seis-
Underground 106 m3 3.4 2.8 3.2 micity without any damage.
excavation
Ditto, completed % 28 24 31
thereof 4.2 Project options with concrete dam
Estimated duration of years 8.5 9.0 7.0
construction The topography at Rogun site, in conjunction with the
Estimated investment 109 USD 1.31 1.35 1.28 high head of the plant, makes it very difficult to design
costs2 a reliable spillway concept. This task is only facilitated
in case of a concrete dam, which allows to release
1
for heel dam in case of CFRD major flood volumes by spilling over the dam crest, in
2
including costs for reservoir preparation, environmental and addition to flood discharge through tunnel or shaft
social impact mitigation measures, and for double circuit spillways. This, together with the dam site, located in
transmission line to Regar
a deep gorge with limited space for construction activ-
ities, makes a concrete dam a worthy option, notwith-
cavern here by concrete backfill up to machine floor standing the adverse engineering geological conditions.
level. This would reduce the available space from ori- Because of the presence of weak rock strata, first an
ginally six to four generating units, of 600 MW each. arch gravity concrete dam was investigated. However, in
Except for the clay core earthfill dam, the power- comparison, with a then also analysed double curvature
house could also be constructed at the surface, which, arch dam, the latter, with foundation improvement by
however, due to the site topography, would require replacement of mudstone by concrete, behaved struc-
longer waterways and the introduction of large surge turally better, at substantially less concrete quantities.
tanks. According to present estimates, cost differences The location of the concrete dam is chosen to main-
between both powerhouse variants are not significant. tain sufficient distance from upstream Ionakhsh Fault,
Main quantities and construction data for the project with the objective to avoid the risk of foundation
options as briefly assessed in the following are stated instabilities due to salt leaching. On the downstream
for Stage 1 in Table 3. The incremental costs and con- side, sufficient distance has to be maintained from
struction time incurred due to development of Stage 2 Fault #35.
are within 20% to 30% of the figures for Stage 1.
4.3 Project options with concrete face rockfill
4.1 Project option with clay core earthfill dam (CFRD)
dam (CCED)
Also the CFRD dam is located at sufficient distance
The dam design for this option is similar to the origin- from the upstream Ionakhsh Fault. The key element is
al design by Hydroproject Tashkent (Fig. 3); it is well a 120 m concrete heel dam, which shortens the exten-
suited to the heterogeneous foundation and complex sion of the rockfill dam into the upstream reach. This
geology of Rogun site. heel dam is located in the area of already existing
The location of the main dam is as originally excavation trenches in both abutments. The upstream
designed, so that the existing excavation trenches for cofferdam is located in sufficient distance from the
the impervious central clay core foundation can be main dam construction site. This reduces hydraulic
used after removal of the weathered rock layers. The pressure in the main foundation area and it eases dew-
upstream embankment of the dam crosses Ionakhsh atering of the construction pit of the dam. The down-
Fault and connects to the cofferdam, which is part of stream cofferdam forms part of the embankment of
the main dam body. During Stage 1 the downstream the main dam.
embankment of the main dam is reduced in volume. The main advantage of the CFRD is its suitability to
However, the upstream embankment below Stage 1 full staged construction and the related savings in costs and
supply level (1180 masl) must already be filled during construction time during the first stage. On the other
the first stage, which involves significant volumes side, there is no precedence worldwide for a CFRD of

410
similar height. Spillway requirements are similar as
for the CCED, except that tunnel spillways are consid-
ered instead of an open chute.
There are no risks of damage to the rockfill, which
has considerable resilience to large strains if properly
zoned and compacted. The concrete face slab, how-
ever, can suffer damage, which could impair the opti-
mal functioning of the dam. The following issues are
to be addressed in this respect:
• Cracking of the face slab, which could occur as a
result of non-uniform deformation of the rockfill,
e.g. due to excessive deflection of the concrete face
under the hydrostatic loads, or in result of dynamic
loading during a strong earthquake;
• Shear movement in the plinth, e.g. due to displace-
ments along existing higher order faults, which could
occur during strong earthquakes;
• Excessive leakage (with rates significantly higher
than 100 l/s) through cracks, joints or through the
foundation.
4.4 Tentative conclusions and recommendations
At the current stage of the ongoing assessment of dam
type- and related project layout options for Rogun HEP,
the following tentative conclusions can be made:
1. Based on the estimated investment costs for the
different project options, dynamic unit costs of
power generation result within the range of 2 to
4 USct/kWh, for Stage 1 development within an
estimated construction period of 7 to 9 years. For
Stage 2 development, these costs would reduce by
50% to 1 to 2 USct/kWh, provided that construction
of Stage 2 development starts immediately after the
commissioning of Stage 1. This is therefore the
recommended approach for the development of
Rogun HEP.
2. Significant costs incur during Stages 1 and 2, due
to the incorporation of a dam foundation designed
for the ultimate dam height of 335 m. Such expenses
are only justified if the feasibility of this dam height
is confirmed by a separate study. This, therefore, is
recommended to be prepared expeditiously.
3. Difference in costs between different project options
are within the accuracy of cost estimations at cur-
rent level. Therefore, ultimate decisions regarding
adopted dam type option and powerhouse variant
(surface or underground), should be made on tech-
nical grounds only.
4. Prior to further detailing the design of a concrete or
CFR dam, additional geotechnical investigations
would be required, because the available informa-
tion result from former investigations, which were
made in anticipation of an embankment dam, which
is not sensitive to the heterogeneous rock proper-
ties at Rogun site.
411
5 ENVIRONMENTAL AND SOCIAL IMPACT
ASSESSMENT
5.1 Scope and basic principles
The BFS includes carrying out an Environmental and
Social Impact Assessment (ESIA). Its main goal is
the provision to the project developers, RUSAL and
the MoE of the Republic of Tajikistan, of an objective
assessment of the probable environmental and social
effects of the project, together with proposals for the
mitigation of possible significant negative impacts
and an estimate of associated costs. Furthermore, the
ESIA identifies potential enhancement measures,
which improve the project benefits significantly, at
little or no additional cost.
In accordance with international requirements, LI
considered the Equator Principles (goal: “no losers”,
everyone must gain from the project), which consti-
tute a framework for financial institutions to manage
environmental and social issues in project financing,
in addition to the environmental and social safeguards
of the International Finance Corporation (IFC) and
the New Framework for Decision-Making by World
Commission on Dams, which is a guideline applied
by some bilateral agencies and private banks, e.g.
Germany’s KfW and HSBC
For the original Rogun project, decision-making
with respect to resettlement was carried out by an
inter-ministerial body, which had responsibility for
the future reservoir area. At that time numerous meas-
ures were planned and partly implemented. However,
these have to be revised under consideration of the
aforementioned international guidelines and of the
present economic and social situation in Tajikistan.
The basic approach of preparation of the ESIA
includes the following:
• the large amount of detailed planning and assess-
ment work undertaken for the original Rogun HEP
project,
• the rapid changes occurring in the Tajik environ-
mental legislation,
• the significant differences between the traditional
approach to resettlement planning within Tajikistan
and current international best practice, and
• the limited time frame of the ESIA study, which
required, besides primary data collection by LI,
reliance also on key informants and secondary
sources.
As far as possible during this stage, the Tajik envir-
onmental regulations are also taken into consideration.
5.2 Physical impacts and mitigation
Principal physical impacts and possible related miti-
gation measures were assessed in the ESIA study, not
limited to: hydrology (see subsection 2.1), extent of
inundation of cultivated land and settlements, dam
safety comprising seismicity, salt protection, flood
release, and the possibility of landslides upstream and
downstream of the dam.
5.3 Biological impacts and mitigation
Different positive and negative biological impacts occur
during the
• construction phase (river diversion, land take and
related loss of forest and other habitat, disturbance,
hunting),
• filling phase (loss of 40 km river valley due to
impoundment, creation of an artificial reservoir,
reduced downstream flow during summer), and
• operation phase (terrestrial and reservoir habitats,
barrier effect of the reservoir, disturbance, hunting,
effects of resettled population on local natural
resources).
Appropriate mitigation measures are proposed for
each of the above phases in the prepared ESIA study.
5.4 Socio-economic impacts and mitigation
The main positive socio-economic impact of the pro-
ject are the job opportunities, which will be provided
during construction. A policy on training and recruit-
ment will be needed to maximise the related benefits
to local residents and Tajik nationals. The construc-
tion boom will bring social benefits, but also prob-
lems, which have to be managed. Further research is
needed to consider the post-project low-employment
situation.
By impounding the Stage 1 reservoir, the main road
to Kyrgyzstan and China, transmission- and telephone
lines to the upper Vakhsh valley, as well as other infra-
structure will be inundated and has to be replaced, by
which significant costs incur. Furthermore, local access
roads and bridges will be flooded, for which alternative
access needs to be provided, mainly on the left bank.
The Stage 1 reservoir will directly affect ten settle-
ments (Fig. 5) with a total number of 715 families, as
well as their fields, grazing lands, and orchards. Since
acceptable alternative land is scarce at higher eleva-
tions, and migration of the population to lower eleva-
tions is feasible but unpopular, resettlement is a
highly sensitive issue requiring time and resources for
appropriate planning.
5.5 Cumulative effects
The combination of multiple impacts from existing
projects, the proposed project, and anticipated future
projects may result in significant adverse and/or bene-
ficial impacts that would not be expected were the
412
Figure 5. Plan of Rogun HEP Stage 1 reservoir, showing
the location of ten directly affected settlements.
project to be developed alone. The Rogun HEP is the
uppermost plant of the Vakhsh River cascade. It is
technically also feasible to utilise the power generat-
ing potential upstream of Rogun HEP. Other items
which would be considered under cumulative effects
are: transmission lines; aluminium smelters; further
project stages, and other projects (roads, coal).
5.6 Social and environmental Management Plan
An Outline Social and Environmental Management
Plan (SEMP) comprises a systematic description of
the environmental and social mitigation and develop-
ment measures to be taken during project construction
and operation, including policy-driven components
such as Resettlement Action Plan (RAP), Cultural
Property Management Plan, or Community Develop-
ment Plan.
Consultation with stakeholders and open access to
information are fundamental principles of the ESIA
process. Early consultation helps to manage public
expectations concerning project impacts and expected
benefits. The study team has initiated a consultation
programme to identify stakeholders, inform them about
the project, and obtain their views. Representatives of
a number of aid agencies and technical assistance pro-
jects have been consulted in Dushanbe. Preliminary
meetings have been held with officials of local commu-
nities. Social fieldwork was initiated for the settlements,
which are directly affected by the Stage 1 reservoir.
A preliminary cost estimate of the environmental,
social and reservoir preparation measures directly
associated with Stage 1 of the project resulted in an
order of 120 million USD inclusive 20% contingen-
cies. The largest items are replacement of flooded trans-
port, power and telephone infrastructure. The most
complex issues are resettlement planning and imple-
mentation.
REFERENCES
Hydroproject Moscow 2000. Rogun HEP, Feasibility Study
for Phase 1 Stage 1 Construction
Hydroproject Tashkent 1978. Rogunskaya HEP, Technical
Project
Hydrospetsproject Moscow 2005. Rogun HEP, Conceptual
Feasibility Study, Construction Stage 1
Kolichko, A.V. 2000. Status Report on the Underground
Machine Room at the Rogun Hydroelectric Power Plant.
Hydrotechnical Construction 34 (4)
413
Leith, W., Simpson, D.W. & Alvarez, W. 1981. Structure and
permeability: geologic controls on induced seismicity at
Nurek reservoir, Tajikistan, USSR. Geology 9: 440–444
Negmatoullaev, S.Kh., Vladut, T.J. & Ischuk, A.R. 2003. Big
reservoirs in the seismic dangerous regions in Tajikistan
and safety of dams. Second Edition. Dushanbe: Institute
of Earthquake Engineering and Seismology of the
Academy of Sciences of the Republic of Tajikistan
Yufin, S.A. et al. 1993. Stability of Rock Caverns as viewed
from the Back Analysis Data. EUROCK
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Upgrading mangla dam-alternativa resolutions

W. Gulrez
Junior Engineer, Water and Power Development Authority (WAPDA), Pakistan

Z.M. Malik
Senior Engineer, Pakistan Engineering Services (Pvt.) Ltd., Lahore, Pakistan

ABSTRACT: Mangla Dam Raising is a mega project of its nature. Its necessity was felt due to loss of the
reservoir storage to sedimentation, rapidly encroaching upon its live storage capacity, reducing the water regu-
lating capability of the reservoir and increasing the flood spillages. Various alternatives to the Mangla Raising
consist of a possibility of constructing storage dams upstream of Mangla, the viability of Desilting Mangla reser-
voir, raising of the conservation level by adopting lower magnitude of Probable Maximum Flood, and raising of the
conservation level by constructing a parapet wall on the dam crest. This paper focuses on the study of these alter-
natives to the Raising of Mangla Dam as compatible viable options for maximum utilization of the Jhelum River
Resource. Analysis of the viability of the alternatives is reviewed over technical, economic, social and environ-
mental aspects.

1 INTRODUCTION for irrigation use, Mangla dam raising is essentially

1.1 Need for raising
On Jhelum river, Mangla is the only available large stor-
age site where Mangla dam was built in 1967. In the
Mangla reservoir, an average of 57 million tons of sedi-
ments is deposited every year. As a consequence, by
now Mangla has lost 1.2 MAF of its gross capacity.
Since most of the dead storage capacity of the reservoir
has already been lost, the future sedimentation will rap-
idly encroach upon its live storage capacity. That will
rapidly reduce the water regulating capability of the
reservoir and increase the flood spillages.
By raising the dam, the capacity lost to sedimenta-
tion in the past 34 years would be regained and excess
capacity would be provided for future sedimentation.
The larger reservoir of raised Mangla would also facili-
tate more efficient regulation of Jhelum river resource
by way of conserving the flood flows. In the past 34
years, the average annual flood spills were 3.7 MAF.
If Mangla is not raised the average future spills would
exceed 5 MAF due to reduced capacity of the reservoir.
More spills would mean less availability of water to
meet irrigation demands and to generate hydropower.
Raising of Mangla would yield an average annual
increase of 3.1 MAF in water availability and
1000 GWh increase in energy. Thus for efficient use
of Jhelum river inflows and to capture the flood spills
required.
1.2 Provision for raising
A provision for 40 ft. raising of the dam was kept in the
original design and construction of the Mangla dam.
All the project elements, which would not be accessible
for alterations after putting the project into operation,
were designed and constructed for the raised Mangla
conditions. These included foundations and other com-
ponents of dams, spillways, tunnels and powerhouse.
To make these provisions, an additional amount of
US$ 18 million was spent on construction, which
amounted to 3% of the project cost.
The ten power generating units at Mangla were
installed in stages between 1967 and 1994. All these
units are designed for the raised Mangla conditions. In
fact the units are presently being under-utilized.
There will be no alterations in the power generating
system except for shifting of hoisting system of the
power intake gates to the raised crest of the intake
embankment.
2 ALTERNATIVES TO RAISING
Various alternatives to raising of Mangla dam have
been proposed which include the following.

415
(a) The viability of desilting Mangla reservoir instead
of raising the dam.
(b) The possibility of constructing a number of stor-
age dams upstream of Mangla as an alternative to
raising of Mangla dam.
(c) 10 to 15 ft. raising of conservation level by adopt-
ing lower magnitude of Probable Maximum Flood.
(d) A 10 ft. raising of the conservation level through
construction of a 6 ft. high parapet wall on crest
of the dam.
The proposed alternatives have been studied and the
findings are presented in the following.
3 DESILTING OF MANGLA RESERVOIR
It is sometimes suggested that capacity of Mangla
reservoir lost to sedimentation may be regained by
dredging the sediment. The desilting of reservoir
through dredging may be divided into the following
three main classes.
(a) Mechanical dredging by bucket, ladder or clamshell
mounted on a barge.
(b) Suction dredging with a floating pipeline and
pump usually mounted on a barge.
(c) Syphon dredging with a floating pipe extending
over a dam and usually a priming pump on a barge.
Desilting of reservoirs through dredging of sediments in
Algeria, France, Austria, China, Japan, USA and other
countries is reported in literature. However, the scale of
application of dredging technology required for large
reservoirs like Tarbela and Mangla is unprecedented.
3.1 Desilting technique
In Mangla reservoir about 1.2 MAF (2 billion tons) of
silt has deposited by the year 2001. The quantity is very
large and equals to the volume of 22 dams of the size
of main dam at Mangla.
Application of dredging technology for desilting
of Mangla reservoir would require a number of bat-
teries of dredging equipment mounted on barges and
deployed in different pockets of the reservoir. The
dredged silt will be pumped through pipes outside the
reservoir. Large areas will have to be acquired for
dumping of the dredged material. Transportation to
the dump area will either be on trucks or pumping
through pipes. Pump through pipes would result in loss
of stored water which may not be affordable because
of scarcity of irrigation supplies. Transportation on
trucks would require a large fleet of trucks. Trans-
portation of 2 billion tons of silt in 5 years requires
22,000 trucks of 10-ton capacity to operate 365 days
in a year.
416
3.2 Cost of desilting
On Karachi harbour desilting operation through dredg-
ing costs about US$ 1.50 per cubic meter. Taking into
consideration deeper dredging, longer lead for the
dredged material dumping and adding the cost of
acquiring the dump area, the unit cost would roughly
be US$ 3 per cubic meter.
Based on this rate, the cost of desilting the 1.2 MAF
material so far deposited in Mangla reservoir would
be about Rs. 290 billion. This works out to a unit cost
of Rs. 241,000/- per acre foot of silt removal. Against
this, 3.72 MAP additional reservoir capacity would be
gained by raising Mangla Dam at a cost of Rs. 53 bil-
lion. The unit cost in this case is Rs. 14250/- per acre
foot which is only 6% of the per unit dredging cost.
In case of desilting, it will not be sufficient to
remove the silt deposited so far in the reservoir. The
silt that will deposit in future will also have to be
removed. In that way there would be additional recur-
ring cost of desilting.
Raising of Mangla can be compared with the desilt-
ing of the reservoir in another way as well. Gaining of
3.72 MAP capacity of the reservoir is costing Rs. 53
billion. To gain this much capacity by desilting opera-
tions would cost Rs. 896 billion, which is 17 times
more than the raising cost.
3.3 Other considerations
For disposal of silt, two suggestions have been
proposed:
(a) The silt can be used in developing terraces for
cultivation on the reservoir periphery.
(b) Brick kilns operating on the reservoir periphery
can consume the silt removed from the reservoir
for making bricks.
Development of terraces on selected locations may be
possible on the reservoir periphery but that would con-
sume an insignificant fraction of the silt removed from
the reservoir. It will have no impact on economics of
the desilting operations.
There are about 100 brick kilns operating on the
reservoir periphery producing a total of about 100
million brick annually. The annual consumption by the
kilns would be very small compared to the silt deposited
in the reservoir. It will take about 6000 years for the
kilns to consume the huge quantity of the deposited silt.
It may also be worth noting that if the average annual
quantity of silt deposited in the reservoir is to be con-
sumed on annual basis for brick making then the num-
ber of kilns required would be 15,000. Obviously the
kilns option is irrelevant to Mangla desilting.
In addition to prohibitive costs and unmanageable
operations involved, dumping of sediment on periphery
of the reservoir would be an environmental nuisance.
Dredging operation on such a large scale has not been
undertaken anywhere in the world and is not a viable
option.
4 STORAGE SITES UPSTREAM OF MANGLA
The Jhelum basin upstream of Mangla has been studied
quite thoroughly to identify damsites for storage and
generation of hydropower. The earlier studies include
Dams Investigation Circle (1957), Binnie, Deacon &
Gourley (1959), Chas. T. Main Inc. (1960/61), DMO,
WAPDA (1975), Montreal Engineering Company
(1984), GTZ/HEPO (1990 & 1994), GTZ/SHYDO
(1995) and NESPAK (2000).
The reports on the above studies have been reviewed
and further studies have now been conducted to evalu-
ate the possible storage damsites upstream of Mangla
as an alternative to Mangla dam raising.
In general, the following unfavourable conditions
exist on the possible potential storage damsites.
(a) Steep gradients of the rivers, requiring high dams
even for small storages
(b) Narrow river valleys, possessing small storage
potential
(c) Adverse geological conditions, adding to the proj-
ect costs
(d) Large spillway requirements against small stor-
age capacities
(e) Large population displacement
(f) Inundation of towns, villages, infrastructure and
cultivated land
Because of small storage potentials coupled with highly
unfavourable conditions, storage dams upstream of
Mangla are technically and economically not feasible.
The large population displacement and other negative
impacts renders the storages development not feasible
socio-environmentally as well.
The possible storage dam sites on Jhelum river and
its tributaries (Poonch, Kunhar, Neelum and Kanshi)
are shown in the location plan in Figure 1 and their evalu-
ation follows.
4.1 Jhelum river
Jhelum river has two distinct reaches. In the upper
reach from the Line of Control to the confluence
of Neelum, the river has a very steep bed slope
(7.4 m/km), due to which no significant storage can
be developed in this reach.
In the lower reach, from the Neelum confluence to
Mangla reservoir, the gradient is milder (2.7 m/km).
But, in this reach the valley is narrow and does not have
a potential for development of significant storage.
The geologic conditions are also unfavourable due to a
major fault in the vicinity. In addition, massive spillway
417
Figure 1. Storage sites upstream of Mangla.
would be required to accommodate large potential
flood flows. Because of unfavourable conditions, the
construction of storage dams or hydropower develop-
ment will be very expensive.
A possible damsite located at Dhan Gali as sug-
gested by Government of AJK has been studied. The
possible site is located in the upper reach of Mangla
reservoir where depth of stored water is about 18 ft. A
310 ft. high dam provides a storage capacity of 0.80
MAF, but in addition to highly unfavourable technical
conditions, about 17,000 people will be displaced.
Construction of dam on this site is, therefore, not con-
sidered feasible.
4.2 Poonch river
The Poonch river from the Line of Control to Kotli
town has steep slope (6.9 to 8.3 m/km) and the valley
is narrow. Therefore no significant storage can be
developed in this reach.
In the reach downstream of Kotli, the river gradient
is relatively mild (3.7 m/km). In this reach potential
storage sites at Kotli and Rajdhani were identified by
Dams Investigation Circle in 1957.
The Kotli damsite was initially proposed in 1957
about 5 miles downstream of Kotli town with a storage
capacity of 0.34 MAF. Due to a large growth in inhab-
itate, this damsite will now inundate part of Kotli town
and 7 big villages which will displace about 20,000
people. In addition infrastructure and cultivated land
will be inundated. The site is, therefore, not considered
feasible.
The damsite at Rajdhani was proposed about 20
miles downstream of Kotli with a storage of 0.86 MAF.
At the time when this damsite was proposed in 1957,
Mangla dam was in planning stage and the planned
conservation level was 24 ft. below the present level.
Even at that time, the damsite was located within the
then proposed reservoir. At present, the dam at the
proposed site will have over 40 ft. of Mangla reservoir
water on its toe. About 30 ft. thick sediment deposited in
the reservoir will also have to be removed from the dam
foundation area. After construction of Mangla dam, the
site has remained no more feasible for storage dam.
4.3 Kunhar river
Kunhar river has very steep bed slope. The gradient is
20 m/km in the upper reach and 11 m/km in the lower
reach. The valley throughout is generally narrow. Due
to these conditions, the damsites on Kunhar river do not
have a potential for development of significant stor-
ages. In the earlier studies, possible sites at Naran and
Patrind were identified essentially for hydropower
development. Considering the present development
along Kunhar river, these sites with very limited storage
potential involve major resettlement, relocation of part
of MNJ road and loss of cultivated terraces. Combined
together, the sites have a storage potential of 0.69 MAF
only against a large displacement of 52,000 persons.
The sites are therefore not feasible for storage dams.
4.4 Neelum river
A damsite with 1.8 MAF storage capacity was identi-
fied near Tithwal. But the Neelum valley is thickly
populated. The reservoir at this site will inundated 28
villages, 9 bridges and 11 miles of Muzaffarabad-Keran
road. Moreover the project would be located very near
to the Line of Control. For socio-environmental and
strategic reasons, construction of storage dam is not
feasible. For the proposed Neelum-Jhelum hydropower
project, the dam is planned to be located about 5 miles
downstream of Titwal town. Combining the storage
dam with the hydropower project merits a study.
4.5 Kanshi river
Kanshi river has a very small catchment with insignifi-
cant contribution of flow into Mangla reservoir. It is
therefore, not worth to construct a storage dam on this
river.
4.6 Other small storage sites
In addition to the damsites on rivers, small storage sites
on nullahs at Kas Guma, Lehri and Gadari, as indicated
by the Government of AJK have also been studied. The
catchment areas of these non-perennial nullahs are
very small and flows are insignificant. As such these
sites do not have a potential for storage development.
5 RAISING CONSERVATION LEVEL BY
REDUCING PROBABLE MAXIMUM
FLOOD
Another alternative proposal was the raising of the
reservoir conservation level 10 to 15 ft. by reducing
418
the magnitude of Probable Maximum Flood (PMF) at
Mangla.
This proposal was based on the view that the Prob-
able Maximum Flood (PMF) for Mangla had been esti-
mated on the higher side and accordingly the flood
surcharge storage capacity provided in Mangla reser-
voir was excessive. A reduced magnitude of PMF could
be adopted and thereby part of the flood surcharge
capacity of the reservoir could be used for water
conservation.
PMF is the maximum possible flood which can
occur at a given site. Evaluation of its magnitude at
Mangla has a prime significance as overtopping of this
high earthfill dam would be catastrophic. PMF studies
for Mangla Dam were conducted in 1959 by Binnie and
Partners, the original designers of the project. Later
reassessment of the PMF was done by Harza in 1992
and by MJV (the consultants for Mangla raising) in
2000. The order of magnitude of the PMF evaluated
through these studies is almost the same.
On the other hand, the magnitude of PMF recom-
mended under this proposal is lower than that evalu-
ated by the above mentioned three studies. The PMF
magnitude recommended was derived from analysis
of the rainfall data of 1992 storm. Whereas the choice
of this historic storm for PMF evaluation is correct one,
the rainfall data for this storm is not available for 70%
of Mangla catchment. About 55% of the area is located
on Indian side of the Line of Control. The rainfall analy-
sis of this storm thus had to be made in a data defi-
cient environment.
To overcome the rainfall data deficiency, stream-
flow data of 1992 flood available from various river
gauging stations was used alongwith the rainfall data
and the resulting PMF magnitude was considered
representative of Mangla basin. This magnitude was
comparable to those of Binnie (1959) and Harza
(1992) but higher than that recommended under this
proposal.
The adopted PMF magnitude based on rainfall and
streamflow data requires that the flood surcharge cap-
acity provision made in the original design of Mangla
dam should be maintained. The 10 to 15 ft. raising of
conservation level without raising the dam, as recom-
mended in this proposal would reduce the design pro-
vision of surcharge storage which could jeopardize
safety of the dam against overtopping. The 10 to 15 ft.
raising of conservation level without raising the dam
is, therefore, not favoured.
6 RAISING CONSERVATION LEVEL BY 10 FT.
THROUGH PROVIDING PARAPET WALL
An additional alternate expressed the view that Mangla
reservoir has not yet silted up to the extent which would
justify investment in Mangla dam raising. Alternatively,
it was proposed to raise the reservoir conservation level sedimentation. But in view of shortage of water in the
by 10 ft. through construction of 6 ft. high concrete Indus System, the lost capacity should be restored in
parapet wall on crest of the dam. By doing so, it is full and water availability from Jhelum river should
said that raising of Mangla dam could be deferred for be enhanced by raising Mangla dam.
about 30 years thus avoiding the economic loss inherent
in making pre-mature investment (in Mangla raising)
for deferred benefits. Main observations on the pro-
posed 10 ft. raising of the conservation level and defer- 7 OPTIMAL RAISING
ring the raising of the dam are given in the following.
The proposed 10 ft. raising of the conservation level The original provision of 40 ft. raising of the dam is
would regain only about half the capacity already lost apparently the most viable alternative. The main fea-
to sedimentation. Thus the objective of restoration of tures of Mangla raising would include raising of earth-
the Mangla reservoir capacity will not be achieved. fill dams by 40 ft. from crest EI. 1234 ft. to EI.1274 ft.
The capacity gained by 10 ft. raising would be lost to This would permit raising of the maximum conserva-
sedimentation in about 17 years. Thus need for rais- tion level by 50 ft. from EI.1202 ft. to EI.1252 ft.
ing the dam would be felt much earlier than 30 years By raising of the dam, the area on periphery of the
indicated. reservoir upto EI. 1260 ft. would be affected.
By mid 2001, Mangla has lost about 75% of its dead It will be endeavoured to protect the affected habi-
storage capacity. As a consequence, the loss of live tats to the maximum possible extent. The affectees
storage capacity would be much faster in future and its would be offered attractive resettlement package which
adverse effects would be felt in terms of lesser con- would include:
servation and more flood spillages. Remedy to this
situation lies in regaining the lost capacity by raising – Compensation for land
the dam. – Permission to owners to cultivate land during winter
The main function of Mangla reservoir has been – Replacement cost of houses/buildings
inter-seasonal storage of Kharif surplus for use in Rabi – Resettlement in close vicinity (A New City is being
season. Because of shortage of water being felt in the planned near Mirpur)
Indus System and very large variation in yearly inflows – Vocational training and job opportunities
of Jhelum river, it is time to create carry-over storage
capacity in Mangla reservoir. This would mean storing However an estimate of the actual population displaced
water from years of high flow for use in low flow years and the assets affected by the dam raising established
for drought management. This could only be done with the possibility of optimizing the raising to 30 ft instead
substantially larger storage capacity than necessary for of the originally proposed 40 ft. Table 1 highlights the
inter-seasonal transfer alone. Raising of conservation major findings in this regard.
level by 10 ft. would not facilitate the over-year con- Figure 3 shown below specifies main features of the
servation. final solution proposed for Mangla raising as explained
In addition to the water and power benefits, the larger above.
reservoir of raised Mangla will attenuate most of the
flood peaks and thereby largely reduce the flood
damages.
In economic terms, raising of Mangla is an attractive
option. This is demonstrated by an EIRR of 16.4% for
the project.
Resettlement of affectees is a major concern asso-
ciated with raising of Mangla Dam. If reservoir level is
raised now by 10 ft. and further raising is deferred to
future, there would be two-time resettlement. Future
resettlement would be extremely difficult and may be
unmanageable. The viable option would be one-time
resettlement.
The proposed 6 ft. high concrete parapet wall for
wave protection is a cost effective component and
would be incorporated in the raised Mangla design.
In the light of the above given observations, it is
concluded that 10 ft. raising of conservation level by
constructing a concrete parapet wall would compen-
sate only for part of the reservoir capacity lost to Figure 2. Influence of Mangla raising.

419
Table 1. Comparative estimate of population displacement from the original from 40 ft to a lower limit of 30 ft, in
and loss of assets associated with the dam raising. view of the potential resettlement and reallocation
efforts estimated and the same is recommended for
Dam Population Houses & Land implementation.
raising displaced other buildings affected
ft. No. affected No. acres

40 50,919 9,477 20,048 ACKNOWLEDGEMENTS

30 43,791 8,023 15,783
30 to 40 7,128 1,424 4,265 The authors gratefully acknowledge Brig. (Retd.)
Mushtaq Ahmad, G.M. Projects (North), Water and
Power Development Authority (WAPDA), for his per-
mission to publish this paper and the help and support
of M. Saleem Sheikh, Project Manager, Mangla Joint
Venture (MJV) Consultants.

Figure 3. Main features of Mangla dam raising to 30 ft.
8 CONCLUSION
The study of various options has shown that these alter-
natives, do not serve the objective of making maximum
use of Jhelum river resource and therefore, raising of
Mangla is the only viable option for achieving this
objective. However the height of raising is modified
REFERENCES
MJV, July 2001. Brief on Raising of Mangla Dam-
Alternatives – 36, MJV Consultants Publications.
MJV, August 2001. Brief on Raising of Mangla Dam-
Alternatives – 37, MJV Consultants Publications.
MJV, October 2001. Desilting of Mangla Reservoir – 43,
MJV Consultants Publications.
MJV, July 2001. Storage Sites Upstream of Mangla – 39,
MJV Consultants Publications.
MJV, November 2001. Study of Kas Guma and Lehri Off-
Channel Storage Sites – 46, MJV Consultants Publications.

420
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Analysis of alternatives to increase the available hydric resources

in the Alberche River to supply Madrid

F.J. Flores Montoya

Doctor Ingeniero de Caminos, Canales y Puertos. Ministerio de Fomento. Madrid, Spain

G. Liébana del Pozo

Ingeniero de Camino, Canales y Puertos. Confederación Hidrográfica del Tajo. Madrid, Spain

M.A. Ortiz de Andrés

Ingenieros de Caminos, Canales y Puertos. Initec Infraestructuras S.A.U. Madrid, Spain

ABSTRACT: It is possible to increase the available water resources that supply the populations of Ávila, Madrid
and Toledo from the Alberche River changing the management of San Juan and Burguillo reservoirs, as well as the
system of reservoirs that supply Madrid. This could delay the determination of building more dams. There are
other uses that would be affected, specially hydropower and land irrigation, and hence, should be compensated.

1 INTRODUCTION
Table 1. Characteristic contributions.
In order to analyse a hydraulic resources exploitation
system it is crucial to know the regime of the resources, Natural
Contr. Period Baseline Period
the technical characteristics of the regulating units,
the time distribution of the quality and quantity of Mean 823 1940–2000 84 1940–00
demands and supplies, and the exploitation rules for Min. 134 1994–95 44 1992–93
reservoirs, aquifers and infrastructures. Max. 1856 1955–56 129 1963–64
If we want the system to satisfy new demands, it is Max/Min 13,8 2,9
necessary to modify some of the parameters we can
actuate on: demands, regulating capacity or exploita-
tion rules. reservoir. Although the contributions are relatively high
When demands change and we decide not to change they are very changeable: the maximum contribution
the regulation capacity, in some cases we can find suit- in the year is 13.6 times the minimum. The low soil
able solutions by changing the exploitation rules and permeability, slope and lack of big aquifers are the rea-
reassigning resources. son why the baseline of mean contributions is only 10%
Changing exploitation rules can affect present uses, of the total amount. Table 1 clearly details this infor-
so every affected party, in order to exercise its rights, mation for the whole basin.
must get involved in the studies previous to the deci- Tables 2 and 3, show the main parameters that char-
sion making. These studies should try to minimize any acterise the series of contributions under natural regime,
negative effect and look for the maximum benefit for from the Hydrological Plan, of River Alberche upstream
everyone. San Juan reservoir, from 1940 to 2000.

2.2 Regulating units and transport infrastructures

2 THE CASE OF RIVER ALBERCHE BASIN
The system’s regulating units are the following reser-
voirs: Burguillo (197,7 hm3), Charco del Cura (4.4 hm3),
2.1 The basin and its resources
San Juan (137,7 hm3) and Picadas (16,6 hm3) that
The surface of River Alberche basin is 3.993 km2 and amount a total volume of dam water of 374 hm3. There
its total natural contributions, in average, are 823 hm3, is a minimum volume of stored water for each month
from which 646 hm3/year are upstream San Juan (“iron curve”) that determines the hydropower uses of

421
Table 2. Minimum cumulative contribution (hm3) per As a result, the changes in the “iron curve” were
period. not enough to guarantee the important new demands.
Therefore, there is still margin to optimise the system
Period 1 year 2 years 3 years management and improve the water supply.
Moreover, in the previous reasoning we haven’t
October- October 117.91 355.15 947.23 taken into account that the total reservoir volume is not
Nov- November 116.29 380.52 969.98
Dec- December 111.46 405.79 970.01
enough to exploit an important amount of the resources.
January- January 160.53 498.81 995.51 If we also consider that the demands are very change-
February-February 136.66 555.77 979.11 able, specially important in dry years, it is even more
March- March 138.31 574.48 1009.01 evident that the reservoir volume is insufficient to
April- April 158.04 426.45 1001.41 increase the demands to be satisfied.
May- May 136.39 339.57 940.15
June- June 156.95 330.48 925.83 2.3 Demands and supplies
July- July 134.37 356.11 949.41
August- August 123.17 357.95 950.54 The main demands are:
Sept- September 119.79 356.63 948.94
Population supply:
Minimum 111.46 330.48 925.83 Growing demand to supply Madrid with different
harnessing points at the following reservoirs: La
Table 3. Percentiles for the distribution of monthly and Aceña, San Juan, Picadas y Los Morales
annual contribution (hm3). Demands to supply Toledo: La Sagra Alta, La Sagra
Baja and Torrijos and Toledo communities from
50th 75th 90th Las Picadas reservoir. Talavera de la Reina and its
Period percentile percentile percentile Minim. surroundings from Cazalegas.
Demand to supply some populated areas
October 4.86 4.14 3.69 2.31 Land irrigation:
November 18.75 6.05 4.16 3.00
December 36.56 13.86 6.25 3.93
The main agricultural demand corresponds to the
January 65.71 31.29 9.88 5.15 irrigated land of the Canal Bajo del Alberche,
February 72.44 35.78 12.69 5.28 which takes the water from the Cazalegas reser-
March 75.65 38.65 21.20 5.44 voir. The total surface is 10000 ha but the irrigated
April 83.47 44.67 22.65 6.51 land is around 6500 ha. The current demand is
May 52.80 34.75 18.77 5.40 about 75.00 hm3/year, corresponding to more than
June 23.98 16.85 9.76 3.26 11500 m3/ha per year. The consumption in the last
July 10.29 7.77 5.21 2.87 few years is between 75 and 90 hm3/year. Private
August 5.72 4.91 3.97 2.68 regulated irrigations in the Alberche River, located
September 4.71 4.32 3.19 2.48
downstream San Juan dam, have an annual
Annual 592.08 388.56 205.00 117.91 demand of 31.78 hm3/year.
Hydropower production:
Unión-Fenosa has a concession to exploit the hydro-
the combination Burguillo-San Juan, letting the hydro- electric power of the Alberche, under a special
electric concessionaire to exploit it freely over that regime that conditions the exploitation of Burguillo
curve. These are the necessary volumes to guarantee and San Juan reservoirs.
the system demands. Environmental restrictions:
The drought from 1991 to 1995 changed the basin’s The Hydrological Plan assigned an environmental
management through two new diverting infrastruc- demand of 38.16 hm3/year for the San Juan reser-
tures: San Juan – Valmayor to supply Madrid and voir, that equals the requirement to Union-Fenosa
Picadas – Valmojado to supply the county of Toledo. in the hydroelectrical concession.
They are capable to divert a maximum volume of
240 Hm3 in one year. These adds to the 130 Hm3/year To sum up, the system has to supply a maximum of
that Picadas-Majadahonda could already divert since 185 hm3 for population and 120 hm3 for irrigation.
the late sixties, although it hadn’t been used until 1992. 170 hm3 out of the total 185 hm3 affect the hydropower
The three harnessing infrastructures have some charac- exploitation.
teristics in common: The data of the actual exploitation are shown in
Figure 1.
• They were built in an emergency, taking advantage
of a dry period
2.4 Evolution of the basin resources management
• In none of them the emergency was properly justified
• In none of them the concession report satisfied all Despite having a large amount of resources and being
affected parties. nearby Madrid, the geography, specially the profile of

422
 Consumo en la cuenca del Alberche Sistema Alberche To ta l d a m w a te r in Alb e rc h e
052 Volumen total 374 hm
Bu r gui l l o ÐP u tne e oveuN
04 laz C e gas
02 Pica d a s
S nJa nau
Consumo (hm )

053
3

051

03
01

052
05

02
0
09 1 19 29 1 39 1 49 1 59 1 69 1 79 1 89 1 91 0 91 10 2 20 30 2 40 2
Año
051
eaRnoZ gaehcrblA . oTt s a b A a arev l . o t s a b -A e h c r l T odel dir aM-ehc blA

01
Figure 1. Supplies in the Alberche basin.
05

its main river’s bed, is the reason for the hydropower 0

generation to be the main use. The first concessions

0 /1 8 91

0 /1 98 1

0 /1 09 1

0 /1 29 1

0 /1 39 1

0 /1 49 1

0 /1 59 1

0 /1 69 1

0 /1 79 1

0 /1 89 1

0 /1 9 1

0 /1 0 2

0 /1 10 2

0 /1 30 2

0 /1 40 2

0 /1 50 2
0 /1 19

0 /1 20
were given in 1912, so, historically, uses for consump-

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50

/50
tion have been scarce.
The conditions that power generation had to accom- Figure 2. Dam water in the Alberche river from 1988
plish to guarantee the agricultural demands, mainly
downstream the powerhouses, were compatible with
temporarily against the standard procedure, finally a
them and, somehow, were beneficial for both parties,
concession was given to CYII to divert up to
yielding to a regime of exploitation that has been sat-
199.8 hm3/year and the agreement to compensate the
isfactory up until recent times.
nuisances to the hydropower concessionaire. The
Planners saw this river as a convenient solution to
Canal de Isabel II has only fully used its right in
the problems they had supplying the big increment of
2001–02 and 2004–05. The average of diverted flows
the population of Madrid. This was included in the
in the series is about 50 hm3.
studies that were the basis for the draft “Anteproyecto
It is difficult to evaluate the nuisance. Peaks and val-
General de Aprovechamiento Conjunto de Centro y
leys in energy are mixed and some of the energy to pump
Sureste de España”. Coherently, due to the drought that
the water is recovered at the powerhouses of Valmayor
took place in Madrid in 1966, the AMSO
(that belongs to CYII) and Castrejón (that belongs to
(Abastecimiento de Madrid Solución Oeste) was built,
Union-Fenosa). This evaluation might be one of the
a pipeline that transported water from the Picadas
reasons for the management to be far from optimal.
reservoir to the water treatment plant in Majadahonda.
Analysing the volume of dam water from 1988 to
This plant can supply a flow of 3.7 m3/s to Madrid.
September 2005 in the Alberche basin (Figure 2) it
Afterwards, two dams were built: El Atazar (1972),
can be seen that, since the new conduction was built
with a capacity of 425 hm3, in the Lozoya River and
in 1993, they are not taking the most of it: neither the
Valmayor (1975), 140 hm3 capacity, in the Aulencia
power obtained nor energy produced reach the maxi-
River and with inflows from Las Nieves dam. For both
mum capabilities of the system. Dam water has never
reasons, the AMSO pipeline was hardly used until the
reached 350 hm3 and just a few times it has been over
drought of 1992–93 and there was no concession for
325 hm3. According to the natural flows, the reservoir
its exploitation. The determinants that the important
could have been exploited at higher levels, increasing
development of those years imposed to the electricity
the power and energy obtained.
generation made the conduction, designed to work
There is no doubt that the diversions from San Juan
continuously in 1967, very inflexible. Nevertheless, it
and Picadas, both with increasing demands and effects
helped getting over the 1992–93 drought, as 98 and
on the hydroelectric generation, built to supply Madrid
93 hm3 could be diverted from the Alberche.
and Toledo, have negative impacts on the water
Despite that conduction fulfilled its function, another
management.
infrastructure was built, also through the emergency
The optimization of hydropower falls implies ben-
procedure: the diversion from the San Juan reservoir
efits for everyone. If the reservoirs had been managed
to Valmayor. Its cost was higher than expected and
at higher levels, and even without flow diversions:
much higher than what would have come out of an ordi-
nary procedure, with a properly studied project, instead • More power would have been available and the pro-
of through an emergency procedure. duction would have been higher
After a condemnatory sentence against the Adminis- • The rest of the system users would have had more
tration, because it gave authorization to divert security, as there would have been more dam water

423
3 STUDIED MANAGEMENT MEASURES
We have used the application SIMGES, from the soft-
ware package AQUATOOL, to simulate and analyse
the exploitation procedures. We have checked that more
water could be used for population supply, modifying
the CYII’s concession, letting it to use the total capac-
ity of the current infrastructures and getting rid of the
“iron curve”. New rules of exploitation should be
established, which show the objectives of the new man-
agement and let reassign resources for irrigation when
the available water goes under a certain value. The irri-
gated land should be updated to achieve demands that
correspond to the actual needs through an on-demand
irrigation system.
It would be possible to increase the average diver-
sion from the Alberche to the CYII system, from
the current 50 hm3 up to 140 hm3/year. However, the
increase of the guaranteed volume for Madrid would
be only 75 hm3/year, that is, a total of 125 hm3/year.
This result must be reached step by step, because
the hydroelectric production and the energy consumed
to pump the water have to be optimized. The average
production would decrease from 265 GW  h to
256 GW  h, around the 4%, whereas the energy con-
sumed would rise from 41 GW  h in the initial
hypothesis to 139 GW  h, 59%, proportionally to
the diverted volume.
The decrease in production is partly compensated
increasing the volume of turbined water at the Castrejón
424
powerhouse, which belongs to the same concessionaire.
The consumption by the pumping stations would be
compensated by the Valmayor powerhouse, granted to
the CYII.
This means that the improvement of the regulation
when we remove the “iron curves” has the same effect
as a virtual reservoir in the Alberche basin, that takes
water from whichever source is less stressed at that
moment, relaxing the stress of the rivers Jarama, Lozoya
and Manzanares. This would benefit the ecological
state of the Tagus River at Toledo, a critical point in
the basin.
4 CONCLUSIONS
The proposed solution has been analysed at the plan-
ning level, so it should only be implemented after think-
ing it out and after a detailed evaluation of the possible
undesirable effects. Of course, such implementation
should be carried out in careful steps, as the demands
can change in time.
Any substantial change in the system will bring
effects to the users, some of them beneficial but some
others prejudicial. The correct evaluation of benefits
and damages and the minimization of the latter must
be among the main objectives of the Administration.
Taking decisions in a hurry and without thinking can
have negative effects.
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La Colada Dam (Córdoba): An example of technical, economic, social and

environmental viability

A. Albert Rodríguez
Hidroguadiana S.A. Madrid, Spain

P. Elías Fernández
PaymaCotas S.A.U. Madrid, Spain

ABSTRACT: La Colada Dam, on the Guadamatilla River, has as a main purpose supplying drinking water to
the towns of the region of Los Pedroches, located in the north of the province of Córdoba. The study of the tech-
nical-economic viability and the evaluation of the different possible locations began in the 1940’s, by means of
a study promoted by the Office of the Government in Córdoba. Throughout its history, this study has been com-
pleted and checked numerous times, without finding any other solutions for satisfying the demand at times of
drought. From the social point of view, this project has always relied on the support of the population of the
zone, which is reflected in the important economic contribution that the County Council of Córdoba has made
for its construction and in the treatment that it receives from the local press.

1 CONCISE HISTORY OF THE WORK
The Region of Los Pedroches is supplied with drinking
water from the dams of Sierra Boyera and Puente Nuevo
in the Guadiato River, a tributary of the Guadalquivir.
In periods of drought this region does not have an
insured water supply because the population supplied
from these dams is located at a higher elevation in
relation to the regulated resource. In order to improve
this situation, often the Environmental Ministry has
had to carry out emergency interventions.
La Colada Dam project has been directed to solve
definitively these problems, answering the social
demands of numerous City Councils.
The Region of Los Pedroches is in the south-eastern
limit of the Guadiana river basin, a few tens of kilome-
ters from La Serena dam. In the absence of a system
to control the headwaters of the Zújar River, from
which the Guadamatilla is tributary, to date the com-
munity has been forced to obtain its water supply from
the Guadalquivir by a pipeline more than thirty kilo-
meters long.
Throughout the time, the Confederación Hidrográ-
fica del Guadiana and other Organisms in charge of
the hydraulic planning of the zone has been studying
the possibility of making a dam in the Guadamatilla
River to regulate the river and to supply the Region of
Los Pedroches with water.
The most complete and important study of viabil-
ity which includes La Colada Dam is the “Pre-project
of exploitation of the hydraulic resources in the head-
waters of the rivers Zújar and Guadalmez, and their
application in benefit of the Region of Los Pedroches,
province of Córdoba, and the next zones of the
provinces of Badajoz and Ciudad Real”, written in 1983
by D. Manuel Barragán Sebastián, a Civil Engineer
from the Hydrographic Confederation of the Guadiana
(Confederación Hidrográfica del Guadiana).
The first studies about the technical viability of the
dam date from 1943, when the “Geologic Report of
the river basin, reservoir and enclosure of the Molino
de La Colada Dam”, was made by Geologist D. Rafael
Cabanás by order of the County Council of Cordoba
(Diputación Provincial de Córdoba).
In addition, numerous subsequent studies exist that
demonstrate the technical-economic viability and the
social importance of the dam are indicated as follows:
– Study carried out in 1964 by the County Council of
Cordoba, in which the observations of the study writ-
ten in 1943, referred to previously, are summarized
– Implementation of a system to control the Zújar
River. State Office of Hydraulic Works (Dirección
General de Obras Hidráulicas) Hydrographic Con-
federation of the Guadiana. Madrid, 1967.
– Hydraulic exploitation of the Guadamatilla River
and water supply to seven towns of the region.
Antonio Rubio Murillo. 1967.
– Local plan of improvement of Los Pedroches.
National Institute of Agrarian Reform and

425
 Development (Instituto Nacional de Reforma y
Desarrollo Agrario). October, 1973.
– Study of viability of hydraulic exploitation of
the Guadamatilla River. T/M of Pozoblanco (sic)
(Córdoba), ordered by the County Council of
Cordoba February of 1990.
Seeing the multiple precedents and the results that
have been obtained over time, the delay in the con-
struction of this infrastructure seems unjustified. The
first studies had already demonstrated the good geo-
logic-geotechnical aptitude of the location in the place
known as “Molino de La Colada”, for the construc-
tion of a dam. They had even reached the point of mak-
ing exploratory borings on the proposed location. It
has not been until the 1990’s during which an increase
in the water demand resulting from economic develop-
ment, and further heightened by the persistent drought
that hit Spain in the middle of the decade, that pushed
the project towards its fulfilment.
On January 20,1994, PROYECTO Y CONTROL,
S.A., PYCSA, was awarded the contract for the
“Technical Studies and development of the project of
La Colada Dam, in the Guadamatilla River TT. MM.
of El Viso and Belalcazar.”
On October 3, 1997, the Area of Technology and
Structure Control (Área de Tecnología y Control de
Estructuras) wrote the report on the Project of La
Colada Dam, in which it was recommended to carry
out a series of modifications and makes a proposal for
its technical approval.
On December 30, 1997, the State Office of
Hydraulic Works and Water Quality (Dirección General
de Obras Hidráulicas y Calidad de Las Aguas) techni-
cally approves the PROJECT 03/95 of La Colada
Dam (CO/EL VISO and BECALCAZAR) and sends
to the Hydrographic Confederation of the Guadiana a
copy of the report from the Area of Technology and
Structure Control for its information and fulfilment.
At the same time, within the agreement subscribed
between the State Office of Hydraulic Works and Water
Quality and the Center for Hydrographic Investigation
(Centro de Estudios Hidrográficos) of CEDEX, a
reduced model study of the overflow channel of La
Colada Dam was requested. The main conclusion
from this study was the proposal of a slight modifica-
tion to the dam’s stilling basin.
On February 11, 1999 a Declaration of Environ-
mental Impact is drawn up by resolution from the
State Office of Environmental Quality and Evaluation
(Dirección General de Calidad y Evaluación Ambien-
tal) for the project of La Colada Dam, and published
in the B.O.E. The declaration states that the project is
viable because it does not have significant impacts on
the environment.
On June 8, 2001 the construction project was
approved by the State Office of Hydraulic Works and
426
Water Quality. Later the State Office approved and
attached an addendum on November the 30, 2001.
On May 14, 2002, the construction company VIAS
Y CONSTRUCCIONES S.A, started the project, and
the company PAYMACOTAS S.A. was awarded the
contract for technical assistance to the Construction
Management Dirección de Obra.
The works ended in the spring of 2005 with the
exception of filling the joints, which is expected to
begin in February 2006.
At the moment, approval of the Emergency Plan is
expected, since it is classified as “B”, based on its
potential risk in case of breakage in order to proceed
to the river deviation closure and to begin with the full
load test , in accordance with the Filling Plan, already
written up.
2 ECONOMIC AND TECHNICAL
JUSTIFICATION
The selection of the La Colada Dam location, the dam
type and the opportunity of its construction, instead
of other alternative dams, are the basic questions to
analyse in order to be able to define the most suitable
solution from a technical, environmental and economic
point of view.
These aspects are gathered in the Basic Technical
Project of D. Manuel Barragán Sebastián and they are
elaborated in the following points:
2.1 Location of the dam
At first, to improve water supply for the population
centres of the Sierra Norte of Córdoba, pertaining to
the Region of Los Pedroches, two alternatives were
considered, both in the Guadamatilla River.
For the first alternative, the construction of a dam
in the location known as “Molino de la Colada” was
analysed. The location was at the mouth of an approx-
imately 6 km long canyon, where a useable volume of
50 hm3 was obtained with a dam height of 48.5 m over
its foundation. The supply guarantee for the consid-
ered urban settlements was 99.7%.
For the second alternative, control of the
Guadamatilla headwaters was studied by means of a
reservoir created near the spot “Fuente La Lancha”.
The topographical conditions of this area limited the
dam height to 38.0 m. In this case, the volume of the
dam would barely reach 13 hm3.
The reservoir located in the high watercourse of the
river in “La Lancha” would have an affluent river basin
of 96 km2, as opposed to the 395 km2 corresponding to
the La Colada location. These conditions result in the
dam located at “La Lancha” having an average contri-
bution of 7.8 hm3/year, as opposed to the 32.0 hm3/year
estimated for the reservoir located at “La Colada”.
Table 1. Comparative of the volumes from the solutions.
Volumes
Maximum
Height dam reservoir
Solution (m) (m3) (hm3)
La Colada 48,50 85,36 50,00
La Lancha 38,00 60,10 13,00
La Colada reduced 42,00 67,37 27,00
As the capacity of the dam located at “La Lancha”
turned out to be insufficient to suitably guarantee the
water supply needs, the possibility of constructing the
“La Lancha” dam and a lower dam than the one ini-
tially anticipated at the “Molino de la Colada” site
was studied.
From the river control created by the “La Lancha”
and the “La Colada” dams, it was concluded that in
order to reach a guarantee of control close to the one
obtained with a reservoir of 50 hm3 at “La Colada”, it
was necessary to build the “La Lancha” dam with a
maximum height of 38.0 m in order to store 13 hm3 of
useable volume. Likewise, the “La Colada” dam would
require a height of 42.0 m to store a useable volume of
27 hm3. and not flood the road from El Viso to Hinojosa
del Duque.
The project and dam volume of each of the studied
solutions are summed up in the Table 1:
From an environmental point of view, the creation of
the “La Lancha” dam had a more significant effect on
the fauna of the area than the “La Colada” dam. The
flooded lands corresponded to an area of greater
wooded density used by the fauna for refuge, in a
greater proportion, whereas the diminution of the dam
height in “La Colada”, down to 467.0 metres over the
sea level, only avoids the flood of the road from El
Viso to Hinojosa del Duque, fact that was resolved
easily by constructing a variant of the road in viaduct.
On the other hand, the greater capacity of “La
Colada Dam”, 56.75 hm3, that became approximately
50 hm3 useable, as opposed to the 40 hm3 useable that
the dams of “La Lancha” and “La Colada” will collect,
are an increase in the possibilities of alternative uses of
the dam, like the creation of recreational zones.
From the analysis of the alternatives relative to the
location, it was decided that the construction of a sin-
gle dam in the “Molino de la Colada”, of 48.0 m in
height over its foundations, and at 473.5 metres over
maximum normal sea level (NMN), able to retain up
to 56.75 hm3, being its useful capacity of 50 hm3.
2.2 The settlement choice
Once the location of the dam was selected, a study
of two settlements was made in the canyon of the
427
Guadamatilla River, that begins in the “Molino de la
Colada” and has an approximated length of 6 km.
In these conditions, it is often advantageous to build
the dam in the canyon as upstream as possible, never-
theless, once the river has come into the canyon, there
is a narrower spot that presents favourable topograph-
ical conditions, and geologically it offers analogous
conditions to the existing settlement upstream at the
entrance of the canyon.
The settlement located upstream further allows start-
ing from a height of 42 m to obtain a dam of 51.24 hm3
with a volume of the constructed dam of 59,160 m3,
whereas in the settlement located downstream, the
volume of the dam obtained with the same height is
47.91 hm3, being the necessary constructed dam vol-
ume 66,470 m3.
Consequently, it is deduced that the upstream set-
tlement, at the same height of dam, stores a greater
volume of water and needs a smaller volume of con-
crete to build the body of the dam, so that it is a better
settlement, and therefore, was selected for the loca-
tion of the dam.
2.3 Dam type
With regard to the study of the dam type, conditions
about security, topography, geology, materials avail-
ability, economy, and adaptation to the chosen settle-
ment were considered.
At first, it can be thought that the safest and most
economic thing would be a loose materials dam, with
a wide shelter between the maximum extraordinary
reservoir and the coronation. This would be so, if the
location had a not very resistant constitution, if the
zone had abundant material for the dam faces and for
an impermeable core, and if the overflow channel and
other hydraulic elements had a reduced magnitude, in
comparison with the body dam.
There is suitable impermeable material for the
core, in abundance in the region, but at larger dis-
tances of 20 km from the dam. On the other hand, the
Guadamatilla river has gravel beds, but with a reduced
volume. The dam faces could be built extracting quarry
jetty by blasts, but this in addition to the core material
costs would make that the price of the dam very high,
without considering the environmental aspects.
On the other hand, the hydraulic elements, over-
flow channel, the river deflection and water-drainages
are not worthless things in relation to the dam body.
The relation string-height makes that a double cur-
vature vault turns out to be unsuitable, because the
effect produced by the arches is not, in this case, deci-
sive to leave almost without importance the bracket
effect.
As a curved plant dam, an arch-gravity one was con-
sidered. The reason why this solution was compared
with a straight plan dam of equal height, resulting a
concrete volume of 97,845 m3, whereas the arch dam
would have a volume of 70,800 m3.
In spite of the fact that for the arch dam it is neces-
sary to take more care with the concrete forms, and it
is necessary to make the joint injections more effi-
ciently, the resulting savings were significant.
The compact concrete solution was rejected because
the overflow occupied 60 m of the coronation, being
the remaining 169 m with a smaller height, every
time, as one advances in one and another slope. On
the other hand, the bottom water-drainages and water
supply intakes can hardly be placed into concrete that
is not of a conventional type, reason why the savings
benefit in formwork supposes and the rapidity of exe-
cution of the compact concrete appears very decreased.
Independently of which is the closure and the
available materials, the present relations of prices of
machinery and labour make that the buttress dams are
not advisable in any case, since they do not offer econ-
omy, compared with other concrete dams, and how-
ever they are more vulnerable.
Because of all these reasons, it was adopted as
definitive solution an arch-gravity dam, whose sum
of slopes does not exceed the value of 0.5, keeping
the height previously mentioned.
2.4 Conclusions
At consideration of the technical-economic viability
studies done, the construction of an arch-gravity dam
was chosen, located at the beginning of the “Molino de
la Colada” canyon, of 48.0 m in height over its founda-
tion, and with an elevation of 473.5 m above sea level,
able to dam up to 56.75 hm3, from which 50 hm3 are
usable.
The constructed dam is able to satisfy a demand of
16.62 hm3/year, composed of an ecological volume of
Figure 1. Act of inauguration of the works with the placing of the foundation stone.
428
the Guadamatilla river (of 2.66 hm3/year) and the
demand of supply to a population of 93,250 inhabi-
tants, during 25 years, of 13.96 hm3/year.
According to the Hydrologic Plan of Cuenca, the
supply guarantees obtained are the following ones:
– The maximum guarantee obtained considering a
deficit lower than 8% of the demand, is of 96.2%
– If a maximum deficit of 13% of the demand is con-
sidered in two consecutive years, the maximum
guarantee is also of 96.2%
– The minimum dam level at the beginning of the
period to reach this value of guarantee is of 15 hm3.
– If a maximum deficit of 23% of the demand is con-
sidered in ten consecutive years, the guarantee
descends to 77.3%.
At the present time, it is being studied to reinforce
the supply to Almadén (Ciudad Real) from La Colada
Dam. This city of currently 7,500 inhabitants is located
about 30 kilometers to the north of the dam. This pos-
sibility would not have sense if it had not been adopted
as the definitive solution to the problem, the creation
of a dam with a comfortable regulation capacity, as it
was considered since the first studies.
3 SOCIAL ASPECTS OF WORKS
The performance that has been carried out, from a
social point of view, has always relied on the support
given by the local population of the Region of Los
Pedroches, which is reflected in the important eco-
nomic contribution made by the County Council of
Cordoba for its construction and in the treatment it
has received in local and national mass media. The
attainment of the dam for the supply and development
of the Northern zone of Córdoba is one of the most
important benefits for its inhabitants.
 Newspaper cuttings practically exist since the
beginning of the first works in the previous studies,
studies of solutions, geotechnical prospecting, etc.
But it is since the year 2000, when the signature of the
Agreement between the users of the water and the
Sociedad Estatal Hidroguadiana was taking place,
that a larger profusion of press articles is written.
Later, at the beginning of the works, in June of 2002,
and during its construction, lots of information about
the progress of the works had been written, as well as
about the opinions of the different social interlocu-
tors, in relation to different aspects of the future use
of the water of the dam.
The acts of beginning of works were showed in press
and TV with placing of the foundation stone, in 2003
February, for the Environment Ministry Jaume Matas.
The works practically concluded in 2005 July,
except for the injection and sealing of the transverse
joints and the closure of the river deviation, foreseen
for the winter of 2006. Once the full load test has fin-
ished, it will be necessary to proceed to the connec-
tion with the supplying system of the community of
towns that will take benefit from the dam.
Finally, let us indicate that this performance is
included in the Plan Hidrológico Nacional 2000–2008,
within the philosophy to palliate the water problems
all over Spain. The investment carried out, more
than 18.2 million euros, will be financed in a 75
per cent by the Fondo de Cohesión that manages the
Ministry of Environment, and the rest will be in charge
of the Diputación de Córdoba and the Sociedad
Estatal Hidroguadiana, dependent on the Ministry of
Environment.
4 ENVIRONMENTAL ASPECTS
La Colada Dam, as it has been indicated previously,
has as main target the regulation of the volumes of the
Guadamatilla River for the water supply to the urban
settlements of the region. Also, taking advantage of
the dam, two recreational zones are created that respond
to the social demand of this type of equipment, of
which the zone lacks nowadays.
4.1 Environmental valuation of the different
alternatives
The Study of the Environmental Impact included in
the Project, valued four alternatives for the works, that
were necessary to materialize the proposed objectives:
– Alternative 0: Without dam. It supposes to study
other resources to satisfy the water supply, just as
the taking up of underground waters, pourings, or
the provision by means of cisterns.
429
– Alternative 1: La Colada Dam at the closure A,
upstream the canyon of “Molino de la Colada”.
– Alternative 2: La Colada Dam at the closure B, in
the interior of the canyon, downstream from the
previous one.
– Alternative 3: La Colada Dam and La Lancha Dam.
Based on the extracted data of the location of these
closures and the hydrological contributions of the
Guadamatilla River in each one of them, as well as on
the characteristics of the dam to be constructed, it was
considered opportune and it produced a minor level
of environmental impact, the construction of the dam
at the closure A.
4.2 Limitations to the construction and operation
Within the impacts that take place on the ground
because of the actions to be developed during the con-
struction phase, it is possible to emphasize the alter-
ations derived from the earthwork, although these
alterations are of a temporary and reversible nature,
except for the case of the construction of new roads
and the deforestation of the reservoir, that will have a
permanent and irreversible effect.
In exploitation phase, only the alteration caused on
the ground, by the dam, takes place, action whose
effect has been considered as indeterminate due to its
ignorance.
Any trouble with the river course during the dam
construction have been considered of small impor-
tance, because their main characteristic is the short
space of time in which they are going to take place.
During the work, there have been established the
opportune corrective measures, like the deflection and
the bypass of the river, quarries exploitation inside the
reservoir, and also, from the point of view of dimin-
ishing the impact on the vegetation, the maintenance
of the ecological volume and the integral deforesta-
tion of the floodable area in order to avoid eutrophi-
cation problems.
Let us emphasize, because of its importance, the
pursuit of the quality of waters to be dammed up, due
to the contribution of the Guadarramilla river with an
elevated content of organic matter, owing to the spills
from the locality of Pozoblanco, whose EDAR is not
sufficient to purify all the waters coming from the
surrounding cattle farms. For this quality control a
double work has taken place:
– Construction of a tail dock that retains and deposits
most of the organic material to avoid its incorpora-
tion to the dam.
– Inventory and arranging of all the cattle exploita-
tions capable of contaminating the riverbed, adapt-
ing their installations to avoid, as far as possible,
the increase of the contamination.
 With regard to the fauna affection, the following
aspects have been considered:
– The reservoir deforestation has an effect, not only, on
the ground and the vegetation, but also on the species
whose biotypes are eliminated.
– During the works, the suitable timing of the activi-
ties to be executed has been considered important,
with the aim of reducing to the maximum all the
alterations on the fauna.
– During the exploitation phase of the dam, the reser-
voir involves an integral transformation of the area,
after the flooding of the surface, causing the extinc-
tion of some communities, presently existing, (rep-
tiles) being replaced by others (birds, fish, etc.).
– The species of greatest value in the zone is the
group of cranes of Hinojosa del Duque. In this
case, the impact can be considered as positive,
because the water mass will form a future sleeping
place for the species, what could even determine
the increment of the population.
From the landscape point of view, it is not neces-
sary to emphasize the great effect that a work of this
magnitude has perceptually. Although it is true that
during the works there is a temporary deterioration of
the landscape, once they are concluded, the effect that
the great mass of water has in the landscape can be
considered as very positive, in order to enrich the
landscape, as negative, because of its artificial nature.
4.3 Benefits
All these effects could be considered outstanding,
were it not for the corrective measures applied during
the works and mainly for the own effect that the dam
has on the socioeconomic environment has and that is
not another thing that the origin of the works: the
optimization of the water resource.
In a region as lacking as this is, any performance
that tends to this aim must be considered of a vital
importance, even more when it is promoted to satisfy
some basic necessities.
Besides, during the construction of the dam, the
investment in economic and human resources, has
reverted on the local and regional economy, being the
service (hotel business) and industry sectors the most
favoured ones.
Mainly, the greatest benefit has had repercussions
on the human activity, by means of the creation of
employment and the improvement in substructures,
minimizing the annoyances derived from the works.
On the other hand, the dam existence has carried
about the creation of two recreational areas in the
townships of Belalcázar and El Viso, in order to
incorporate different activities such as hiking, cycling,
nautical sports, camping, etc.
430
Depending on the intrinsic characteristics of the
surroundings, the reception capacity of the territory
has been determined, meaning this one as “… the ter-
ritory capacity for the different activities to be put in
order, considering the relation territory-activity…”,
that is to say, to what extent the territory covers the
local requirements of the activities, without that sup-
posing the loss of its characteristics and values.
For this, some parameters have been valued, such
as visibility (geology and physiography), naturalness
(based on the distance to substructures or to urban
settlements), beauty (from a point of view of vegetal
formations) and integration, all over the region, estab-
lishing the suitable places for the location of the areas.
As result, the following areas have been defined:
– Recreational zone on the right river bank, in the
municipal term of El Viso, situated about 500
meters upstream the river Guadarramilla mouth,
with an extension of 4.7 ha., approximately
– Recreational zone on the left river bank, in the
municipal term of Belalcazar, at about 1100 meters
upstream the dam, occupying a surface of 6 ha,
approximately.
The recreational zones count on with accessing
ramps for boats, picnic tables, waste containers and
parkings. It is expected the creation of a series of
green tracks, as part of the urban-environmental inte-
gration of the set, promoting hiking and an alternative
tourism to the vehicle, and constituting two points of
playful-social recreation.
In the Plan of Dam Uses, written up to the conclu-
sion of the works, apart from the previous analysis,
the legislative frame has been added, by means of which
the different uses and activities, compatible with the
surroundings, are going to be regulated, as well as the
basic directives for the management of the same one,
and more, knowing than the affluence of visitors to
the recreational zones has been calculated in more
than one hundred eighty-five thousand visits, a year,
according to the demand analysis made by means of a
direct survey to the population of the region.
The benefits that will be obtained from the
exploitation of these recreational areas are merely
social. The set will bring social welfare to the popula-
tion, apart from the enrichment of the municipalities.
5 LA COLADA DAM: A REALITY TODAY
La Colada dam has, as a main objective, the control of
the volumes of the Guadamatilla River for water supply
to the urban settlements of the Region of Los Pedroches,
in Córdoba.
The dam is an arch-gravity one, with a length of
274 m in ground plan and a top height on foundations of
48.50 m. The curved centreline has a radius of 149 m
in the section corresponding to the axis of the dam. In Table 2. Flood levels.
the dam body we can distinguish two different type
sections, that correspond to the piers and the overflow Lamination effect
channel. The piers type section, crowned at a height of Flood
478 m, shows the vertical upstream face. The down- Flood Qmáx Max Volume
Event Qmáx Volume spillway level stored
stream face becomes vertical over 474.50 m and, (Years) (m3/s) (hm3) (m3/s) (m) (hm3)
between heights 466.30 and 474.50, it lays out with
slope 0.1/1. From this last height to foundations it 50 482 19 251 475,21 67,40
presents a slope 0.5/1. 500 712 28 415 475,84 71,04
The type section of the overflow channel displays 10.000 1.018 41 635 476,62 75,58
vertical upstream face, and slope of 0.5/1 in down-
stream face, starting from its tangent with the Creager
profile of fall. The crest of the dam has a uniform
width of 5 m, with two sidewalks of 1.50 m wide.
The volume of dam at a height of 473.50 m above sea
level is 57.69 hm3. The river contribution basin has
395.15 km2 of surface area, with an annual average
contribution of 32 hm3. The dam has been classified
into B, based on its potential risk.
The spillway consists of five gaps, fixed crest, with
10.80 m of spill length each one, with its threshold at
473,50 m. The spill profile is a Creager type one, whose
proportions are determined for a height of sheet of
2.50 m. The overflow cashers converge radially towards
the centre of the dam framework, reducing their sepa-
ration from the 58.00 m in the garbage dump section
to 48.52 m in the link section of the stilling basin. The
restitution to the riverbed is made by means of a still-
ing basin of 25.00 m length, whose width diminishes
radially, from the 48.52 m in its connection with the Figure 2. La Colada dam, downstream.
overflow channel, to the 40.82 m in its final section.
The lower millstone of the stilling basin is at 437,00 m.
The flood levels produces volumes of restitution to located at 447.50 m, which determines a dead storage
the river according to table 2. of 0.87 hm3. The bottom water-drainages are closed
At the Hydraulic laboratory of the CEDEX, in by two sliding rectangular floodgates, Bureau type,
Madrid, there were made suitable tests in a reduced each one, both lodged in a valve chamber built in the
model of the water-drainage organs of the dam. Con- interior of the dam body, with access from both edges
sequently, the geometry of the stilling basin of the through the visit gallery in the interior of the dam.
overflow channel and the exit mouth to the outside of The floodgates have a ventilation device, by means
the bottom water-drainages were adapted to the of a pipe of 600 mm of diameter that comes outside
results of these tests. through each one of the central piles of the overflow
The diversion channel has been calculated for channel and the respective by-passes in order to equal-
3- year flood event, with a top volume somewhat infe- ize internal pressures in opening. The restitution of the
rior to 200 m3/s. water to the riverbed is made by the exit to the stilling
The bottom water-drainages of the dam are located basin of the overflow channel.
in both central blocks of the same one. Lastly, and to comply with the Basic Directive of
They are formed by two circular conduits of 1.00 m Planning for Civil Protection from Flood Risk and the
of diameter, of stainless steel, that extend parallel with Technical Regulations governing the Security of Dams
a distance between their axes of 3.00 m. The mouth of and Reservoirs, the company PAYMACOTAS S.A.U.
the water-drainages is solved by means of a rein- created all of the documents related to the security of
forced concrete structure that bears a detachable grille, the dam, including: Normas de Explotación, Plan de
of stainless steel, that allows the access to this mouth Usos, Plan de Emergencia y Plan de Puesta en Carga.
from the interior of the dam. The threshold of the Currently it is in the process of writing the Plan de
mouth section is located at 446.85 m, and the ceiling of Implantación del Plan de Emergencia, and upon its
the structure, at 448.85 m. The water-drainages axis is approval will commence the filling of the reservoir.

431
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Construction of the first concrete faced gravel-fill dam (CFGD)

in Korea - Hwabuk multi-purpose dam

Wan-Ho Lee & Kyung-Taek Yum

Korea Water Resources Corporation (KOWACO), Daejeon, Korea

Heui-Dae Lim
Department of Civil Engineering, Chungnam National University, Daejeon, Korea

ABSTRACT: Construction began on the Hwabuk intermediate scale multi-purpose dam, the first concrete
faced gravel-fill dam (CFGD) in Korea, in 2004 and will be completed in 2009. This dam is 45 m high, 330 m
long, and has a gross storage of 48.7  106 m3. This dam was originally designed as a general concrete faced
rockfill-dam (CFRD). But, the design features were changed from CFRD to a CFGD since development of a
quarry is not necessary as sufficient stream aggregates are available for use as the main embanking materials.
This alternative design not only made easy and economical construction possible but it also reduced the con-
struction period, minimized environmental disruptions, reduced transporting distances, and simplified the dam
zoning. Further, it also complied with the shift in paradigm to environmentally-friendly dam construction. More
than 65% of Korea is mountainous areas and sufficient aggregates exist within the streams. Due to these natural
conditions, efforts to develop sustainable and environmentally-friendly dams have recently been increasing espe-
cially because of the introduction of CFGDs using stream aggregates. In this paper, the feasibility of changing
design features was evaluated through the results of field exploration, laboratory experiments, and numerical
analyses. Especially, data about engineering properties of aggregates were obtained by large-sized axial and tri-
axial compressive tests and large-sized permeability tests to estimate the propriety of stream aggregates for uti-
lization as embanking materials. Based on the design parameters gained from tests, the stability of dam sections
was finally reviewed through static and dynamic numerical analyses of dam behaviors. Furthermore, new con-
cepts for environmentally-friendly dam construction, such as eco-bridges which provide migratory pathways for
animals, substitutive habitats, and vegetation zones on the downstream slopes, will be introduced. These tech-
nologies applied to the Hwabuk dam, will provide further developments of conventional CFRDs both technical
and environmental aspects.

1 INTRODUCTION However, the original plan was changed from CFRD

The purpose of constructing the Hwabuk multi-
purpose dam is to supply Kyoungbuk-middle area with
sufficient water, to control flood, and to develop clean
energy by the generation of electricity. The dam is
under construction at the Wie-Chun basin of the Nak-
Dong river (Figure 1), and 45 m in height, 330 m in
length with the total storage capacity 48.7 million m3.
The dam was originally planned as a CFRD since in
Korea, rock materials, a main fill material of CFRD, are
generally abundant and easily obtained. Beside those
advantages, CFRD has a high resistance to the sudden
failure and stable structure since no pore pressure is
applied and interlocking of rock can help resist to
earthquake.
to CFGD, which uses gravelfill materials abundant in
the dam construction site. The reason was because the
use of sufficient amount of gravels in adjacent areas
could minimize the environmental damage and decrease
the construction period as no development of quarry is
necessary. Also, the use of the gravels makes the deliv-
ery of the material easy and simplification of the dam
cross section can be possible, resulting in the advan-
tages in construction and economic aspects.
In this paper, various studies to investigate the suit-
ability of the CFGD for domestic applications are
described.
The studies include large-scaled uniaxial, large-
scaled triaxial, and permeability tests performed on the
gravelfill materials. Based on the tests, engineering

433
properties of the gravelfill materials was evaluated
and compared with those of rockfill materials.
Moreover, a new zoning was proposed and numer-
ical analysis were conducted to examine the deforma-
tion of the dam for each construction stages and the
settlement of the dam when it is impounded.
Moreover, a case history was provided that adjacent
ecosystem was balanced by connecting animal habitat
through the eco-bridge of spillway or animal’s path
and dam environment was improved by vegetation.
2 FEASIBILITY STUDY OF CFGD
2.1 Design overview
The Hwabuk multi-purpose dam was originally planned
as a CFRD using rocks as a main fill material (Zone
3B), but changed later to a CFGD (Concrete Faced
Gravelfill Dam), which uses gravels abundant in the
dam construction site as the fill material (Zone 4).
Accordingly, as shown in Table 1, the dam cross sec-
tion was much simplified. The main dam consists of
concrete face, filter zone, gravelfill zone, rockfill zone.
An impermeable zone was placed between the concrete
face and plinth to protect adjacent connection and also,
an environment-friendly zone was placed to consider
the harmony between the dam and the nature.
Details regarding the design change are shown in
Table 1.

2.2 Mechanical characteristics of fill material

Gravels are abundant in adjacent area of dam site.
Various laboratory tests were conducted to examine
whether the gravels are appropriate as a dam fill mate-
rial and how it is different from the existing rockfill
material. Field gravels were generally well-distributed
and the size distributions were similar between those
in upstream and downstream. The uniform coefficient
ranged from 24.3670.69.
To use the gravels as a fill material, relative density,
Figure 1. Dam location. large-scaled oedometer, large-scaled triaxial, and the

Table 1. The structure of Hwabuk dam.

Division Original design Alternative design

Dam section

Type Concrete Faced Rock fill Dam (C.F.R.D) Concrete Faced Gravel fill Dam (C.F.G.D)
Height 50 m 45 m
Length 340 m 330 m
Slope Upstream 1:1.4, Downstream 1:2.0 Upstream 1:1.4, Downstream 1:2.0
Volume 950,000 m3 877,000 m3
Zoning 1 • Impervious material 1 • Impervious material
1A • Random material 1A • Random material
1B • Random material 1B • Random material
(Environmentally-friendly zone) (Environmentally-friendly zone)
2 • Bedding material (Max. 75 mm) 2 • Bedding material
3A • Rock (Max. 150 mm) (Max. 75 mm)
3B • Rock (Max. 800 mm) 3C • Rock (Max. 800 mm)
3C • Rock (Max. 1,500 mm) 4 • Stream aggregate
(Max. 500 mm)

434
large-scaled permeability tests were conducted and the void ratio was 0.26. From the test, settlements and
results were compared with those for rockfill materials. constrained modules were obtained.
Figure 5 shows that the settlement occurred was
4.8%, which was lower than that of rockfill by 1.1%,
2.2.1 Relative density test indicating the gravelfill material is less compressible
The size of the mold for the relative density test was than rockfill.
14,200/2,830 cm3. The particle size distributions of Figure 6 shows the values of the constrained module
the testing materials were shown in Figure 2. The test estimated from the oedometer tests. Under the stress
results indicated that the maximum dry unit weigh of range for the dam (0.8 MPa), the constrained module
the materials ranged from 2.09 to 2.18 tf/m3 whereas,
the minimum dry unit weight ranged from 1.39 to
1.41 tf/m3. When compared to those for rockfill mate-
rials, which range from 2.06 to 1.98 tf/cm3, the values
for the gravels were in a similar range with the rock-
fill materials. Accordingly, the gravels may be suitable
as a substitute for rockfill materials.

2.2.2 Large-scaled oedometer test

The test was conducted for the materials with three
different grain size distributions; upper-, middle-, and
lower grain size distributions, as shown in Figure 4.
The maximum particle size was 200 mm and initial

Figure 4. Grain size condition for large sized axial-

compressive test.

Figure 2. Grain distribution condition for relative den-

sity test.

Figure 5. Settlement of gravels and rocks.

Figure 3. Results of relative density test of aggregates. Figure 6. Constrained modulus of gravels and rocks.

435
was 104 MPa for the gravel and 70 MPa for the rockfill.
Hence, the gravel is less compressible than rockfill by
about 48%.
2.2.3 Large-scaled triaxial test
The results of the large-scaled triaxial test are shown
in Figures 7 and 8. The gravels reached the maximum
deviatoric stresses at 4, 6, and 8%, while the rockfills
reached the maximum deviatoric stress at 5.8, 7.2,
11.7%. The results showed that load carrying capacity
of the gravel are about twice larger than that of rockfill.
2.2.4 Large-scaled permeability test
The permeability test was performed on the gravels
and rockfill materials to measure their hydraulic con-
ductivities. The measured values of the hydraulic con-
ductivity were 7.4  102 cm/s and 6.7  102 cm/s
for the gravel and the rockfill, respectively, which
indicated that they were in a similar range.
2.3 Stability analysis of dam
For foreign CFGDs, their dam slopes were reported
to range from 1:1.31:1.8 (1:1.5 on average) for
upstream slope, whereas 1:1.41:1.7 (1:1.6 on aver-
age) for down stream slope.
For the Hwabuk dam, the slope of 1:1.4 was planned
for both upstream and downstream slopes. Also, in the
downstream slope, an environment-friendly zone with
Figure 7. Stress-strain relationship of gravels.
Figure 8. Stress-strain relationship of rocks.
436
the slope of 1:2.0 was placed to consider the harmony
between the dam and the nature.
The main dam consists of concrete face, bedding-
zone, main gravelfill zone, sub-rockfill zone, imper-
meable zone, placed under the concrete face and an
environment-friendly zone.
The maximum particle sizes of the materials were
determined by considering other dam cases. Especially,
the main gravelfill zone has the sand-size particles
(less than 5 mm) of 23.46%, which is lower ratio than
that proposed by Sherard. However, the fill material
has the coefficient of uniformity ranged from 24 to 70,
showing well-distributed particle size distribution. The
particle size distribution can be said to be appropriate
since it corresponds to about an average range of other
dam fill materials.
For the stability analysis, the dam was divided into
several zones and for each zone, the parameters for the
analysis were determined based on the results of the
laboratory tests.
The stability analysis was composed of the slope
stability analysis and the stress-strain analysis. The
behavior of the dam was analyzed by applying the
Mohr-Coulomb Model (Plaxis 2D-FEM) and
Hyperbolic Model (Afimex, 2D-FEM).
2.3.1 Slope stability
The strength parameters for the analysis were deter-
mined from the laboratory test results and the past
information on other CFGD’s, as shown in Table 2.
For the slope stability analysis, both static and
dynamic analyses were conducted. In the static analy-
sis, the safety factor for earthquake is typically obtained
by applying the static method or Newmark method.
For CFGD where no seepage through the dam body is
considered, the Newmark method is more commonly
used. Since, in the CFGD, it can be assumed that no
pore pressure is generated in the fill zones of the dam
even when earthquake occurs, a stable dam before
impounding may be considered to be also stable after
impounding. Accordingly, the slope stability analysis
was carried out on the dam without impounding. The
concrete face slab may have cracks by strong earth-
quakes, which can be a source of leakage in the dam.
However, the leakage can be reduced through bedding
zone, resulting in no significant effect on its stability.
Table 2. Strength parameters used in analysis.
Density Cohesion Friction
Zone (tf/m3) (tf/m2) (°)
Random fill (1A) 2.10 4.0 35
Bedding (2) 2.05 0.0 41
Main fill (4) 2.10 0.0 45
Sub fill (3C) 2.10 0.0 43
Environment (1B) 2.10 4.0 35
Consequently, complicated dynamic analysis may not
be necessary for the determination of the slope of the
dam.
As shown in Table 3, the analysis results showed
that for both the upstream and downstream slopes, the
safety factors obtained met the safety requirements for
all conditions (i.e., construction completion, impound-
ing, earthquake, the rainy season).
2.3.2 Behavior of dam
The stress-strain analysis was carried out to examine
the behavior of dam. Kondner (1963)’s hyperbolic
model has several advantages that it allows users to
determine the parameters for the material behavior
analysis and was used satisfactorily for the analyses
for the existing other dams. Also, the model (Afimex,
2D-FEM) allows the users to estimate the parameters
for the analysis in indirect manner.
In present study, the Hyperbolic model and the
Mohr-coulomb model (PLAXIS) were applied and
the two were compared. The parameters for applying to
the models were determined from the laboratory test
results on the materials. They are shown in Table 4
and 5. The analysis for the dam behavior was conducted
on the conditions for the pre- and post-impounding,
where vertical and horizontal displacements of the dam
were obtained.
Figure 9 shows the analysis results, the horizontal
displacements occurred during each construction stage.
The horizontal displacement was the largest for initial
construction stage and moved gradually to upper sec-
tion of the dam as the construction proceeded. The
maximum horizontal displacement occurred mainly
in the bedding zone and environment-friendly zone.
The overall trend was that both analyses showed similar
results.
Figure 10 shows that the vertical displacement
occurred in the dam for each construction stage. The
vertical displacement was the largest in the middle
part of the dam and the displacement in the upper part
increased and decreased in the lower part as construc-
tion proceeded. The stress is released during the staged

Table 3. Slope stability analysis results.

Upstream Downstream
Required
Condition PCSTB TALREN PCSTABL5M TALREN F.S. Evaluation

Construction 2.175 2.050 2.318 2.710 1.30 O.K

completion
Impounding 2.078 3.700 – – 1.15 O.K
(50%)
Earthquake 1.664 1.330 1.584 1.580 1.20 O.K
Rainy season – – 2.327 2.570 1.20 O.K

Table 4. Mohr-coulomb model input parameter.

Density Cohesion Friction Poisson’s

Zoning (tf/m3) (tf/m2) angle(°) Constrained modules (tf/m2) ratio

Impermeable zone 1A 2.10 4.0 35 5,000 0.33

1 2.00 4.2 33 4,000 0.33
Bedding zone (2) 2.05 0.0 38 6,000 (after const. completion), 0.35
13,000 (after impounding)
Main fill zone (4) 2.10 0.0 45 6,000 (after const. completion), 0.35
10,000 (after impounding)
Sub fill zone (3C) 2.10 0.0 43 4,500 (after const. completion), 0.38
7,000( after impounding)
Environment-friendly 2.10 4.0 35 5,000 0.33
zone (1B)

Table 5. Hyperbolic model input parameter.

Zoning Ei(tf/m2) 0  K n Rf Kb m i

Main fill (4) 8,2609,900 51.1 12.7 882 0.08 0.670.74 699 0.55 0.35
Sub fill (3C) 10,64013,510 50.2 10 913 0.22 0.720.73 716 0.25 0.38

437

Figure 9. Horizontal displacement during staged constru-
ction.
Figure 10. Vertical displacement during staged construction.
construction. AFIMEX and PLAXIS showed different
stress behaviors. This may be related to the stress
release.
For the behavior of the dam after impounding, the
maximum horizontal displacement in the bedding zone
was 3.04.0 cm in the H/2. The displacement occurred
by hydraulic pressure was about 2.0 cm in the dam
crest. The vertical displacement by impounding pres-
sure was 1.02.0 cm in upstream slope. The settlement
at the rock foundation was 0.1–0.2 cm, indicating a
stable condition.
The horizontal and vertical displacements occurred
in the dam body are the largest during construction,
because the main source of the displacement is the fill
load. However, the displacement occurred by the fill
load can be compensated by filling more materials as
much as the settlements occurred. Accordingly, the
displacement obtained analytically may not be impor-
tant. The more important thing is the displacement
occurred after the filling is completed and the con-
crete face slab is placed. The displacement after the
completion of the dam construction is the displace-
ment occurred by impounding. The displacement by
the impounding influence even on the environment-
friendly zone in downstream. However, for the dam
analyzed in this study, constructed with gravels, the
displacement by impounding was found to be in the
range where the concrete face slab is not much affected.
438
Figure 11. Before placing the horizontal drain layer.
Figure 12. After placing the horizontal drain layer.
Moreover, the displacement was smaller than the case
where the rockfill materials were used as a fill material.
Therefore, the dam filled with the gravels may be more
favorable than that filled with rocks.
2.4 Seepage control
The Hwabuk dam has a horizontal drain layer for con-
trolling seepage. For the material for the horizontal
drain layer, the gravels in the dam site were used after
washed and classified by the particles larger than
2.36 mm. The seepage flow within the dam body is
shown in Figures 11 and 12. As shown in the figures,
the seepage lines were stabilized in the drain layer and
the drains were promoted as much as 75%.
3 ENVIRONMENT-FRIENDLY DAM
In the Hwabuk dam, several new design techniques
were applied to construct an environment-friendly dam
by using the gravels directly in the dam site, instead
of developing a quarry. First, the vegetation along the
dam slope face can be an example. A forest design
concept was introduced to make a uniform environ-
ment for the dam body and the right/left abutments.
Various vegetations, such as grassland, pine trees etc.,
were applied to make the environment-friendly dam.
Moreover, as shown in Figure 13, an artificial swamp
or a substitutive habitat were made to minimize the
effect of the loss in plant/animal habitats in the dam site.
An eco-system was made by placing the path for
the movement of wild animals, which can be a green
network through the left and right abutment forest.

Figure 13. Plan for the substitute habitats.
Figure 14. Environment-friendly dam.
Consequently, various plant and animal habitats,
together with the vegetations in the dam slope, would
let the dam an environment-friendly dam.
4 CONCLUSIONS
– The Hwabuk multi-purpose dam is the first CFGD,
constructed by using the gravels near the dam site
as a fill material and has several advantages in
environmental, construction, and economic aspects.
To examine the feasibility of the CFGD for appli-
cation, various laboratory tests, including relative
density, large-scaled oedometer, large-scaled triax-
ial, and large-scaled permeability tests were con-
ducted. The test results showed that the gravels
have better engineering properties compared to
rockfill materials, revealing that CFGD is more
favorable than CFRD.
439
– In order to investigate the stability of CFGD, both
static and dynamic numerical analyses were carried
out. The dam was divided into several zones for
analyses and, for each zone, the parameters for the
analyses were determined based on the laboratory
test results. Using the parameters, slope stability and
stress-strain analyses were conducted. The analysis
results indicated that the horizontal and vertical
displacements occurred in the dam body are the
largest during construction. However, the displace-
ments are caused by mainly the fill load, which can
be compensated by filling more materials as much
as the settlements occurred later. Accordingly, the
displacement obtained analytically may not be
important. The more important thing is the dis-
placement occurred after the filling is completed
and the concrete face slab is placed. The displace-
ment after the completion of the dam construction
is the displacement occurred by impounding. The
displacement by impounding was found to be in
the range where the concrete face slab is not much
affected. Moreover, the analysis results revealed
that lower displacements occurred in the gravelfill
dam, compared to rockfill dams.
– The Hwabuk multi-purpose dam was designed to
be an environment-friendly dam by introducing the
vegetation along the dam slope face, artificial
swamps, substitute habitats, and eco-bridges etc.
REFERENCES
Korea Ministry of Construction and Transportation, 2001.12,
Dam Design Standard
U.S. Department of the Interior, 1987, Design of small dams,
Third Edition
Technical Committee of International Symposium on CFRD,
Proceedings, Beijing China, 2000.9.18
Jangguadeung, Jwanzian, Pungjiaji (Daewoo Construction
Co./Saman Tech. Co.), 1997, Concrete Faced Rockfill Dam
Construction Procedure
Korea Water Resources Corporation, 2000.12, Installation
and Maintenance of Instruments in Dams
Daewoo Construction Co./Saman Tech. Co., 2004 Hwabuk
Multi-Purpose Dam Alternative Detailed Design Report
Korea Water Resources Corporation, 2003, Hwabuk Multi-
Purpose Dam Detailed Design Report
Sherard, James L.(ASCE),1985, Concrete face rockfill dams;
Design, Construction, and Performance
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Merowe Dam Project – a combination of an earth core rockfill

dam and the world longest concrete faced rockfill dam

L.D. Schewe
Lahmeyer International, Germany

A. El Tayeb
Dam Implementation Unit, Sudan

ABSTRACT: The Merowe Dam comprises a main earth core rockfill dam (ECRD) across the river, founded
on deep alluvium, and two concrete faced rockfill dams (CFRD) on both river banks. The two CFRD are the
longest ever built so far. The combination of the two types of rockfill dams was dictated by deep alluvium in
one of the river channels. Deep excavation of the alluvium to found the plinth of the CFRD on bedrock and the
requirement to rise the dam sealing with the rising of the dam for flood protection did not allow in the river sec-
tion the construction of the initially planned CFRD with an upstream sealing. Concrete transition structures pro-
vided the connection between both dam types.

1 OVERVIEW OF THE PROJECT 1.3 Foundation conditions

1.1 General
After the Assuan High Dam in Egypt, completed in
1970, a comparable large dam across the River Nile,
the Merowe Dam in Sudan, is under construction. The
project will be completed in 2008.
The electricity production by the hydropower plant
with an installed capacity of 1,250 MW will help to
further develop the country by doubling the electric
energy production.
1.2 Location
The Merowe Dam Project is located in the Northern
Province of Sudan, approximately 350 km north of the
capital Khartoum. The site location is slightly down-
stream of the Fourth Cataract of the River Nile in the
loop of the river, turning from North direction towards
Southwest before turning again into northern direction.
At the Project site the river is divided by the Merowe
Island into a right bank river channel and a left bank
river channel. The river bed is at an elevation of
243.00 m asl. Both banks rise in a shallow cliff to ele-
vation 256.00 m asl. and from there gently over a length
of approximately 3,000 m on the left bank and of
4,400 m on the right bank to a level of 302.90 m asl,
the dam crest level.
The dominant foundation conditions of the site are the
right river channel with the exposed bedrock, the left
river channel with up to 30 m of alluvium overlaying
the bedrock, the Merowe Island comprising alluvial
sediments on top of bedrock and both undulated river
banks with outcropping bedrock.
At the dam site the sequence of bedrock strata com-
prises several lithological units of metamorphic and
volcanic origin of varying ages and a sub recent to
recent sedimentary cover of silt, sand and gravel,
deposited by the Nile river. The bedrock belongs mainly
to the Precambrian Basement Complex. It is intruded
by Mesozoic rhyolite and Cainozoic basalt, basaltic
agglomerate and/or micro diorite in places.
The crystalline basement complex formed by parag-
neiss is represented in principle by biotite gneiss, called
migmatite, and granitic gneiss. Both are intersected by
aplite and pegmatite dykes which are believed to belong
still to the Precambrian era. Some of these dykes strike
and dip parallel to the foliation of the gneiss or they
have in common a flat to moderate dipping which
intersects the “layering” of the paragneiss at varying
angles.
Due to the arid climate in the project area the bedrock
is exposed to physical weathering. The high differences
of temperatures between day and night lead to cracks
mainly along foliation in the migmatites and planes of

441
weakness in pegmatites and granitic gneiss. The scarce
precipitation is responsible for the alteration of the min-
erals of the metamorphic rock mass to illite, kaolinite,
chlorite and other clay minerals and to a certain extent
to calcite and dolomite. Hydrothermal activities in con-
nections with the basaltic volcanism have altered in
addition the metamorphic rock.
The degree of weathering varies in depth accord-
ing to the strength of the rock and to the lithological
composition of the bedrock. Pegmatites and aplites dis-
play less weathering in general than other rock types
in similar depth. Completely to slightly weathering
reached down by some meters.
The groundwater level was found in bore holes at
the river level. The permeability of the bedrock dis-
plays high to moderate permeability down to a level
of approximately 20 m below ground level. Below that
the permeability is low to nil except where open faults
or fault zones occur.
1.4 Project layout
Due to the topographic conditions of the dam site the
Merowe dam is of relative low height but a consider-
able length of approximately 9 km.
As shown in Figure 1, the Merowe main dam, a
841 m long rockfill dam with earth core of a maxi-
mum height of 67 m is constructed across the left
river channel. The left abutment of the main dam is
Figure 1. Layout of the central part of the Merowe dam project.
442
formed by a 1,646 m long concrete faced rockfill dam
with a maximum height of 46 m and a 1,485 m earth
dyke of low head on the left river bank. The right
abutment of the main dam is provided by the concrete
structures: a 370 m long intake structure with power-
house and a 154 m long spillway, which are con-
structed in the right river channel and on the Merowe
Island. On its right side the concrete structures are
flanked by the 4,364 m long right bank concrete faced
rockfill dam and a 311 m long earth dyke of low head.
The dam project represents the concrete faced rock-
fill dams with the longest dam axis ever built so far in
the world.
The river basin with an area of 2.87 million km2 has
a mean annual discharge of 2, 514 m3/s. The reservoir
volume at maximum reservoir supply level of 300.00 m
asl has a volume of 12,450,000,000 m3. The minimum
operation level is 285.00 m asl.
The spillway is designed for a maximum discharge
of 19,900 m3/s (P
0.01 %). The spillway structure is
gated with two surface gates at elevation 280.50 m asl
and 12 bottom outlets at elevation 264.00 m asl.
The hydropower plant is located at the toe of the
intake structure. The intake houses 10 penstocks with a
diameter of 8.50 m each. The power house (L/W/H

335/437/56 m) is an open-air type with 10 Francis tur-
bines of 125 MW capacity with a discharge capacity
of about 300 m3/s each. The total installed capacity is
1,250 MW. The rated net head is 43 m.
 River diversion is carried out in two phases. During
the first river diversion, the right river channel is closed
by rockfill cofferdams with an earth core which are
designed in height for a 12,300 m3/s diversion flood
(P
1%). The river is diverted through the natural left
river channel. Protected by the sealed cofferdams the
concrete structures are built.
During the second phase, the river is diverted over
the ground slab of the uncompleted spillway in the
right river channel. The left river channel is closed by
river closure cofferdams, an embankment rockfill dam
with clay sealing. To dewater the area of the main dam
alluvial foundation between the two closure coffer-
dams the cofferdams are constructed with a wide base
to provide a long seepage path and in addition relief
wells to ensure conservative margin of safety against
seepage and piping through the alluvium during ini-
tial dam construction.
2 SELECTION OF DAM TYPE
Initially, it was planned to construct the main dam in
the left river channel and the two dams on the river banks
as an concrete faced rockfill dams (CFRD). However,
to avoid the foundation of the CFRD on weak allu-
vium, deep excavation down to bedrock to remove the
alluvium would have been required. This would have
involved high construction costs and an extended con-
struction period.
Further detailed studies led to an optimized design
by the introduction of an earth core rockfill dam
(ECRD) in the left channel, founded on the alluvium.
Instead of the excavation of the alluvium, the allu-
vium was sealed by a cut-off wall. The dams on both
river banks remained to be constructed as CFRD.
The change from the CFRD to the ECRD for the
main dam, provided the possibility to shorten the entire
construction period by a simultaneous construction of
the main dam and the completion of the concrete struc-
tures during the second river diversion phase.
This required to divert the river in the second phase
through the uncompleted spillway. The stepwise com-
pletion of the spillway by construction of the overflow
sills and gates in the 8 spillway bays before the dams
are completed, an early impounding will be possible.
This allows to start power generation one year before
completion of the entire project.
In order to prevent the flow of the rising water
through the main dam under construction, it is required
that either the cofferdam is high enough or the dam
sealing rises with the rising of the dam simultaneously
the upstream water level. For economic reasons, the
height of the cofferdams of the main dam was such
that after a short time the cofferdams of the main dam
would be inundated.
443
This would not been possible in case of the con-
struction of a CFRD, because the upstream surface seal-
ing can only be placed when the rockfill body reached
either the dam crest or an intermediate level.
The rising of the dam sealing simultaneously with the
dam has to be above the rising upstream water level.
This can only be provided by an ECRD with an internal
sealing core.
To overcome the foundation conditions for the main
dam in the left river channel and at the same time to
meet the constrains of the early reservoir impounding,
it was proven, that an ECRD is a preferred solution in
comparison with an CFRD. However, for the dams on
both river banks the concrete faced dams remained.
Since their construction started with the first diversion
phase, they are not in conflict with the early impound-
ing of the reservoir.
3 DAM DESIGN
3.1 Earth core rockfill dam (ECRD)
3.1.1 Foundation
The dam foundation in the left river channel comprises
bedrock with a deep eroded channel in the middle of
river bed, which is back filled with alluvial sediments.
To found the ECRD on bedrock the young sediments
on the lower banks are excavated. From a grout cap in
the center of the central dam core the bedrock is grouted
to a depth of 20 m to seal the medium permeable
bedrock (permeability of 30 Lugeon on an average).
A blinding concrete layer beneath the entire core will
prevent erosion of core material into open joints of the
bedrock.
Because of the considerable depth of the alluvium
of up to 30 m in the eroded river bed, cut-off wall is
installed through the alluvium down into the bedrock.
The two phase cut-off wall has a thickness of 1.00 m.
The maximum depth will be approximately 29 m. The
wall ties 4 m into the bedrock to intersect seepage flow
through the upper more permeable bedrock. The cut-off
wall will be of plastic concrete. The target parameter
of the plastic concrete are:
• unconfined compressive strength UCS  1 MPa,
• modulus of elasticity E
200 MPa
• strain at failure s  3.5%.
To be above the rising upstream water level during
the flood in the initial construction phase of the ECRD,
the cut-off wall is constructed from an elevated plat-
form above the top level of the alluvium.
3.1.2 Dam zoning
As shown in Figure 2, the river closure cofferdams are
not incorporated in the rockfill dam for stability rea-
sons. The relative large width of the cofferdams was
Figure 2. Zoning of ECRD: (1) clayey core, (2) fine filter, (3) coarse filter, (4) rockfill, (7) random rockfill.
required to provide a long seepage path to avoid internal
erosion and failure by heave of the alluvium founda-
tion when dewatering the dam construction pit between
both cofferdams. Relief wells will in addition drain
under-seepage water.
The dam has a central clayey core. On the shal-
lower banks the core is founded on the treated
bedrock. In the center of the river channel the core is
not founded directly on the alluvium but on an ele-
vated platform.
This is required to have the working platform for
the installation of the cut-off wall above the construc-
tion flood level. The cut-off wall runs on a length of 8 m
through the core to provide a long seepage path and
through the sand gravel platform and the alluvium
into the bedrock. A mushroom like zone of highly plas-
tic clay around the top of the cut-off wall is installed for
stress diversion to avoid cracking of the core by the
cut-off wall.
The core is flanked by a fine and coarse filter (tran-
sition zone). The fine filter was specially tested and
selected to avoid erosion of the dispersive clayey core
material. In addition, in the outer zone of the core at
the downstream, the upstream and the base, the core
material is treated with 4% of gypsum to stabilize the
dispersive material by ion exchange.
The rockfill shoulders are sloped on the upstream
with an inclination of 1 v:2.0 h and on the downstream
with 1 v:1.8 h. The upstream slope is protected from
the crest to a level below the minimum operation level
by riprap.
3.2 Concrete faced rockfill dam
3.2.1 Foundation
The adequate foundation level for the dam and the
plinth is governed by the requirements that the CFRD
rockfill embankment shall be founded on moderately
weathered to sound rock. The compressive strength of
the rock shall be >25 MPa. Foundation clearance of
the dam embankment could be limited to the excava-
tion of loose and weathered rock without leveling.
444
The foundation level of the plinth is governed by
the requirements to have a leveled foundation base
over some distance to avoid a zigzag of the plinth align-
ment and to found the plinths on sound strong rock
with an average compressive strength of >70 MPa
and a minimum compressive strength of 50 MPa. This
required much deeper excavation of the plinth trench
down to sound rock in the range of 3 to 5 m depth than
required for the dam (see Figure 3). However, due to
the geological structure with sub-vertical dipping of
weak rock zones, mainly mica schistes, highly foli-
ated rock and shear zones, not always the plinth could
be founded on sound rock. In such zones, the weak
rock had been excavated to approximately 1 m below
the design level of the plinths and had been substituted
by leveling concrete. The closely spaced jointing of
the rock resulted in a rough foundation surface which
was leveled with lean concrete in the base of the plinth.
Remarkable permeability of the bedrock required
sealing measures which comprise a single row grout
curtain with a depth of 20 m on an average flanked by
consolidation grouting of 5 m depth. The grout holes
are inclined in variable direction to intersect as many
joints as possible. The hole spacing of the grout cur-
tain is 6 m for primary holes, 3 m for secondary holes
and 1.5 m for tertiary holes. The spacing of the con-
solidation holes is 3 m. In highly foliated and shear
zones, the spacing is reduced to 1.50 m.
3.2.2 Dam zoning
So far, CFRD had been constructed with considerable
height in relative narrow valleys which favor the cast-
ing of the concrete face slabs in long vertical panels.
The Merowe CFRD are of special interest due to max-
imum height of 53 m only and their extreme length of
1,437 m on the left bank and 4,364 m on the right bank.
These length are required because of the topographic
conditions.
The rockfill embankment has a simple zoning as
shown in Figure 3.
The upstream zone 3B of the rockfill controls the
concrete face displacements. This zone, a coarse
Figure 3. Zoning of the CFRD. (1) Concrete face slab, (2) Transition zone, (3A) Fine rockdill, (3B) Coarse rockfill, (3C)
Random rockfill.
rockfill, is of selected high strength with an uncon-
fined compressive strength of >70 Mpa on an aver-
age. Together with the transition zone 2, a well graded
sharp edged rock material with a high content of sand
and fines there is sufficient shear strength to allow an
upstream dam slope of 1 v:1.3 h. 3B rockfill is also
placed in the downstream dam slope to provide a zone
of high shear strength for a steep slope of 1 v:1.5 h.
To guarantee free drainage of the dam embank-
ment, 3B material is placed in the dam base. In areas
of weak bedrock a layer of zone 2 material is placed
between the bedrock surface and zone 3B to avoid ero-
sion of weak rock into the rockfill dam.
A central zone allows the placing of not selected
quarry-run random rockfill (3C) with variable grading
and reduced rock strength requirements.
The semi-pervious transition material in zone 2
beneath the face sealing create a restriction gradient
to control safely the seepage through the rockfill. On
the other hand, the transition zone is vulnerable to ero-
sion, damage and loosening before the concrete slabs
are placed on top. Consequently, a protection layer on
the surface of Zone 2 is required. Protection treatment
on the upstream face by either flexible coating with
bitumen or by rigid protection with shotcrete or mor-
tar was so far the standard design. Following the good
experience with curbs as protection layer, which had
been applied the first time in the construction of Itá
Dam in Brazil in 1999, extruded curbs are placed in the
surface of the transition zone. The curbs, 400 mm in
height, protect the slope before the concrete slabs are
445
placed and allows the placing and compaction of the
transition zone (zone 2) against them. The curbs pre-
vent the segregation of the transition zone, allows a
better compaction of the transition zone material and
avoid auxiliary measures like back-cut of excessive
placed material and compaction of the slope before
placing the concrete sealing. The curbs provide a
smooth, stable and firm base for the concrete slabs.
The concrete slab face sealing is placed on the
upstream dam slope with an inclination of 1 v:1.3 h.
The concrete face slab thickness T is defined by T

0.30  KH, with H the reservoir height above the slab
and the constant K. K was chosen as 0.003 which is
common practice to ensures a constant safety for ten-
sion cracks, irrespective of the height of the dam.
It has to be noted, that since the Detroit Symposium
in 1985 and by Cook and Sherard (1987) K
0.002
has been suggested as an acceptable constant even for
high dams.
Following present practice, 0.35% of design con-
crete cross section is applied as reinforcement for ver-
tical and horizontal bars. The reinforcement is
increased to 0.50% in both direction to improve sig-
nificantly the bending and torsion strength of the
slabs at the edges, near the perimeter joint and in a
distance of 20% of H to the concrete structures (spill-
way on the right bank and transition structure on the
left bank).
Conventional plinths have been adopted as a tran-
sition between the concrete slab sealing and the
bedrock.
4 TRANSITION BETWEEN DAM TYPES is required to provide a watertight pressure joint
between the clayey core material and the concrete
The selected two dam types require a transition between wall. The perimeter joint of the CFRD runs from the
the internal central clayey core sealing of the ECRD
in the left river channel and the upstream surface seal-
ing of the CFRD on the right and left river bank.
As shown in Figure 1, the transition between the
ECRD and the CFRD on the right is provided by the
concrete structures. The central sealing of the ECRD
abuts on the left wing wall of the power house. The
perimeter joint of the left bank CFRD runs from the toe
to the crest along the right wing wall of the spillway.
Not so easy is the transition between the ECRD
and the right bank CFRD. A direct connection between
the two types of sealing is not possible. Therefore, a
concrete transition wall was selected as shown in
Figures 4 and 5.
The transition structure is a reinforced gravity con-
crete wall with a maximum height of 48 m. The wall
is designed to be supported from both sides by the
dams. Any loading from only one side by one dam
above a certain height will result in an instability of
the wall. This requires that both dams are constructed
more or less simultaneously.
As shown in Figure 5 the wall is sloped towards
both dams. Mainly on the side of the ECRD the sloping

Figure 5. Cross section of the transition structure.

Figure 4. Location of transition structure between ECRD Figure 6. Location of grout curtain at transition from
and left bank CFRD. ECRD to CFRD.

446
toe plinth along the sloped transition structure towards
the crest and provides the watertight connection.
Similar to the connection of the central sealing of
the ECRD in the left river channel and the sealing of the
CFRD on the left bank to provide water tightness of the
dam, also the grout curtain beneath the two dams to
seal the bedrock foundation has to be connected. The
grout curtain of the CFRD is installed beneath the
upstream toe plinths, the grout curtain of the ECRD is
installed from a grout cap beneath the dam core in the
axis. As shown in Figure 6, the grout curtain runs from
the upstream toe of the CFRD along the toe of the
transition zone on the side of the ECRD towards the
447
ECRD dam axis, where it matches with the grout cur-
tain of the ECRD.
The transition between the ECRD and the CFRD
on the right river bank is provided by the power house
and spillway.
REFERENCES
Schewe L.D. & El Tayeb A. & Goltz M. 2005. Merowe Dam
Project – CFRD of extended length. Conf. On 20 Years
For Chinese CFRD, Yichang, September 2005.
 ts
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Decision-making system of optimization design for high arch dam

Su Chao & Pan Hai-Lin

Hohai University, Nanjing, Jiangsu, China

ABSTRACT: The paper introduces a basic solution to the decision-making for optimization design for high
arch dam forms. And it is based on the current arch dam designing process and method in China. Taking use of
LAN, we successfully designed and developed the system. With the help of MPI, a parallel environment made
up of several computers could be set up for the system. It takes the host-slave structure as its framework. The
computer in the conference center will act as the master control computer. It will take the responsibility for the
visual display of main parameters and indexes of better forms and the bringing forward of new values. The rest
computers will search for better forms according to the values given by the master. Experts will regulate the
optimization objectives and the constraint conditions, and finally make the decision.

1 INSTRUCTIONS 2 THE MATHEMATIC MODEL OF THE

ARCH DAM OPTIMIZATION DESIGN
China is a great country in which arch dams are
widely built. Nearly 50 percent of arch dams in the 2.1 The geometric description of arch dams
world sit in China. Either being built now or to be
The geometric model is the geometry control equa-
built in the near future, arch dams in the west of China
tion and the corresponding dimension parameters
are advanced in the world both for the height and for
which are usually controlled by about 2060 param-
the quantity. Arch dams will have extensive prospect
eters. It includes the mathematic equation of the
in China.
crown cantilever, the mathematic equation of the hori-
Optimization design for high arch dams in China is
zontal arch ring, the equation of the arch ring thick-
based on comparably mature research production in
ness and the arch ring chord length according to the
theoretic. It has many practical applications in engin-
excavating depth of the dam foundation. As per the
eering projects of arch dams of large, medium and
style of the mathematic equation, arch dams could be
small size. Along with the implement of the great
divided into several types. They are multi-centered
exploitation strategy in the west of China and the
arch dams, log spiral arch dams, parabolic arch dams,
structural readjustment of Chinese electric power
hyperbolic arch dams, elliptical arch dams, quadratic
industry, there are a lot of sites in the southwest China
curve arch dams and complex linear arch dams.
fit for building arch dams and most of them are high
arch dams from 200 m to 300 m in their height. So the
decision-making of arch dam forms is one of the most
2.2 The mathematic description of the
significant problems in the engineering design. Because
constraint conditions
most researchers are in colleges and scientific research
organizations, there are always some problems when Generally speaking, constraint conditions of the arch
communicating with designers. At the same time, in dam optimization design include geometric constraint,
China, it’s the few top expert censors that make deci- stress constraint and stabilization constraint etc. Con-
sions for the arch dam forms. But the problem is that straint conditions must meet the detailed requirements
because of some practical situations, only limited of the design specifications and the project practice.
number of all the optimal schemes of arch dam forms Geometric constraint includes the thickness constraint,
could be sent to them. The purpose of this paper is to overhang constraint and keeping convex constraint.
solve above problems by developing and integrating Stress constraint is mainly used to limit principal ten-
relative computer software to synchronously carry out sile stress and principal compressive stress to allow-
optimization designs and show involved parameters able values. Stabilization constraint is to limit pushing
of arch dam forms in the decision making conference. force angle to keep stabilization of abutments.

449
2.3 The general description of the
mathematic model
The mathematic model of the optimization design for
arch dams can be described as:
Obtain the design variables
X
[X1, X2, …, Xn]T
to make the objective function
F(X) → min
meet the constraint conditions
gj (X)  0
(j
1, 2, …, m)
n is the number of the design variables, and m is the
number of the constraint conditions.
For multiple objective optimization, the mathe-
matic model could be described as:
Obtain the design variables
X
[X1, X2, …, Xn]T
to make the objective functions:
F(X)
[F1(X), F2(X), …, Fp(X)]T → min
meet the constraint conditions gj (X)  0
( j
1, 2, …, m)
p is the number of the sub objective functions, for-
mula (2) could be transformed to single objective
functions to be solved.
The objective functions and most of the constraint
conditions are nonlinear functions for the design vari-
ables. So the arch dam optimization design is a non-
linear programming problem.
2.4 The objectives of the optimization design
The objectives of the optimization design are to meas-
ure and value different designs. In the past, arch dam
design always only had one single objective. But, in
fact, objectives could be either economy indexes or
security indexes. In many times, we must combine and
take all indexes into consideration so that multiple
objective optimization design could be achieved. The
mathematic expression of optimization objectives is
called objective function.
The objective functions in this system contain: ➀
The construction cost of a dam (due to volumes
of the concrete and the bedrock excavation) ➁ safety
450
coefficient of a dam abutment ➂ the safety degree of
a dam stabilization.
3 THE TECHNICAL TOOLS FOR THIS
DECISION-MAKING SYSTEM
3.1 The parallel computation environment
A key technical matter of the arch dam optimization
design is how to make a proper computation environ-
ment and a proper computation method to complete
enormous computation workload. In order to enhance
the computation ability, the high performance com-
putation system must be built. Now it is very conven-
ient and effective to build a cluster. Using LAN (Local
Area Network) or SAN (System Area Network), we can
interconnect some PC and make them work harmo-
niously with high efficiency.
The software for the parallel computation environ-
ment is MPI (Message Passing Interface), which is a
very important tool for parallel computation at present.
It is very powerful and flexible. Different efficient ver-
sions of MPI are available freely. MPI is a library which
can supply interfaces of computer languages such as
FORTRAN, C and so on.
3.2 Visual Basic (VB)
The primary control program of the system is designed
by Visual Basic because of its visual capacity of oper-
ating interfaces and data-in and data-out. It will accom-
plish numerical computation and at the same time
transfer the data into visual graphs and then display
them on the screen. Experts attending the meeting can
modify the optimization scheme and the controlling
parameters. And on the display, they can directly
observe the changing results of the modifications, so
as to get economical and practical results meeting the
design specification.
3.3 FORTRAN
There is some code written by Fortran Language in
the system. It is in charge of the optimization design
work in the parallel computation environment. This
design work includes the auto generation of the finite
element grid for computation, the software for com-
puting with the FEM (Finite Element Method), the
program of optimization algorithm and some other
relative programs especially the calls of MPI.
3.4 The technology of complex programming
There are a lot of complex programming between dif-
ferent languages or softwares, for example, VB and
FORTRAN, VB and AutoCAD, AutoCAD and
3DMAX, VB and 3DMAX and so on.
4 THE FRAMEWORK AND THE PROCESS overhang, the ratio of the thickness to the height (or
OF THE SYSTEM the ratio of the chord to the height), the softness factor,
the distribution of stress on every point, the thrust on
4.1 The framework of the system arch abutment of every arch ring, the angle of thrust,
the safety factor of the arch abutment etc. We can
This system should be debugged and run in a LAN
know whether the concave and the convex of arch
composed of 5 PC, which are connected to 100/1000
dams could meet the design request or not from the
high-speed exchangers (show figure 1). And the parallel
cross and longitudinal profiles which are got by the
computation environment is based on MPI. The config-
calls of Auto CAD. And we can visually know the dis-
uration of the computers is: Pentium4 2.4 GHz CPU,
posal of arch dams from three-dimensional pictures
512 M memory. The system takes the host-slave struc-
given by the calls of 3DS MAX.
ture as its program framework. The computer in the
After calculation results are received, we should save
conference center acts as the master control computer.
the parameters of the form and then modify the
It will take the responsibility for the visual display of
main parameters and indexes of better dam forms, and
then the experts attending the meeting will give new
optimization schemes, new restrictive indexes and Start
modifications of the parameters to the master control
computer depending on the interaction ability of the
system. The rest 4 computers will search for better Master: inputs the initial values and sends
forms according to the new objectives and constraint computing instructions to the slaves
conditions given by the master control computer.
This system can be expanded expediently. It can also
Slave: receive instructions and compute, then
run on the base of an LAN composed of more PC. re-turn results to the Master

4.2 The process of the system

Taking use of the input ability of VB, we can easily Master: receives the returned results and displays
them, the experts have a discussion according to
input data of the initial arch dam form to the master
what is displayed
control computer. And then, give a command to the
master control computer to generate the first generation
arch dam form randomly. The master control computer
will broadcast data to the 4 PC so that they can calcu-
late in background according to the command given The result is good or not
by the master control computer. 4 PC will feed back
the computation result to the master control computer The experts put forward
ceaselessly until the master control computer receives their new ideas, modify
all data of the whole form and gives a command to the parameters and send
stop them. After that, the master control computer can new instructions to the
generate the next generation form by cross calcula- Slaves through the Master
tion and variable calculation. The process should be
repeated until the optimal result is obtained.
And then, the background calculation can stop Save the parameters values and number the forms
temporally. It will turn to the foreground calculation.
The master control computer will display the indexes
on the screen in the conference: the parameters of the
form, the central angle of the control arch ring, the The forms saves are
enough or not

The master

Compare all forms saved and choose the best

PC1 PC2 PC3 PC4

Output the best result and finish the meeting
Figure 1. The web sketch map of the system (Schéma du
test du système décisionnaire). Figure 2. Working process of the decision-making system.

451
constraint condition indexes and the optimization
objectives. Then give a calculation command to the
master control computer again. The master control
computer and the 4 PC will repeat above process until
satisfying result is got.
When the parameters of arch dam forms, which are
saved in the master control computer, are enough, the
background calculation will stop. And then, make the
final decision by comparing the saved forms.
The working process of the system is showed as
Figure 2.
5 AN EXAMPLE OF CALCULATION
USING THE SYSTEM
For example, an arch dam, whose height is 270 m,
with the objective of calculation is to reduce the volume
of concrete. We use the genetic algorithm in the par-
allel computation environment to calculate. The liner
type of the arch dam is parabola.
The loads involve: water pressure, sand pressure,
gravitational force of concrete, temperature load. The
constraint conditions include: max central angle of arch
ring, max thickness of the arch abutment, max tension
stress and max compression stress got by arched girder
load sharing, max safety factor of the abutment of arch
dam stability.
The result: the volume of the concrete is reduced
from 6598800 m3 to 5908800 m3, the max principal
tension stress on upriver face is 1.19 MPa, and the max
principal tension stress on downriver face is 8.98 MPa.
The result can meet the request of design specification.
6 CONCLUSION
This article has developed and integrated the decision-
making system of optimization design for high arch
dams preliminarily in LAN. It has obtained achieve-
ments in a certain phase. It successfully combined the
research production of the optimization of arch dam
with arch dam experts’ experience to get the max ben-
efit. This system can be applied in different levels of
452
arch dam design, and it will make the design process
much more scientific.
(On a fait des essais au développement et l’inté-
gration d’un système décisionnaire dans le réseau
local sur l’optimisation de corps du haut barrage-
voûte et obtenu des bons résultats. Ce système peut
atteindre son meilleur effet en combinant les fruits de
la recherche de l’optimisation de barrage-voûte avec les
expériences des experts. Il peut être L’organigramme
du processus de système décisionnaire appliqué dans
les différentes étages du design de barrage-voûte et
améliorer alors le processus décisionnaire.)
*It obtains China National Natural Science Fund’s
stake. Subject numbering: 50579011.
REFERENCES
Li Yisheng 1998. The effective point set of dual objective
and optimization of arch dam. Hydraulic Power
Generation 11:10–14.
Su Chao & Yu Tiantang & Jiang Hongdao 2002. FEM-based
dynamic optimum design method for high arch dam and
its application. Journal of Hohai University 01: 1–5.
Wang Dexin & Xu Qingchun & Su Chao 1992. Design pro-
gram of high arch dam form optimization. In Jiang
Hongdao’s Computation method and program in hydraulic
structural engineering and geotechnical engineering.
Nanjing: Hohai University Publishing Company: 174–191.
Wang Shuyu & Liu Guohua & Du Wanggai & Ma Yichao
2001.
Study and application of multi-objective optimization for
arch dam design. Journal of Hydraulic Engineering
10:48–53.
Xie Nenggang & Sun Linsong & Wang Dexin 2002. Fuzzy
multiobjective shape optimization of arch dams. Chinese
Journal of Computational Mechanics 02:192–194.
Zhang Hainan & Liu Guohua 1999. Optimization design of
arch dam with mixe-type arch model. Water Resources
and Hydropower Engineering 01:8–12.
Zhu Bofang & Jia Jinsheng & Rao Bin & Li Yisheng 1992.
Mathmetical models for shape optimization of arch dam.
Hydraulic Power Generation 03.
Zhu Bofang & Li Yisheng 2001. Study on and application
of new rational dam body shape of high arch dam.
Hydraulic Power Generation 08: 60–80.
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A certain degree of risk: The results of an assessment of flood risks

in the Netherlands

C.J. van Westen

Rijkswaterstaat, Delft, The Netherlands

ABSTRACT: Together with the Water Boards and the Provincial Authorities, the Netherlands Ministry of
Transport, Public Works and Water Management has calculated the probability and consequences of flooding
for 16 dike rings in the Netherlands. This has revealed that in the event of unexpected flooding there could be
thousands of victims. The possible damage expressed in euros ranges from a few billion to tens of billions. Over
the next few years the remaining 37 dike rings in the country will also be investigated to obtain a clear nation-
wide overview of the risks of flooding. Gaining an understanding of the consequences of flooding will be use-
ful in the debate on the level of protection against flooding that we wish to have in the future.

1 THE POWER OF WATER, THE STRENGTH 2 THE EXCEEDANCE APPROACH

OF THE DIKES
The Netherlands is a low-lying area in the delta of the
Rhine, Meuse and Scheldt rivers. The principal threat
comes from high water levels/storm surges on the North
Sea, the Waddenzee, and in the Delta region caused
by large river discharges and storm force waves. The
Netherlands is protected by an extensive system of
primary water defences. These have been built, mainly
in the form of dikes, along the major rivers, the Wadden
coastline, the Zeeland sea arms and the IJsselmeer
coast. Along the North Sea coast the water is mainly
held back by dunes. Large dams and special struc-
tures such as the Storm Surge Barriers in the Eastern
Scheldt (Oosterschelde) and the New Waterway
(Nieuwe Waterweg) form part of the system of pri-
mary water defences. The complete system of pri-
mary water defences is more than 3500 km long.
Hundreds of locks, pumping stations and discharge
sluices serve a water defence function, and in some
areas high ground does the same. An area that is pro-
tected by a system of primary water defences is called
a dike ring area. The Netherlands has 53 of these, which
vary in area, size of population, economic importance
and land use (Figure 1).
In many dike ring areas the water defence system
comprises different types of defences: dikes, dunes
and hydraulic structures. The water defences around a
dike ring area can be subdivided into sections with an
equal hydraulic load and with similar properties in
terms of strength. Together these ensure the safety of
an area.
The Water Defences Act provides standards for water
defences. These partly depend on the nature of the
possible flooding and the scale of the potential damage
in a dike ring. A set standard is applied for each dike
ring area. Under the present safety approach this stan-
dard is the probability of the water level exceeding the
level, which the dike should withstand. The exceedance
frequency is expressed as the average number of times
per year that a water level is reached or exceeded.
The safety approach outlined here is based on
exceeding a certain water level. Water defences and
hydraulic structures however can also lose their water
defensive capabilities under different hydraulic con-
ditions. For example, at less than normative water lev-
els a dike can fail due to piping. Being able to take into
account additional failure mechanisms and hydraulic
conditions are some of the reasons for eventually
switching to a flooding risk approach.
3 WHY DID THE DELTA COMMITTEE OPT
FOR THE EXCEEDANCE APPROACH?
The Delta Committee was set up shortly after the
great flood disaster of 1953. To limit the threat from
the North Sea mainly, the Delta Committee proposed
that the Delta Plan be implemented. With a view to the
long term, the Delta Committee also advocated a more
scientific approach to the design of water defences.
The basic principle was that a required safety level be
set for a number of dike rings. This level should be

453
based on the cost of the construction of the water
defences, on the one hand, and the damage caused in
the event of a flood, on the other. A particular problem
was that the probability of a water defence collapsing
could not be sufficiently accurately estimated. It was
Figure 1.
454
partly for this reason that a simplified safety approach,
the exceedance approach, was adopted. The principle
behind this is that the water behind a water defence is
the main source of load. To build safe water defences
a design water level is used with a certain margin. The
size of the margin depends on the wind and water
regime. In this way the level required to hold back these
extremely high water levels and the waves associated
with them can be determined for each individual dike
section. Additional water defence requirements, such
as the gradient of the slope and the nature and weight
of the revetment ensure sufficient stability. In this way
over the years a safety level has been set for each dike
ring area. For the densely populated Randstad (western
conurbation), the economic centre of the Netherlands,
design water levels with an exceedance frequency of
1/10000 per year apply. Values with greater exceedance
frequencies apply to thinly populated dike ring areas
and dike ring areas with less economic value to be
protected (Figure 1).
4 SAFETY THREATENED
Water defences can fail under extreme hydraulic
conditions.
The primary failure mechanisms for dikes are
(Figure 2):
• Wave overflow and overtopping.
• Sliding of the slope of the dike.
• Erosion of the dike revetment (e.g. grass or basalt
blocks).
• Piping causing water to seep under the dike and
erosion of the dike body from the inside out.
A dune can fail due to:
• Erosion under the influence of currents, wave
motion and wind.
Figure 2.
Figure 3.
455
For hydraulic structures the factors are (Figure 3):
• Overflow and overtopping of water over the
structure.
• The collapse of the structure or the foundations:
– Due to high water and waves, or
– Due to a collision or extreme setting, or
– Due to piping (water seeping under or behind a
structure).
• Failure to close a hydraulic structure on time caus-
ing water to flow in.
5 IF IT GOES WRONG: DAMAGE AND
OTHER CONSEQUENCES
Since the report of the Delta Committee there have
been numerous developments, which mean that the
consequences can also be more clearly identified.
This is very important because these may vary from
one dike ring to another due to the layout and land
use. When determining these consequences the fol-
lowing are therefore taken into account:
• The scale of the flooding
• The water depth
• The flow velocity
• The speed at which the water level in the dike ring
area is rising and its effects in terms of:
– The number of victims;
– The economic losses;
– The environment, landscape, wildlife and cul-
tural heritage.
Once the consequences have been identified they
can then be combined with the calculated probability
for dike rings. In this way the flooding risk can be
determined for each dike ring area.
6 WHY SWITCH TO A FLOODING RISK
APPROACH?
The concept of “flooding risk” is an inherent part of
any calculation of the probability of flooding. The
risk is the chance of an event occurring multiplied by
the consequences of that event. The flooding risk
approach takes into the account that the number of
victims and the scale of the damage as a result of a
flood may differ per dike ring. If the risk is to remain
the same then the greater the consequences, the smaller
the chance of flooding should be and vice versa.
Under extreme conditions it is still possible that
the water defences could lose their defensive capabil-
ities. But even under normal conditions it can never
be predicted exactly whether the water defences will
hold or not. It is a matter of providing water defences,
which are high enough and strong enough to reduce

Figure 4.
the probability of flooding to an acceptable level.
A balancing of interests is what determines the level
of protection that society aims for: with the cost of
construction and maintenance on the one side, offset
on the other by the benefits of greater protection against
flooding and therefore fewer victims and less damage
to the landscape, wildlife and cultural heritage. Every
time society has to weigh the sacrifices to be made
against the safety requirements. The result of this
process reflects the public interest of the moment
(Van Westen & De Leeuw).
Some of the reasons for switching to a flooding
risk approach have been outlined above:
• Water defences can also fail when conditions are
not extreme.
• It is necessary to look at the probability as well as
the consequences.
• Other failure mechanisms need to be included in
calculations apart from overflow and overtopping.
Another reason for switching to the flooding risk
approach is that the present method looks at each dike
section separately to determine whether it meets the
safety standard. Under the flooding risk approach the
entire dike ring is looked at in terms of the probability
of flooding and what the consequences of this would
be (Figure 4).
7 PURPOSE OF THE PROJECT
The study carried out by the Technical Advisory
Committee on Water Defences (TAW) showed that
the calculation method was very suitable, but that
evaluation and further development were required.
The aim of the Floris Project is to calculate the risk of
flooding for a representative number of dike rings.
Other goals include drawing up evaluation methods
for water defence elements such as discharge sluices
456
and pumping stations, and methods to indicate the
consequences of flooding. The project is producing
the following results:
• New and improved methods for determining prob-
abilities and consequences.
• Calculated flooding probabilities for a representa-
tive number of dike rings.
• Weak areas in the dike rings, potential methods and
costs of making improvements.
• Consequences of flooding expressed in numbers of
victims, direct and indirect costs, as well as the
impact on the environment, landscape, wildlife and
cultural heritage.
• A strategy for dealing with uncertainties:
– Improving existing estimates.
– Analysis of the significance of uncertainties and
possible improvements.
8 ESSENCE OF THE METHOD
The Flood Risks and Safety in the Netherlands Project
has resulted in the development of a new method, which
can be used to calculate the consequences of flooding.
Detailed calculations have been made of the number
of victims and the economic loss resulting from vari-
ous flooding scenarios for three dike ring areas. The
consequences have been determined more globally
for the remaining dike ring areas.
A new method (Figure 4) has also been applied for
determining the probability of flooding. The essence
of the method is that various “failure mechanisms”,
as they are termed, can also initiate flooding: not just
very high water levels, but also instability of a dike or
failure to close a barrier on time. Any failure mecha-
nism carries a risk of flooding. The probability of all
failure mechanisms together determines the risk of
flooding in a dike ring. This method has been used to
determine the flood risks of 16 of the 53 dike ring areas.
The 16 dike ring areas were selected to give a repre-
sentative view of safety in the Netherlands related to
flooding. The calculations also show where the weak
locations in the water defences lie.
A great deal of data was needed to be able to apply
the new methods, including information about the
subsoil under the dikes and engineering works. In
some cases, this data is surrounded by many uncer-
tainties. An essential element in the probability calcu-
lations is that the order of uncertainty is expressly
included in the calculation. The greater the uncer-
tainty, the greater the risk. Further research may, in a
number of cases, reduce the uncertainty, in which
event the probability of flooding will also be lower.
This research will take place in the next phase of the
Flood Risks and Safety in the Netherlands (Floris)
Table 1. Flood risks calculated with the detailed method.

Economic risk:
flooding probability Consequence: Consequence: Annual
times economic average economic victims** probability of
Dike ring damage [million €/year] damage* [million €] [number] flooding

Noordoostpolder 2.1 1,900 5–1400 1/900

Zuid-Holland 2.3 5,800 30–6100 1/2500
Land van Heusden/ 37 3,700 5–800
1/100
De Maaskant

* The average damage in the different flood scenarios.

** The margin gives the number of victims for different flood scenarios and different.

Project. Only then can the probability of flooding be Holland to more than 1/100 per year in a number of
established on a sound basis. dike ring areas in the rivers region (Table 2). These fig-
ures are only an indication of the probability of flood-
ing and cannot yet be taken as absolutes. The method is
not yet robust enough for that. The calculations do
9 CONSEQUENCES OF FLOODING
offer an opportunity to analyse what failure mecha-
nisms have the most impact on the probability of flood-
The aim of the Floris Project is also to use the calcu-
ing and where, relatively speaking, the weakest
lated consequences of flooding when deciding on
locations are in a dike ring.
strengthening of the water defences. From the study it
In the 1950s the Delta Committee established that
appears that the most victims can be expected in the
extremely high water levels constitute the greatest
event of unexpected flooding. It is important to calcu-
threat of flooding. This insight provided the basis for the
late various flooding scenarios to be able to improve
present safety standards for water defences. From the
the coordination of disaster preparedness plans.
results of the Floris project it appears that this assump-
The maximum economic damage in the event of
tion is now no longer universally applicable. The proba-
flooding of a dike ring area ranges from €160 million in
bility of flooding due to high water levels is sometimes
Terschelling to almost €300 billion in the province of
small compared with the risk due to other failure mech-
South Holland (Table 1). These amounts have been
anisms.
roughly calculated and show the damage, which would
In most dike ring areas the failure mechanism of
occur if the entire dike ring area were to fill up with
‘piping’ constitute the greatest threat. Here the water
water. It is however very unlikely that this will happen.
forms channels under the dike causing the dike to col-
For three dike ring areas the average damage has also
lapse. The great probability is probably partly due to
been calculated in detail. During this process it was
the uncertainties surrounding the subsoil under the
analysed in various flood scenarios which part of the
foundations of the water defences. Further investiga-
dike ring area would be inundated and how much dam-
tion at the sites in question can show whether there
age this would result in. From these calculations it
actually is a relatively weak location. But it is clear
appears that in the most likely flood scenarios ‘only’ a
that piping is a real threat in the sandy and clay sub-
part of the dike ring area would flood. Only in the rivers
soil of the Netherlands. With each high water the
region would the dike ring area almost always become
Water Boards carefully check the water defences for
completely flooded. The average damage in South
signs of this phenomenon. They are also prepared if
Holland amounts to roughly €6 billion instead of the
signs of piping are found. Emergency measures can
maximum damage of almost €300 billion. The global
be taken, such as covering the dike with textile and
method can therefore lead to huge overestimation of
sandbags. The effects of this human intervention are
the damage, particularly for the larger dike ring areas
not included in the calculation of the probability of
which are divided into compartments by obstacles.
flooding.
The failure mechanism of ‘not closing the hydraulic
structures’ also led to a high probability of flooding in
10 PROBABILITY OF FLOODING a number of dike ring areas. In almost all cases this
was because the closing procedures were not properly
The study shows that the probability of flooding in the defined. This threat can be quickly and easily reduced
16 dike ring areas varies from 1/2500 per year in South by having the procedures documented and through

457
Table 2. Flood risks calculated with the global method.

Economic risk: flooding

probability multiplied by Consequence: Annual
the economic damage maximum economic probability of
Dike ring [million €/year] damage* [million €] flooding

Noordoostpolder 10** 9,000 1/900

Zuid-Holland 116** 290,000 1/2500
Land van Heusden/ 180** 18,000
1/100
De Maaskant
Terschelling 0.1 160 1/1500
Mastenbroek 12 1,200
1/100
Noord-Holland 116 58,000 1/500
Lopiker- and 100 10,000
1/100
Krimpenerwaard
Alblasserwaard 48 19,000 1/400
Goeree-Overflakkee 3 3,700 1/1200
Zeeuwsch Vlaanderen 140 14,000
1/100
Bommelerwaard 10 2,600 1/250
Land van Maas and Waal 64 6,400
1/100
Ooij and Millingen 0.7 1,000 1/1400
Betuwe, Tieler- and 180 18,000
1/100
Culemborger-waarden
Rijn and IJssel 34 6,800 1/200
Oost-Veluwe 31 3,100
1/100

regular exercises. Further this project, several Water
Boards have taken these measures.
11 FLOODING RISKS
The risk of flooding in a dike ring area is the flood
damage multiplied by the probability of flooding.
Based on a rough calculation of the maximum flood
damage, the risk in the 16 dike ring areas ranges from
€0.1 to 180 million per year. In the three dike ring areas
where the potential damage has been calculated in
detail, the risk of flooding ranges from €2 to 37 mil-
lion per year. The flooding risk can be seen as the
amount that should be set aside per year to be able, in
the long term, to compensate for the damage caused
by flooding. In dike ring areas along the rivers the
risks of flooding are relatively great. This is partly
because the flooding probabilities along the rivers are
greater. In addition to this, the consequences are larger
because if there are floods, almost the entire dike ring
area will be inundated with water. In most cases,
other dike ring areas will ‘only’ partially flood.
in the method for determining flooding probabilities.
At each of these levels the results can be used in daily
practice.
These three development levels are as follows:
– The first level provides insight into how the method
can be improved and to some extent for the man-
agement of a certain dike ring. An example of this
is that it was observed that safety is compromised
due to a lack of a standard closing procedure for a
lock. This came to light for various locks in the pilot
areas. Closing procedures have now been drawn up
for this. This phase is know as the methodical phase;
– When the dike rings are placed alongside one
another, this level provides a balanced picture
which can be expressed as a risk figure. This figure
has no absolute value, but can be used in relative
terms under the present safety approach. For exam-
ple, when considering the effectiveness of meas-
ures between dike rings. This phase is known as the
management phase;
– The last level provides sound flooding probabili-
ties. Now we have reached the policy phase which
can then be utilized for the flooding risk approach.

12 THREE LEVELS OF DEVELOPMENT
The material turned out to be more recalcitrant in
practice than was initially thought at the outset of the
project. There are, in fact, three levels of development
Early in 2004 it was concluded that the project was
at the methodical phase. Efforts were focused on
obtaining a sound method. Essential to the project up
until mid-2005 was the selection of a sufficiently rep-
resentative number of dike rings with as many different

458
Figure 5.
characteristics as possible. This meant calculating the
flooding probabilities and consequences for dike ring
areas along the rivers, the coast and lakes. A good
selection would allow all aspects and elements of the
method to be tested. The final selection comprised 16
dike rings (Figure 5).
459
13 HOW THE FIGURES CAN BE USED
The Floris project is just one step in a longer develop-
ment pathway. For all 16 dike ring areas the flooding
risks have now been identified at the first development
level. The calculated value of the flooding probability
gives an indication of the actual flood probability, but
cannot be considered as an absolute value. It is possible
to identify the relatively weaker locations in each dike
ring and their causes. For a number of these locations
it will first be necessary to investigate whether the
probability of failure is actually great or if it is due to the
uncertainty in the data. Further study in Rotterdam,
for example, showed that the probability of flooding
at the Boerengatsluis was much less.
The Floris project has reached the second develop-
ment level for three dike ring areas. These are the dike
ring areas where the consequences have been calcu-
lated at a detailed level. The results at this level of
development are robust enough to be able to compare
the flooding probabilities and the flood risks with
other similar types of dike ring areas. As soon as the
flood risks of all the dike ring areas in the rivers
region are available at this level, this will create an
overview of the consequences of a flood and the weak-
est links throughout the rivers region. Priorities can
also be set for similar types of dike ring areas, along
the coast or in tidal river areas.
Development level three will be reached in the future
when the flooding probabilities and consequences for
all dike ring areas have been soundly determined,
with an acceptably small margin of error. The flood
risks of dike ring areas throughout the Netherlands
can then be compared with one another. It is neces-
sary to reach this level to be able to make a cost/ben-
efit analysis of investments to be made in providing
flood protection and to be able to evaluate whether the
present standards offer sufficient protection. The total
risk of flooding in the Netherlands can then also be
compared in absolute terms with other collective
national risks.
14 WHAT HAS BEEN ACHIEVED?
The following advantages of the method are already
clear:
• The Water Boards have an instrument, which they
can use to identify vulnerable locations.
• Based on rational arguments a set of priorities can
be drawn up for the measures to be taken within
dike rings.
• The municipalities can use the results to draw up
disaster relief and evacuation plans.
• The provincial authorities can make use of the flood-
ing films developed for the risk analyses for policy
preparation and decision-making on spatial planning.
From the study results so far it has become clear
that the development of the method to determine the
probability of flooding is still not complete. It will take
another few years before sound-flooding probabilities
can be determined.
460
15 CONCLUSIONS AND
RECOMMENDATIONS
A new diagnosis instrument was used during the
study. This enabled the stability of dikes and engi-
neering works as well as their height to be looked at in
more detail. From this study it appears that not the
height of the dikes but water seepage under the dike is
a real threat. In practice, in such an event a Water Board
would take emergency measures. The areas vulnera-
ble to this phenomenon have now been surveyed.
Because there are still many uncertainties surround-
ing the calculations further research is required. For
engineering works such as locks, in some cases it
appeared that the closing procedures were not ade-
quate. This has now been addressed.
During the study considerable attention was given
to calculating the actual flood risk in relation to the
consequences of flooding. This differs from the cur-
rent method used in which the probability of exceed-
ing a statistically determined high water level is
considered indicative of safety.
Sixteen of the 53 dike rings in the Netherlands
were investigated. This selection was considered rep-
resentative of the country as a whole. Detailed risk
calculations were carried out for three of them: the
Noordoostpolder, Central Holland and Land van
Heusden/De Maaskant.
The added value of the method is that vulnerable
locations can be identified and insight into the signif-
icance of these locations is provided in terms of the
consequences of flooding. When the method is applied
nation-wide improvements to the flood defences can
be prioritised more effectively.
All those involved share the view that the method
used offers added value. The calculations provide the
most realistic picture of the probability of flooding
based on current understanding. The calculated prob-
ability of flooding, however, is not yet robust enough
for these figures to be considered absolute values.
Further research and development of the method could
help to make the method more robust in the future.
For most applications the picture of the flood risks
nationwide needs to be completed. Therefore it is rec-
ommended that the method also be applied to the
remaining 37 dike ring areas. To obtain a proper esti-
mate of the consequences a detailed method needs to
be used for all dike ring areas. More attention should
also be focused on how cost/benefit analyses can be
carried out to deal with relatively weak locations. The
study should continue, preferably coordinated from
one central point to be able to compare all the results.
The mechanisms of uplifting play a major role in the
present flooding probabilities and deserver further
investigation. The study needs to focus on a method
of calculating the probability of piping, reducing
the uncertainty in the data and ways of reducing the
probability of piping. In so doing it is also important,
of course, not to lose sight of other failure mecha-
nisms.
ACKNOWLEDGEMENT
Many people at the Ministry of Transport, Public Works
and Water Management, the Provinces, Water Boards,
consulting engineering firms, universities and other
institutions have contributed to the Project Flood Risks
and Safety in the Netherlands. Their work provided the
basis for this paper. I’m very grateful to them all for
their thorough studies. I also want to thank Mrs. Renske
Postma en Mr. Kees Poot for their critical remarks.
REFERENCES
Risk Assessment in Dam Safety Management. Bulletin 130.
Published by CIGB/ICOLD, Paris, 2005.
461
Nuchter omgaan met risico’s. [Coping rationally with Risks]
Published by the National Institute of Public Health and
the Environment. 2003.
Risico’s in bedijkte termen. [Risks in terms of dikes: an eval-
uation of the policy on protection against flooding.]
Published by the National Institute of Public Health and
the Environment, May 2004.
Van Overschrijdingskans naar Overstromingskans. [From
probability of exceedance to probability of flooding]
Published by the Technical Advisory Committee on
Water Defences (TAW). June 2000.
Van Westen, C.J. & A.M. De Leeuw, 2005. A certain degree
of risk. Or: How great is flood risk in the Netherlands? In
Van Alphen, J., E. van Beek & M. Taal (Eds.): Floods,
from Defence to Management, A.A. Balkema Publishers,
Leiden.
Wet op de waterkering, 1996. [Water Defences Act, 1996.]
Published by W.E.J. Tjeenk Willink Zwolle, edited by
Mr. J.H.A. Teulings. ISBN 90-271-4381-1.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Design of a new economic shape of weir

A. Ouamane
Laboratory Hydraulic Developments and Environment, Mohamed Khider University, BISKRA, Algeria

F. Lempérière
Hydrocoop-France, France

ABSTRACT: Reservoir dams are often confronted with two fundamental problems, the first relates to the
control of floods, which can present overtopping risk, the second relates to the loss of the storage capacity as a
result of sedimentation. The control of floods is assured with spillways, which assure the passage of floods with-
out incident. Nevertheless, its cost represents a significant part of global cost of dam. The loss of storage as
result of sedimentation of reservoir can be remedied by heightening the sill of spillways which allows to have a
supplementary space of storage. The search for an optimal shape of weir which possesses a high performance
and a low cost, led to conception of a new shape of no linear weir. This new shape of weir baptized Piano Keys
Weir (P.K. Weir) represent an effective alternative for most new dams and can increase at low cost the capacity
of evacuation and\or storage of several existing dams. The results of experimental tests detailed on 23 physical
models showed that two P.K. Weirs solutions can be selected. Application of P.K. WEIR for some Algerian dams
allows to recover global storage volume about 250 106 m3. The P.K. WEIR can be feasible for most earth dams
and concrete dams, equipped with a free flow spillway. The realization of this type of weir for the increase of
reservoirs capacity requires a low cost. Two examples of applications were made for Algerian dams.

1 INTRODUCTION answers to these requirements is the design of a

The mobilization of waters of surface is mainly assured
by the reservoir dams; nevertheless, these works are
confronted to two problems of fundamental importance.
The first is referred to the risks of the insufficiency of
the capacity of evacuation of the spillway and the sec-
ond corresponds to the harmful effects of siltation.
The reports on the incidents of rupture of the dams
showed that almost a third of the accidents is related
to the insufficiency of the capacity of the spillway.
Consequently, the ICOLD (International Committee
of dam) recommended the readaptation of a great
number of spillways to ensure the safety of the dams.
Consequently, the design engineers of the dams must
choose design flood of greater period of return. This
have for result of the spillways of width more important
which exceeds the width of the existing weirs, which
leads to construction of new spillways which will the
raise cost of realization.
In order to reduce the cost of the spillways of the
new dams and to make possible the readaptation of
the spillways of the existing dams, the design engi-
neers of the dams try to reduce total dimensions of the
spillway and to simplify its construction, without affect-
ing the degree of safety required. The solution which
labyrinth spillway characterized by a crest with broken
axis in plan which is quite agreed for cases where the
width of the weir is limited by the topography of the
terrain for the new dams or by the width of the existing
weir in the event of readaptation of an existing spillway.
The concept implies a work where the length of crest
is developed by a configuration in broken line which
generates a crest longer than the width of the weir. The
labyrinth weir is characterized by a great capacity of
evacuation under a relatively weak load contrary to the
rectilinear weirs. This advantage includes the low cost
of realization and maintenance in comparison with the
rectilinear weirs and a more reliable exploitation com-
pared with that of the gated weirs. Although the tradi-
tional shape cannot be placed in top of traditional
gravity dams cross section.
A new shape of nonrectilinear weir baptized Piano
Keys Weir (P.K. Weir) was developed by Hydrocoop
France in collaboration with the Laboratory Hydrau-
lic Developments and Environment of the University
of BISKRA (ALGERIA). This new type of weir has
the advantage to be applied also to gravity dams cross
section. P.K. Weir allows the evacuation of specific
flows up to 100 m3/s/m, while multiplying at least by
three the flow of a Creager weir, its construction is

463
simple and easy and can be carried out by local
resources of each country. The P.K. Weir will reduce
considerably the cost of the majority of the new dams
and will allow to improve at the same time, the capacity
of evacuation of the spillway and the storage capacity
of the reservoir of the existing dams.
2 GEOMETRICAL CONFIGURATION
OF THE P.K. WEIR
On the basis of preliminary tests on physical small-
scale models the geometrical form of P.K. Weir was
defined by:
– A provision rectangular of the alveoli somewhat
similar to the shapes of Keys of Piano, which
explains the name of Piano Weir Keys (P.K. Weir).
– An inclined apron of the upstream and downstream
alveoli, which favours the use of the overhangs.
– A reduced length of the base thanks to the use of
the overhangs.
– A reduced width of the elements thanks to the rec-
tangular form.
– A reduced surface of the side walls.
P: maximum height of P.K. Weir
B: length of a side wall
a: width of the upstream alveolus
b: width of the downstream alveolus
c: length of the upstream overhang
d: length of the downstream overhang
W: width of the weir
The efficiency of P.K. Weir can be also affected
by the parameters of secondary importance resulting
from the details of construction, as the shape of entry
under the overhangs, the section of the crest and the
presence of the floating materials.
A systematic cover of the principal parameters and
the secondary parameters most important were made
in the experimental study.
3 PROGRAM EXPERIMENTAL
Experimental work was led in an experimental device
of simulation of pool made up of a supply channel
having a section 0.75  0.75 m and 4,30 m of length.

The variation of layout of the weir is possible; how-

ever, the most advantageous form corresponds to the
rectangular symmetrical form shown in Figures 1 and 2
because it is easiest to build. The configuration of such
a form in plan is defined by the height P, the width of
the upstream and downstream alveoli, the length of the
overhangs, the ratio length l/w, number of cycles, N,
forming the weir, and the ratio of vertical aspect w/P.
Thus, the efficiency of P.K. Weir will be a function
of the following parameters without dimensions: h/P,
w/P, l/w, a/b, d/c. These parameters derive directly from
the geometry of P.K. Weir and of the design head, they
are thus of principal importance.
Figure 2. Diagram of an element of the Piano keys weir.

Figure 1. Piano keys weir (P.K.Weir). Figure 3. Layout of the Piano keys weir.

464
This channel is connected to a basin of simulation of
pool having the form of a square 3  3 m and 1,1 m of
height. The entry upstream of the basin of simulation
of pool is equipped with a metal grid and a brick wall,
which makes it possible to ensure a uniform flow.
Series of pressure outlet are placed in the basin of
simulation at various places making it possible to mea-
sure the water pressure in each point. The models of
P.K. Weir are inserted to the outlet of basin of simula-
tion. A restitution channel of length 2 m and of width
1 m is connected to the outlet of basin ensuring the
role of a chute of spillway.
The models of P.K. Weir were built of steel of thick-
ness 2 mm. Whole of the models is characterized by
a shape of thin crest.
With:
Cw: coefficient of discharge
Q: flow which pass through the weir (m3/s)
W: width of the weir (m)
h: height of the nappe (m).
The coefficient of discharge is given according to
the couple of the measured values, the discharge (Q)
and the head of water over the P.K. Weir (h), the other
parameters of the equation (1) are constant for a given
weir. For practical reasons, it is more suitable to rep-
resent the coefficient of discharge according to the
adimensionals parameters.

4 PRESENTATION OF THE RESULTS

Or:
To check the behavior and the performance of this h *: total head on the sill of P.K. Weir
new weir several tests detailed on selected forms were D: maximum downstream height of P.K. Weir
then carried out since the year 2002 at the Laboratory L: developed length of the weir
of Hydraulic Developments and Environment of the
University of Biskra. The tests carried out on about The total head corresponds to the piezometric height
thirty small-scale models of P.K. Weir gave a basis to added to the kinetic head.
optimize the increase in the discharge of P.K. Weir
according to relationship’s between the length, the
height, the width and the shape of the elements, in
particular according to the relationship between the
length of the crest of P.K. Weir and its width N
L/W.
The capacity of evacuation of a non-linear weir is 4.1 Mode of flow on P.K. Weir
generally expressed by the coefficient of discharge,
The flow on the P.K. Weir is completely different from
which derives of the universal equation, which
the flow on the labyrinth weir, it is characterized by
expresses the flow, which passes through a weir:
two discharging nappe, the first in the form of a jet of
the bottom which flow along the inclined apron of the
downstream alveolus and the second in the form of a
screen more or less thin according to the load on the

Figure 4. Layout of the experimental device.

465
 ,3 5
/L W = .4 ,0 W / H = .1 1
,3 0
/L W = .6 ,0 W / H = .0 8
,2 5
/L W = .7 ,0 W / H = .0 8
,2 0 /L W = .8 ,5 W / H = .0 8

wC
,1 5

,1 0

,0 5

,0 0
0 ,0 0 ,2 0 ,4 0 ,6 0 ,8 1 ,0 1 ,2
Figure 5. Flow on the P.K. Weir. *h / P

2,0 Figure 7. Coefficient of discharge according to ratio L/W.

1,8 L/W=4,H1
2,0
1,6 L/W=4,H13 W/L W,4= 76.0=a/b,1 H
1,8
1,4 W/L W,4= 0.1=a/b, H
L/W=4,H167 1,6
1,2 W/L W,4= 5.1=a/b, H
1,0 1,4
Cw

0,8 1,2
0,6 1,0
Cw

0,4 0,8
0,2
0,6
0,
0, 0,4 0,8 1,20 1,60 0,4
h*/P 0,2
Figure 6. Coefficient of discharge according to the ratio of 0,
vertical aspect W/P. 0, 0,2 0,4 0,6 0,8 1,0
h */P
weir. The second nappe which is superficial, favours
the ventilation of the weir because of the presence of Figure 8. Coefficient of discharge according to the width
the overhangs (Fig.5). of the upstream and downstream alveoli.

the weir influences the flow remarkably. The Figure 7

4.2 Ratio of the vertical aspect, W/P
The ratio of vertical aspect which represents the vertical
geometry can have two indications, the first reflects the
effect of the height variation for a width of cycle fixes
and the second indicates the influence of the variation
of the width for a height of weir fixes. The results of the
tests obtained on three models of same width of cycle
and different height indicate that the coefficient of dis-
charge of P.K. Weir is depend on parameter W/H. In
other words, the capacity of evacuation is dependent of
the height of P.K. Weir. The increase of the height
of 20% increases the capacity of evacuation from 5 to
10% (Fig.6).
4.3 Relative Length, L/W
Generally, the ratio L/W which expresses the relation-
ship between the total length of crest and the width of
shows that the increase in the ratio L/W is very effi-
cient for h/P  0.6 but not for h/P close to 1.
4.4 Impact of the alveoli width
The geometry in plan of P.K.Weir is characterized by
two alveoli of rectangular form, the first of width
(a) oriented towards the upstream and the second of
width (b) directed towards the downstream.
The slope of the apron of the alveoli is dependent of
the length of the overhangs and the height of the weir,
so the flow in the upstream and downstream alveoli can
be different.
To check the impact of the variation of the width of
the alveolus three cases were considered (b/a
0.67,
1.0 and 1.5).
The Figure 8 shows that the choice of the width of the
upstream alveolus higher than that of the downstream

466
 3, 0 3, 5

L / W = W6 / P = 0 . d8 / c = 0 sd e n u o R h epa
2, 5 3, 0
F l a t fo rm
L / W = W6 / P = 0 . d8 / c = 0. 5
2, 5
2, 0
L / W = W6 / P = 0 . d8 / c = 1
2, 0
1, 5
Cw

Cw
1, 5
1, 0
1, 0

0, 5
0, 5

0, 0 0, 0
0, 0 0 ,2 0, 4 0 ,6 0, 8 1 ,0 0 ,0 0 2, 0 ,4 0 6, 0 ,8 1 0,
h*/ P h* / P

Figure 9. Coefficient of discharge according to the length Figure 10. Coefficient of discharge according to the shape
of the overhangs. under the overhangs.

makes it possible to have a better efficiency. This is of the symmetry of the overhangs, which favour the
apparent for the relative heads h*/P  0.5. When the use of the prefabricated units.
relative head is higher than 0.5 this advantage
becomes weak. The figure 8 pointed out that for the
same width of an element of P.K. Weir; it is possible 4.6 Impact of the shape of entry under the
at the same cost to increase the width of the upstream overhangs upstream
alveolus of 20% and to reduce consequently the width The geometry of P.K. Weir makes that the weir
of the downstream alveolus. This increases efficiency becomes sensitive to the form of entry of the weir.
about 5% without any additional expenditure. So it is To check the impact of the shape of entry under the
more profitable to conceive the P.K. Weir with a width overhangs, two shapes of entry were considered, the
of the upstream alveolus larger than the width of the first a flat form and the second correspond to a rounded
downstream alveolus. entry shape.
Figure 10 shows that the design of a better
hydraulic form to the vertical part under the overhangs
4.5 Impact of the overhangs length upstream (as for the pillars of a gated weir), would
The impact of the overhangs length was studied accord- increase the efficiency of P. K. Weir about 7% for a
ing to three configurations, the first with overhangs low additional cost.
upstream longer than the overhangs downstream
(c
B/3, d
B/6, d/c
0.5), the second configura-
4.7 Impact of the floating debris
tion with overhangs upstream and downstream identi-
cal (c
d
B/4, d/c
1) and the last configuration In order to check the behavior of P.K. Weir in the case
with only of the overhangs upstream (c
B/2, d
0, of operation in the presence of the floating debris,
d/c
0). These three configurations were selected for tests were carried out under conditions of extreme
reasons of structural design and construction in order obstruction of the entry of the weir. During the exper-
to determine the most profitable solutions. imentation, it was noticed that no blocking of the
The Figure 9 shows that the model without down- floating debris under the overhangs was observed dur-
stream overhang (d/c
0) is characterized by an effi- ing the rise of the water level from the base of P.K. Weir
ciency higher than the models with downstream to the crest. For the low heads the floating debris are
overhang. The increase of the capacity of the model carried in the downstream alveoli and remain blocked
with d/c
0 is approximately 12% for relative head until an average charge about 0.4 P. At this moment,
h*/P  0.4. the floating debris starts to be evacuated systemati-
This result shows that the model without down- cally towards the downstream.
stream overhang (d/c
0) can be a solution for the Graph 12 shows that the impact of the floating debris
great specific flows and the model with symmetrical is characterized by a reduction of the coefficient of
overhangs represents an economic solution because discharge for relative heads h*/P  0.5, beyond this

467
Figure 11. Operation of P.K.Weir with obstruction of the Figure 13. P.K.Weir Figure 14. P.K.Weir
entry by floating debris. (Type A). (Type B).

3
Q (m /s)
5.3 P.KWeir
081 0
0.3 Fre e flo w
F l o w ni rp nes ec 061 0
5.2 fo l nitao grbed is
0.2 041 0
5.1 Ex ist n gew ir
Cw

021 0
0.1
01 0
5.0
08
0.
0. 0 .2 0.4 0 .6 0.8 1 .0
H*/P 06

Figure 12. Coefficient of discharge according to the pres- 04

ence of the floating debris.
02

0
value, the flow becomes again normal and the coeffi- 0, 1 ,0 2,0 3 ,0 4, 0 5 ,0 6,0
cient of discharge takes values equal to the values cor- * )h m (
responding to the free flow. The effect of the floating Figure 15. Discharge curve of the weir of the Zit Amba dam.
debris can reduce the flow about 10% when the depth
of water on the weir is in the range of 1 or 2 m (As for
the Creager weir). 5 EXAMPLE OF APPLICATION OF THE
This experimental analysis made it possible to select P.K. WEIR FOR THE ALGERIAN DAMS
two types of P.K.Weir according to the hydraulic per-
formance and the economic criterion. The first type of Two examples of application of P.K. Weir to real cases
P.K.Weir (A) is characterized by overhangs upstream of dams were carried out. The first corresponds to the
and downstream identical, this will favour the use of the increase in the pool capacity of Zit Amba dam and
prefabricated units out of reinforced concrete which can the second example corresponds to the increase at the
be used for specific flows up to 20 m3/s/m (Fig.13). same time in the pool capacity and spillway capacity
The second type of P.K.Weir (B) is defined by over- of Ain Zada dam.
hangs only upstream, important profits in efficiency
are about 10 % compared to type A are recorded. The
5.1 Zit Amba dam
structural efforts are less important for the great spe-
cific flows. That could thus be the choice the more The Zit Amba dam is located at the department of
attractive for several future dams (Fig.14). Skikda in ALGERIA. This area is characterized by

468
Table 1. Geometrical characteristics of P.K.Weir. Table 2. Geometrical characteristics of P.K.Weir.

P B W a b c d Wt n L/W W/P P B W a b c d Wt n L/W W/P

m m m m m m m m / / / m m m m m m m m / / /

5.7 17 4.54 2.27 2.27 5.68 5.68 50 11 8.5 0.8 9.0 18 7.2 3.6 3.6 9.0 0.0 75 10.4 6 0.8

the intensive development of industry and agricul- m( Q 3 )s/

ture, which involves a considerable increase in con- P.K Weir
sumption out of water. The building work of the dam
was completed in November 2000. 50 Ex ist n gew ir

The principal characteristics of the dam are: Average

annual throughput: 50 Mm3/an
Coast of the normal level of pool: 86
Coast of the maximum water level: 91
Coast of the dead level of pool: 62
Total capacity of pool: 120 Hm3
Level of crest: 92
Height of the dam: 47.5 m
Length of the crest: 640 m
Width of crest: 10 m.
The spillway is established on right bank of the val-
ley, it is designed to evacuate the maximum flood of
1094 m3/s, under a head of water on the sill of the weir
of 5 m. The weir is of type Creager high of 3 m, con-
nected to a downstream convergent chute of 125 m
length with a slope of the apron of 22,4%. The chute
ends in a ski-jump. To compensate a part of the capac-
ity of the pool lost following the silting, the solution
of heightening of the sill of weir can be profitable.
A heightening of the sill of 2.5 m will allow an
increase of the pool capacity about 22 Mm3 and will
reduce consequently the load on the threshold of weir
to 2.5 m. The choice of P.K. Weir for the heightening
of the threshold can be a profitable solution. The spe-
cific flow being of 21.88 m3/s, a P.K. Weir of type (A)
with symmetrical overhangs will correspond to the
most economic solution.
For a head of 2.5 m on the threshold of P.K. Weir
the flow evacuated is of 1132 m3/s. This solution will
be led to a lowering of the existing sill about 3.2 m to
allow the construction of P.K. Weir high of 5.7 m.
5.2 Ain Zada dam
The Ain Zada dam located in the department of
Bordj Bou Arreridj (Algeria) is intended for the drink-
ing water supply of the surrounding cities. It was built
for the period 1981–1983. The principal characteristics
of this dam are:
– Rockfill dam with a clay core.
– Capacity of pool 125 Mm3 at the coast 855.
– Maximum water level (NPHE) 846.2, which corre-
sponds to a capacity equal to 240 Mm3.
40
30
20
10
0
0 2 4 6 8 1 0
)m( *h
Figure 16. Head curve of the weir of the Ain Zada dam.
– Dead volume 15 Mm3, at the coast 838.
– Width of the crest of the dam 7 m.
– Length of the crest 688 m.
The spillway is located remotely of dam on right
bank of the dam in a natural ravine. It includes a weir
of Creager type of 75 m of length, whose level of the
threshold is at coast 855. The weir flows in a convergent
rectangular chute long of 185 m, whose width passes
from 75 m upstream to 45 m downstream. The chute of
constant slope 8.4% makes 180 m of length and ends in
a ski-jump. The spillway is designed to evacuate a flow
of 4400 m3/s under a water nappe of 9.2 m correspon-
ding to crest 864.2. The Ain Zada dam is designed to sat-
isfy the water requirement for the towns of Setif, Bordj
Bou Arrerij and El Eulma to the horizon 2010. The
increasing water requirements for the three Cities
exceed the quantity of planned water. To make up for a
part of the deficit, it is recommended to exploit the dis-
charged volume of water which is estimated at
27 Mm3/an. The exploitation of this volume requires the
increase in the capacity of pool. The increase in the
space of the reservoir can be obtained by the heightening
of the threshold of the existing weir, while ensuring a
degree of safety of evacuation of floods and to maintain
the same maximum pool level. This choice appears to be
profitable and feasible being given that the restoration is

469
limited only to the weir. The heightening of the threshold
of the weir of 3.0 m makes it possible to increase the
capacity of the pool of 41 Mm3 and reduces the head on
the sill of the weir to 6.2 m, the maximum pool level
being the same one as that before the heightening. The
choice of P.K.Weir for the heightening appears to be an
effective solution to increase at the same time the capac-
ity of pool and the capacity of the weir. The specific
flow being important (58.67 m3/s/m), the most adequate
solution corresponds to a P.K.Weir of the type B.
For a head of 6.2 m on the threshold of P.K.Weir
the evacuated flow will be of 4650 m3/s, that is to say
an increase in the capacity of evacuation of 250 m3/s.
Consequently the threshold of the existing weir must
be lowered of 6.0 m to allow the construction of
P.K.Weir height 9.0 m.
6 CONCLUSIONS
The piano keys weir (P.K.Weir) represents an effective
solution for the increase in the storage capacity and/or
the capacity of evacuation of floods of the majority of
the existing dams. It can be an economic solution for the
new dams. This new type of weir is characterized by:
– A simple geometrical configuration which allows
the use of prefabricated units.
– An operation similar to the weirs with free flow but
much more effective.
– A specific flow of a standard weir multiplied by
2 to 4.
470
– It reduce considerably the cost of the majority of
the new dams and guarantees their safety.
– It increase the storage of many existing reservoirs at a
cost in the range of 0,05 $/m3 in most developing
countries, under 0.5 $/m3 in industrialized countries.
– To improve the prevention of raw for much of
existing dams.
– Increase the evacuation capacity for many existing
dams with 0,5 m3 of concrete reinforced by m3/s
additional.
Two examples of application of P. K. Weir for Algerian
dams showed that this type of weir represents an effec-
tive solution to increase the storage capacity of pool.
REFERENCES
Blanc, P., Lempérière, F. 2001. Labyrinth spillways have
a promising future. The international journal on Hydro-
power & Dams issue four.
Lempérière, F. 2000. More cost data may help to optimize
spillways. The international journal on Hydropower and
Dams. Issue four.
Lempérière, F., Ouamane, A. 2003. The piano keys weir:
a new cost-effective solution for spillways. The interna-
tional journal on Hydropower and Dams volume ten,
issue Five.
Ouamane, A., Lempérière, F. 2006. Nouvelle conception de
déversoir pour l’accroissement de la capacité des
retenues des barrages. Colloque International sur la
Protection et la préservation des ressources en eau.
Blida. Algérie.

res R dna m D v srio nE d a seit coS ,
© 60 2
Analysis of the viability of a flood control dam in a Spanish
Mediterranean basin
M.G. Mañueco, C. Torres-Quevedo & M. González
Acuamed, Madrid, Spain
A. Molina, J.C. Gutiérrez, F. Soriano, F. Villalba & S. Hoppe
Ofiteco, Madrid, Spain
I. Escuder
Polytechnic University of Valencia, Valencia, Spain
ABSTRACT: The Safor region of Valencia, Spain, has historically suffered the consequences of extreme floods;
a series of measures have been defined in order to mitigate such effects including a dam designed exclusively
for that purpose. This paper describes a methodology applied to evaluate different solutions considering technical
aspects, economical, efficiency, and social concerns.
1 INTRODUCTION
Floods represent the natural risk with the highest global
impact causing more life and property losses than any
other natural catastrophes. In particular, intense rain-
falls followed by imminent and violent floods regularly
affect the Spanish Mediterranean coast. In addition, the
continuous increase of population living along the sea-
coast poses another risk increment.
Economical and social costs related to these cata-
strophic events are high enough to justify corrective
actions to mitigate the consequences.
The vulnerability of the Safor region is not only
related to the frequency of heavy rainfall but also to
the lack of hydraulic capacity of the rivers and creeks,
which normally end in plain and low areas with drain-
age problems. In addition, the fact that its an area of
great demographic pressure makes the problem much
more difficult to solve.
Severe rainfall in the Serpis basin, as in other basins
of the region, is due to the topography of the area. As
an example, precipitation of more than 500 mm occur-
red from the 3rd to 8th of December 2004. In fact, the
ratio between daily and annual precipitation is higher
than 30%.
Another example is the rainfall registered at
Beniarrés dam causing a peak discharge of 770 m3/s
in 1987. This event provoked damages to the city
of Gandía, after which a Technical Commission was
ts
12 eht ni m or v rutneC g
reB Ð y )sde( la t
T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L
created to develop a flood protection plan for the whole
region. That plan included a series of works aimed at
mitigating risk as much as reasonably possible.
Since this problem affects the whole Mediterranean
cost of Valencia, the regional government developed
PATRICOVA the so called Territorial Action Plan for
Flood Risk Prevention where the recommended actions
for the Safor region were included.
Since only a few of the objectives had been accom-
plished during the last decades, the National Society of
Water of Mediterranean River Basins (ACUAMED)
took charge of the global implementation of the Plan
in 2004.
2 FLOOD CONTROL DAM STUDY
One of the main works, among other corrective actions,
is the construction of a classical flood control dam with
an ungated conduit at very low level, on the Vernissa
River. This river is a Serpis tributary, and it passes
through towns such as Alfauir, Almiserà, Lloc Nou de
Sant Jeroni, etc. The main objectives of the detention
dam are to retard flood runoff and minimize the effect
of sudden floods.
The particular study included the simulation of the
routing of design floods with a return period ranging
from 25 to 5000 years. The flood routing optimisa-
tion was carried out for two different dam sites, for
471
 T=100 YEARS
250
20
Q (m3/s)
150
m10SPILWAY
10 m15SPILWAY
m20SPILWAY
50
m25SPILWAY
0 would increase the peak discharge even more than
1 2 3 4
Bottom outlet type
Figure 1. Efficiency evaluation of several outlet works. The
bottom outlet types define different outlet cross sections
from 2  2 m to 5  5 m.
numerous alternatives of the spillway and bottom out-
let facilities, and for dam heights varying from 13 to 23
meters above natural terrain level.
The total number of simulations has been superior
to 250, which made possible to define curves as the ones
shown in Figure 1.
On the other hand, the mandatory criteria of the
Spanish legislation (Technical Rules on Dam and
Reservoir Safety, 1996), and the recommendations of
the Technical Guidelines published by the Spanish
National Committee on Large Dams (SPANCOLD),
have led to the rejection of some of the alternatives.
At the end of the process, a quasi-optimum alter-
native is chosen among all the simulated possibilities.
3 SCOPE OF THE STUDY
The whole study area, including the dam, comprises
four different rivers (see figure 2) Serpis, Vernissa,
Piles and Fuentes (the last two are small rivers flowing
directly into the Mediterranean Sea very close to the
mouth of the Serpis river).
In particular, the scope of the works include:
– Terrateig Dam (flood control)
– Water transfer from Fuentes to Piles
– Water transfer from Piles to Serpis
– Alfauir flood defense
– Almiserà – Lloc Nou de Sant Jeroni flood defense
– Beniarjó flood defense
– Vernissa flood defense
As a first step of the study, a particular analysis of all
related constructions has been performed to optimise
their design separately, with the same method as pre-
viously mentioned for the retention dam.
The overall study involves a high degree of complex-
ity due to interaction and links among the different
472
actions. Those links can even result in a lack of global
safety, despite the fact that they individually diminish
risks.
For instance, the construction of a water transfer con-
duit can even aggravate the flood consequences depend-
ing on the rain distribution in the whole watershed.
This can also happen to the retention dam, since it
can retard the discharge while it is still not raining in
the catchments area of the Serpis River. This situation
without Terrateig dam (this can certainly happen, but
with a low probability).
Obviously, it is impossible to reproduce all combina-
tions of events and design characteristics.
However, objective criteria can be adopted to evalu-
ate flows and consequences in terms of achieving the
global minimum damage.
3.1 Basic studies
In order to evaluate the different solutions, basic princi-
ples as exposed below are considered:
– The Hydrologic Study permitted to define events and
return periods associated to such events by means
of hydrographs obtained from a set of more or less
conservative hypothesis with regard to runoff thresh-
olds, spatial, and temporal rain distribution, etc.
– The Topographic Study using LIDAR (Light Detec-
tion And Ranging) technology, detailed river bank
inspections, precisely defined bridges and any type
of obstacles or singular features, permitted to build a
Digital Elevation Model.
– The Detailed Floodplain Study using two-
dimensional numerical hydrodynamic models.
– The Urban Planning and Land Use Study have been
implemented from town growth plans and field
inspections.
These studies are the basis of the methodology to
finally select the best alternative.
3.2 Analysis of alternatives
In order to perform the analysis of alternatives, a set
of combined actions where defined including the
so-called “zero alternative”: in other words, not to do
anything. This was in any case necessary to estimate
increasing effects related to the rest of the alternatives.
3.3 Flood cost evaluation
A methodology to estimate flooding costs was devel-
oped by making use of the previously mentioned
PATRICOVA. It is based on considering the flood
impact as the average potential damage related to the
flood.
Figure 2. Survey map.
According to this definition, the impact becomes
a spatial combination of two main factors: risk and
vulnerability.
In particular, flooding risk depends on the frequency
and magnitude of the phenomena. For that reason, dif-
ferent flood maps were prepared corresponding to each
of the selected return periods.
Another series of factors that influence the magni-
tude of the damages are hydraulic characteristic, such
as: flow velocity, flooding interval, debris transporta-
tion, etc.
An exact quantification of all these theoretical con-
cepts is quite difficult; some simplifying hypothesis had
to be adopted.
The economical evaluation of damages has been per-
formed for a certain type of events (in particular 25,
50, 100, 500 and 1000 year return period events), which
made possible to compare the flood control effective-
ness under scenarios related to very different proba-
bilities of occurrence.
Flood vulnerability (quantification of damages for
such events) can be disaggregated in the following
components:
Direct damage. They can be estimated in terms of
money in straightforward manner, and they are also
subdivided in two:
– Direct damages caused to public and private proper-
ties, infrastructures., and storage contents under the
water level.
– Costs related to dam derived actions such as popula-
tion evacuation, emergency, supplies and so forth.
473
Indirect Damage. They can also be obtained in
monetary terms, but they are very difficult to evalu-
ate, among them:
– Damage related to temporary interruption of basic
services or infrastructures in towns not directly
affected by flooding.
– Secondary damages for economical activity inter-
ruption.
– Uncertainty costs related to the frequency of cata-
strophic events in the same area.
Intangible Damages. Not convertible in terms of
money. They are linked to social and cultural aspects
that are changed due to new life conditions in the
affected area.
Once land uses had been identified and introduced
as a layer in a GIS tool (which also includes all infra-
structures, rivers and creeks) the flooded areas could be
obtained from hydrological input data and hydraulic
analysis. These areas were also automatically included
in GIS as new layers, which were then available to per-
form all type of calculations.
All soil uses were linked to an economical evaluation
and the intersection between such layer and floodplain
layers (which also incorporate information on water
depth, velocity, etc.) permitted to obtain a global eco-
nomical impact. Finally, other costs such as tempo-
rary interruption of services had to be added to the
value obtained from GIS data post processing.
Recapitulating, final results were the economical
evaluation of flood damage according to each scenario
(event with a particular return period).
3.4 Evaluation of works and its future operation
Another key estimation is related to the construction
budget which includes capital costs as well as amorti-
zation and operation and maintenance costs.
The obtained annual costs can be later compared
to the annual reduced costs provided by the studied
corrective works.
3.5 Cost-effectiveness analysis of alternatives
The most relevant profit of the studied works is related
to the decrease of flood risk.
A particular hydrological load is characterized
by means of an annualised probability function which
multiplied by the damage value results in a risk value
(Euros/year).
This mathematical computation requires some sim-
plifications that make absolute values slightly less accu-
rate, but it does not affect the suitability of the method
in order to make alternatives comparable.
For the study case, the calculation has been aggre-
gated in intervals of probability (integrated incremen-
tally) and multiplied by also incremental costs.
– Annual profits of every alternative: obtained as the
difference between flood damage costs in current
situation and the planned works.
According to those indicators, a profitability index
can be obtained for the alternatives.
In general, all alternatives show indexes close to
the established threshold (6%), except for the alterna-
tive only based on non-structural measures, which is
clearly inconvenient even without accounting for expro-
priation costs in case of reforestation works.
Consequently, this alternative is not taken into
account for further analysis steps.
4 MULTICRITERIA-ANALYSIS
In order to finally select the best alternative, a multi
criteria method has been employed to account for a
series of factors that have to be weighted.
Such criteria are composed of two decision meth-
ods: a quantitative one (Pattern) and a qualitative one
(Electre I).
Last of all, the robustness of the selected alternative
C
( cost   probability)T1000 is checked by performing a weight sensitivity analysis.
 ( cost   probability)T500 Criteria adopted in the decision-making frame-
 ( cost   probability)T100 work are:
 ( cost   probability)T50 Environmental:
 ( cost   probability)25
Those intervals are bounded by 25, 50, 100, 500 and
1000 years of return period.
This approach is quite common in reliability and
risk analysis studies in civil engineering and in dam
safety analysis particularly (Bowles and Hartford &
Baecher, etc.).
In order to analyze the monetary variables, recom-
mendations of the Spanish Ministry of Public Works
have been applied (Recomendaciones para la evalu-
ación Económica, Coste-Beneficio, de Estudios y
Proyectos, Ministerio de Obras Públicas y Urbanismo,
1992)
The so-called “base year” (2005) to which all eco-
nomical study is referenced (cost and profit) is the year
where all comparisons are made.
On the other hand, the year in which the Works are
supposed to be under operation is 2008.
The discount rate for this study is 6%: a value that
makes Public Funds to be balanced in financial markets.
In order to evaluate the profitability of each alter-
native for every year, a cost-profit computation was
made followed by a comparison with the current state.
All monetary flows are updated according to the
parameters previously selected and justified.
The set of indicators available after the process are:
– Annual cost of every alternative: obtained as the dif-
ference between planned and current investment
operation and maintenance cost.
474
The most suitable alternative is the one that creates
the lowest impact on environment, both during con-
struction and operation.
Economical:
The most suitable alternative is related to the highest
profitability index.
Social and territorial:
The most suitable option should imply the lowest
flooding costs.
Weight selection has been done to prioritise the social
and territorial aspects, followed by environmental con-
siderations and economical factors.
The robustness study of the weights is performed by
trials of values between 0 and 1, in 0.1 increments, so
that the aggregated value is always equal to one.
5 CONCLUSIONS
The first analysis step was to define a set of alterna-
tives with a series of technical and legal prerequisites.
Once the analysis methodology had been applied to
choose the best or quasi-optimum alternative, the con-
struction of the flood control dam could be justified
because of its importance in diminishing flood dam-
ages, even despite environmental and social impacts.
The efficiency of the dam in reducing the peak flow
could be shown with numerous hydrographs with return
periods between 25 and 5000 years.
 In spite of the compliance with Spanish norms and
technical guides that oblige a dimensioning for long
return periods, the affectivity of the dam was decisive in
short return periods. Since flood costs were considered
relatively low but very probable, the risk evaluation
became quite favourable as a result of the optimisa-
tion of the dewatering conduits that minimized the out-
let flow and therefore flood risk and damage.
REFERENCES
Bowles D. et al. 2002. Dam safety decision-making: com-
bining engineering assessments with risk information.
Utah State University.
Bowles D. 2001. Evaluation and use of risk estimates in dam
safety decision-making. ASCE.
General Directorate of Hydraulic Works. 1996. Reglamento
Técnico sobre Seguridad de Presas y Embalses (Technical
Regulation on Dam and Reservoir Safety).
475
General Directorate of Hydraulic Works and Water Quality.
1997. Clasificación de presas en función del riesgo poten-
cial (Classification of dams due to its potential risk).
Gómez de Membrillera M., Escuder I., González J. &
Altarejos L. 2005. Aplicación del análisis de riesgos a la
seguridad de presas (Application of risk analysis to dam
safety). Editorial Universidad Politécnica de Valencia.
Hartford D.N.D. & Baecher G.B. 2004. Risk and uncertainty
in dam safety. Thomas Telford.
Hijós F.J. & Zueco M. 2004. Evaluación económica de los
impactos de las avenidas. El coste de la no planificación
(Economic assessment of flood impact. The cost of the
lack of planning). Revista Ingeniería y Territorio n°68,
p. 66–75.
Ministry of Justice and of the Interior. 1995. General Guide-
line on Civil Protection Planning for flood risk.
Spanish National Committee on Large Dams. 1997. Design
flood guidelines.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Small overtoppable earthdams as alternative for flood protection purposes

R. Siebel
Hydraulic Laboratory, Institute of Hydraulic Engineering, Universität Stuttgart, Germany

ABSTRACT: In Germany a big number of new flood retention reservoirs is mapped for the following decades
to obtain a sufficient protection against an increasing number of flood events. Due to environmental and land-
scape architectural reasons state authorities decide more and more to perform decentralised solutions what
means planning several small reservoirs for local flood control instead of one big dam, as due to a increased
ecological awareness of the population the big dams are considered as a too big impact on nature and life. Most
of the dams of those reservoirs are not provided with conventional concrete spillways anymore. Instead of that,
earthdams can be designed as partly or completely overtoppable for flood relief. An extensive experimental pro-
gramme on the stability of slope protection layers for the dam body has been carried out at the Institute of
Hydraulic Engineering at Universität Stuttgart resulting in design proposals for those protection layers.

1 INTRODUCTION the relatively flat slopes of the downstream face

Decentralised flood protection schemes with several
small reservoirs on the tributaries of bigger rivers are
specially advantageous in areas with a high density of
population like for example in the state of Baden-
Württemberg in South-Germany. There the topography
as well as a high number on villages does not allow a
big reservoir. Moreover, the increased ecological aware-
ness of the population makes it nearly impossible to
plan a big reservoir.
Furthermore, the villages on the tributaries of bigger
rivers can be protected against devastating floods
as well, if a small reservoir is planned upstream.
Depending on the local topography of the catchment
area it is even possible that the retention volume given
by nature can be utilised more effective than by one
big reservoir. The retention effect can be controlled
more elaborated definitely.
The dams of those reservoirs usually do have rela-
tively small heights of less than 10 m. Due to environ-
mental and landscape architectural reasons the dams
are not provided with usual concrete spillways but
they are designed partly or completely overtoppable.
As those overtoppable parts of the dams are often
vegetated, it is easily possible to integrate those dams
well in the natural environment.
Costs can be saved by the completion of an over-
toppable earthdam, as there is no elaborate concrete
structure to be built. Moreover, the freeboard can be
set aside, what results in a lower damheight and with
that in less construction material required. On the
other hand, it should be mentioned, that usually due to
(1:4–1:10), a larger surface area is required for the dam.
2 GENERAL
Without a sufficient protection of the overtoppable
part the dam would be eroded immediately starting at
the toe of the dam. Test that have been achieved at the
Institute of Hydraulic Engineering of Universität
Stuttgart have shown, that compacted clay soils start
to be eroded even at flowdepths of less than 10 mm
and flow velocities of less than 2 m/s. That erosion
effect even increases after occurrence of the first ero-
sion due to local high turbulences. A protection of the
soil by vegetation can not be considered as the vege-
tation loosens the soil and moreover a rooting out
would result in an even less advantageous situation.
Thus, it is necessary to protect the dam body by a
protection layer. Besides other construction types as
e.g. the open stone asphalt (Bieberstein et al. 2004) or
solidified soils (Westrich et al. 2003, 2004), which
will not be discussed within this paper, protection of
the soil can be achieved by aid of a layer of rocks
arranged on a filter layer. Those rocks can smoothly
be vegetated. In case of overtopping, the vegetation
layer will be eroded according to plan.
2.1 Construction types of overtoppable earthdams
Protection layers made of rocks can be designed as a
single-layer placing of regular or irregular stones or
as a multi-layer filling rockfill (the thickness dpl of the

477
Figure 1. Protection layer with placed stones (regular
shaped).
multi-layer rockfill should be at least twice of the
average stone diameter d50). To avoid too high flow
velocities underneath the protection layer, which cause
erosion of the dam body, both types of protection layers
should be arranged on a filter layer made of gravel or
geotextiles. The following paragraphs show advan-
tages and disadvantages of both construction types.
2.1.1 Placing of stones
Grouting of single-layer placed stones is achieved by
their proper setting, keeping the gaps between the
stones as small as possible. The stability of the pro-
tection layer is obtained by gravitation forces and grout-
ing forces between the single stones. To increase the
stability of the protection layer, the gaps between the
stones can be filled with lean concrete.
By using regular shaped stones, the roughness can
be decreased. This results in higher flow velocities,
lower flow depths and a higher energy dissipation at
the toe of the dam. For that reason, a protection e.g.
by sheet piling walls might be required.
2.1.2 Filling of loose stones
An alternative for the placed stones is the multi-layer
rockfill. Compared with the placed stones construction
type, this type is much easier to carry out, as not every
single stone has to be placed exactly on a correct pos-
ition. Thus, construction costs and time can be saved.
But the most important advantage compared with the
placed stones is the discharge through the protection
layer, depending on its void ratio. The thicker the pro-
tection layer is designed, the higher is the discharge
through it and with that the lower the discharge over it
is. As erosion can only occur by water flowing over the
protection layer, a higher discharge rate through the
protection layer can avoid erosion.
Because rockfills do have a high hydraulic rough-
ness, energy dissipates in case of overtopping mainly
on top of the protection layer. The critical energy dis-
sipation at the toe of the dam can be reduced by such
a relatively high roughness.
2.1.3 Geogrid-mattresses filled by stones
Erosion of the stones can be prevented by enclosing
them with an usual geogrid. Those so-called geogrid-
mattresses are quite cheap and can be handled easily
478
Figure 2. Multi-layer rockfill as protection layer.
on site. However, most geogrids are damageable by
ultraviolet radiation caused by sunlight. That means a
vegetation of constructions with geogrids is absolutely
mandatory.
For the construction of those mattresses, prefabri-
cated cages are recommended which can be delivered
to the site and be filled there with stones before the
top cover of the geogrid will be closed. Top and bot-
tom geogrid layer should be jointed in a punctiform
way to prevent internal dislocation of the stones. For
transport reasons as well as for reasons of handling
the cages on site, the size of those mattresses should
not exceed 2,5 m  2,5 m. The size of the mesh
should be as big as possible to guarantee a roughness
that can be compared with the roughness of the multi-
layer rockfill. However, it must be small enough that
even the smallest stone of the filling can not be
eroded through the mesh.
2.2 Failure scenarios of the protection layers
The safety of the whole dam construction mainly
depends on the stability of the protection layer. A fail-
ure of the protection layer unavoidably results in a
failure of the whole dam structure. Thus, it is absolutely
necessary to know the hydraulic processes while over-
topping and the failure scenarios of the protection
layers including their influencing parameters.
The loads on a rockfill spillway are very difficult
to determine, as the geometrical input parameters
weight and dimensions of the stones as well as their
forms and positions but also the resulting hydraulic
parameters flow velocity, flow depth and air entrain-
ment are all subject to a high fluctuation. For dimen-
sioning such a spillway, simplifications based on the
empirical analysis of experiments are required.
The hydraulic loads on the protection layer and its
single elements cause reactions which can result in
different failure scenarios like erosion of single elem-
ents, sliding or disruption of the protection layer (fig-
ure 3). Table 1 shows which failure scenario can occur
for which construction type of the protection layer.
Figure 3. Possible failure scenarios for protection layers on overtoppable earthdams (modified according to Westrich 1988).
Table 1. Possible failure scenarios for different construction
types of protection layers.
2.2.1 Sliding of the protection layer
The overtopping water exerts shear forces FS parallel
to the slope as well as uplift forces FA rectangular to
the slope on the protection layer. With an increasing
flow velocity, the shear forces FS increase as well as
qE, real erosion occurs, that results in the
the uplift forces FA. By increasing the uplift forces
FA, the friction force FF of the protection layer on the
filter layer decreases. When that friction force FF is
smaller than the sum of shear forces FS parallel to the
slope, the whole slope protection layer begins to slide.
Sliding can be avoided by retaining structures such
as sheet pile walls, retaining walls and others. Those
retaining structures must be dimensioned for the load-
ing case “sliding of the protection layer”. In order to
restrict forces on the retaining structure, they should be
arranged in regular distances on the downstream slope.
So-called self-supporting protection layers do not need
any retaining structure as even for the highest possible
discharge qmax the friction force FF is higher than the
shear force FS. That can be obtained by small slope
angles  as well as by small specific discharges q.
2.2.2 Erosion of single elements of the
protection layer
The single stones of protection layers are exposed to
highly fluctuating positive and negative hydrodynamic
pressures, which get higher with an increasing flow
velocity. If the resulting lifting forces FL of a single
stone become bigger than the gravitation force FG and
other retaining forces together, the stone gets eroded.
In case of a single-layer placing of stones such an
erosion should absolutely be avoided as thereby the
texture of the protection layer will be destroyed and
with that most probably the whole protection layer
itself. Indeed, in some experiments it could be
observed, that if one stone gets eroded neighbouring
479
stones take the affecting forces parallel to the slope
(Rathgeb 2001) but that can not be ensured in any
case. In fact, it must be assumed that the hole in the
protection layer leads to a zone of high turbulence and
with that to an increasing hydraulic load on the neigh-
bouring stones.
Erosion on multi-layer rockfills can be tolerated
until a certain degree as due to the multitude of pos-
sible stone sizes, forms and positions there are always
some stones on the top layer which can easily be
eroded even with relatively small specific discharges
q  qE. Those stones, which are normally unfavourable
located in the flow, get transferred into a stable state
of equilibrium and stay in that position if the dis-
charge does not increase. From a certain specific dis-
charge q
failure of the slope protection layer. In this case the
forces affecting on a big number of stones are too
high to keep the stones in a stable position. They will
be eroded to the toe of the dam. Moreover, the first
eroded stones can cause a chain reaction in which
other stones get displaced from their positions. It
could be watched that such an erosion process results
in erosion channels in which the discharge concen-
trates, what even increases erosion.
2.2.3 Disruption of the protection layer
The cause for a disruption failure are extreme high
accumulated shear forces FS and uplift forces FA
directly above a retaining structure which prevents slid-
ing of the protection layer. Disruption can be avoided
by a small distance between the retaining structures.
This failure scenario can only occur on single-layer
placed stones with a regular shape on non self-
supporting protection layers.
3 DIMENSIONING OF THE PROTECTION
LAYERS
The following paragraphs do only outline the failure
scenarios sliding of the protection layer and erosion
of single elements on multi-layer rockfills. The design
proposals therefore base on large-scale model tests
which have been performed at the Institute of Hydraulic
Engineering of the Universität Stuttgart within the years
2001 to 2005. Protection layers designed as single-layer
placed stones are not topic of this paper. More infor-
mation about that construction type can be found in
Rathgeb 2001 as well as Westrich & Rathgeb 1998,
2002.
3.1 Sliding of the protection layer
The experiments have been performed in a 7,2 m long
and 1,5 m wide flume whose slope could be adjusted
from 1:26 to nearly 1:3. To detect the forces of the
overtopping flow on the protection layer most exactly,
a multitude of rollers have been installed in the bot-
tom of the flume as shown in figure 4. A multi-layer
rockfill, enclosed in a geogrid and placed on top of a
thin metal sheet, could be applied on those rollers
almost without any friction. Two load cells which
were installed in the bottom end of the flume pre-
vented the protection layer rolling downwards. By aid
of those load cells also the forces parallel to the slope
were measured. Moreover the flow depth was meas-
ured. Therefore, pressure gauges have been installed
in the sidewall of the flume.
For the experiments both, the thickness dpl (25 cm
and 40 cm) as well as the length L (2 m and 4 m)
of the protection layer was varied. For the protection
layer class II stones have been used, according to the
german standard TLW 2003 (diameter of the stones
from ds
10 cm to ds
25 cm, respectively weights
between ms
2, 5 kg and ms
16, 0 kg). The specific
discharges overtopping the protection layer were rang-
ing up to q
350 l /sm.
3.1.1 Calculation of the flow through the
protection layer
Different from the placed stones protection layers, usu-
ally featuring a quite small void ratio n which in add-
ition often gets filled with lean concrete, rockfill
spillways dispose of a big void ratio, resulting in
significant portions of the discharge q flowing through
the protection layer.
Those flows through the protection layers are for
the considered slopes from 1:3 to 1:10 and stone sizes
between d50
8 cm (class 0, according to TLW 2003)
Figure 4. Rollers construction for the experiments on sliding
of the protection layer.
480
and d50
60 cm (class V) always highly turbulent
with Reynolds numbers Re for filters of:
(1)
where vpl is the flow velocity within the protection
layer, d50 is the average stone diameter and  is the
kinematic viscosity.
A determination of the discharge qpl flowing
through the protection layer by aid of Darcy’s filter
law is not possible, as this is only valid for Reynolds
numbers Re  1 (roughly). The number of investiga-
tions on this topic is quite small. Most of the authors
(e.g. Martins 1990, Abt et al. 1991) use a modified
Darcy-Weisbach equation including a friction coeffi-
cient pl obtained from model tests. The Darcy-
Weisbach approach was also used for the calculations
which have been faced with the measurements as
shown in figure 5.
The discharge qpl through the protection layer was
calculated by the following equation:
(2)
with the empirical compensation coefficient  for
0,04  tan   0,33 according to Westrich et al. 2004,
in []
(3)
the friction coefficient pl according to Martins 1990,
in []
(4)
and the hydraulic radius rhy,pl within the protection
layer according to Westrich et al. 2003, in [m]
Figure 5. Facing of calculated and measured values of qpl.
 (5)
where in (2), (3), (4) and (5) n is the void ratio, dpl is
the thickness of the protection layer,  is the slope
angle of the protection layer and d10, d50 and d60 are
the stone diameters at 10%, 50% and 60% of the
stone size distribution curve.
Figure 5 shows, considering the achievable accuracy
of the performed measurements, a good accordance
of the measured and the calculated values, whereas
the calculated values according to Martins 1990 and
Abt et al. 1991 definitely underestimated the dis-
charge qpl through the protection layer.
3.1.2 Determination of the flow depth y
The flow depth y depends on a multitude of geomet-
rical parameters. Thereby the slope angle  of the pro-
tection layer is very important but also the roughness k
respectively the relative roughness y/k, which depends
from the size of the stones. Due to the low relative
roughness y/k (where according to TLW 2003, k 
0,5 d50
40  300 mm for stones of class 0 – V)
the use of the Manning’s equation for the calculation of
the flow depth y is not advisable as the Strickler’s coef-
ficient kst can not be considered constant, what is spe-
cially the case for a low relative roughness y/k. Thus,
the uncertainty in the value for Strickler’s coefficient kst
does not allow a reliable estimation of the flow depth y.
A big number of authors (e.g. Keulegan 1938)
dealt with the characterisation of the roughness, most
of them within the scope of investigations on steep
sloped rivers in mountainous areas. Also here the
Darcy-Weisbach equation was the basis for the calcu-
lation, whereas the determination of the friction coef-
ficients  based on model tests on placed stones as
well as on rockfills, were the major task.
Generally, the determination of the friction coeffi-
cient  must be considered as dubiously for small
flow depths y of less than 10 cm, as the development
of a logarithmic flow velocity profile which is basis
of the Darcy-Weisbach equation is not very likely. As
this approach turned out to be feasible and the inac-
curacy occurring by using it is quite small, the Darcy-
Weisbach equation nevertheless was chosen.
The flow depth y can be determined in an iterative
process if the discharge qpl through the protection layer
is known. First a flow depth y needs to be estimated,
and with that, the specific discharge q can be calcu-
lated and compared with the given value.
(6)
where  is the air content parameter according to
Scheuerlein 1968, in []
481
(7)
v is the average flow velocity on top of the protection
layer, in [m/s]
(8)
and  is the friction coefficient according to
Scheuerlein 1968, in []
(9)
In (7)–(9) wa is the density of the water air mixture,
w is the density of the water, k is the hydraulic rough-
ness of the protection layer, kmax is the distance of the
averaged top of stones to the plane of lowest void
fraction (in general kmax  0,8 ÷ 1,0 d50) and N is
the number of stones in one square meter of the top
stones of the protection layer.
3.1.3 Calculation of the forces and the safety
against sliding
Measurements have shown that the shear forces FS due
to the flow through and over the protection layer do
only consist of the components parallel to the slope of
the weight Gsx of the stones, the weight Gwplx of the
water between the stones and the weight Gwx of the
waterbody on top of the protection layer as shown in
figure 6. Forces basing on high fluctuating hydrody-
namic pressures as they occur on protection layers
designed with placed stones could not be detected here.
The reason for that is on the one hand, the lower flow
velocity due to the higher roughness compared to the
placed stones and on the other hand, the fact that neg-
ative and positive hydrodynamic pressures compen-
sate as a sum of all the stones of the protection layer.
Figure 7 shows a comparison of the calculated and the
measured values of the forces parallel to the slope.
Figure 6. Forces affecting the protection layer.
Figure 7. Ratio Fcalc/Fmeas of the forces parallel to the slope
plotted versus specific discharges q for different slope
angles  (thickness dpl
40 cm and length L
4 m).
For the calculation of Fcalc, the following forces
have been considered:
(10)
(11)
(12)
The calculated values of the forces Fcalc for discharges
q
100 l /sm are always higher than the measured
ones (ratio Fcalc/Fmeas mostly between 1,0 and 1,1) what
can be seen in figure 7. For the dimensioning this
means an extra safety. Depending on the slope, the
range up to 120 l /sm is affected by very high discharges
through the protection layer. That is the reason why
some of the values Fcalc/Fmeas within this range are
smaller than 1,0. For the practical use, where the pro-
tection layers are designed for the highest possible spe-
cific discharge q, usually this range is not interesting.
The safety against sliding can finally be calculated
as follows:
(13)
For an arrangement of the protection layer on a filter
layer the friction angle  can be estimated between

30° ÷ 35°. However, this should be verified in
every single case.
3.2 Erosion of single elements
The experiments concerning the erosion of single elem-
ents of the protection layer were performed in the
same flume as mentioned above. Therefore, a thin
482
Figure 8. Specific erosion rates for different discharges qo
and time periods (slope 1:6, dpl
16 cm).
layer of concrete has been placed on the bottom of the
flume in which some single stones have been pressed
as long as that was not hardened yet. Therewith it
could be guaranteed that no sliding of the subse-
quently installed 16 cm thick protection layer can
occur.
Due to just a very low erosion rate, first tests on
erosion of the single elements with stones of the class
II (d50  18 cm) did not lead to satisfactory results, so
that some more tests with smaller stones of the class
0 (d50  8 cm) have been performed.
The experiments were carried out three times for dif-
ferent specific discharges q and different slope angles
. In addition, time was one of the input parameters
as the mass of the eroded stones has been determined
within the corresponding time window after 5, 15, 30
and 50 minutes duration of the experiments.
3.2.1 Results of the experiments
The objective of the experiments was to work out a
procedure which allows to calculate the required ero-
sion resistant stone diameter ds,req for the protection
layer for a given slope angle  and a given specific
discharge q.
As already mentioned in chapter 2.2.2, for rockfill
spillways a so-called “initial erosion”, which occurs
for q  qE , can be tolerated. Here, qE means the spe-
cific discharge for the real erosion. Figure 8 clearly
indicates those initial erosions for different specific
discharges q. The reason for the blue and the green
curve ending after 22,5 minutes respectively 40 min-
utes, is the development of distinct erosion channels,
in which the flow concentrated in, whereas the other
stones were not, or just very little exposed to the flow
anymore. Thus, no material could be eroded anymore
and the erosion was disrupted completely. In reality,
the dam body would have been bared and the dam
most probably would have failed.
For the practical reference of the experiments to
the reality, it needs to be resolved what the maximum
 Table 2. Maximum permissible specific discharges qo,max
and stone diameters ds,er.

Figure 9. Eroded masses mE for different specific discharges

qo and different slopes.

permissible erosion rate is and how it is defined.

Therefore, carrying out the experiments, a value mE,max
was defined, for which the above mentioned develop-
ment of erosion channels after 50 minutes could be
watched. For the performed experiments this value
amounted mE,max
6 kg/m2 (Kleiner 2005). In figure
9, this value is shown as a dotted line.

3.2.2 Design proposal

According to figure 9 the maximum permissible dis-
charges qo,max were determined. Moreover, by weigh-
ing the eroded stones, the average stone diameter ds,er Figure 10. Erosion-critical stone-referred Froude numbers
of the eroded stones could be identified as the density Frs,er plotted versus the slope. Comparison of own values
of the stones was known. Table 2 shows the most with the values of other authors.
important values obtained from the experiments.
By implementing the erosion-critical stone-referred for multi-layer rockfill protection layers can be indi-
Froude number Frs,er, the results of the measurements cated as follows (according to Kleiner 2005):
can be presented in a dimensionless way and moreover,
independent of the density of the stones, as shown in
figure 10. (16)

(14)
By aid of in such a way determined values for the ero-
sion-critical stone-referred Froude numbers Frs,er, an
adapted empirical equation could be identified, which
is shown below in figure 10 together with the results
of other authors, who dealt with this or a similar topic.
The adapted empirical equation reads as follows:
(15)
After solving the equation for ds,er and after implemen-
tation of a safety factor 
1,6, the design formula
Thereby, ds,er was equated with the average stone
diameter d50 and qo,max was equated with the specific
design discharge q. Choosing an appropriate stone
size class according to TLW 2003, it always should be
considered the next in size. The overflowing dis-
charge qo
q – qpl instead of q may only be inserted, if
a blockage of the voids (e.g. by leaves or soil material)
of the protection layer can be avoided permanently.
4 CONCLUSION
Important questions about the design and dimensioning
of protection layers on overtoppable earthdams could
be answered by aid of the performed investigations. A
part of the presented results were incorporated in
guidelines about the design of overtoppable earthdams,

483
published from the State Institute for Environmental
Protection Baden-Württemberg in 2004. Since that
time, it is already in practical use.
However, there is a need for some additional inves-
tigations on e.g. the determination of the discharge
flowing through the stones or the air entrainment of the
flow. Also the design proposal for the erosion on single
elements should be worked out a bit more detailed.
Some new experiments on that will be performed soon.
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structions for overtoppable dams of flood retention reser-
voirs and testing of investigation methods for the
assessment on dam safety (in german)”, Final report of
the BWPLUS-research project BWC 20004
WESTRICH, B. et al. (2004): “New nature-orientated con-
structions for overtoppable dams of flood retention reser-
voirs (in german)”, Final report of the BWPLUS-research
project BWT 22005
WESTRICH, B. & RATHGEB, A. (1998): “Hydrodynamic
loading and stability of rockfill spillways”. In: Proceedings
Vol. 2, Congress of the International Commission on
Large Dams (ICOLD), Barcelona, pp. 1171–1178
WESTRICH, B. & RATHGEB, A. (2002): “Hydrodynamic
and geotechnical design approaches for flood protection
dams and dykes (in german)”, Proceedings of the 12.
Danube-European Conference, Deutsche Gesellschaft für
Geotechnik, Passau, 2002, pp. 201–206
WESTRICH, B. (1988): “Spillways, basic principles for the
hydraulic design and the dimensioning of side spillways
and overtoppable earthdams (in german)”. In:
Wasserwirtschaft 78, issue 1, pp. 20–23
WHITTAKER, J. & JÄGGI, M. (1986): “Sill beams (in ger-
man)”. Mitteilungen no. 91, Laboratory of Hydraulics,
Hydrology and Glaciology, ETH Zürich
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Evolution of groundwater quality around dam-site and its significance

Song Han-zhou
Faculty of Civil Engineering, Hohai University, Nanjing, China

Huang Jian-fu
Qidong Water Conservancy Engineering LTD., Jiangsu Nantong, China

ABSTRACT: After impounding, the physico-chemical interaction between liquid-solid phases series within
the seepage field around the dam-site tended to be intensified largely due to man-made engineering activities. As
a result, the groundwater quality varied greatly within the field. In this paper, taking Xin’an Jiang Hydropower
Station in P.R.China as an example, the basic characteristics of groundwater quality around the dam-site are
analyzed in detail. The focus is placed on (1) variation of pH value; (2) variation of constituents, such as ions,
compounds, colloids, organic materials and others; and (3) variation of water quality types. It is shown that some
special water quality types formed, which reflect the dam engineering having an important effect on the ground-
water regime. The evolution of groundwater quality around the dam-site has atleast the following significance,
i.e. revealing the interaction between liquid and solid phases series involved, the seepage behavior, and the anti-
seepage effect of grouting-curtain under the dam foundation. Obviously, the groundwater quality is monitored
regularly, which is useful for dam safety operation.

1 INTRODUCTION above, but also for obtaining important information for

After impounding, the great changes of water envi-
ronment around a dam-site have taken place, and as a
result the seepage field was produced and evolved.
Within the field, some problems with the dam founda-
tion may occur, such as the measured value of uplift
pressure being beyond the designed one, elutes with
different colors and constituents occurring around some
drainage boreholes, and others. It is known that these
problems are found in lots of hydropower stations
(Tang,1995). Obviously, these will have an important
influence on the dam’ operation for safety.
It is well known that groundwater is a kind of special
solution. Its formation and evolution are not only
related to the geological and hydrogeological environ-
ment concerned, but related to man-made engineering
involved as well. In this paper, the basic characteristics
of groundwater quality are studied in a detail, taken
Xin’an Jiang Hydropower station as an example,
which is located in the southern port of P.R.China.
Additionally, its tracing significance is reveled, with
regard to the processes of the formation and evolution
of the groundwater quality concerned. Obviously, it is
useful not only for studying the problems mentioned
steps to be taken.
2 ENGINEERING AND GEOLOGICAL
ENVIRONMENT SETTING
Xin’an Jiang Hydropower station is located in sub-
tropical area of Zejiang province. The dam-site is in a
narrow valley. With the height of 105 m, the dam is a
typical of concrete gravity dam with the wide joint. It is
composed of 26 dam sections, of which dam section
06 is nearby the right of the river bed, 716 in the
river bed, while 1725 nearby the left.
The strata around and under the dam foundation
comprise a series of steep dipping (6080°) sediments
of Devonian, including sandstone with various grains,
located within 725 dam sections, and quartz sand-
stone with the interbedding of shale, located within
06 dam sections. As to shale sandwich, it is usually a
few centimeters thick, the maximum thickness up to
2.5 m (sh1sh2), of which the organic materials are
about 57%.
A monocline structure, striking NESW, has pro-
duced southeasterly dipping strata. As a result, various

485
discontinuities were developed quite. Fault F0 and F1
were found in dam sections 06, and besides the bed-
ding planes and shear fissures, tension cracks were dis-
tributed widely. Therefore, the rock masses within the
area are usually of fissured media.
According to monitoring data during the period of
operation, the reservoir water of upstream is a major
source to the groundwater of the dam foundation, while
the groundwater in the right and left bank also receives
the recharge from the slope water.
3 CHARACTERS OF GROUNDWATER
QUALITY EVOLUTION
The major characteristics of the groundwater under
the dam foundation and of surface water of the reser-
voir are summarized as in table 1. Compared with its
recharge source, the evolution of the groundwater
quality has taken place greatly. It could be identified as
following aspects.
1. The pH value of the groundwater varies greatly, as
shown in table 1. It ranges from 6.32 to 11.55, of
which the groundwater within the right bank of the
dam, i.e. G2-3G5-5, was weak-acidic, while the
groundwater within the bed and the lift bank of the
dam, i.e. G6-4G24-1, was alkaline.
2. The variation of water chemical type is significant.
As to the surface water of the reservoir, the water
quality type was HCO3-Ca from shallow to deep
water layering. Compared with the surface water,
the groundwater quality type varies obviously.
According to statistics, there are 20 water quality
monitoring points. Among them, 10 points were of
HCO3-Ca Mg, about 50%; while 5 points were of
HCO3-Ca, about 25%, similar to the surface water As
to other 5 points, it varies from point to point, i.e.
at G3-2 of HCO3-Na Ca, at G5-5 of HCO3-
Na Ca Mg, at G12-6 of HCO3 CO3-Ca, at G23-
5 of CO3-Na Ca and at G24-1 of CO3 OH-Na. It
should be mentioned that the latter two water quality
types occur rarely under the pure natural condition.
3. The components of groundwater solution in exis-
tence and their content vary largely. In addition to
table 1, the groundwater under the dam foundation
also contains some variable valent elements, such as
TFe (Fe2  Fe3), TMn (Mn2  Mn4). The for-
mer in content usually was from 0.12 to 1.36 mg/L,
while the latter between 0.02 and 2.72 mg/L. In
addition to corrosive CO2 shown in table 1, H2S

Table 1. Statistics of water quality characteristics around dam-site.

Soluble Corrosive
NaK Ca2 Mg2 HCO3 CO32 SO42 SiO2 CO2 TDS

Sampling pH /mmol L1 /mg.L1 /g.L1

Surface 7.89 0.159 0.294 0.076 0.730 0.073 4.07 1.40 0.050
50 m deep 7.38 0.157 0.332 0.074 0.775 0.073 5.62 3.72 0.052
G2-3 6.73 0.215 0.326 0.160 0.999 0.067 7.97 15.40 0.062
G3-2 6.32 0.232 0.174 0.070 0.534 0.065 4.70 21.12 0.039
G4-4 6.84 0.218 0.308 0.069 0.691 0.064 6.79 15.18 0.052
G5-5 6.45 0.308 0.261 0.151 0.912 0.073 4.15 27.72 0.059
G6-4 7.94 0.210 0.486 0.153 1.481 0.037 6.25 1.32 0.075
G7-4 7.39 0.225 0.639 0.315 1.826 0.078 9.18 2.86 0.105
G9-3 8.16 0.282 0.419 0.270 1.484 0.055 7.04 0.083
G11-5 8.46 0.343 0.388 0.168 1.221 0.029 0.100 13.75 0.078
G12-6 9.46 0.240 0.382 0.099 0.614 0.208 0.052 15.93 0.062
G13-5 8.81 0.257 0.481 0.178 1.239 0.067 0.059 9.85 0.080
G14-6 9.01 0.248 0.430 0.131 0.875 0.106 0.095 9.56 0.071
G15-6 8.97 0.220 0.457 0.200 1.095 0.088 0.086 9.31 0.077
G16-6 8.40 0.182 0.503 0.363 1.707 0.019 0.049 7.88 0.094
G17-2 8.66 0.234 0.420 0.311 1.394 0.044 0.055 7.63 0.083
G19-8 8.49 0.158 0.441 0.360 1.590 0.024 0.041 8.97 0.088
G20-4 8.96 0.167 0.372 0.232 1.024 0.094 0.064 7.59 0.070
G21-4 8.18 0.194 0.391 0.247 1.175 0.007 0.077 10.23 0.072
G22-5 8.69 0.187 0.351 0.213 1.073 0.024 0.063 11.45 0.066
G23-5 9.93 0.542 0.173 0.043 0.170 0.230 0.114 13.79 0.053
G24-1 11.55 5.217 0.670 0.108 0.182 1.237 0.104 11.28 0.297

Notice: G2-3means dam section 2 and drainage borehole 3 in the table.

486
 occur in the groundwater from some drainage
boreholes and the maximum value was up to
4.0 mg/L, which means the groundwater environ-
ment being tended to be reduced one. Furthermore,
some substances of the groundwater in colloid also
occur and as a result, some eluates with different
colors were developed around some drainage bore-
holes. After sampling and analyzing, it is demon-
strated that the eluates with different color had
different major components, i.e. one with brown-red
color having oxidized iron, one with black color
having oxidized manganese, and one with white
color having carbonate, as shown in table 2. By XRD
test in Lab., the former two eluates usually have no
obvious diffraction peaks and thus has no crystal-
lized substance, whereas the latter often has obvious
diffraction peaks and contains some crystallized
carbonate substance. As to formation, this crystal-
lized substance was produced by CaO → CaCO3
under the oxidized environment. The research shows
that some substances such as colloids, accompa-
nied with groundwater flow to the top of boreholes,
evolved into eluates largely due to the great change
of water environment (Song et al,1997).
4 TRACING SIGNIFICANCE OF
GROUNDWATER QUALITY EVOLUTION
4.1 Reveling interaction between water and rocks
If the interaction between water and rocks is thought to
be in relative equilibrium state before impounding, this
state tends to be broken. This is because of (1) the
variation of groundwater environment under the dam
foundation, i.e. from oxidized into reduced one, (2)
variation of water quality as an important recharge
source, meaning surface water, and (3) unusual seepage
field produced by head difference between the upstream
and downstream levels. Consequently, the physico-
chemical interaction between water and rocks tends to
be intensified largely after impounding.
It is known from table 1 that the groundwater was
acidic within dam sections 25. It is believed that
this kind of water quality was mainly resultant from the
oxidation and decomposition of the organic sub-
stances in shale layers. The reaction could be
described as
As a result, water quality concerned tends to be
acidic, and on the other hand, the content of CO2 dis-
solved increases significantly, even beyond one as its
recharge source and becomes carbonate corrosive
water.
The local groundwater (G3-2) tends to be acidic
obviously, i.e. pH  6.5, and makes some weak-acidic
contained with the following reaction
HCO3 H → CO2H2O
As a result, the content of CO2 increases, while the
further acidification of the groundwater tends to be
rest, and on the other hand, the content of HCO3
decreases, even lower than that as its recharge source.
Silicate and alumo-silicate minerals are major
rock-formation ones in nature. When contacted with
water, their hydrolysis is quite slow, but acidic water
may speed it. Consequently, some cations near the crys-
tallized surface, such as Na, K, Ca2, Mg2 and
others, are easily replaced by H from solution.
Taking albite as an example (Freeze,et al, 1989), the
following reaction could take place
In the process of decomposition of minerals-
mentioned above, most of SiO2 occur, including Al2O3,
as colloids by leaching. It is confirmed by checking out
of silica and aluminum from eluates, as shown in table 2.

Table 2. Statistics of eluate components from groundwater under dam foundation (%).

Sampling SiO2 Al2O3 Fe2O3 CaO MgO MnO LOI Color

G3-2 4.20 1.86 66.00 0.79 0.76 26.00 Brown-red

G4-6 4.00 1.17 75.90 0.36 0.06 19.20
G7-4 0.85 0.27 0.54 41.01 1.36 0.27 36.68 White
G20-8 1.62 1.42 0.44 47.12 1.47 0.83 41.58
P1-6-6 7.20 0.66 51.04 1.78 12.51 24.00 Black
P3-15-1 10.61 9.59 22.49 7.29 17.1 24.34

487
Obviously, this phenomenon will have effect on rock values higher than those in the first sub-area; and (3)
masses’ strength and their stability. most of water chemical types being different from those
in the first sub-area. Thus this kind of water quality
reflects that the groundwater regime was relatively not
4.2 Reveling seepage behavior
active, and the water environment under the reduced
As one of factors in groundwater regime, water quality condition. In fact, some special dissolved gas, such as
can be used to analyze the seepage behavior within the H2S, had been checked out within this sub-area.
area. The third sub-area is located in the left bank, i.e. dam
According to the distribution of groundwater quality section 24, in where no drainage rate was recorded, as
as shown in table 1, the total dam-site may fall into three shown in table 3. The water quality characteristics could
sub-areas. The first one is in dam sections 26, the sec- be summarized as (1) higher alkalization, i.e. pH

ond in dam sections 723, and third in dam section 24. 11.0; and (2) TDS value much higher that as its recharge
The first sub-area is located in the right bank of the source. Therefore, it is inferred that the groundwater
bed. As mentioned above, the groundwater within this regime within this sub-area was quite not active.
area tends to be acidic, and contains relatively rich CO2,
with lower TDS value. This kind of water quality reveals
4.3 Revealing the anti-seepage effect and its
that the groundwater regime seems to be quite active. It
time-variance
is true from table 3 that the drainage rate from boreholes
behind the curtain-grouting within this sub-area was From table 1, it is known that the surface water of the
over 50% of the total flow rate, although the number of upstream was of dissolved corrosive water, whereas the
the dam sections is only about 21.74% of the total. local groundwater under the dam foundation was of
The second sub-area is located in the area from the compound corrosive water. For instance, the ground-
bed to the left bank, in which the number of the dam water at G3-2 and G5-5 was of acidic and carbonate
sections is about 70% of the total, shown in table 3. corrosion, addition to dissolved corrosion. While the
However, the drainage rate from this sub-area was lower groundwater with this chemical property contacts with
than 50% of the total flow rate. There were 14 points of the curtain-grouting, hydrolysis would take place. As a
water quality for monitoring. The general water quality result, some product, such as Ca(OH)2, would be
characteristics in this area could be summarized as (1) decomposed and transported with flow. Generally, the
obvious alkalization, i.e. pH
8.169.93; (2) TDS hydrolysis of like Ca(OH)2 was quite slow, and thus

Table 3. Statistics of flow rates within sub-domain in different years (m3/d).

Year 1992 1993 1994 1995 1996 1997 1998 1999

Sub-area

I 26 dam section % 44.12 39.74 45.35 45.55 42.20 40.41 48.46 44.73
54.98 52.02 56.72 57.60 59.15 60.39 63.02 60.87
II 723dam section % 36.13 36.65 34.61 33.53 29.14 26.51 28.26 28.76
45.02 47.98 43.28 42.40 40.85 39.61 36.98 39.13
III 24 dam section % 0 0 0 0 0 0 0 0
0 0 0 0 0 0 0

6
5
4
3
SI

2
1
0
G2-3
G3-2
G4-
G5-
G6-4
G7-4
G9-3
G1-5
G12-6
G13-5
G14-6
G15-6
G16-

G17-2
G19-8
G20-4
G21-4
G2-5
G23-5
G24-1

Samplin g

Figure 1. SI profile along the dam axis.

488
strong alkaline water would be evolved under the poor
flow condition, while acidic water evolved under the
good flow condition. Therefore, the pH value of the
groundwater behind the curtain-grouting could be
used as an index to identify what the flow behavior is.
From table 1, it could be deduced that the anti-seepage
effect of the curtain-grouting of dam sections 26 was
poor, while that of the other dam sections good. Table 3
confirms this.
As contained in discontinuities of the rock was rare
on the basis of the geological data at the reconnais-
sance stage, and thus the carbonate substances of the
groundwater concerned were believed to be mainly
from the hydrolysis of some products like Ca(OH)2
from curtain grouting. In fact, elutes in white color
occurred major in the grouting gallery, of which the
main component was CaO. In this case, the state of
interaction between water and carbonate materials,
usually with saturation index (SI) (Shen,1989), might
be used to reflect the anti-seepage effect of the curtain
grouting. Obviously, the poor hydrodynamic condition
is suitable for saturation of the solution, while the good
hydrodynamic condition is unsuitable for saturation, as
shown in figure 1.
It is demonstrated from figure 1 that SI value of the
groundwater solution with dam sections 26 is smaller
than 1, even some of which is much smaller than 1.0,
meaning that the groundwater solution concerned is
under unsaturated state, even far from saturation locally.
It could be inferred that the anti-seepage effect of the
curtain grouting of dam sections 26 was poor, and
some product like Ca(OH)2 from the curtain grouting
would be still under chemical corrosion. As to other
dam sections, of the total, SI at 10 monitoring points
is smaller than 1.0, while at other 5 points SI
1.0.
Generally, SI values at G7-4G24-1 are mostly bigger
than those at G2-3G6-4, meaning that the state of
interaction between water and carbonate materials
within the second and third sub-area, corresponding to
G7-4G24-1, is near or even over saturated state.
Therefore, it could be concluded that the anti-seepage
effect of the curtain grouting within the bed and the
left bank is better than that of the curtain grouting
within the right bank of the bed.
489
5 CONCLUSION
– After impounding, the physico-chemical interaction
between liquid and solid phases tends to be intensi-
fied, and as a result groundwater quality varies sig-
nificantly. In this case study, it is demonstrated as (1)
variation of pH value; (2) variation of components
dissolved and their content; and (3) variation of
water chemical types. As to the latter, some partic-
ular types occur, which are resultant greatly from
alkalization of water quality, even strong alkaliza-
tion (Mason 1990). It may be inferred that that
man-made engineering has an important effect on
groundwater quality evolution.
– The activities of man-made engineering have differ-
ent effects on water quality evolution. They could be
identified as (1) direct; and (2) indirect. The former
means some substances from engineering itself into
groundwater solution through some complicated
physico-chemical reaction, while the latter means
the variation of water quality caused by the varia-
tion of flow regime within the region.
– The evolution of groundwater quality would have at
least the following information, i.e. reveling the
interaction between water and rocks, reflecting the
seepage behavior, and demonstrating the anti-seep-
age effect of the curtain grouting and its time- vari-
ance. Obviously, the analysis of the groundwater
quality evolution will help us to reveal the mecha-
nisms of some geological phenomena, and get
important information for remedial steps to be taken.
REFERENCES
Tang, S.T., Analysis of some problems concerned with dam’s
safety(J), Dam and Safety (in Chinese), 1995, (1): 17
Song, H.Z. and Shi, X.J., Influence of eluates around dam
sites on seepage stability(J), Chinese Journal of
Geotechnical Engineering, 1997,19 (5): 1419
Freeze, R.A. and Cherry, T.A., Groundwater [M], Engle-
wood Cliffs, N. J., Prentice Hall, 1989
Shen, Z.L., General Hydrogeochemistry (in Chinese) [M],
Beijing, Geological Press, 1993
Mason, P.J., The effects of aggressive water on dam concrete
[J], Water Power & Dam Construction, May 1990
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Deformation behavior analysis of Concrete-Faced Rockfill dam based on

monitoring data

Deok-Joong Yoon, Young-Chul Song & Gi-Sung Pang

Structural Engineering Laboratory, Korea Electric Power Research Institute, South Korea

In-Suck Kim
Cheongsong construction office, Korea Western Power Co., Ltd., South Korea

Myoung-Soo Won & You-Seong Kim

Department of Civil Engineering, Chonbuk National University, South Korea

ABSTRACT: In this study, the relationship between rockfill modulus and the internal settlement during the
construction, earth pressure distribution, and the deformation behavior at perimeter joint in relation to the
increase of reservoir water level were analyzed on bases of data measured multi-layer settlement, earth pressure,
and perimetric joint movement during the construction of dam embankment and the reservoir filling at CFRD
type’s Pumped-Storage Power Cheongsong Dam located in Cheongsong-Gun, Gyeongsangbuk-Do, South
Korea. The examination of vertical earth pressure distribution inside the dam embankment using earth pressure
ratio shows that the earth pressure ratio at the dam’s center appear relatively lower than the earth pressure ratios
at the upstream and downstream slopes, signifying that stress reduction is relatively larger at the dam’s center
than at the upstream and downstream slopes. The extent of the internal settlement computed using rockfill mod-
ulus during the construction appears similar to measured data at the top and bottom of the dam; however, the
computed settlement at the mid-section of the dam’s height appears ten times larger than the measured data. The
method of deciding the modulus using unconfined compressive strength of rockfill material and the particle
diameter equivalent to 80 percent passing at a particle size distribution curve is found useful. Additionally, the
maximum perimetric joint movement occurred during the first reservoir filling period at lower Cheongsong
Dam’s perimeter joint was 3.79 mm, indicating that there is little possibility of leakage occurring at this section.

1 INTRODUCTION long. Its construction started in January 2002 and

A rockfill dam rendered watertight using concrete slabs
on the upstream slope surface is called a Concrete
Face Rockfill Dam (CFRD). The first CFRD ever
built was the Morena Dam, which stands 54 m tall and
was constructed in California, USA in 1895. J. Barry
Cooke has been credited with pioneering CFRD type
of construction. The first CFRD designed and built in
South Korea is Dongbok Dam, a 45 m high dam con-
structed in 1985. CFRDs constructed during the past
twenty years in Korea are as shown in Table 1. Among
the CFRD shown in Table 1, this study focuses on
Cheongsong Dam. Since Cheongsong Dam is a
pumped storage power generation dam, it is divided
into upper and lower dams. Cheongsong Dam is located
in Cheongsong-Gun, Gyeongsangbuk-Do, South Korea.
The upper dam is 97 m high and its crest is 400 m
anticipates completion in March, 2006. Its concrete
face slab was completed in late October, 2005, and
preparation for the first reservoir water filling is
under way at present. Additionally, the lower dam
with 66 m high and dam crest length of 291 m was
completed and the first reservoir filling is under way
as of July 4, 2004. On November 30, 2005, its reser-
voir level was measured at E.L. 256.3 m (L.W.L.: EL.
247.9 m; H.W.L.: EL. 264 m). Based on the multi-layer
settlement and earth pressure data measured during
and after the dam’s construction, this study examines;
the modulus and settlement relation during construc-
tion, and distribution characteristic of settlement and
earth pressure. In addition, in the lower dam’s case
perimetric jointmeter was used to analyze if the water
loading caused by reservoir water filling affects on
the deformation behavior at the perimeter joint.

491
 Table 1. The list of CFRDs constructed in Korea (Park et al., 2005).

Slope Face Rockfill Reservoir

Height Face Slab Reinforcement Plinth area Rockfill volume capacity
Name (m) Purposea Year Upstream Downstream Thickness each way (%) width (m) (103 m2) type (106 m3) (106 m3)

Buan 50 W, F, P, I 1996 1.4 1.4 0.3  0.0034 H 0.4 3 18.2 Rhyolite 614 41.5
Cheongsong 66 P 2005 1.4 1.4 0.3  0.003 H 0.4 46 19.6 Granite 782 9.29
(Lower)
Cheongsong 97 P 2006 1.4 1.4 0.3  0.003 H 0.4 46 34.4 Green 2143 7.5
(Upper) Sandstone
Daegok 52 W 2005 1.4 1.8 0.3 0.4 45 10 Granite, 528 28.5
Shale
Dongbok 44.7 W 1985 1.5 1.5 0.3  0.008 H 0.5 35 7 Andesite 420 99.5
Miryang 89 W, F, P, I 2001 1.4 1.4 0.3  0.003 H 0.45 58 54 Andesite 3943 73.6
Namgang 34 W, F, P, I 1999 1.5 1.5 0.35 0.5 5 41.8 Gneiss 1280 309
Pyonghwa 80 F 1988 1.5 1.5 0.660.95 0.5 4.510 45.7 Gneiss 2413 590
(1st stage)

492
Pyonghwa 125 F 2005 1.4833 1.5 0.3 0.4 44.5 86.67 Gneiss 4705 2630
(2nd stage)
Sancheong 70.9 P 2002 1.4 1.4 0.3  0.002 H H0.35, V0.48 47 31.7 Granite 1690 7.4
(Lower)
Sancheong 86.9 P 2002 1.4 1.4 0.3  0.002 H H0.35, V0.48 47 23 Gneiss 2165 6.4
(Upper)
Tamjin 53 W, F, P, I 2005 1.4 1.8 0.3  0.003 H 0.4 46 30 Tuff 1442 191
Yangyang 72 P 2005 1.4 1.4 0.3  0.003 H 0.4 46 26 Gneiss 1265 5.2
Yongdam 70 W, F, P 2001 1.4 1.4 0.3  0.003 H 0.5 58 43 Schist, 2206 815
Gneiss
Hwabuk 45 W, F, P, I 2008 1.4 1.4 0.3 0.4 5.4 18.9 Tuff 877 48.7
Yeocheon 65 P 2010 1.4 1.4 0.3  0.003 H 0.4 46 – Granite – 6.85
(Lower)
Yeocheon 75 P 2010 1.4 1.4 0.3  0.003 H 0.4 46 – Granite – 8.96
(Upper)
a
P
Hydropower, I
Irrigation, F
Flood contral, W
Water supply, H
Horizontal, V
Vertical.
2 ROCKFILL EMBANKMENT
CONSTRUCTION AND COMPACTION
Table 2 illustrates Cheongsong dam’s basic dimension
and features. As shown in Table 2, the lower dam’s foun-
dation is mainly granite, while the upper dam’s main
bedding rock is green sandstone.
Thus, green sandstone was used as the rockfill mate-
rial in the upper dam, while the lower dam uses gran-
ite as its rockfill material. The average unconfined
compressive strength of upper and lower dam’s rock-
fill are 162.9 Mpa and 107.4 Mpa respectively. These
are fresh rocks with very high compressive strength.
Table 3 and Fig. 1 illustrate the upper and lower
Cheongsong Dam’s zoning, the thickness of layers in
each zone, and compaction methods. A 19 ton sheep
foot roller was passed six times for the compaction on
Zone 1’s 300 mm thick layer. Zone 2 and 3 were com-
pacted with a 10ton deadweight smooth drum vibration
roller to pass 6 times. During Zone 3’s compaction,
water amounting 15% of the zone’s volume was
sprayed.
3 VERTICAL EARTH PRESSURES
To measure horizontal and vertical earth pressures,
earth pressure cells were installed (three cells makes
one set) vertically at one point and in 45 degree angles
facing up and down stream respectively; however, this
examination only discusses vertical earth pressures.
The total number of earth pressure cells installed
in both upper and lower dam is 51 (17 groups). The
earth pressure distribution was analyzed using earth
pressure ratio.
MEP: Measured earth pressure by an earth pressure
cell in kPa,
: unit weight of the rockfill in kN/m3,
h: height from the earth pressure cell to the top of
dam embankment in meter.
In Fig. 2 and 3, the location of earth pressure cell
was indicated as “upstream” when it is installed near
upstream slope, “downstream” when it is installed near
downstream slope and “center when it is installed at
the center of embankment (See Fig 4). In these fig-
ures, earth pressure ratio usually appears smaller in
“center” area, indicating that the stress reduction was
noticeable at the embankment’s center than at upstream
and downstream slopes. The average earth pressure
ratio at the center of the embankment was 0.6. Fig. 4
and 5 illustrate respectively the location of earth pres-
sure cells installed in the lower dam and the vertical
earth pressure distribution measured throughout the
lower dam’s construction and reservoir filling process.
Fig. 5 illustrates that the vertical earth pressures increase
in proportion to the dam embankment’s height, and
continues to increase after construction; and that the
increase of reservoir water level has little influence on
the vertical earth pressure.
4 ROCKFILL MODULUS AND MULTI-LAYER
SETTLEMENT DATA
Fitzpatrick et al. (1985) defined the rockfill modulus
for assessing the behavior of rockfill during the con-
struction as below.
(2)

(1) In which, Erc: the rockfill modulus during construc-

tion in Mpa,
: unit weight of the rockfill in kN/m3,
s: settlement of layer of thickness d1 due to the con-
In which, EPR: Earth pressure ratio,
struction of the dam to a thickness h above that layer.
This study uses the internal settlement data meas-
Table 2. Basic dimension and features of Cheongsong ured with multi-layer settlement meter installed in the
dam. upper and lower dam embankment and the equation
(2) in calculating the modulus during the construc-
Name Upper dam Lower dam
tion. The modulus changes according to the location
Height, H (m) 97 66 of multi-layer settlement meter, and shows the aver-
Length, L (m) 400 291 age modulus of 162.9 for the upper dam and 107.4 MPa
Shape factor 3.7 4.5 for the lower dam. Fig. 6 shows the comparison of
Main rockfill type Green Sandstone Granite multi-layer settlement data measured at Sta. 12 and
Void ratio 0.283 0.229 Sta. 7 cross-sections that represent the upper dam and
(3B zone) (3B zone) the lower dam and predicted settlement values using
Typical rockfill 136.3189.4 44.8187.8 the equation (2). As shown in the equation (2), the set-
strength (Mpa) (ave. 162.9) (ave. 107.4) tlement calculated as Fitzpatrick et al. (1985) sug-
D80 (mm) 365 280
gested, is in proportion to the layer of thickness (d1)
Construction 25180 17127
modulus (Mpa) (ave. 48.7) (ave. 46.8) and a thickness (h) above the layer. This means the
settlement estimated in this equation is always the

493
 Table 3. Rockfill placement and compaction method.

Upper dam Lower dam

Compaction Compaction
Layer Unit Layer Unit
thickness Number Water weight thickness Number Water weight
Zone (mm) Equipment of pass addition (kN/m3) Zone (mm) Equipment of pass addition (kN/m3)

1A 300 Sheep foot 6 – 18.94 1A 300 Sheep foot 6 – 19.42

roller roller
(19ton) (19ton)
1B 300 Sheep foot 6 – 20.13 1B 300 Sheep foot 6 – 19.82
roller roller
(19ton) (19ton)
2A 500 Vibratory 6 – 21.53 2A 500 Vibratory 6 – 20.53

494
roller roller
(10ton) (10ton)
2B 400 Vibratory 6 – 21.45 2B 400 Vibratory 6 – 21.42
roller roller
(10ton) (10ton)
3A 400 Vibratory 6 15% of 21.35 3A 400 Vibratory 6 15% of 21.25
roller Volume roller Volume
(10ton) (10ton)
3B 1000 Vibratory 6 15% of 20.37 3B 1000 Vibratory 6 15% of 21.05
roller Volume roller Volume
(10ton) (10ton)
3C 1600 Vibratory 6 15% of 20.44 3C 1600 Vibratory 6 15% of 20.43
roller Volume roller Volume
(10ton) (10ton)
Figure 1. Zone at Cheongsong CFRD.
Figure 4. Location of installed earth pressure cells in the
lower dam.
1.4 DAMUPER
560m)(E.L;Sta 70 270
1.2 540m)12(E.L;Sta elvationEmbk
560m)12(E.L;Sta 60
1.0 560m)1(E.L;Sta
EP1 260
50
0.8 EP3
40 EP4
250
0.6 30 EP5
0.4 20 240

(m)Elevation
0.2 10
Resrvoi EP2
230
0 elvation
0.
damuperthiosE

(kPa)presuthVicl

Upstream Centr Downstream

locatineprsuEh
20-91

203-1

203-91

204-31

204-91

205-31

205-91
Figure. 2. Earth pressure ratio distribution in the upper dam. (day)timeElps

Figure 5. Vertical earth pressures with elapsed time in the

Afterhconsuimbak lower dam.
1.4 Sta. 4 (Me sur d on 20 3/1 )
Sta. 7 (Me sur d on 20 3/1 )
Sta. 10(Me sur d on 2 3/ )
1.2 Durin gfilnresvoth g
Sta. 4 (Me sur d on 20 5/1 )
)

0.
2

Sta. 7 (Me sur d on 20 5/1 )

1.0 Sta. 10(Me sur d on 2 5/ )
Measurdtlmn
0.8 -0.4 (Sta.7,Lowerdm)
Measurdtlmn
δs /H(X10

dam)Uper12,(St.
0.6 -0.8

0.4
-1.2 Predictslmn
(Sta.7,Lowerdm)
0.2
-1.6
damlowerthipsuE

0. Predictslmn
Upstream Centr Downstream (Sta.12,Uperdm)

locatineprsuEh -2.0
Interalsmio,

0. 0.2 0.4 0.6 0.8 1.0

Figure 3. Earth pressure ratio distribution in the lower dam. Hei ghh/Hratio,

Figure 6. Comparison of measured and predicted internal

maximum at the half of the dam embankment height. settlement.
In Fig. 6, predicted settlement by equation (2) at the
mid-section of the dam’s height appeared approxi- Hunter and Fell (2003) determined the representa-
mately ten times larger than the measured settlement tive secant modulus at the end of construction Erc
at that point. As shown in Fig. 6, the measured maxi- from the D80 size (size for which 80% is finer) and
mum internal settlement volume occurs at the dam’s unconfined compressive strength of the rock in the
bottom portion; the internal settlement pattern rockfill using Fig. 7. When the data from the upper and
appears much different than the settlement pattern lower Cheongsong Dam was applied to Fig. 7, the rock-
reported by Fitzpatrick et al. (1985). fill modulus of Cheongsong Dam appeared similar to

495
Table 4. Location of Internal Postconstruction Vertical Settlements within CFRD (Hunter and Fell, 2003).

Percent of total crest settlement below crest

Intact Dam Start of Data
Name of concrete rockfill height time records Top 25 to 50 to Bottom
face rockfill dam strength a (m) period b (years) 25% 50% 75% 25%

Crotty Gravel 83 Start M 2.2 4 6 6 84

Bastayan VH 75 Start FF 6.75 4 18 78
Cethana VH 110 Start FF 14.5 0 51 49
Start FF 13.5 (heave) 64 36
Kotmale VH 90 Start M 1.5 (heave) 25 12 63
Murchison VH 94 Start M 11.5 (heave) 27 37 36
End FF 9.25 14 40 30 15
Reece VH 122 Start M 8 4 40 79
Start FF 6.25 (heave) 21 49
White Spur H to VH 43 Start M 5.75 40 8 18 33
End FF 4.5 42 4 29 24
Tullabardine H 25 Start M 5 8 52 40
Winneke H 85 Start M 15.5 11 89
End FF 10.5 20 80
Mangrove Creek c H 80 Start M 8.3 5 43 26 26
Mackintosh M to H 75 Start M 7.5 (heave) 23 31 46
End FF 6 (heave) 23 32 45
Serpentine M to H 38 Start M 8 25 42 16 17
Start FF 4 15 51 13 21
Scotts Peak M 43 Start M 17 17 15 7 49
End FF 14 14 37 9 39
Cheongsong (U) VH 97 Start M 2 (heave) 23 35 27
Cheongsong (L) VH 66 Start M 1 11 (heave) 54 34
Start FF 1.5 (heave) (heave) 54 26
a
M
monitoring, FF
first filling.
b
VH, H, and M refer to very high, high, and medium intact strength, respectively.
c
For Mangrove Creek the central region (25 to 75%) is representative of the random fill zone, Zone 3B.

40
occurs in the bottom 25% of the embankment or the
Croty Veryhi
Mediumtoh
ghstren
ghstren
gthrock,welmpatd
gtcompatedwlrk,h central lower 25%, and a small amount within he
350 Gravels,wcomptd
A gu3A amilp rockfil mpated Rsonbly
Cheon Uper gson gDam
upper 25%.
30 Cheon Lwr gson gDam

250 hi to Medium ghstren gtrock h

(-0. 52d )
E rc =13e 50

2 hi Very ghstren gtrock h

20 R =0.4
E rc
2
=9.0*1 5
*d 50
-1.70
5 PERIMETRIC JOINT MOVEMENTS
R =0.83
150
noitcur s C f d E a ,) PM(
rc

10
Cheon gson g(U) dam According to Cook and James (1987), the perimetric
50
joint always opens and offsets moderately when the
Cheon gson g(L) dam reservoir is filled, and is a potential source of leakage
0
EReprsntaiv

0 5 0 10 150 20 250 30 350 40 450 if not well designed, inspected, and constructed. For
d 80 asinp erct 80 to equivaln dmtr (paicle g) dams of low to moderate height (less than about
75 m), the joint movement has commonly been only a
Figure 7. Representative secant modulus of compacted rock- few millimeters, and joints with current waterstop
fill at end of construction Erc versus rockfull particle size details have usually remained watertight. For some of
and unconfined compressive strength (Hunter Fell, 2003). the higher dams, the joint openings and displace-
the very high strength rock suggested by Hunter and ments have been several centimeters. At the 160-m-
Fell (2003). high Area Dam, the opening in one area was 2.5 cm
Table 4 shows the data of postconstruction internal and the offset 5 cm: No joint leakage occurred, but it
settlement occurred underneath the embankment is probable that the central bulb waterstop was rup-
crest of 13 CFRDs by Hunter and Fell (2003), plus the tured. Coles (1987) suggested that it would be neces-
data of internal settlements at Chengsong CFRD pro- sary to ensure that the effective waterstop deformation
vided by authors of this study. In table 4, most settle- does not exceed 10 mm in order to specify a PVC
ment from initial monitoring through first filling waterstop.

496
Table 5. Maximum Perimetric joint movements caused by water load at Cheongsong Lower Dam.

Joint movements caused by water load (first filling) (mm)

Group Elevation
number Location (m) O C N N D U

PJ 1 Sta. 2  2.5 238.39 0.56 0.14 1.62 0.06 0.39 –

PJ 2 Sta. 5  2.5 210.83 0.24 0.05 0.33 0.08 2.04 0.07
PJ 3 Sta. 8  2.5 213.86 1.47 – 0.94 0.07 2.25 0.15
PJ 4 Sta. 11  17.5 226.81 0.55 – 0.59 – 1.49 –
PJ 5 Sta. 13  7.5 237.77 0.78 – 1.59 0.04 3.79 –

Note: O
joint opening; C
joint closing; N
concrete face bulging; N
concrete face settlement; D
joint
downslope shear; U
joint upslope shear.

6 CONCLUSIONS

The main conclusions drawn this study are as follows.

1. The examination of vertical earth pressure distri-
bution inside the dam embankment using earth
pressure ratio shows that the earth pressure ratio at
the dam’s center appear relatively lower than the
earth pressure ratio at the upstream and down-
Figure 8. Perimetric jointmeter location at Lower Dam. stream slopes, signifying that stress reduction is
relatively larger at the dam embankment’s center
than at the upstream and downstream slopes.
2.5 260 2. The extent of the internal settlements computed
(+)sheardownlpJit using modulus during the construction appeared
25
2.0
elvationRsr
similar to that of settlements measured at the dam
250 embankment’s top and bottom; however, the settle-
1.5 ment at the mid-section of the dam’s height
245 appeared approximately ten times larger than the
1.0 openiJt g)+( 240
measured settlement.
3. The method of deciding the modulus using uncon-
0.5 235 fined compressive strength of rockfill material and
)m ( stne calp iD

lub ecaf t r noC gin g)+( the particle diameter equivalent to 80 percent pass-
(m)elvationRsr

230
0.
ing at a particle size distribution curve was found
PJ3=NumberGop
25
quite useful in this study at least.
4. At the lower Cheongsong Dam’s perimeter joint,
the maximum perimetric joint movement occurred
during the first reservoir filling was 3.79 mm, indi-
204-71

204-1

205-1

205-41

205-71

205-1

206-1

(day)timeElps
cating that there is little possibility of leakage
occurring at the perimeter joint.
Figure 9. Perimetric joint movement at PJ3.

In order to observe perimetric joint movement, REFERENCES

five perimetric jointmeter groups were installed in the
lower dam as shown in Fig. 8. The maximum joint Cooke, J.B. and Sherard, J.L. (1987), “Concrete-Face Rockfill
movement measured with these devices during the Dam:II. Design.” Journal of Geotechnical Engineering,
first reservoir water filling stage was listed in Table 5. Vol. 113, No. 10, pp. 1113–1132.
In Table 5, the maximum joint movement was Fitzpatrick, M.D., Cole, B.A., Kinstler, F.L., and Knoop, B.P.
3.79 mm, indicating there is a bare possibility of leak- (1985), “Design of concrete-faced rockfill dams” Proc.,
Symp. on Concrete Face Rockfill Dams-Design,
age at present condition. Fig. 9 illustrates the dis- Construction and Performance, J.B. Cooke and J.L.
placement behavior at PJ 3 as the reservoir water level Sherard, eds., ASCE, New York, pp. 410–434.
increases; the displacements at the perimeter joint Hunter, G. and Fell, R. (2003), “Rockfill Modulus and
increase in proportion to the reservoir water level. Settlement of Concrete Face Rockfill Dams.” Journal of

497
 Geotechnical and Geoenvironmental Engineering, Vol.
129, No. 10, pp. 909–917.
Park, H.G., Kim, Y.S., Seo, M.W. and Lim, H.D. (2005),
“Settlement Behavior Characteristics of CFRD in
Construction Period–Case of Daegok Dam-.” Journal of
498
the Korean Geotechnical Society, Vol. 21, No. 7, pp.
91–105.
Sherard, J.L. and Cooke, J.B. (1987), “Concrete-Face
Rockfill Dam: ?. Assessment.” Journal of Geotechnical
Engineering, Vol. 113, No. 10, pp. 1096–1112.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Behavior analysis and deformation guidelines of rockfill dams

You-Seong Kim, Myoung-Soo Won & Yong-An Lee

Department of Civil Engineering, Chonbuk National University, South Korea

Gi-Sung Pang, Young-Chul Song & Deok-Joong Yoon

Structural Engineering Laboratory, Korea Electric Power Research Institute, South Korea

ABSTRACT: It will be described that the methodology of deformation prediction and safety management of
rockfill dams on the basis of measured settlement and horizontal displacement data from 6 rockfill dams con-
structed from 1981 through 1995 in South Korea for the purpose of pumped storage power generation. From the
result of comparative analysis on vertical settlements (S/H%) and horizontal displacements (/H%) at dam crests
and downstream slopes of rockfill dams including hydro power rockfill dams, it appears that a rational and credible
prediction of displacement after dam’s construction could not be attained with only the empirical relation formulas
involving uniform settlements, dam’s height, or the time passed. When the deformation prediction of a dam is
needed, the best method is to compare with dams which are constructed with similar rockfill material and con-
struction method. Dam’s safety management guidelines could be established from the dam’s deformation prediction
methodology described in this study. This information could be used similar dam’s design and management.

1 INTRODUCTION 0%H0.25%H for compacted Rockfill by construction

Although Deformation ratio of rockfill dam is generally
decreased after construction, deformation such as vert-
ical and horizontal movement and heaving are sus-
tained for a long time. Those data indicates whether the
dam’s movement is within allowable range or not and
furthermore those data become important factors for
safety management of dam.
Deformation after reservoir water fill is easily
affected by various factors such as dam type, height
of dam, storage water level, foundation, rockfill zone,
compaction degree of core zone and material charac-
teristics. Therefore, it is quite difficult to predict the
deformation in theoretical study on account of pos-
sible factor of errors. Lawton et al., (1964) reported
that total amount of settlement after construction is
directly related to dam height in which the relation is
expressed in S
0.001H3/2 by surveying 11 rockfill
dams and Sower et al., (1965) after surveying 14
rockfill dams suggests that total amount of settlement
within 10 years after the construction of embankment
is in S
0.251%H and settlement in a certain period
method of rock armor and 0.2%H0.6%H for inclined
core, 0.1%H1.25%H for central core by core zone
type). Oscar Dascal (1987) shows that maximum
settlement is ranged from 0.2%H to 0.5%H in crest
and 0.5%H to 0.8%H in downstream slope. Those
researches shows commonly that relationship of
S/Hlog t settlement curve resembles typical soil set-
tlements curves and 0.02%H of settlements ratio is
considered as convergence and it takes 2430 months
after construction. However, no suggestion could be
applied in all case dams for reliable prediction by
settlement data, dam height and elapsed time after
construction.
In this study, monitored data of settlements and hor-
izontal deformation of crest and slopes of upper and
down stream was analyzed in the sense of dam’s char-
acteristics and describes the method of future move-
ment prediction and management guidelines on the
basis of monitoring data and behavior analysis by FEM
of 6 pumped storage power rockfill dams.
is H
(log t2  log t1)(
0.20.7) Soydemir
et al. (1979) expressed settlements after the construc-
tion of embankment in s
H from 48 rockfill dam
data and Clements (1984) divided 68 rockfill dams
into four groups and showed that maximum settlements
of dam crest is 0.25%H1.5% H for dumped rockfill,
499
2 SUMMARY AND CHARACTERISTICS OF
THE DAMS
The dams investigated in this study are the type
of rockfill with hydroelectric and pumped storage
power generation purpose. Table 1 shows summary
Table 1. Summary and characteristics of the dams used in this study.

Name of Year of Height Length Year of first

rockfill dam completed (m) (m) Type Foundation Rockfill reservoir filling

Gangneung 1990 72 300 Sloping earth core Sandstone Compacted 1990. 6

Muju (Upper) 1995 60.7 287 Central earth core Tuff Compacted 1995
Muju (Lower) 1995 42.6 234 Central earth core Schist Compacted 1995
Samrangjin (Upper) 1985 88 269 Central earth core Tuff Compacted 1985. 11
Samrangjin (Lower) 1984 78 529 Central earth core Tuff Compacted 1985. 5
Cheongpyeong 1980 62 290 Central earth core Gneiss Dumped 1981. 5

1.0 1.0

0.5 0.5

0. 0.

EL = 7 1 2 m LE m217=
-0.5 CS1 CS1

δ/H(%)
-0.5
S/H(%)

CS2 CS2
CS3 CS3
CS4 CS4
CS5 CS5
-1.0 -1.0
CS6 CS6
C l emn ts Clemnts
Osc a r Dascl OscarDl
-1.5
1 1 0 10 10 1 0 -1.5
1 1 0 10 10 10
ELAPSDTIM,lo g(t)(day
ELAPSDTIM,lo g(t)(day

Figure 1. Relation of S/Hlogt (Gangneung Dam Crest). Figure 3. Relation /Hlogt (Gangneung Dam Crest).
1.0
0.5

0.5

0.
0.

EL = 5 3 8 m
EL = 7 0 0 m -0.5 SP1
-0.5
S/H(%)

DS4 SP2
DS5 SP3
S/H(%)

DS6 SP4
Clemnts SP5
-1.0 OscarDl SP6
-1.0 SP7
C l em nts
OscarDl
-1.5
1 1 0 10 10 10
-1.5
ELAPSDTIM,lo g(t)(day 1 1 0 10 10 10 10
ELAPSDTIM,lo g(t)(day

Figure 2. Relation of S/Hlogt (Gangneung Dan Lower

slope). Figure 4. Relation of S/Hlogt (Cheongpyeong Dam
Crest).
and characteristics of the dams. Except for Gangneung
Dam which is a sloping core type, all dams are center 3 MEASURES DATA ANALYSES
core type where only Cheongpyeong Dam is con-
structed with dumping method, while others are well Figs. 13 and Figs. 46 illustrate the vertical settle-
compacted with a 10 ton deadweight smooth drum ment (S/H%) and horizontal displacement (/H%) in
vibrating roller. Three dams were constructed in 1980s relation to the elapsed time using the measured data
and three other dams were constructed in 1990s, all of of Gangneung Dam and Cheongpyeong Pumped
them are quite new; foundation of the dams is com- Storage Dam (upper) respectively. In addition, the
prised of stable rock bed. These dams are classified as measured data were compared with the deformation
middle and large scaled dams with their dimensions management criteria suggested by Clements (1984)
ranging from 42 to 88 m in height and 234 to 529 m in and Oscar Dascal (1987) which are the most efficient
length. criteria among various suggested criteria. Through such

500
 0.5
0.
-0.5
S/H(%)
EL=4
-1.0
-1.5
1 1 0
Figure 5. Relation of S/Hlogt (ChengPyeong Dam lower
slope).
0.5
0.
-0.5
EL=498m
δ/H(%)
-1.0
-1.5
-2.0
1 1 0
Figure 6. Relation of /Hlogt (ChengPyeong Dam
Crest).
comparison of measured data with deformation crite-
ria, it is possible to grasp the deformation behaviors
of Gangneung Dam and Cheongpyeong Pumped
Storage Dam as follows.
1. The settlement pattern in case of Gangneung Dam
can be broken down to; initial deformation stage (6
to 10 months of initial deformation period wherein a
small displacement occurs), middle stage (24 to 30
months of major deformation period wherein most
part of settlement occurs, mainly affected by reser-
voir water filling), and convergence stage (24 to 30
months later when the settlement rate decreases and
convergence takes place) as Oscar Dascal (1987)
suggested. However, Cheongpyeong Pumped Stor-
age Dam shows settlement significantly larger than
Gangneung Dam and shows continuous vertical
settlement and horizontal displacement.
3. Down stream slope (rockfill portion)’s settlement
in Gangneung Dam is similar to the dam crest set-
tlement but in Cheongpyeong Dam’s case, settle-
ment of the down stream slope is larger compared
with the dam crest settlement.
4. In both Gangneung and Cheongpyeong dams, hor-
izontal displacements were larger than settlements
98m
SP32 of the dam crest and these horizontal displacements
SP42
SP52 were larger than the horizontal displacement of the
Clemnts
OscarDl
rockfill portion.
Such differences are seemingly caused by the
1 0 01 0 1 0 01
ELAPSDTIM,lo g(t)(day following characteristics of the dam’s designs and
construction. First of all, Gangneung Dam was con-
structed only 15 years ago and is fairly new while
Cheongpyeong Dam was constructed 25 years ago.
As shown in Table 1, the difference between
Gangneung and Cheongpyeong as for the characteris-
tic of the dams’ construction is the compaction
method used in their rockfill portions. Settlement of
dam crest means compressibility of the core portion,
and the lack of the compaction at the time of erection
leads to a large settlement at the dam crest; however,
what affects the settlement of dam crest portion is the
settlement at rockfill portion. It was inferred that the
23PS
24PS
25PS settlement of rockfill portion leads to Cheongpyeong
Clemnts
OscarDl Dam’s overall settlement being larger in comparison
with that of Gangneung Dam. Additionally, since the
horizontal displacement often caused by the reservoir
10 10 10 10 water loading is larger when it has stiffer and imper-
ELAPSDTIM,lo g(t)(day meability, the dam crest exhibits larger horizontal dis-
placement than the more compressible rockfill portion.
As shown in Figs. 7 through 9, the upper and lower
Muju Pumped Storage Dam exhibits displacement
behavior similar to that of Gangneung Dam, while
Samrangjin Pumped Storage Dam’s displacement
behavior is similar to that of Cheongpyeong Pumped
Storage Dam. Therefore, the displacement after the
construction cannot be rationally predicted using sim-
ple empirical formulas involving only settlement, dam
height and the elapsed time; however in reality, dams
made up of similar materials and similar construction
methods exhibit similar behavior. On this empirical
basis, the only alternative mode of prediction avail-
able is to compare with similar dams that are in stable
conditions.
Based on this methodology for the prediction of
displacement and management of dams similar to
Gangneung Dam for the criterion suggested by Oscar
Dascal (1987) could be employed; and for dams sim-
ilar to Cheongpyeong Pumped Storage Dam, it is log-
ical to employ the criterion suggested by Clements
(1984). Fig. 10 shows the settlement rate at each dam
2. Gangneung Dam shows larger horizontal displace- crest in relations to elapsed time (log(S/H)/t). As
ment compared to its settlement; however, in mentioned in the introduction, in all dams the empi-
Cheongpyeong Dam’s case, settlement was larger rical judgment indicates that if the annual settlement
than horizontal displacement. rate is less than 0.02%H/Year, the dam can be presumed

501
 0.5 10

1
0.
0.1

∆t](%)
-0.5 0.1
Gan gneun gDam

lo g[( ∆S/H)
MujUperDam Gan gneun gDam
S/H(%)

MujLowerDam 1E-3 MujUperDam

Cheon gpyeon gDam MujLowerDam
-1.0 Samrn gjinUperDam Cheon gpyeon gDam
Samrn gjinLowerDam Samrn gjinUperDam
Clemnts(Icidor) 1E-4
Samrn gjinLowerDam
Clemnts(rao)
0.2%
OscarDl
1E-5
-1.5 1 1 0 10 10 10 10
1 1 0 01 01 01 01
ELAPSDTIM,lo g(t)(day ELAPSDTIM,lo g(t)(day

Figure 7. Relation of S/Hlogt (Each Dam Crest). Figure 10. Relation of log [( S/H) t]logt (Each Dam
Crest).

0.5
criterion in accordance with settlement rate, setting it
at 0.02%H/Year would be a rational choice. Fig. 10
0. shows that the actual measurement data appears close
to the management criterion (0.02%H/Year).
-0.5
Gan gneun gDam
MujUperDam
S/H(%)

MujLowerDam
Cheon gpyeon gDam 4 CONCLUSIONS
-1.0 narm S gjinUperDam
Samrn gjinLowerDam
Clemnts(Icidor)
Clemnts(rao) 1. Gangneung Dam and Cheongpyeong Pumped
OscarDl
-1.5
Storage Dam are different in type and construc-
1 1 0 01 01 01 01 tion method. Each dam crest and down stream
ELAPSDTIM,lo g(t)(day
slopes’ settlements (S/H%) and horizontal dis-
placements (/H%) was analyzed and compared
Figure 8. Relation of S/Hlogt (Each Dam lower slope). with similar hydroelectric power generation dams
and the result showed that a rational and credible
prediction of displacement after construction can-
0.5 not be attained with only the empirical relation for-
mulas involving only settlement and dam height, or
the elapsed time.
0. 2. The criterion suggested by Oscar Dascal (1987)
could be applied to Gangneung Dam and the upper
and lower Muju Pumped Storage Dams and the cri-
-0.5
terion suggested by Clements (1984) could be
δ/H(%)

Gan gneun gDam

MujUperDam applied to Cheongpyeong Pumped Storage Dam
MujLowerDam
-1.0 Cheon gpyeon gDam and the upper and lower Samrangjin Dams. This
Samrn gjinUperDam
Samrn gjinLowerDam indicates that the most rational method of predict-
Clemnts
OscarDl
ing the dam’s deformation behavior is by compar-
-1.5 ing among the dams made of similar materials and
1 1 0 01 01 01 01
ELAPSDTIM,lo g(t)(day
construction methods.
3. The information of the dam’s deformation behav-
Figure 9. Relation of  /Hlogt (Each Dam Crest). ior after construction need to be provided to the
dam’s managing personnel; and in order to share
information to be available for designing of similar
dams in the future, a management criterion for a
to be in its convergence stage. Each dam in this study dam’s deformation must take into account both
passed ten to twenty five years after construction can the displacements in relation to the dam’s charac-
be categorized as in stable stage where displacement teristics and the displacement rate in relation to
converges; thus if the need of deformation management elapsed time.

502
REFERENCES
Clements, R.P. (1984), “Post-construction deformation of
rockfill dams.” Journal of Geotechnical Engineering,
Vol. 110, No. 7, pp. 821–840.
Cook, J.B. (1984), “Progress in rockfill dams (18th Terzaghi
lecture).” Journal of Geotechnical Engineering, Vol. 110,
No. 10, pp. 1383–1414.
Lawton, F.L., and Lester, M.D., “Settlement of Rockfill Dams,”
Proceedings, Eighth International Congress on Large
Dams, Vol. III, Q.32R.2., Edinburgh, Scotland, 1964.
503
Sherard, J.L., and Cooke, J.B. (1987), “Concrete-Face
Rockfill Dam: I. Assessment.” Journal of Geotechnical
Engineering, Vol. 113, No. 10, pp. 1096–1112.
Sowers, G.F.,Williams, R.C., and Wallace, T.S., “Compress-
ibility Of Broken Rock and the Settlement of Rockfill”,
Proceedings, Six International Conference On Soil
Mechanics and Foundation Engineering, Vol. II,
Montreal, Canada, 1965.
Soydemir, C., and Kjaernsli, B., “Deformation of Membraine-
faced Rockfill Dams,” Seventh European Conference on
Soil Mechanics and Foundation Engineering, Vol. III, 1979.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Safety management of water-power generation rockfill dam by

monitoring system

Gi-Sung Pang & Young-Chul Song

Structural Engineering Laboratory, Korea Electric Power Research Institute, South Korea

Young-Min Kim
Department of Civil Engineering, Jeonju University, South Korea

You-Seong Kim, Myoung-Soo Won & Hyoung-Woo Ko

Department of Civil Engineering, Chonbuk National University, South Korea

ABSTRACT: More attention needs to be focused on the safety of hydroelectric power generation rockfill dams
since they differ from other rockfill dams not in variation of water level but in frequency of variation. On such
recognition, this paper describes the methodology of safety management of Kangneung rockfill dam which is in
Kangwondo, South Korea as an example. Dam crest settlement management and pore water pressure management
were adapted for the dam’s basic safety management method. Based on the above method, the analyzing results
of the measured data showed vertical settlement was very small compared with the average settlement of rockfill
dams as a result of the uplifting at both embankment edges and excess pore water pressure was increased or
decreased quite normally. These indicated that the threat factor to dam’s safety was not significant. In order to eval-
uate safety of dams more objectively, it is appropriate to first establish a comprehensive criterion that includes the
factors such as embankment settlement, water pressure, earth pressure, and leakage volume and et cetera.

1 INTRODUCTION conducted in realizing the importance and effectiveness

A dam’s safety evaluation is performed in order to
assess the structural and operational integrity of the
dam and to obtain reasonable solution on the threat-
ening risk factors. In South Korea, in accordance with
the river regulatory specifications and SEED (Safety
Evaluation of Existing Dams) Program, safety diag-
noses are conducted on mid to large scale dams man-
aged by Korea Water Resources Corporation and
Korean Electric Power Corporation. Such regulatory
measures require, aside from routine checkups, peri-
odic safety diagnosis to be conducted once at a full
water level following the construction, another in 3
years passing, and finally, once in every 5 years after 10
years of operation. The safety diagnoses are performed
to investigate and analyze the founded problems during
routine check, survey, observation at dam site by DOC
(Designer’s Operating Criteria) and SOP (Standing
Operating Procedures) which are common dam opera-
tor’s manuals. However in reality, it could not be
expected that all periodic safety diagnoses would be
done timely but usually a safety diagnoses are per-
formed when visible weaknesses are surfaced. Recently
in Europe and many other countries, studies are being
of more proactive and precise investigation and assess-
ment by operators concerning the securing safety and
operational maintenance of dams. Recognizing the
importance of it, most Korean large rockfill dams are
equipped with instrument gauges, and the data are being
monitored. Yet the system of comprehensive analysis
and assessment of those obtained data is not established
completely. Especially, more attention needs to be
focused on the safety of water power generation rockfill
dams that differs from other rockfill dams not in varia-
tion of water level but in frequency of variation. In this
paper, developed dam safety assessment operation
system by monitoring data is described. Using this
system, dam site operator can understand dam’s con-
dition and report its level of dam’s condition to high
ranking personnel in the sense of quantity and quality.
2 INSTRUMENTATION MANAGEMENT
OF GANGNEUNG ROCKFILL DAM
2.1 Summary of Gangneung Dam
Fig. 1 is a cross-sectional representative of Gangneung
Hydroelectric Power Generation Dam; and as shown

505
Figure 1. Installed Instruments and the cross-sectional representative of Gangneung Dam.

Table 1. Instrumentations and measured period.

Instrumentation items Quantities Name of installed instruments Measured period Remark

Reservoir water level 1 – ’90.05’98.03

Leakage 1 – –
Displacements 17 Crest CS1CS6 ’90.07’98.03
Upstream USS1USS3 ’90.07’98.03
Downstream DSS4DSS11 ’90.07’98.03
Liquid settlement 3 LS1LS3 ’89.09’98.03
Earth pressures 14 EPC1, EPC2, EPC3 ’88.06’98.04
EPC4, EPC5, EPC6 ’88.11’98.04
EPC7EPC14 ’88.05’98.04
Pore water pressures 21 VP1VP21 ’90.05’98.04 VP14, 18, 19
Breakdown

here, this slope core type dam is a typical middle of
rockfill dam with height of 72 m and length of 300 m.
2.2 Contents of instrumentation management
Gangneung Dam has been under continuous instrumen-
tation management since its embankment construction
stage in 1990. Instrumentation items and measurement
situation are as shown in Table 1; Fig. 1 shows the posi-
0.6H, ➂ estimated
tion of instrumentation point in the cross-sectional
representative. Out of total 57 installed instruments,
only three instruments went out of order, showing 95%
operation ratio.
3 SAFETY MANAGEMENT CRITERIA
ACCORDING TO FIXED QUANTITY
INDEX
displacement, ➁ Total vertical displacement (settle-
ment) should be less than 0.20.5%H (H
height
of embankment dam), ➂ During stabilization phase,
annual settlement should be less than 0.02%H as a
general maintenance standard. Concerning pore water
pressures and earth pressures: ➀ the maintenance per-
formance of pore water pressures (hydraulic fracture)
p  min, p/max  80%, ➁ Earth pressure mainte-
nance (arching effect) max
pore water pressure equation p
w * d (d
water
level beneath the seepage line) are some of criteria. In
addition, the criteria that could be used to manage the
safety based on settlement at a dam crest or displace-
ments in the dam’s surface are as follows. Namely, in
Fig. 2, S represents the settlement of the embank-
ment’s center area,  represents horizontal displace-
ment value of the embankment’s normal line area, and
q represents the embankment’s weight. The criteria
that can be employed here are: ➀ S –  management
3.1 Establishment of safety management criteria
Safety management criteria could be set up consid-
ering the dam’s type, scale, importance, and history as
parameters. Concerning the settlement: ➀ Horizontal
displacement should not exceed 50 percent of vertical
506
criterion, ➁ /t management criterion, ➂ S – /S
management criterion.
(1) S –  Management criterion: as shown in Fig. 2,
it is a method of declaring instability when ’s
 δ

P i P/ f =1.0
P i P/ f =0.9
HORIZNTAL

SETLMN,
HEIGT,

DISPLACEMNT P i P/ =0.8
f
EMBANKT

D-line(a ger)
δ/S

Figure 3. S  /S Management criterion.

S-line(tab)
SETLMN,

250 720

20 R.WL 70
Dan ger
150 680

10 60
Stable
∆δ/∆t

50 640

0 620

R.WL(m)
-50 60
1SC
2SC
-10 580
(m)SETLMN,

3SC
4SC
5SC
-150 560
t 6SC

-20 540
0 50 10 150 20 250 30
Figure 2. Safety management criteria. (day)TIMELAPSD

Figure 4. Vertical settlement elapsed time of dam crest.

Table 2. Rates of measured settlement in CFRDs (Sherard
and Cooke, 1987).
In Fig. 3, Pi/Pf
1.0 is standard line, Pi/Pf
0.9is
Approximate rate of crest settlement sub-failure line, and Pi/Pf
0.8 is danger line. Here,
for 100 m high CFRD (mm/yr) Pf is the embankment weight at the point of failure, Pi
is the embankment weight at a given point; each curves
Type (1) After 5 yrs After 10 yrs After 30 yrs sis given in formulas, for example, a criterion.

Compacted 3.5 1.5 0.6

rockfill (1)
Dumped 45 30 10
rockfill

increase in relation to S’s increase exceeds a suit-

able ratio. For example, the criterion can be set 3.2 Safety management criteria establishment and
within the range of horizontal displacement assessment of Gangneung Dam
()/settlement ratio (S)
0.51.0.
(2) /t Management criterion: It is a method of Fig. 4 illustrates the vertical settlement elapsed time
declaring danger when horizontal displacement of dam crest since the first reservoir filling after the
rate (/t) exceeds a certain level. The manage- construction of embankment. In the figure, the settle-
ment criteria can be referenced in Table 2. ment of Gangneung Dam crest exhibits a little bit
(3) S – /S Management criterion: It is a method of peculiarity. Namely, there is a lifting at both embank-
judging the embankment safety from observing ment edges followed by relatively big vertical set-
whether or not the locus of S – /S approaches tlement at center area; however, on the whole, the
the failure line. settlement after reservoir filling is as little as 10 cm.

507
 -0.6 -10
TIME01
-0.5 TIME02
TIME03
TIME04 -5
-0.4 TIME05
TIME06
TIME07
-0.3 TIME08 0
TIME09
-0.2 TIME10
TIME1

-0.1
BASE 5
CS1

∆δ/∆t(cm/year)
CS2
0. CS3
10 CS4
0.1 CS5
CS6
BASE
0.2 15
(%)S/HRATIO,ELMN

0.3
20
0.4 0 1 2 3 4 5 6 7 8 9 1 0 1 1 1 2
CS1 CS2 CS3 CS4 CS5 CS6
MEASURINGPOT
ELAPSDTIM,t(year)

Figure 5. Dam crest settlement ratio at each point. Figure 7. Assessment with /tt management criterion.

150 -0.4
CS1
CS2
-0.3
10 CS3
CS4 -0.2
CS5
50 CS6
B
-0.1
D
latesd 0.
0
∆t

0.1
CS1
0.2
[ ∆δ/H]/

-50 CS2
CS3
0.3 CS4
CS5
-10 0.4 CS6
BASE
SETLMN,(m)

-150 0.5
0.6
-20 0.7
0 5 0 10 150 20 250 0 1 2 3 4 5 6 7 8 9 1 0 1 1 1 2
DISPLACEMNT,HORZ δ(m) ELAPSDTIM,t(year)

Figure 6. Assessment with S –  management criterion. Figure 8. The assessment with [/H]/tt management
criterion.
When the horizontal displacement elapsed time at the
same location of the vertical settlement is applied to
above mentioned safety management criteria, the figure the recent data satisfies the safety management
result are as follows. criterion. The purpose of Fig. 9 is to assess the possi-
Fig. 5 illustrates the dam crest settlement ratio bility of hydraulic fracturing caused by the pore water
(S/H  100%) at each point. As shown in the fig. 5, pressure in the core and base foundation areas. As the
except for the point CS5 located near spillways, the figure shown, all the data indicate that there is no pos-
settlement ratio is quite small in value when com- sibility of a hydraulic fracturing.
pared to the criterion line, meaning the dam is rela-
tively safe. Fig. 6 shows the transformation tendency
of horizontal displacement in relation to vertical set- 4 CONCLUSIONS
tlement at dam crest; this value does not satisfy the
criterion except for the two points near the dam crest’s Dam crest settlement management and pore water
center area. However, this criterion is intended to be pressure management were adapted for the dam’s
applied during the construction embankment stage basic safety management method. Based on the above
and not suitable for application in reservoir filling method, the analyzing results of the measured data
stage where certain amount of water loading is involved. showed vertical settlement was very small compared
Thus, a separate criterion needs to be established using with the average settlement of rockfill dams as a result
the result of finite element analysis. of the uplifting at both embankment edges, and excess
Fig. 7 shows the horizontal displacement rate pore water pressure was increased or decreased quite
according to elapsed time. This figure shows that the normally. These indicated that the threat factor to dam’s
recent data satisfies the safety management criterion. safety was not serious; and although there are some
Fig. 8 shows the horizontal displacement ratio against issues that remains to be resolved such as the application
dam height according to elapsed time. Also, in this of other rockfill dam and the overall analysis on the

508
 1.0
DERUSA M
(4) The management criterion using the ratio of hor-
0.5 SI YLAN MEF
/P(ENIL SAB σma x
)8.0= izontal displacement and vertical settlement
0. m70EL needs to be established separately for each dam
UP2
1.0 through interpreted result of such as finite ele-
0.5 ment analysis.
0. EL680m
UP6
P/ σxam

1.0
REFERENCES
0.5

0.
UP10
1.0
0.5
0.
UP16
UP-STREAM
Figure 9. Assessment with hydraulic fracturing caused by
the pore water pressure.
interpretation of numerical method, following con-
clusions can be made in advance.
(1) If it is possible to attain real-time measurement
data, safety management criteria and evaluation
system for each dam can be used by its mainte-
nance personnel to objectively manage the dam’s
everyday safety.
(2) In order to evaluate safety more objectively, it is
appropriate to first establish a comprehensive cri-
terion that take into consideration the factors
such as embankment settlement, water pressure,
earth pressure, and leakage volume and et cetera.
(3) In Gangneung Dam’s case, vertical settlement is
quite small compared with the average settlement
of rockfill dams due to the uplifting at both
embankment edges and the occurrence and dis-
persion of pore water pressure is quite normal,
indicating that the threat factor to the dam’s
safety is not founded in advance.
UP9
EL60m Clements, R.P. (1984), “Post-construction deformation of
rockfill dams.” Journal of Geotechnical Engineering,
Vol. 110, No. 7, pp. 821–840.
m642EL
Cook, J.B. (1984), “Progress in rockfill dams (18th Terzaghi
UP15 lecture).” Journal of Geotechnical Engineering, Vol. 110,
DOWN-STREAM No. 10, pp. 1383–1414.
Fitzpatrick, M.D., Cole, B.A., Kinstler, F.L., and Knoop, B.P.
(1985), “Design of concrete-faced rockfill dams” Proc.,
Symp. on Concrete Face Rockfill Dams-Design, Con-
struction and Performance, J.B. Cooke and J.L. Sherard,
eds., ASCE, New York, pp. 410–434.
Henry, H. Thomas, (1979). The Engineering of Large Dams,
Wiley, London.
Hunter, G., and Fell, R. (2003), “Rockfill Modulus and
Settlement of Concrete Face Rockfill Dams.” Journal of
Geotechnical and Geoenvironmental Engineering, Vol.
129, No. 10, pp. 909–917.
Lawton, F.L., and Lester, M.D., “Settlement of Rockfill
Dams,” Proceedings, Eighth International Congress on
Large Dams, Vol., Q.32R.2., Edinburgh, Scotland, 1964.
Serafim J. L. (1984) Safety of Dams, Balkema.
Sherard, J.L., and Cooke, J.B. (1987), “Concrete-Face
Rockfill Dam: I. Assessment.” Journal of Geotechnical
Engineering, Vol. 113, No. 10, pp. 1096–1112.
Sowers, G.F.,Williams, R.C., and Wallace, T.S., “Compress-
ibility Of Broken Rock and the Settlement of Rockfill”,
Proceedings, Six International Conference On Soil
Mechanics and Foundation Engineering, Vol. II , Montreal,
Canada, 1965.
Soydemir, C., and Kjaernsli, B., “Deformation of Membraine-
faced Rockfill Dams,” Seventh European Conference on
Soil Mechanics and Foundation Engineering, Vol. 3, 1979.

509
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Successive seismic reflection methods aided to find the change of

structure and material properties in center core type earth-fill dam

H.-S. Kim, H.G. Park & Y.S. Yoo

Korea Water Resources Corporation, Korea Institute of Water and Environment, Daejeon, Korea

J.-Y. Kim & Y.S. Kim

Soam Consultant Co., Ltd., Daejeon, Korea

ABSTRACT: We adopted successive seismic reflection methods to investigate the change of structure and
material properties in dam. The dam, named Angye Dam, is a kind of center cored earth-fill dam, located on the
Hyungsan river at the southeast of Korea. After about 30 years of operation a lot of slumps similar to cracks, seep-
age and some boggy areas had been observed on the downstream slope. In this situation, the seismic reflection
methods were applied to investigate whether these incidents and their causes would influence the dam safety haz-
ards. Before these incidents happened, some reinforcement methods had been made to increase safety of dam
already. However, owing to the heavy rain in 2003 summer season, some downstream part of dam slid down.
After the sliding, follow-up emergency actions to remedy the dam were made using material substitution filling
method and loading berm method within short time and the comprehensive reinforcement including permeation
grouting in core of the dam were conducted also for a long time. After comprehensive reinforcement including
permeation grouting, the seismic reflection methods were applied again and the results show clear differences in
structure and material properties. It seems that the seismic reflection method is an efficient tool for delineation
of earth-fill dam structure and for estimation of material properties.

1 INTRODUCTION above the foundation, and is 223.5 m long and the

Defects of dam body which can be induced by seep-
age or leakage procedure may affect dam stability and
safety. Therefore, proper inspection methods should be
carried out in the early stage to find out positions and
sizes of defects. After that, some reinforcement works
such as grouting, material berming and/or filling and
the corresponding subsequent assessments could be
taken in a proper way.
The dam (center core type earth-fill dam, named
Angye) issued in this study has needed intensive diag-
nosis and immediate reinforcement works because a lot
of slumps similar to cracks, seepage and some boggy
area have been observed on the downstream slope.
High resolution seismic reflection methods were per-
formed on the crest profile twice before(Aug., 2001)
and after (Nov., 2004) some reinforcement works aimed
at the dam inspection and the assessment of reinforce-
ment efficiency including grouting. Angye dam was
built in 1971 to supply water mainly for drinking and
industrial uses. The dam is a kind of center cored earth-
fill dam, located on the Hyungsan river at the southeast
of Korean Peninsula. The embankment rises 32.5 m
capacity of the reservoir is anticipated to be about 17
million cubic meter. Angye dam is connected to
Youngcheon Dam through a pipeline and this dam is
operated, managed, and maintained by KOWACO
(Korea Water Resources Corporation) together with
Youngcheon Dam. Figure 1 shows the schematic typ-
ical cross-section of the dam.
A major objective of this study is to validate feasi-
bility of seismic reflection method with non-destructive
restraints in the aspect of safety of existing dams by the
comparing the seismic sections before and after rein-
forcement works. Basically, this research results were
already submitted to the International Symposium on
Dam Safety and Detection of Hidden Troubles of Dams
Figure 1. Schematic typical cross-section of Angye Dam.

511

Figure 2. Distribution of defects observed on the down-
stream slope of Angye Dam in Aug., 2001.
Figure 3. Sketch of the sliding in Angye Dam in summer,
2003.
and Dikes in Xi’an, China but not presented because
of private situation.
2 SOME PROBLEMS, INVESTIGATIONS AND
REINFORCEMENT WORKS IN ANGYE DAM
After about 30 years of operation, a lot of slumps sim-
ilar to cracks, seepage and some boggy areas have been
observed on the downstream slope. Figure 3 shows the
distribution of defects on the slope in Aug., 2001. In
this situation, first of all, it was necessary to investigate
whether these incidents and their causes would influ-
ence on the dam safety and how to gather desirable
information in dam body conditions. Until that time,
some reinforcement methods, mainly by using grout-
ing, had been made to increase safety of dam already.
In that time, first high resolution seismic method
was performed on the crest and on downstream slope
bench for two reasons. One is to get some information
about the dam body and the other is to investigate
whether incidents on the slope and their causes will
influence on the dam slope stability and whether those
will increase safety hazards.
Meanwhile, owing to the heavy rain in 2003 sum-
mer season, some downstream part of dam slid down.
Superficially, the dam slope stabilization could be
affected by the sliding. So, follow-up emergency actions
were made using downstream filling material substi-
tution and loading berm method within short time to
increase the safety of the slope and to prevent successive
512
failures in the dam. Figure 3 shows rough sketch of
the sliding in 2003 summer season.
After emergency reinforcement works, the com-
prehensive reinforcement works including permeation
grouting in core of the dam were conducted also for a
long time. Second high resolution seismic method was
performed on the crest of the dam after comprehensive
reinforcement works in Nov., 2004. This seismic survey
was conducted both to find the change of filling mate-
rial physical properties and structures of the dam body
and to compare the some changes in seismic sections of
dam body before and after comprehensive reinforce-
ment, respectively.
3 SEISMIC DATA ACQUISITION AND
PROCESSING
Above mentioned, high resolution seismic reflection
surveys were made in Aug., 2001 and Nov., 2004,
respectively. Basically, all data acquisition and pro-
cessing were conducted in a similar manner in two
seismic surveys. To enhance the seismic data quality,
P-beam energy radiation technique which can reduce
the surface waves and accordingly to emphasize the
reflection events was used in two surveys. P-beam
energy radiation technique was described in detail in
some previous works (Kim, 1989; Kim, et al., 2004).
The measuring procedures had the basic source-
receiver arrangement (station, receiver distance
2 m
or 1 m; Single source; 30 channels) and the arrange-
ment were moved equidistantly (2 m or 1 m) on the
surface (roll-along technique). The measuring system
consists of a weight-drop type source “Bumser” (Kim
et al. 1994) that is comparable to vertical single force,
the “SUMMIT” telemetry data acquisition tool (DMT
developed, Germany) with a dynamic of 24 bit. The
sampling rate is set to 1/4 ms. To process the data, a
regular seismic data processing system “FOCUS” is
used. More detail data acquisition and processing were
described in authors’ previous study (Kim, et al., 2004).
4 RESULTS OF SUCCESSIVE REFLECTION
SEISMIC SURVEYS
Figure 4 shows the seismic stack sections on the crest
in the first survey (Aug., 2001).
At a glance, interfaces of dam foundation are clearly
discernible. In addition, one can discriminate the upper
boundary (arrow 2) of impervious layer and the dry/wet
interface (arrow 1) of the upper part of center core. Quite
noteworthy is that within a range of about CDP 130
170 very strong reflection events (see bold arrow) are
dominated. It seems like that such reflection would be
caused by e.g. a horizontal fracture with a considerable
aperture, or a broad roof of coarse material cavity.

Figure 4. Seismic stack results in the first survey (Aug.,
2001).
Figure 5. Seismic sections on the crest and the downstream
middle slope bench in the first survey (Aug., 2001).
513
Figure 6. Seismic sections on the crest before (Aug., 2001)
and after (Nov., 2004) reinforcement works.
Figure 5 presents the seismic stack sections on the
crest and the down-slope bench with the dam shape for
the interpretation of dam structure in the first survey.
The result of middle slope seismic survey shows also
a clear horizon of sand mat. On the other hand, the
multiple events are piece by piece severed in the CDP
range indicated with arrow. It means that the correspon-
ding medium under the middle slope might be hetero-
geneous probably due to cracks.
Figure 6 shows the seismic stack section on the crest
in the second survey after comprehensive reinforce-
ment works (Nov., 2004) with the section in the first
survey (Aug., 2001) to check the change of dam struc-
tures. Strong reflection events were recognized in the
stack section before reinforcement works. It seems that
the events would be caused by e.g. horizontal cracks
with a considerable aperture in dam body. Meanwhile
such strong reflection events were not observed in the
section after reinforcement work including grouting.
That is, the reinforcement works was dear able to rein-
force the defects of dam body especially in grouting
work. Hence, the section showed a well arranged pic-
ture of dam’s inner structure.
5 CONCLUSIONS
In center core type earth-fill dam, high resolution
reflection seismic data were acquired before and after
reinforcement works, respectively. The result shows a
favorable change in dam body and clear boundary of
foundation. Some strong reflection events which may
be related to some defects or unfavorable conditions in
dam body were observed in the section before rein-
forcement work. Meanwhile such strong reflection
events were not observed in the section after rein-
forcement works including grouting.
Kim, J.Y., Kim, Y.S., Kim, H.-S. and Kim, K.S. (2004)
In this sense, successive or time lapse snapshots by
use of high resolution seismic reflection methods will
be a desirable and innovative technique for delineation
of earth-fill dam structure and for estimation of mate-
rial properties and also for monitoring inner dam struc-
ture’s change.
Kim, J.Y., Kim, Y.S., Hyun, H.J. and Kim, K.S. (1994)
Applicability of P beam source to the shallow reflection
seismics, The Korea Institute of Mineral and Energy
Resources Engineers, Vol. 31, 407–412.
Seismic reflection method aided to estimate the struc-
tural behavior of center core type earth-fill dam, ICOLD
72nd Annual Meeting, May 16–22, 2004 Seoul, Korea,
Proceedings Workshop on Dam Safety Problems and
Solutions-Sharing Experience.

REFERENCES

Kim, J. Y. (1989) Directivity of P-radiation caused by a seismic

source array, The Korea Institute of Mineral and Mining
Engineers, Vol. 26, 28–33.

514

res R dna m D v srio nE d a seit coS ,
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Analysis of the possibilities of using reactive aggregates in the
construction of new concrete dams
J. Segarra Horadada, J.M. Buil Sanz & A. Aguado de Cea
Polytechnic University of Catalonia, Spain
ABSTRACT: One of the most important factors to take into account in the construction of a new concrete dam
is the big amount of aggregates required. The location of the quarry, close enough to the dam, becomes in this
way, determinant. Sometimes, the aggregates next can be reactive and so, can cause concrete expansivity. The
objective of the present paper is to analyze the possibility of using these aggregates, the limitations of this alter-
native, and compare the advantages of this choice in front of using the non reactive aggregates from a distant
quarry.
1 INTRODUCTION
The construction of a concrete dam requires a consid-
erable amount of aggregates due to the big volume of
concrete employed in these structures. So, the avail-
ability of these aggregates, and the distance of transport
to the dam becomes determinant in the cost of the
construction.
Non reactive aggregates are highly recommended
in dams construction, but sometimes the aggregates
close can be reactive. This kind of aggregates can cause
the later concrete expansion and seriously affect to
the dam’s operability. Usually, the use of these aggre-
gates is not permitted.
In this case, the usual choice is to refuse this react-
ive material and look for another quarry with suitable
aggregates. However, some economic or environmental
aspects should be considered derived from a higher
distance of transport to the dam, like the higher cost
of the construction or the increase of the emission of
CO2 as consequence of this transport.
There are effective preventive measures to avoid
expansion in the concrete with reactive aggregates. In
this paper two alternatives have been considered and
analysed from different points of view:
– A1: Use reactive aggregates from the closest quarry.
– A2: Use non-reactive aggregates from a more dis-
tant quarry.
The objective of this report is to analyze the possi-
bility of using reactive aggregates in the construction
of new dams instead of looking for more suitable ones,
to conclude that from a global evaluation, the use of
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reactive aggregates can be suitable, in some particular
cases.
2 EXPANSIVE REACTIONS
The most usual expansive reactions caused by reactive
aggregates are: alkali – aggregate reaction (AAR) and
sulphate attack.
For alkali – aggregate reaction to occur, the follow-
ing must all be present: reactive aggregates, water and
alkalis. Whereas for sulphate attack, first of all, it is
required the presence of oxygen in order to oxidize the
aggregates and, afterwards, the presence of water to
ettringite formation.
The alkali-aggregate reaction leads to different con-
crete expansions depending on the material’s compos-
ition, kind of mineral or the grain size distribution.
However, in case of sulphate attack, it’s been estimated
that 13% of the total expansion is due to the oxidation
reaction, and 87% due to the ettringite conformation.
On the other hand, the increase of volume due to this
ettringite conformation has been estimated in 227%.
3 TYPE OF DAM
The type of dam determines the way the structure works
and the stresses supported by the concrete. This is the
first point to take into account to decide the use of
reactives aggregates.
In case of gravity dams, the consequences of con-
crete expansion are less serious than in other types of
515
dams, like arch dams or multiple arch dams. This is
because in first case, the stability of the dam is provided
by the weight of the material, and the structure works
in cantilever scheme. The stability in arch dams comes
from the shape of the structure, which works in a sheet
scheme. Arch dams present some added problems,
because the stresses are higher, fissuration problems
and movements can produce severe structural alter-
ations. On the other hand, straight gravit dams are less
affected than arch gravity dams.
On the other side, concrete expansions can affect
to other components of the dam, like gates or mobile
elements, independently of the type of dam.
So, it looks reasonable to limit the use of reactive
aggregates to gravity dams, where the consequences
of this choice are not so important, and could be neg-
ligible with minimum maintenance operations.
3.1 Preventive measures
To build a concrete dam, some specifications in rela-
tion with the aggregates must be accomplished. When
the aggregates are not suitable, there are some alter-
native measures to take into account.
According to characteristics of both concrete expan-
sions considered, and the requirements for them to
occur, it’s possible to act over those factors to avoid neg-
ative consequences even if reactive aggregates are used.
3.1.1 Alkalis
Alkalis may come from the cement, but also from the
additions or aggregates. Portland cements containing
less than 0,6% equivalent sodium oxide are considered
as low content alkali cements. In Figure 1, Metha
Figure 1. Influence of alkali content in concrete expansion.
516
(1986), the concrete expansion observed for the same
mineral and different alkali content in the cement is
shown. The expansions caused are significantly dif-
ferent for low and high contents of alkalis.
Low content of alkali cements can be reached from
high content ones, but that means with a high energetic
and so environmental cost.
3.1.2 Pozzolans
There some alternatives to high content of alkali
cements, like pozzolans addition. Some tests, Bhatty
(1985) suggest that pozzolans reduce o avoid the con-
crete expansion caused by the alkali-aggregate reaction
producing additional calcium silicate hydrate and low
lime calcium silicate hydrate.
Pozzolans considered are ground granulated blast,
furnace slag, fly ash and microsilica.
3.1.3 Fly ash
The effects produced by the fly ash depend on their
chemical composition and the amount of addition
employed. Nixon & Page (1985), presented some stud-
ies showing that three main factors which influence in
the effectiveness of the addition are the alkali level of
the fly ash, the pozzolanity of it, and the alkali level of
the Portland cement.
Figure 2, Ramachandran (1998), shows the reduc-
tion of the concrete expansion with the increasing addi-
tion of fly ash.
According to other studies consulted, and to give an
idea of the dosage, Bhatty (1985), it is recommended a
replacement of cement by low lime fly ash of the 30%.
However, this amount could be reduced considerably,
to a level as low as 20% if the concrete contains react-
ive siliceous aggregate.
Additionally, Malhotra (1993) presented some stud-
ies performed during two years to verify that this kind
of additions reduce the concrete expansion in front of
ACR, even more than the expansion produced by ASR.
3.1.4 Silica fume
Silica fume is an amorphous SiO2 rich material in the
size range of 0,02 to 0,5 m. These particles, which
Figure 2. Effect of fly ash.
due to the chemical and crystalline properties are highly Nixon & Page (1987) found that as in the case of
alkali – reactive, have been used with success as an fly ash, for low content of alkali cements the effect of
addition to prevent alkali – aggregate reaction. the partial replacement of cement by the addition is not
The explanation is that the extremely fine particles effective to reduce the total content of the hydroxyl
react very quickly and consume alkalies even before the ion. However, this reduction is significative in case of
concrete has set. The silica fume have to be properly high content of alkali cements. On the other hand,
dispersed and broken up during the mixing. Kolleck (1986), concluded that GGBS contribute to
The effectiveness of this addition depends on several hydroxyl ion concentration in any case, as well as the
factors: contribution depends on the alkali content of the slag
and its reactivity.
– Composition, SiO2 and alkali contents. Some stud-
Figures 4a and 4b [Hobbs 1988] plots the expansion
ies, Boddy el al. (2003) indicate that mixtures con-
in relation with the age of the concretes, where 40 or
taining lower SiO2 silica fume, are less effective to
50% of the mass of high content of alkali cement has
avoid the concrete expansion than mixtures con-
been replaced by slag. For a replacement of the 50%
taining higher ones.
the expansion is not significant for all type of slags.
– Percentage of the addition. Figure 3, Olafson (1980)
Other works concluded that when the binder consists
shows that for a content of alkalis of 1,39% equiva-
of 50% or more of ground granulated vitreous slag, an
lents of Na2O, the expansion decreases when the
alkali content of up to 1,00 % as sodium oxide (NaO2)
percentage of cement replaced increases.
equivalents can be tolerated without a risk of problems.
– Type of alkali – aggregate reaction (alkali – silica or
alkali – carbonate). The effectiveness of the addi-
tion is higher in case of alkali – silica reaction Effective
(ASR) than alkali-carbonate reaction (ACR), Soles y Acid Acid Na2O equivalent
soluble soluble equivalent content
Malhotra (1993). GGBS Na2O: % K2O: % content: % Na2O: %
– Type, fineness and alkali contents of cement.
A 0,31 0,40 0,57 0,25
3.1.5 Ground granulated blast – furnace slag B 0,27 0,44 0,56 0,30
The granulated slag is a glassy material obtained from C 0,28 0,54 0,64 0,40–0,45
the metal production process. There are several theories D 0,52 0,68 0,97 0,50
to explain how this addition works and the benefits
over the AAR reached.
3.1.6 Lithium
The use of lithium compounds to control expansion
due to ASR was first reported by McCoy y Cadwell
(1951). They conducted a comprehensive investigation
on the potential use of chemical admixtures to prevent
or minimize the expansion. Over 100 different com-
pounds were included in this study conducting a series
of ASTM 227 mortar bar test and concluded that the
most promising candidates in reducing ASR expansion

Figure 4a. Relationship between expansion and age for

Figure 3. Relation expansion – time. concretes in which 40% by mass was replaced.

517
 Table 1. Sulphate resistant cements.

Additional prescriptions to sulphate resistant cements

Sulphate resistant (SR)

Type C3A% C3A%  C4AF%

I 5,0 22,0
II/A-S II/B-P 6,0 22,0
II/B-S II/A-V
II/A-D II/B-V
II/A-P
III/A 8,0 25,0
III/B –
III/C –
Figure 4b. Relationship between expansion and age for
IV/A 6,0 22,0
concretes in which 50% by mass was replaced.
IV/B 8,0 25,0
V/A 8,0 25,0

were lithium silicate (Li2SiO3), LiNO3 and lithium
sulphate (Li2SO4).
On the other hand, Ramachandran (1998), studied
lithium hydroxide (LiOH) as additive, and Stark et al.
(1993) made a systematic investigation on the effect of
lithium fluoride (LiF) and lithium carbonate (Li2CaO3)
reaching remarkable results.
3.1.7 Sulphate resistant cement
Experience has shown cements with low content of
C3A and high content of C4AF are sulphate resistant.
This is because calcium sulphate reacts with mono-
sulphate (formed from C3A in the cement) to form
ettringite.
That led us to use sulphate resistant cement when a
sulphate attack is expected, as preventive measure.
The current spanish normative, “Instrucción para la
Recepción de Cementos (RC-03)”, considers SR cem-
ents, as those whose composition includes clinker with
the prescriptions in Table 1.
On the other side, is also important thaumasite for-
mation. It can’t be prevented by means of sulphate
resistant cement and has to be taken into amount in
structures in high humidity conditions and relative
low temperatures. This is the case of many dams, and
the effect of thaumasite is worse than ettringite effect.
Prescriptions about C3A and (C3A  C4AF) are referred to
percentages in mass of clínker. C3A and C4AF contents are
determinated by calculation according to UNE 80304:1986.
– Right working period control, with special attention
to the compacting process to minimize the permea-
bility of the concrete.
– Take into account in the design phase, the optimum
dosification, reducing if possible the water/cement
relation.
3.1.9 Oxygen
The oxidation of the minerals in the sulphurous
aggregates requires the existance of oxygen, present
in the air or in the water. One of the possible solutions
is to limit its access to the body of the dam, protecting
the upstream and the downstream paraments as well
as the coronation.
When this type of reactions occurs, it is usual an
upstream movement due to there is more oxygen avail-
able on downstream parament, and so, the unit strains
are larger there, Aguado et al. (2003). Afterwards this
primary reaction, a secondary reaction occurs when
derivative products react with cement Casanova et al.
(1996).

3.1.8 Water
Some preventive measures can be taken during the
dam construction period, to minimize the presence of
the water inside the dam, which favours the chemical
attacks, as explained before:
– Waterproofing of the dam upstream face during the
construction. If this system can be soundly con-
nected to the grout curtain of the foundations, a
great part of the moisture can be cut-off.
– Correct sealing of the joints.
– Carry out an effective drainage network.
4 COMPARISON OF THE ALTERNATIVES
The problem and its conditionants have been presented.
In parallel, some preventive measures have been
pointed to minimize the consequences of the reactive
aggregates. Under this premises, the two alternatives
mentioned at the beginning of the article about the use
or not of the reactive aggregates will be compared.
For this comparison, technical, economic, social as
well as environmental aspects will be studied qualita-
tively. However, a similar but more precise study can

518
be done by means of an Analytic Hierarchy Process
(AHP), Manga (2005).
4.1 Technical aspects
The technical aspect associated to the security is the
main factor. According to this premise, in the case of
arch dams due to its structural complexity, it’s not rea-
sonable to add another point of complexity adding
reactive aggregates, so for this type of dams the alter-
native chosen is A2, that’s look for a quarry with suit-
able non reactive aggregates.
In case of gravity dams, the structural complexity
is lower so the alternative A1 can be considered. The
concrete expansion can cause operative problems with
the mobile elements of the structure. That led us to cre-
ate vigilance programs, actuation protocols of inspec-
tion including the relevant parameters to be measured
to know the structure behaviour, that’s movements,
leakage, etc.
It’s possible to consider the use of this king of aggre-
gates in arch gravity dams, but some additional struc-
tural aspects should be studied with accuracy, like the
discharging arch and the associated stresses which
must not exceed admissible values. Nowadays numer-
ical tools to evaluate this problem are widely developed,
reaching reliable results which can help to the decision
process.
4.2 Economic aspects
Concerning the economic point of view, construction
and maintenance costs must be considered. The con-
struction of a dam, involves a high volume of concrete
and so, a high amount of aggregates which means that
the transport costs to get the material from the quarry
and take it to the dam is a remarkable part of the budget.
At first, the use of aggregates from the closest quarry
(A1) would mean an important saving.
On the other side, the alternative of expansive aggre-
gates could mean an overcost due to the maintenance
if finally the operability of the installation is affected
by the expansion of the concrete. In that case, correct-
ive measures should be taken which consists in slot
cutting to relief stresses and strains, waterproofing of
the paraments, injections… To analyze the conveni-
ence of this alternative, this increment of the costs
must be taken into account.
4.3 Social aspects
The social aspects that have to be taken on account
are the possible transport affectations, like noise caused
by lorries passing inside the town. It is more impor-
tant in High Mountain because there are not link
roads to avoid nuisances to the inhabitants of these
towns.
519
On the other hand, an increment of heavy transport
can cause accidents, because in these places, roads are
usually secondary roads and sometimes are in bad
state. These are factors of increasing importance in our
developed societies, and should be taken into account
by technicians in the design of new infrastructures.
4.4 Environmental aspects
For what concerns to environment, a larger distance
of transport affects in two aspects. On the one hand,
contaminant emissions are larger, especially for what
it concerns to CO2 emissions and, in the second hand,
it consumed a larger quantity of fuel.
Also, the use of close aggregates, even if they are
in the later flooded area, reduces the visual impact
that is very important especially in tourist mountain
places.
5 CONCLUSIONS
As it is explained, the use of reactive aggregates does
not mean necessarily that the reaction will occur, or
even if it happens its consequences could be alleviated
or avoided, to ensure the correct operability of the
structure. There exists several preventive measures to
reach a reasonable solution.
The main conclusion of this article is that reactive
aggregates don’t have to be necessarily ruled out. It’s
pertinent to make an analysis of all the aspects con-
cerned in the dam construction mentioned before, to
determine the convenience of using reactive aggregates
from a closer quarry or use non reactive aggregates
from a distant alternative quarry.
According to the type of dam, the use of reactive
aggregates would be reasonable for a high number of
gravity dams. As experience shows, there are many
cases of gravity dams with concrete expansion prob-
lems, working in a correct way with minor programs
of maintenance.
ACKNOWLEDGEMENTS
The authors express their appreciation to the MEC for
the project BIA2005-09412-03-03 financiation.
REFERENCES
Aguado, A., Rodríguez-Ferran, A., Casanova, I y Agulló, L.
(2003) “Modeling time evolution of expansive phenomena
in concrete dams as a decision making tool”. XXI Congrès
des Grands Barrages MONTREAL. ICOLD. R.72 Tomo
II. Quest. 82. pp.1219–1228. 13 a 18 junio 2003.
Bhatty, M.S.Y. (1985) “Mechanism of pozzolanic Reactions
and Control of Alkali – Aggregate Expansion” Cement,
Concrete and Aggregates 7, Pgs. 69–77 Casanova, I.,
Agullo L. and Aguado, A.
“Aggregate Expansivity Due to Sulfide Oxidation – I. Reac-
tion System and Rate Model”. Rev. Cement and Concrete
Research. Vol. 26. n° 7. Agosto 1996. pp. 993–998.
Boddy, A.M., Hooton, R.D. & Thomas, M.D.A. (2003) “The
effect of the silica content of silica fume on its ability to
control alkali–silica reaction” Cement and Concrete
Research 33, Pgs. 1263–1268
Hobbs. D.W. (1988) “Alkali–silica reaction in concrete”
Thomas Telford Ltd.
Manga, R. (2005) “Una nueva metodología para la toma de
decisión en la gestión de la contratación de proyectos
constructivos”. E.T.S. Ingenieros de Caminos, Canales y
Puertos. U.P.C. 28 de octubre de 2005. Directores: Antonio
AGUADO y Gaizka ORMAZABAL.
Metha, P. K. (1986) “Concrete. Structure, properties and
materials” Englewood Cliffs, NJ Prentice-Hall.
520
McCoy, W.J. y Cadwell, A.G. (1951) “New approach to
inhibiting alkali – aggregate expansions” Journal of the
American Concrete Institute 47, Pgs. 693–706.
Nixon, P.J. & Page, C.L. (1987) “Pore solution chemistry
and alkali aggregate reaction” Katherine & Bryant Mather
International Conference on Concrete Durability. American
Concrete Institute, Pgs. 1833–1862.
Olafson, H. (1980) “The Effect of Finely Grained Silica
Dust and Fly Ash on Alkali Silica Reactivity on High
Alkali Cements” National Bureau of Standards Building
Composite Group.
Ramachandran, V.S. (1998) “Alkali – aggregate expansion
inhibiting admixtures” Cement and Concrete Composites
20, 149–161.
Soles, J.A. y Malhotra, V.M. (1993) “Investigations of sup-
plementary cementing materials for reducing alkali –
aggregate reactions” Cement and Concrete Composites
15, Pgs. 75–85.
 ts
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© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

A new device for field calibration of total pressure cells in Doosti and
Esfarayen dams

R. Jamshidi Chenari
Persesanco, Tehran, Iran

M. Nikkhah
Tooss-AB consulting, Mashhad, Iran

ABSTRACT: Total pressure in earth structures is of great importance. Equally important is the fact that the
instruments designed by manufacturing companies do not present enough accuracy. Consultants and clients
more often complain of unreliable measurements from total pressure cells. However, although, theoretical stud-
ies made by many researchers have highlighted the critical parameters in both design and installation of pres-
sure cells, the in-soil calibration necessity remains essential to improve the quality of results. In this paper a new
calibration frame which was developed in Doosti dam and utilized in both Doosti and Esfarayen dams is intro-
duced and its calibration results are also presented. Using this frame along with studies undertaken by others
will lead to better stress cell measurements through a more complete understanding of the interaction between
the cell and the soil.

1 INTRODUCTION only and that laboratory calibration in water is only a

The instruments offered by the manufacturers are more
or less standardized. NATM requirements are normally
followed for instruments for use in concrete and rock.
The dimensions and general aspect of the pads of
instruments for soil application are very similar (Bruzzi
et al. 1999). Building a stress cell with the same stress-
strain-time characteristics as soil appears to be imprac-
tical (Weiler & Kulhavy 1982). It is obvious that the
contact pressure distribution is not uniform over the
diaphragm, not only because of arching effect but
also because the contact between soil and diaphragm
is not continuous. In other words, for discrete media
the contact pressure and area are a function of the size
of the media particles (grain size) (Bruzzi et al. 1999).
The rheology of soils is a complicated function of
soil type, stress history, shear and normal stress levels,
boundary and drainage conditions, and many other
environmental effects, all of which are extremely diffi-
cult to build into a stress-sensing instrument (Weiler &
Kulhavy 1982). This means that pressure cells response
in different ways depending on the material in which
they are embedded. Accordingly, the stress registered
by the stress cell will not, in general, be the same as
the stress which would have existed at that point if
the cell was not present (Weiler & Kulhavy 1982).
From the above it can be clearly stated that pressure
cells are instruments that provide relative measurements
way of testing the construction and functioning of the
instruments (Bruzzi et al. 1999). The fact that the free-
field soil stress does not equal the stress registered on
the cell means that correction factors must be consis-
tently applied to all test results to minimize questions
of accuracy and dependability (Weiler & Kulhavy
1982).
2 TOTAL STRESS MEASUREMENT
The factors that affect stress cell measurements can
be divided into three main categories: (1) stress cell
properties and geometry; (2) properties of the soil in
which the cell is placed; and (3) environmental condi-
tions. The first two categories are not entirely separa-
ble; interaction between the cell and soil is not a direct
summation of the properties of earth member of the
system. The first category is distinguishable only
because it includes errors which can be controlled by
proper stress cell design.
The stress cell properties and geometry determine
the influence of cell design (shape and stiffness) on
the stress measurements made in soil. If a stress cell is
purchased, these factors cannot be controlled by the
user, but they must be accounted for when interpret-
ing the results (Dunnicliff 1993). Properties of soil is
concerned with how the variability of soil properties

521
under different boundary conditions influences soil
stress measurements, and how local soil disturbance
(by placing the stress cell in the soil) causes errors in
the stress measurements.
Stress cells will give the best results when used in a
dry, controlled environment to measure relatively static
stresses (Weiler & Kulhavy 1982). Many applications
of stress cells are for dynamic loading and for adverse
environments. Special precautions are necessary if such
uses are to be successful. Forgoing categories include
affecting factors such as aspect ratio (cell thickness to
cell diameter ratio), soil-cell stiffness ratio, diaphragm
deflection (arching), stress concentrations at cell cor-
ners, eccentric, nonuniform and point loads, lateral
stress rotation, cross-sensitivity, stress-strain behavior
of soil, placement effects (relative density between
the soil immediately surrounding the stress cell and
the rest of the soil), proximity of structures and other
stress cells, dynamic stress measurements, corrosion
and moisture, placement stress, temperature and instal- Figure 1. Fluid calibration chamber for earth pressure cells
lation trench geometry, most of which have been men- (Courtesy of Soil Instruments Ltd., Uckfield, England).
tioned and pointed elsewhere (Weiler & Kulhavy 1982)
and the rest are under study by authors. However,
although, theoretical studies made by many researchers
have highlighted the critical parameters in both design
and installation of pressure cells, the in-soil calibration
necessity remains essential to improve the quality of
results.

3 LABORATORY CALIBRATION

Each cell should be calibrated under fluid pressure to

be sure that it is functioning correctly and not leaking,
and most manufacturers of commercial earth pressure
cells provide a calibration chart based on all-round fluid
pressure loading, using air or water (Fig. 1). Unless
installations are to be made in soft clay, fluid pressure
calibrations are insufficient (Dunnicliff 1993). If meas-
urement accuracy must be maximized, each cell should
be calibrated in a large calibration chamber, using the
soil in which it will be embedded. Cell design and soil
placement details have a very substantial influence on
measurements, and during laboratory calibrations it is
most important that installation procedures represent
the intended field methods as closely as possible. Cal-
ibration within large chambers is an expensive and
difficult undertaking.
The writers comment that when hydraulic cells with
two active faces and vibrating wire transducers were
installed in clay fill in Doosti dam, initially no cell
recorded more than 80% of the calculated added stress.
The initial difference persisted as fill was placed, and
increased so that showed less than half that of the
overburden pressure. On completion of the dam the
average reading was about 47% of the overburden pres-
sure. Data are shown in Figure 2.
Figure 2. Measurement with embedment earth pressure
cells in the clay core at Doosti dam.
It appears that two general observations can be
made from the above mentioned affecting factors.
The first relates to the method of installation, the sec-
ond to selection of type of cell. First, although the
conventional installation procedure usually prevents
damage to the cells, its limitations are clear, and fur-
ther research on the behavior of embedment earth
pressure cells is ongoing in Amirkabir University of
Technology to establish an improved procedure for
installation within compacted fills. There is a need to
develop a controlled method of field compaction around
the cells that prestresses the soil to match the pre-
stresses in the remainder of the fill that is compacted
by heavy equipment, without damaging the cells
(Dunnicliff 1993). Improved installation techniques
are sought from the ongoing research. The 3D numer-
ical analyses along with some case studies are invoked
to investigate numerous affecting parameters influence
on the pressure cell measurements.

522
 The second general observation relates to the effect
of nonuniform bedding and leads to a recommenda-
tion for selection of type of cell. Diaphragm cells are
designed and calibrated for a uniformly distributed
load on the active faces, and point loads, stress nonuni-
formities, or arching will cause significant errors.
Hydraulic cells are also subject to errors from these
causes but to a lesser extent than diaphragm cells. The
best choice appears to be a flat hydraulic cell with thick
active face, preferably with grooves to increase flexi-
bility, and a thin layer of liquid (Dunnicliff 1993).
Weiler & Kulhawy (1982) believe that a stress cell
which performs well mechanically as installed does not
guarantee that the measured stress is representative of
the correct free-field stress. In-situ calibration of the
stress cells under the conditions expected in the field
combined with an understanding of the cell-soil system
behavior is essential to achieve good results. The time
and expense (and difficulty) of in-soil calibration make
the procedure unattractive to most engineers, so the
number and accuracy of stress measurements are not
high. Further research is needed before the under-
standing of stress cell behavior is complete, but it is
believed that successful stress measurements may be
made even now, in soils placed by man, if sufficient
time and care are taken in making the stress measure-
ment and in interpreting the result.
Weiler & Kulhawy (1982) state that the standard pro-
cedure to obtain correction factors is to calibrate the
stress cell in a fluid (air, water, or oil) and in the soil
where the cell is to be used (usually by placing the soil
and cell within a large diameter triaxial cell or oedome-
ter). Bruzzi et al. (1999) believe that the simplest way
to determine correction factors is to make an in-place
field calibration with purposely-made equipment. The
equipment consists of a cylindrical vessel OD 600 mm,
1000 mm high fabricated of composite material and
closed by a pressure cap. Located on the cap is a flat
jack having the same diameter and stroke of 10 mm to
pressurize the specimen material up to 10 MPa.
From the above procedures two calibration factors
are obtained: (1) the fluid sensitivity factor, Sf; and
(2) the soil sensitivity factor, Ss. These factors represent
the measured cell output in the fluid or soil, respec-
tively, per unit of applies normal stress. Then, from a
measured stress cell output, L, it is possible to define
two stress values: (1) the normal stress measured by
the cell:
(1)
and (2) the free-field normal stress present in the soil:
(2)
523
The ratio of these two stress values, c/s, is defined
as the registration ratio, R, for the stress cell in the par-
ticular soil. R greater than one indicates that the cell is
measuring more stress than is present in the soil, or is
“over-registering’. R less than one indicates “under-
registration.” The registration ratio is not a unique
value for a given cell. Many factors, including soil type,
influence the value of R. Often R is not even constant
for one unload-reload cycle of a cell. This paper
describes and summarizes the results of the aforesaid
procedure conducted with different materials; clay
and sand on an earth dam site in north-east of Iran and
introduces a purposely-made frame for calibrating
pressure cells in different materials.
4 NEW CALIBRATION DEVICE
Among the major development projects in North-East
of Iran dam construction plays an important role.
Doosti (Friendship) Dam on Iran-Turkmenistan border
in Razavi Khorasan province and Esfarayen Dam in
Esfarayen district in North Khorasan province are of the
most essential importance. Doosti dam in Germabab
Mountains would store the water of a seasonal river that
is called Tejen in urkmenistan and Harirud in Iran. The
river is also the natural boundary between the two coun-
tries. The dam itself is located partly on the territory of
Iran and partly in Turkmenistan. The benefit would be
split half and half by Turkmen and Iranian sides.
Designing an extensive geotechnical monitoring
instrumentation plan for the abovementioned dams,
some of the equipments supplied from two different
companies, showed questionable performance and
results. Total pressure cells which are installed in
different zones of both dams did not offer expected
measurements. Most of the stress cells were under
registering and the notion of field calibration was
formed in Doosti dam and the developed scheme was
utilized in both Doosti and Esfarayen dams.
The equipment invoked consists of an oedometeric
mold length 400 mm, width 400 mm, 360 mm high
fabricated of steel material and closed by a steel cap.
Located on top of the cap is a pullout test jack with
the diameter of 200 mm and a stroke of 100 mm to
pressurize the specimen material up to 25bar. The
jack is fixed between the steel cap and an outer rigid
frame as illustrated in Figure 3. The space between the
steel cap and outer frame is intentionally designed more
than required to be fitted by pullout jack, to provide
enough space for compacting tool to compact the soil
material efficiently. Stoke of the pullout test jack is not
broad enough for filling the gap. For resolving this
problem the gap is filled with some cylindrical weights
with the same diameter of pullout jack (Fig. 4).
The cell to be calibrated is positioned on a pre-
pared soil bed at the midplane of the mold (Fig. 5) and
Figure 3. Outer frame for adapting the pullout test jack to
pressurize the embedment pressure cell.
Figure 6. Measured stress vs. applied stress in clay mate-
rial (Esfarayen Dam).

Figure 4. Weights to fill the gap between the mold and

outer frame.
Figure 7. Measured stress vs. applied stress in sand mate-
rial (Esfarayen Dam).

covered with the same soil. For cohesive material, thin

layer of soil are hand compacted. The internal walls are
covered with a special plastic sheet to minimize bound-
ary effect. After the mold has been filled, the cap is
placed and flat jack is pressurized step by step up to
the specified maximum value.
By comparing the pressure generated by the jack and
the pressure measured by the cell, the specific cali-
bration curve is obtained as illustrated in Figures 6–7,
and registration factors (R.F.) are calculated.

5 INTERPRETATION OF RESULTS

Figure 5. Preparation of soil bed to minimize the effect of The calibration test was conducted on two pressure cells
nonuniform bedding. embedded in two different materials: highly plastic clay

524
and fine sand. In each cycle the test was repeated for
both loading and unloading. The calibration test was
repeated three loading-unloading cycles for each cell in
both materials. The main difficulty of these tests is that
of clay materials which take a lot of time and practi-
cally is a demanding and time consuming procedure.
The strain experienced by an element of soil result
from strains within individual soil particles and rela-
tive motions among the many particles composing the
element. Clay particles can be rearranged into more
effective packing. This type of strain mechanism is
one of the most important contributions to the defor-
mation of undisturbed natural clays. Fabric measure-
ments have indicated that strains, especially along the
shear surface, tend to align particles into a parallel
array. It seems logical that most of the strain resulting
from the reorientation of clay particles is not recover-
able upon the removal of the applied stress. In pure
clays a major component of strain is the alteration of
the spacing between particles. Strains resulting from
an alteration in particle spacing are recoverable. In
remolded, highly plastic clays the alteration of particle
spacing is a significant contributor to strain (Lambe &
Whitman 1979).
In the stress range normally encountered in civil
engineering problems, clays are usually much more
compressible than the sands. At stresses high enough
to cause particle crushing; however, sand can become
as compressible as clay. When a sample of saturated
soil is subjected to an increment of vertical stress in the
oedometer, the strain that occurs is time dependent.
This time dependency results from two phenomena:
hydrodynamic time lag and secondary compression.
Hydrodynamic time lag is the time passes for the
induced pore pressure to dissipate and is not the case
here. Even after all of the vertical stress has been trans-
ferred from the pore water pressure to effective stress,
compression continues. In sand, at usual stresses, this
action is completed so rapidly that it usually is not
noticed. Sand exhibits considerable secondary com-
pression at high stress because of particle fracturing.
In highly plastic soils, especially organic soils, sec-
ondary compression can be very large. In fact, in such
soils the compression occurring after the excess pore
pressures become zero can exceed the compression
that occurs during the transfer of excess pore pressure
to effective stress. The exact cause of secondary com-
pression is not known. It is probably caused by con-
tinued reorientation of particles, possibly influenced
by the extrusion of water which is held by attractive
forces from the soil particles explained by the help of
diffuse double layer theory.
In tests conducted, two different materials were used:
highly plastic clay with moisture content of 14.67%
and dry density of 18.7 KN/m3 used as fill material
for clay core of the Esfarayen dam. On the other hand,
380–840 m mesh sand used as filter material was
525
Table 1. Registration factor from different tests.
Clay Material Sand Material
Cycle No. Loading Unloading Loading Unloading
1 0.90 0.94 0.86 0.94
2 0.93 0.95 0.83 0.89
3 0.89 0.95 0.87 0.93
Average R.F. 0.91 0.95 0.85 0.92
Figure 8. Behavior of clay like uncompressible fluids.
selected as coarse grain material. The results of cali-
bration tests are included in Table 1 and the average
registration factor for clay material was calculated as
0.91 for loading and 0.95 for unloading. The correspon-
ding factors for sand material were obtained as 0.85
for loading and 0.92 for unloading.
The measured stress vs. applied stress graph (Fig. 6)
for the clay material is fairly linear for both loading and
unloading and they approximately coincide with the
isotropic line. This special clay behaves like uncom-
pressible fluids because of its high plasticity. To pre-
vent flow of plastic clay from the openings between
steel cap and side walls it was decided to use a larger cap
to completely close the top end of calibration frame,
bearing in mind that the cap should not touch the side
walls and allowing easy settling (Fig. 8). As discussed
in forgoing paragraphs, in remolded, highly plastic
clays the alteration of particle spacing is a significant
contributor to strain and this is accompanied by sec-
ondary lag because of the high affinity of plastic clays
with water. Accordingly, the test procedure is time
demanding and takes lots of time.
The measured stress vs. applied stress graph (Fig. 7)
for the sand material is not linear neither for loading
nor unloading and they are flatter than the isotropic
line. It signifies more under registration. The registra-
tion factor acquired for sand is less than that for clay
material. The reason is that the contact area in case of
sand is less than clay materials. Generally as much as
the cell pad size to grain size ratio is higher the regis-
tration factor will be closer to unity.
6 CONCLUSION
A stress cell which performs well mechanically as
installed does not guarantee that the measured stress
is representative of the correct free-field stress. In-
situ calibration of the stress cells under the conditions
expected in the field is of crucial importance.
Calibration tests carried out in Doosti and Esfarayen
dams indicated that the fluid-like behavior of highly
plastic clay allows us to use the commercially avail-
able stress cells with a high degree of reliability. In
the other hand less accuracy is attained for stress meas-
urements in granular materials and obviously the accu-
racy is dependent on the grain size which needs a more
comprehensive laboratory study. To obviate the need
for conducting the calibration test on every material
using such a heavy and robust frame, the aforemen-
tioned study will take the influence of effective grain
size (D50) and relative density of sand materials (Dr)
into account leading to generalization and better
understanding of pressure cells utilization in granular
materials.
However, although the in-soil calibration is abso-
lutely essential, high accuracy can not be achieved
without an understanding of cell-soil interaction and
factors affecting it. These factors consist of aspect
ratio (cell thickness to cell diameter ratio), soil-cell
stiffness ratio, diaphragm deflection (arching), stress
concentrations at cell corners, eccentric, nonuniform
and point loads, lateral stress rotation, cross-sensitivity,
stress-strain behavior of soil, placement effects (rela-
tive density between the soil immediately surround-
ing the stress cell and the surrounding soil), proximity
of structures and other stress cells, dynamic stress meas-
urements, corrosion and moisture, placement stress,
temperature and installation trench geometry, most of
which have been mentioned and interpreted elsewhere
(Weiler & Kulhavy 1982), and the others are ongoing as
a master science degree study in Amirkabir University
of Technology (AUT).
526
ACKNOWLEDGMENT
The writers would like to express their deepest appre-
ciation to Toos Aab Consulting Engineers for their
collaboration in manufacturing this frame in due time.
Without their support this research would not have been
possible. The pressure cells installed in Doosti and
Esfarayen Dams are described by permission of the
Khorasan Regional Water Authority. The views and
conclusion presented in this paper is those of the
authors alone. The authors do not make any warranty or
representation, expressed or implied, with respect to
the accuracy, completeness, or usefulness of the infor-
mation contained in this paper, nor does it assume any
liability with respect to the use of, or for damage result-
ing from the use of, any information in this paper.
REFERENCES
Audibert, J.M.E., & Tavenas, F.A. 1975. Discussion of
“Evaluation of Stress Cell performance,” by R J. Krizek,
M.H. Farzin, A.E.Z. Wissa, and R.T. Martin, Journal of
the Geotechnical Engineering Division, ASCE, Vol. 101,
No. GT7: 705–707.
Bruzzi, D., Zattoni, A. & Pezzetti, G. 1999. Pressure Cells:
How to Obtain Better Results. Proceedings of the 5th
International Symposium on Field Measurements in
Geomechanics-FMGM99/Singapore: 61–65.
Dunnicliff, John (1988, 1993). Geotechnical Instrumentation
for Monitoring Field Performance. New York: J. Wiley.
Fang, Y. S. & Ishibashi, I. 1986. Static Earth Pressures with
Various Wall movements. Journal of Geotechnical Engi-
neering Division, ASCE, Vol. 112, No. 3: 317–333.
Lambe, T.W. & Whitman, R.V. 1979. Soil Mechanics, SI
Version. New York: John Wiley and Sons.
Pahl, P.J. 1977. Testing the Shape of Contact Pressure
Curves. Journal of the Geotechnical Engineering Division,
ASCE, Vol. 103, No. GT7: 798–803.
US Army Corps of Engineers 1995. Engineering and Design
Instrumentation of Embankment Dams and Levees, EM
1110-2-1908.
Weiler, J. & Kulhaway, F. H. 1982. Factors Affecting Stress
Cell Measurement in Soil. Journal of Geotechnical
Engineering Division, ASCE GT12: 1529–1548.
Wong, H.Y. 1974. Some Design and Performance Consider-
ation of Diaphragm Type Pressure Cells Using Strain
Gauges. Geotechnique, Vol. 24, No. 1: 93–99.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Study on the seepage monitoring theory with temperature

in embankment dam

LI. Duan-you & Xiong Jian

Yangtze River Scientific Research Institute, Wuhan China

Wang Huang
ChangJiang Water Resource Commission Chang Jiang Institute of Survey Planning Design and Research,
Wuhan China

ABSTRACT: After introducing the principle, study history and actualities of the seepage monitoring tech-
nology with temperature, this article discusses such key problems as the thermodynamics characteristics of the
embankment dam and the relationship between the thermal field and the seepage field in embankment dam,
Discussing the coupling of the thermal field and the seepage field ,we have proved theoretically that the seep-age
field impacts to the thermal field is the main factor and we can neglect the thermal field impacts to the seepage field,
furthermore, we can realize the seepage monitoring by the finite element method program, if we have gotten the
data of the thermal field. As an example, the authors select a typical section of an embankment dam and calcu-
late the seepage field by the finite element method program after getting the data of the thermal field.

1 THE PRINCIPLE OF THE SEEPAGE
MONITORING TECHNOLOGY
WITH TEMPERATURE
IN EMBANKMENT DAM
The temperature distribution in the no seepage region
of the embankment is controlled only by heat conduc-
tion. If there is a great quantity of streams in the embank-
ment dam, the heat conduction intensity will change,
the heat transfer by convection is much more than
conduction. It makes the temperature of soil adapt with
the temperature of seepage water even if little water is
going from place to place, arousing the alternation in
thermal field thus.
Embedding the highly sensitivity temperature sen-
sor into the embankment base in difference depth. If
seepage stream flow by the measure spots or about
them, the movement and transplant of the current will
change the intensity of heat conductivity in the soil
and because of which will break the uniformity and
consistency of heat distribution around the measure
spots. Because the soil temperature changes with the
water temperature, based on the research of the nor-
mal soil temperature and conference water temperature,
we can independently confirm whether the tempera-
ture change is aroused by the seepage activity, and
this can be used as the hint of the seepage monitor. And
thereby realize the seepage spot location and monitor
in the embankment.
2 REVIEW OF PRESENT RESEARCH
ACHIEVEMENTS AND TRENDS IN
THE FUTURE
2.1 Monitoring the seepage field with
thermometer measuring temperature
In early stage, it primarily depended on emplacing
many thermometers in the constructions or theirs base
to measure the temperature. Joseph H. Birman, a pro-
fessor of geology department, Occidental university,
California, America, began to use the technology for
detecting ground water in 1958, in 1965, Joseph H.
Birman use the technology for detecting seepage water
in dam, and applied for the patent. The technology
had been used successfully in patching embankment
dam in America, the technology had been used for not
only embankment dam, but also for concrete dam in
USSR, they emplaced many thermometers in the con-
structions or theirs base for monitoring the temperature
of water in the inspection hole of the curtain grouting,
and they found the underground leakage passage, the
deadliness fault of above method is spot mode measure

527
of the temperature, finite spot measuring often misses
checking the anomalous area of the thermal field and
increases the chance of being undetected.
2.2 Monitor the seepage field with fibre optical
temperature measurement in dam
With the development of distributed fibre optical
sensing systems which measure temperature, now
they are possible to determine temperature and local-
ity at all points along the fibre, measurements can be
made using fibres up to 40 km long, and there is a
great development in the precision of measuring tem-
perature and distinguish ability of space. The distrib-
uted fibre optical sensing systems which measure
temperature will take the place of traditional spot
temperature sensors in the monitoring of seepage field
in dam, and improve the chances of finding the leak-
age passage.
3 THE THERMOLOGY CHARACTERISTIC
OF THE EMBANKMENT DAM
The thermology characteristic of the embankment dam
is very complex; it includes the basic heat processes
such as heat conduction, convection, and radiation.
There into, the effect of radiation from the sun and
atmosphere is only on the surface of the embankment
dam, it is mainly caused by the pulse in a day and
night, and it can be neglected.
In a embankment dam without seepage, the distri-
bution of the temperature is controlled by the conduc-
tion. In the range of 1015 m, it is controlled by the
temperature seasonal change on the surface. Under the
surface of the dam, the maximum and minimum tem-
perature is directly related to the temperature of
atmosphere and water. Because the embankment dam
consist of the low conduction material, the phase dif-
ference of the temperature change on the surface and
in the dam is increasing with the increasing of the
depth. The phase difference is relate to the coefficient
of thermal diffusion.
3.1 Heat conduction
Heat conduction is mainly in the upright direction,
because terrestrial heat travels upright, and the tem-
perature pulse caused by transformation of atmos-
phere temperature travel down. Terrestrial heat is very
little, about 0.1 w/m2, and can be ignored. For the heat
conduction is on one direction, it can be solved by
the resolution method. According to the research of
Doctor Sam Johansson, in Sweden, when the variety
range of the temperature is 15°C and the thermology
characteristic of the embankment dam is normal, the
variety range of the temperature at 5 m under the
528
surface is 7.1°C, at 10 m under the surface is 1.7°C.
Heat conduction in the upright direction can be ignored
in high dam.
3.2 Heat convection
Heat convection is more effective than heat conduc-
tion; little current has a great influence on the distri-
bution of temperature. In the velocity of l07 m/s
106 m/s, heat transmission is controlled by convec-
tion, so the distribution of temperature in the dam is
mainly controlled by the temperature of seepage water,
even in the low velocity. Temperature is the sensitive
indication of the seepage in dam.
4 THE RELATIONSHIP OF THE SEEPAGE
FIELD AND THE THERMAL FIELD
The seepage field and thermal field are reciprocity
and international in the embankment dam. It results to
two fields’ coupling and turns to a dynamic equilib-
rium and generates the seepage field with the effect
of the thermal field and thermal field with the effect
of the seepage field.
The course of the thermal field and seepage field
coupling is actually a dynamic thermal adjust course
in the medium, and any factors unsteady in the ther-
mal field and seepage field will result to the variety of
another factors. Physically in one hand, heat exchange
by medium contact, while seepage fluid diffuse and
flow in the pore of porous medium because of the
existence of the difference of potential energy. And at
same time, as the medium of heat energy transmit-
ting, fluid companied with heat exchange and diffu-
sion along the moving trace in the porous medium.
Based on the physical chemistry course on the other
hand, the varieties of heat result to the change of
medium’s temperature and consequently impact the
change of the medium and fluid physical chemistry
characteristic. The impacts represent in the variety of
medium and fluid bulk and the variety of fluid fluxion
characteristic parameter and so on. Hence, the impact
course of seepage and thermal field interaction actu-
ally include energy equilibrium and diffusion course
and medium’s physical chemistry courses. As a whole,
the interaction and reciprocity of seepage field and
thermal field is very complicate. Researches on this
are rare presently and mostly of which are qualitative.
On the point of engineering technology apply, mon-
itoring on the thermal field is expected to achieve the
varieties of the seepage field. Presently, the researches
are limited to be qualitative. study and the quantita-
tive researches on it are relatively rare. This paper will
discuss quantificationally on the theme on the view of
the seepage field and thermal field coupling.
4.1 The impact of thermal variety on
the seepage field
When the soil of hydro-structure such as embank-
ment is on saturation state, the temperature’s varieties
inevitably result to the bulk of soil and rock mass and
pore water variety. Generally (as for water, its tem-
perature greater than 4°C), when temperature raise,
bulk expand, and pore water pressure mount up. At
the condition that the gross stress keep constant, the
raise of the pore water pressure inevitably result to
effective stress decrease, and consequently result to the
water bulk and the soil bulk change farther. Therefore,
when the temperature changes, the solid bulk, pore
water bulk, effective stress and pore water stress will
adjust to a new equilibrium, in order to maintain the
bulk invariability and mass balance.
Based on qualitative analysis, when temperature
raise, result to effective stress decreases and pore water
pressure increases so as to seepage pressure increases,
and vice versa. On the basis of presently research:
temperature difference brings into thermal gradient
and thereby affects the water flow. As the thermal
gradient is very complicate, the impact to flow can be
present by an empirical expression of thermal gradi-
ent. Such as one dimension condition:
(1)
In which: qTx is flux produced by temperature vari-
ety, DT is flow diffusivity (dispersion ratio) at the
function of temperature difference, DT is expan-
sion coefficient of water and soil, is the physical and
chemistry influence, is the temperature gradient at X
direction.
The seepage field formulate at the effect of ther-
mal field then deduced as:
(2)
Ss is the coefficient of storage.
4.2 The impacts seepage field take to
thermal field
Water flow in the embankment, they exchange heat
when there are temperature difference between each
other. When we study the flowing water in the embank-
ment and assumed comparatively fixed soil medium
separately (specially), and seepage flow exists in the
inter embankment, the heat exchange is made up of
by two parts: heat exchange and heat capacity by flow.
Assumed of one-direction heat exchange, when
water seep in the embankment, heat discharge include:
heat exchange in the embankment, equal to
529
T/x; and heat carried by seepage flow, equal to
cwwT. Therefore heat discharge can be figured as:
(3)
In which: qx is heat discharge in the x direction; cw
is water specific heat; w is water density;  is heat
conductivity coefficient of soil.
So, the net heat discharge in a unit bulk at a unit
time can be present as:
(4)
This heat discharge must equal to heat that embank-
ment adsorbed for the temperature elevate at a unit
time, so:
(5)
In which, c is soil specific heat, and  is soil density.
The formula extrapolated into three directions, and
a three-dimensional heat conductivity formula that
considered the impact of seepage can be deduced as:
(6)
On view of the theoretical analysis of the seepage
field impacts to the thermal field, it can be conclude
that the seepage velocity impact to the thermal field
change directly.
4.3 Seepage field and thermal field
one-dimensional coupling desolation
Theoretically, the seepage field water level distribu-
tion H(x, y, z, t) and thermal distribution T(x, y, z, t)
that can satisfy both mathematic formulates are the
coupling model’s analytical solution. As we all know,
accurately solute the single formulate is impossible at
the most time presently, say nothing of coupling
solute the two formulates. So, it is necessary to dis-
cuss the analytical solution at one-dimension condi-
tion in the two fields, then, attain some conclusions:
Presuming that the boundary condition of one-
dimensional seepage field and thermal field are:
(7)
The approximate analytical solution can be attained.
The thermal field distribution at the impact of seepage
Figure 1. Variation of H and T with x respectively without
considering coupled behavior.
Figure 2. Comparison of temperature T1(x) under different
K-values with considering coupled behavior.*
Figure 3. Comparison of temperature H1(x) under differ-
ent K-values with considering coupled behavior.
530
Figure 4. Local amplification diagram as show in Figure 3.
field and the seepage field distribution at the impact
of thermal field are as follow respectively:
(8)
At the engineering application, the coefficients are
adopted as:
(9)
When k
109,108,107,106,105 m/s, we cal-
culate H0(x),T0(x),T1(x),H1(x) and show them in
Figures 14.
It can be seen in the figure that the coupling ana-
lytical solutions are quite difference from the uncou-
pling analytical solution. And furthermore, the impact
of seepage field to thermal field more evident. With
the increasing of permeability coefficient, the impact
of seepage field to thermal field is increasing, but the
impact of thermal field to seepage field is decreasing.
Furthermore, when permeability coefficient is large
than 106 m/s, temperature is controlled by seepage
water.
 If we consider the seepage field impacts to the
C D
thermal field as the main factor, and neglect the ther- B
mal field impacts to the seepage field, we will simplify
the calculation and satisfy the precision.

E
5 THE BACK ANALYSIS OF THE A
F
SEEPAGE FIELD
Figure 5. The specific cross section of the embankment
It is called back analysis of the dam that using the data dam.
gotten by observation combining with calculation by
FEM to determine the parameters of physics mechan-
ics and the boundary conditions, for getting more
information of the nature of the dam and perfecting
the design of the dam. Back analyses of the seepage
utilize the character of resolution of the positive ques-
tion being proper to change the back analysis to a
series of positive questions. According to the thermal
field data of the embankment Dam, the uncertain per-
meability coefficient in the finite element computa-
tion mode1 for solving seepage are back analyzed.
And the model adjusted. We can get quantification-
ally the permeability coefficient of the seepage field
and realize the seepage monitoring by the finite ele- Figure 6. The seepage field of the embankment dam.
ment method program.
Select an embankment as a specific cross section,
simplified as a plane matter as shown in Figure 5.
Presume the permeability coefficient is K
107,
on the basis of seepage boundary condition, and cal-
culate the corresponding seepage field, as shown in
Figure 6.
Presumed that the seepage field is steady field, and
neglect the impact of thermal field taken on seepage
field, at the known boundary condition, on considera-
tion of two dimensional seepage field and thermal
field coupling question, the seepage field formulate is:

(11) Figure 7. The thermal field of the embankment dam.

We calculate the corresponding thermal field when

Taking: the embankment’s permeability coefficient K
109,
108, 107, 106, 105. The result is shown in Table 1.
(11) We calculate the value E(k) when the embankment’s
permeability coefficient k change for the Emin(k):

The model of the thermal field at one-dimension

(13)
condition with the effect of the seepage field is:

In which: Tjc(ti) is the temperature value by calcula-

tion when the embankment’s permeability coefficient k
(12) is designated; T j0(ti) is the temperature value by meas-
ure. The process of the back analysis of the embank-
ment’s permeability coefficient k is showed in Figure 8.
When embankment’s permeability coefficient k

And we calculate the corresponding thermal field, 2.812  106, we calculate the value E(k) and we know
as shown in Figure 7. the value E(k) is minimal. Emin(k)
0.261. Using the

531
 Table 1. Contrast of temperature by calculation and actual temperature (unit: °C).

Calculation value
Measure Measure
spot Coordinate 109 108 107 106 105 value

P1 (80 3) 19.17 19.17 19.17 19.18 19.05 19.11

P2 (80 10) 20.71 20.71 20.73 20.77 21.04 20.78
P3 (120 3) 19.06 19.07 19.18 19.07 20.25 19.48
P4 (120 10) 19.06 19.07 19.17 19.59 23.69 20.06
P5 (125 20) 19.43 19.44 19.06 20.76 13.13 22.19
P6 (150 3) 18.36 18.37 18.47 19.44 19.30 19.85
P7 (150 10) 18.31 18.32 18.41 18.30 24.24 19.52
P8 (150 20) 18.42 18.42 18.49 19.06 25.78 18.86
P9 (190 3) 18.03 18.03 18.06 18.91 17.84 19.55
P10 (190 10) 18.24 18.25 18.27 18.92 17.05 19.41
P11 (250 3) 18.57 18.56 18.56 18.40 21.24 18.53
P12 (250 6) 14.87 14.87 14.89 15.06 20.18 16.12
P13 (180 5) 18.07 18.08 18.11 19.01 17.98 19.53
P14 (160 5) 18.23 18.23 18.31 19.28 19.44 19.79
P15 (175 10) 18.09 18.10 18.14 18.96 20.11 19.42
P16 (160 10) 18.18 18.19 18.26 19.15 22.88 19.72

REFERENCES

Aufleger, M. 2000. Fibre Optical Temperature Measurement

Figure 8. The process of the back analysis of the embank-
ment’s permeability coefficient k.
thermal field data measured by distributed fibre opti-
cal sensing system, we can get the embankment’s per-
meability coefficient k
2.812 106 m/s by the
grid search method of the back analysis. When the
embankment’s permeability coefficient k
2.812 
106 m/s, the value E(k) is least. We consider the
embankment’s permeability coefficient k
2.812 
106 m/s, then the embankment dam is leaning to be
safe.
6 CONCLUSION
Using the thermal field data measured, we can get the
space distribution of the thermal field; analyzing the
coupling of the seepage field with the thermal field
in the embankment dam, we know the relationship
between them; we can get quantificationally the per-
meability coefficient of the seepage field and realize
the seepage monitoring by the finite element method
program.
in Dam Monitoring – Four Years of Experience,
Obernach: Institute of Hydraulic and Water Resources
Engineering, 2000,1–10
LI Duan-you, CHENG Peng-xiao, WANG Zhi-wan, 2000.
Application of temperature indication method in seepage
monitoring of Yangtze River leve, Journal of Yangtze
River Scientific Research Institute
LU Ai-zhong, JIANG Bing-song, Reverse Question of Rock
mechanics, 1998. The Publication of Coal Technology
MA Shui-shan, WANG Zhi-yuan, LI Duan-you, TANG Ping,
2001. Optical fiber sensors and their application to geot-
echnical engineering, Chinese Journal of Rock Mechanics
and Engineering, 2001.20
Sagar B, Yabowitz S, Duckstein L. A Direct Method for the
Identification of the parameter of Dynamic Nonhomoge-
neous Aquifers Water Resour.Res. Vo1.11(4)
TANG Ping, LI Duan-you, MA Shui-shan, 2000.
Experimental study on fiber-optic osmometer Journal of
Yangtze River Scientific Research Institute
WANG Zhi-yuan, Wang Zhan-rui, WANG Yan, 1997. A new
technology of leakpage monitoring – measuring temper-
ature by drain hole , monitoring of dam and test, 21(5)
WU Yan-qing, ZHANG Dao-yuan, 1995. Rock hydraulics.
The Publication of Southwest JiaoTong University
XIAO Cai-zhong, Pan Wen-chang, 1999. Application of
thermal field studying seepage field in the base of dam,
Renmin Chang Jiang, 30(5)
Xu Mo, Back analysis of seepage field and it’s application
to porous media. Journal of Geological Hazards and
Environment Preservation
ZHU Ming-shan, LIN Zhao-zhuang, LIU Ying, PENG
Xiao-feng, 1995. Engineering Energetics. The Publication
of Tsinghua University

532
 ts
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reB Ð y )sde( la t
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Back analysis of dam based on uniform design and genetic neural network

LI. Duan-you & Xiao qing Gan

Yangtze River Scientific Research Institute, Wuhan, China

Yianyang.Guo
Changjiang Institute of Survey, Planning, Design and Research,Wuhan,China

ABSTRACT: A new approach for dam back analysis of displacements which combines BP neural network with
uniform design and genetic algorithm is established in this article. Firstly, basic genetic algorithm is improved for
excellent global searching capability as well as local searching capability. The genetic neural network which uses
the improved genetic algorithm as its learning algorithm is established. The genetic neural network has overcome
the shortcomings of BP algorithm. It can easily be applied in the local optimum solution and get global optimum
solution. Secondly, the material parameters sample is designed with uniform design method, and the calculated
displacement sample of dam is obtained through finite element method. According to these samples, the above
genetic neural network is trained to describe the sophisticated nonlinear relationship between dam displacement
and material parameters. Lastly, the actual dam displacement is input into the trained genetic neural network,
and the output vectors, which are named the inverse material parameters, can be obtained. As an example, the
authors back-analysed the elastic moduli and the linear expansion coefficient of dam body concrete and the
elastic moduli of major rock stratum of bedrock of the Qingjiang Geheyan gravity arch dam. The result shows
that this method can save the time of dam back analysis and improve the efficiency and accuracy after it is
applied in engineering projects.

1 INTRODUCTION parameters. If ANN were trained successfully, the

The theory of geotechnical engineering back analysis,
founded initially by Kavanagh.K and Clough.R for
back analyzing solid elastic modulus with finite ele-
ment method in 1972, has become more and more
abundant. Conventional optimize back analysis method
is a kind of direct back analysis methods. Basing on
positive going analysis program, conventional opti-
mize back analysis method uses various optimization
methods to find the optimal solution by making the
sum of square error between calculated displacement
and actual displacement minimal. It is widely applied in
the field of non-linear back analysis. However, Con-
ventional optimization back analysis method has some
limitation such as time consuming, low efficiency and
difficult to converge when it encounters either sophis-
ticated geotechnical engineering problems or multi-
parameter back analysis questions. To overcome this
limitation, some researchers have developed Intelligent
Back Analysis Method (IBAM) which applied artificial
neural network (ANN) into geotechnical engineering
back analysis. IBAM use the function approximation
capability of ANN to reflect the nonlinear relation-
ship between slope displacement and rock body
inverse parameters of rock body would be obtained by
means of inputting the actual displacement into ANN.
Based on IBAM, the authors developed a new back
analysis method which combines artificial neural net-
work with genetic algorithm (GA) and uniform design
theory. GA has been improved for excellent global as
well as local searching capability. Genetic neural net-
work (GNN) which takes the improved GA as its’ learn-
ing algorithm is established in this article. Generating
train sample of GNN by uniform design method is
another way to improve the speed and accuracy of back
analysis at the same time. As a result, multi-parameter
back analysis has been carried out.
2 THE THEORY OF UNIFORM DESIGN,
GENETIC ALGORITHM & NEURAL
NETWORK
2.1 Uniform design
Uniform design theory, a new test design method
combined number theory with multivariate statistical
analysis and based merely on uniformity principle, was

533
found by Professor Kaitai Fang & Professor Yuan Wan
in 1980s. The major problem in uniform design theory is
how to design a good uniform table. Generally, Un(qs)
denotes an uniform table, where U means uniform table,
n is the number of test or sample, q is the number of test
factor level and s is the column number of uniform table.
For an orthogonal table, n is the square of q. On the con-
trary, n equals to q in uniform table so lower test cost is
necessary because of the correlativity of the columns of
uniform table and [s/2]  1 factors available.
The key to of uniform design theory is using deter-
minacy theory to find a uniform distributing points set
to replace random number generated in terms of Monte
Carlo method. Uniform table can be expressed as:
(1)
Where j is the row number of uniform table; i is the
column number; the parameter h can be obtained
from Equation (2):
(2)
Where hk(k
1, 2… m) is not only an integer smaller
than n, but also the greatest common divisor with n is 1.
2.2 BP neural network
BP neural network, as one of multi-layer feed forward
network, takes BP algorithm as its’ learning algorithm.
Usually, BP network consists of one input layer, more
than one hide layers and one output layer. The nerve
cells of various layer of BP network link with each
other, but the nerve cells of the same layer not. The
learning processes of BP network include:
(a) Initialization of weight value and threshold value
of network;
(b) Calculating the output vector of network by
means of the input vector and transfer functions;
(c) Comparing the error between output vector and
desired vector of network, and inverse transfer-
ring the error;
(d) Recalculating new weight value and threshold
value of network;
(e) Judging whether the convergence condition is
reached or not. If not, restart form the second
step. Otherwise, ending the learning process.
2.3 Genetic algorithm & improved methods
2.3.1 Basic genetic algorithm
Genetic Algorithm (GA), a optimizing search method
imitating the evolutionary process of natural organism,
has been mainly applied in function optimization, com-
bination optimization, manufacture scheduling, auto-
control, intelligent control of robot, image processing,
534
pattern recognition, artificial life, and machine learning
recently.
By gene coding, the potential solution set of issue
can be transformed into population comprising several
individuals in terms of the principle of survival of the
fittest of genetic Algorithm. According to the degree of
adaptability of individuals, they may be crossed and
mutated at various probabilities to generate new more
excellent individuals, and these excellent individuals
comprise new population which is more adaptive to
environment than their ancestor. The optimum individ-
ual will survive after several generation evolutions, and
the optimum approximate solution can be obtained by
gene decoding. The steps of basic genetic algorithm
include gene coding, calculation of adaptability
degree of individuals, selection of operator, crossover
of operator, mutation of operator and gene decoding.
2.3.2 Improved genetic algorithm
It is easy to find the global optimum solution through
basic genetic algorithm to solve relatively simple prob-
lems. However, the ability is not compatible with its’
ambition when encountering sophisticated problems or
its populations is too large. To address this problem, the
authors developed a new algorithm which improved
basic genetic algorithm from several aspects, e.g.,
improving selection operator, improving crossover
operator, improving mutation operator and introduc-
ing BP algorithm into basic genetic algorithm to over-
come the weak local searching capability.
These approaches include:
(a) Selection operator improvement. Adopting the
Elite Selection Strategy Over Generation to
choose individuals from the population which
consist of the individuals of children generation
and the individuals of parent generation;
(b) Crossover operator improvement. Employing the
Middle Recombination Method to crossover indi-
viduals. The crossover probability Pc can be
adjusted by itself according to the degree of indi-
vidual’s adaptability. It can be described as follows:
(3)
Where favg is the average degree of adaptability of
population; fmax is the maximal degree of adapt-
ability of population; f’ is the large one of the
degree of adaptability of two crossovering indi-
viduals; f’is the degree of adaptability of the cross-
ing individual; Pc1 equals to 0.9 and Pc2 equals
to 0.6;
(c) Mutation operator improvement. Adopting Real-
valued Variation Method to mutate individual.
The mutation probability Pm can be adjusted
 itself according to the degree of individual adapt-
ability. It can be described as follows:
(4)
of sophisticated function. To overcome this shortcom-
ing, the authors established a genetic neural network in
which improved genetic algorithm was used to search
the optimum solution instead of BP algorithm. The
genetic neural network can find the global optimum
solution easier, and has excellent reflection capacity
of nonlinear function.

3 BACK ANALYSIS METHOD BASED ON

Where Pm1 equals to 0.1; Pm2 equals to 0.001; the GENETIC NEURAL NETWORK
other parameters is the same as Equation (4);
(d) BP operator introduction. Before new individual is 3.1 Overview
added into children generation, it should be decode
to participate in BP optimizing operator for better Generally, the complicated non-linear relation between
individual with higher degree of adaptability. Fig. 1 material parameters and deformation in geotechnical
shows the evolution process of improved genetic engineering problems can be solved by some numeri-
algorithm. cal methods such as finite element method (FEM).
Whereas, the difficulties occur when the conventional
optimizing back analysis methods based on FEM are
2.3.3 Genetic neural network applied in large scale geotechnical engineering inverse
In spite of its excellent local searching capacity, BP problem or a lot of parameters need to be back-analysed
neural network has a shortcoming of weak global simultaneously. Recalculation is necessary for every
searching capacity which can easily lead to local opti- optimizing process, and the time for one recalculation is
mum solution. As a result, BP neural network is not very long. Thus the total time is indescribable, and
always very good to reflect the non-linear relationship sometimes the optimizing process is difficult to con-
verge too. However, the adoption of genetic neural net-
work can overcome this difficulty. Genetic neural
begin network can be used to reflect the complicated non-
linear relationship so as to separate back analysis process
generating initial from positive going analysis process. To design the
population training sample with uniform design method can reduce
the sample number of GNN. It means the number of
calculating degree of positive going analysis process is smaller. After the
individual adaptability GNN is successfully trained, the relationship between
material parameters and deformation of dam can be
add to children expressed precisely by the GNN. When the actual dis-
generation
if accord with Yes placement is inputted into GNN, the output vector of
convergent GNN, which is namely the inverse parameters of dam,
individual condition
coding will be obtained. It spends very short time to finish back
analysis process with high accuracy and efficiency.
No
BP operator
selection
operator 3.2 Back analysis procedure
individual
decoding crossover The steps of genetic neural network back analysis
operator method include:
mutation (a) Building finite element analysis model for accom-
operator plishing the positive going calculation from mate-
rial parameters to calculated displacements of dam;
optimal solution (b) Analyzing actual observed deformation, choos-
ing the period of time and characteristic point of
output results back analysis at the same time;
(c) Susceptivity analysis of inverse parameters,
choosing those parameters which are susceptive to
end
deformation. Conventional susceptivity analysis
methods comprise Susceptibility Factor Method
Figure 1. Flow chart of improved genetic algorithm. and intuitive analysis method of variance;

535
(d) Designing the sample of material parameters by
means of uniform design theory;
(e) Inputting the material parameter samples gener-
ated in step (d) into the model built in step (a), cal-
culating the sample of calculated displacements;
(f) Establishing a genetic neural network, taking the
parameter samples generated in step (d) and the
calculated displacement samples generated in
step (e) as its learning samples;
(g) Training the genetic neural network;
(h) When the GNN has been trained successfully,
inputting the actual displacement into the GNN.
Thus the inverse parameters will be obtained;
(i) Checking and evaluating the result of back analysis.
characteristic of gravity arch dam are selected as the
characteristic points of dam back analysis (Table 1).
According to the statement of literature [5], the
monitoring data from May 30, 2003 to Dec 12, 2003
is integrated and believable. Therefore, the period
from May 30, 2003 to Oct 23, 2003 can be taken into
account as the back analysis period of time for
Geheyan dam back analysis, and the actual displace-
ment increments from Oct 23, 2003 to Dec 12, 2003
can be used to check and evaluate the validity of dam
back analysis. Fig. 2 gives the actual displacement dis-
tribution of the 15th segment of arch crown and the 15th
segment of arch abutment on May 30, 2003 and Oct 23,
2003. The actual displacement increments from May
30, 2003 to Oct 23, 2003 are listed in Table 2.

4 APPLICATION
4.3 Finite element model
4.1 Engineering description According to the shape of the gravity arch dam and the
Qingjiang Geheyan hydropower station is located in the geologic information of bedrock previded in literature
terminal of Geheyan gorge of Qingjiang River in Hubei
province. The dam of Geheyan hydropower station is Table 1. The characteristic points and its’ altitude.
665.64 m in length, 151.0 m in height and 75.5 m in
width at the foundation of dam. The top of dam is at Serial Characteristic Altitude Serial Characteristic Altitude
206.0 m altitude. It is a concrete gravity arch dam number points (m) number points (m)
with 31 segments. Design water level of normal
impoundment is 200 m in altitude, and design water 1 PL15801 203.5 4 PL10701 184.5
2 PL15501 145.0 5 PL21801 203.5
level of one in 1000 years flood is 203.14 m in alti-
3 PL10801 203.5 6 PL21701 184.5
tude. The shape of Geheyan gravity arch dam is pecu-
liar because the upper dam is gravity dam and the
lower dam is arch dam. Moreover, the terrain of right May30,2wterlv196.8 mairtepu24.¼C May30,2wterlv196.8 mairtepu24.¼C

and left bank of the dam site is asymmetric, thus a Dec23,0watrlv18.5 mairtepu15¼C Dec23,0watrlv18.5 mairtepu15¼C
210
gravity abutment is set at the left bank of the dam.
20
Bedrock of the dam is composed of four terranes: 190

shale 12–1, limestone 13–1, limestone 13–2 and lime- 170

180
stone 13–3. There are 3 major intercalated beds 150
(201#, 301# and 302#) and 7 major faults (F10, F10-1, 130 15thse gment
160
21ste gment
F25, F26, F12, F4, F16) crossing the bedrock. In order to
10
enhance the mechanical property of rock of abut-
Altiude/m

Altiude/m

140

ment, some plugs and load-transfer pole are set in 90

120
several major weak structural planes. 70

50 10
-5 0 5 1 0 15 20 25 -10 -5 0 5 10 15
4.2 Deformation monitoring data analysis Displacemnt/ Displacemnt/

The deformation monitoring system of Geheyan dam

comprises horizontal displacement monitoring and Figure 2. Distribution chart of measured radial displace-
vertical displacement monitoring. Horizontal dis- ment at segment No.15 & No.21.
placement consists of radial horizontal displacement
and tangential horizontal displacement. Radial hori- Table 2. Displacement increment of characteristic points.
zontal displacements which can be measured by 24
normal perpendicular lines and 15 inverted perpendi- Actual Actual
cular lines in the dam body are chosen as input data of Point displacement Point displacement
dam back analysis because its amount is larger than number increment /mm number increment /mm
tangential displacement with less observation errors.
PL15801 11.61 PL10701 4.47
The six measure points located in the 15th segment of PL15501 7.38 PL21801 5.46
arch crown and the 10th and 21th segment of arch abut- PL10801 5.00 PL21701 4.32
ment which are suitable for reflecting the deformation

536
[4], the finite element analysis model of the dam is build chosen as inverse parameters of dam back analysis.
in this article. Since various coordinate systems are Parameters susceptivity analysis includes: (1) calculat-
available, the authors adopted the construction coordi- ing the susceptibility of parameters with Susceptibility
nate system of Geheyan dam. The coordinate x and Factor Method. Those parameter with high susceptibil-
coordinate y at the center of arch dam are 1340 m and ity is reserved; (2) using the reserved parameters to
1160 m respectively. This article defines downstream carry orthogonal experiment, and picking out those
direction of river as the forward direction of axis x, parameters which significantly affect the outcome of
direction face to left bank as the forward direction of experiment by Intuitionistic Analysis Method and
axis y and upright direction as the forward direction of Variance Analysis Method. The parameters kept in step 2
axis z. There are 15,230 elements and 16,822 nodes in are the final inverse parameters. Five inverse parame-
the mesh of finite element model, among them 3482 ele- ters (the elastic modulus Ec and the linear expansion
ments belong to dam body and 11,748 elements belong coefficient ác of concrete of dam body, the elastic mod-
to bedrock. Part of elements are smaller in order to ulus E31 of rock 131, the elastic modulus E32 of rock
reflect the influence of fault, intercalated bed and plug. 132, the elastic modulus E33 of rock 133) are back-
The boundary conditions are simplified and the analyzed in this article. Table 3 gives the intervals.
upstream and downstream boundaries are normal con-
straint along axis, the left and right boundaries are nor- Table 3. The inversion parameters and its interval*.
mal constraint along axis y, the bottom boundary is
normal constraint along axis z, and other boundaries are Parameters Ec ác E33 E32 E31
free. Fig. 3 gives the mesh of Geheyan gravity arch
dam. To make analysis simpler, the load exerted on the Interval 1629 0.51.5 1230 1025 1025
dam may be grouped into five categories: (1) the dead
weight; (2) the sediment pressure; (3) the hydrostatic * The unit of elastic modulus is Gpa, the unit of linear
expansion coefficient is 105/
pressure; (4) the uplift pressure; and (5) the temperature
load. Because the actual observed temperature data of
dam is not perfect, the authors adopted Befang Zhu Table 4. The sampled data of material parameters.
method to calculate the temperature of reservoir water,
Serial number Ec E33 E31 E32
regarding water temperature and air temperature as
temperature boundary of dam to analyze the tempera- 1 16.0 19.2 20.0 23.0
ture field of dam with finite element method. The 2 17.5 27.0 14.5 20.5
temperature load is obtained by means of the temper- 3 19.0 15.6 25.0 18.0
ature field. 4 20.5 23.4 19.5 15.5
This article considers elastic-plastic model as the 5 22.0 12.0 14.0 13.0
constitutive relation of material of dam body and rock 6 23.5 19.8 24.5 10.5
body of bedrock. 7 25.0 27.6 19.0 24.0
8 26.5 16.2 13.5 21.5
4.4 Inverse parameters and its’ boundary 9 28.0 24.0 24.0 19.0
10 29.5 12.6 18.5 16.5
Based on the susceptivity analysis of material param- 11 15.0 20.4 13.0 14.0
eters of dam body and bedrock, part of parameters are 12 16.5 28.2 23.5 11.5
13 18.0 16.8 18.0 25.0
14 19.5 24.6 12.5 22.5
15 21.0 13.2 23.0 20.0
16 22.5 21.0 17.5 17.5
17 24.0 28.8 12.0 15.0
18 25.5 17.4 22.5 12.5
19 27.0 25.2 17.0 10.0
20 28.5 13.8 11.5 23.5
21 30.0 21.6 22.0 21.0
22 15.5 29.4 16.5 18.5
23 17.0 18.0 11.0 16.0
24 18.5 25.8 21.5 13.5
25 20.0 14.4 16.0 11.0
26 21.5 22.2 10.5 24.5
27 23.0 30.0 21.0 22.0
28 24.5 18.6 15.5 19.5
29 26.0 26.4 10.0 17.0
30 27.5 15.0 20.5 14.5
31 29.0 22.8 15.0 12.0
Figure 3. Grid chart of Geheyan Dam.

537
4.5 Sample design of material parameter
Uniform design method is used to generate the sam-
ple of parameters. The authors adopted uniform table
U31(3110), of which the level number of parameters is
31 (Table 4). Because the linear expansion coefficient
is back-analyzed separately, it is omitted to keep the
article concise.
4.6 Training of genetic neural network
The training of genetic neural network includes:
(a) Taking sample data of table 4 as the input of finite
element model, then the calculated displacement
of the six characteristic points can be obtained
(Table 5).
(b) Establishing a genetic neural network with three
hide layers to reflect the non-linear relationship
between the calculated displacement in table 5
and the material parameters in table 4. The input
layer has 6 cells, the first hide layer has 13 cells,
the second hide layer has 20 cells, the third hide
layer has 12 cells, and the output layer has 4 cells.
The transfer functions of network are tansig, tansig,
logsig and purelin respectively. After about 7000
generation evolvements, the network error tends
to be stable, and the training is over.
(c) Inputting the actual displacement increment of table
2 into the trained genetic neural network, the output
of network are the value of inverse parameters.
4.7 Back analysis result check and evaluation
It is necessary to check and evaluate the validity of dam
back analysis. The Postmortem Error Check Method is
adopted in this article. This approaches include: (1)
Recalculating the dam displacement increments from
Oct 23,2003 to Dec 12, 2003 with the back analysis
result by finite element method; (2) Comparing the
calculated displacement increments with actual one,
and determining whether they are relatively consis-
tent with each other or not.
Defining um(i) as the actual displacement
sequence, uc(i) as the predict observed displacement

Table 5. Calculated displacements of characteristic points (unit: mm).

Measure point PL21801 PL21701 PL10801 PL10701 PL15801 PL15501

Number of node 1732 1746 2592 2678 4221 4299

1 4.62 4.57 7.79 7.25 15.72 9.56

2 3.67 3.65 7.15 6.65 14.82 8.92
3 3.75 3.80 6.43 6.22 12.63 8.25
4 2.93 3.15 6.25 6.00 12.76 8.16
5 3.98 4.07 6.51 6.37 11.70 8.13
6 2.87 3.01 5.88 5.76 11.78 7.78
7 2.02 2.42 5.19 5.16 11.10 7.37
8 2.68 3.00 5.53 5.53 10.83 7.50
9 2.03 2.34 5.02 5.04 10.42 7.06
10 3.51 3.55 5.77 5.77 10.16 7.38
11 4.69 4.53 8.14 7.53 16.36 9.83
12 3.79 3.73 7.34 6.82 15.37 9.17
13 3.85 3.88 6.86 6.51 13.74 8.60
14 2.79 2.97 6.17 5.92 13.38 8.12
Sample serial 15 3.81 3.97 6.38 6.23 12.01 8.18
number 16 2.82 3.10 6.04 5.86 12.09 7.96
17 1.80 2.18 5.12 5.10 11.25 7.35
18 3.13 3.23 5.89 5.80 11.30 7.73
19 1.79 2.10 5.07 5.11 10.83 7.22
20 2.95 3.14 5.67 5.65 10.83 7.51
21 2.20 2.49 5.16 5.17 10.43 7.15
22 4.34 4.14 7.94 7.25 16.35 9.56
23 4.11 4.12 7.39 6.97 14.78 9.23
24 3.25 3.37 6.59 6.25 13.62 8.45
25 3.90 3.90 6.82 6.58 13.12 8.58
26 2.72 2.94 6.03 5.83 12.55 7.99
27 2.21 2.49 5.53 5.37 11.90 7.55
28 2.75 2.94 5.78 5.66 11.46 7.60
29 1.58 1.98 4.94 4.98 10.94 7.18
30 3.31 3.46 6.07 5.98 11.21 7.80
31 2.00 2.34 5.29 5.30 10.83 7.38

538
sequence, the residual errors between um(i) and uc(i) shown the result of dam back analysis is effective and
are as follows: eligible.
Moreover, the authors compared the actual displace
(5) and stress of dam with the calculated displacement and
stress of dam in several representative running state.
Where is the number of characteristic points. If The result shows that the actual displacement is consis-
defining S1 as the mean-square deviation of measure tent with calculated displacement very well, and is
displacement, S2 as the mean-square deviation of the much more accurate than dam back analysis method.
residual error, then,
5 CONCLUSION
(6)
(a) The authors developed a new dam back analysis
method based on uniform design theory and
genetic neural network. The application in
(7) Qingjiang Geheyan gravity arch dam shows that
this method is feasible in engineering practice;
where (b) The authors improved the basic genetic algorithm,
and applied the improved genetic algorithm in the
BP neural network as its learning algorithm to
(8) establish genetic neural network. The genetic neu-
ral network could search the global optimum solu-
tion perfectly;
(c) The new back analysis method introduced in this
(9)
article can reduce sample, separate back analysis
process from positive going analysis process, and
postmortem check ratio is as follows: thus save the time and improve the accuracy and
efficiency;
(d) The authors attempted to build a displacement
(10) monitoring & controlling model for dam in order
to obtain the index for its safety management.
Probability of error is as follows:
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Figure 4. Distribution chart of measured displacement and

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539
 ts
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reB Ð y )sde( la t
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Application of BP network to multiple-spot model of dam

deformation monitoring

LI. Duan you & Zhou Yuanchun

Changjiang River Scientific Research Institute, Wuhan, China

ABSTRACT: Currently, dam deformation multi-spot statistical modeling is normally utilized to provide basis
for overall accurate evaluation of dam safety. To build the model, we have to define environment factors first,
then employ step-by-step regression analysis to choose the right factors and work out the coefficients. However,
this traditional modeling method has various disadvantages such as many factors, large computation volume
and lack of simulation for regression model. In contrast, as one of the widely applied artificial neural networks,
BP network features strong function non-linear mapping capability and can simulate the internal relationships
between cause and effect variables under influence of different uncertainties to realize the arbitrary non-linear
mapping from input to output. This paper intends to build multiple-spot BP space model and perform simula-
tion and forecast of multiple-spot monitoring data of dam deformation by utilizing of above features of BP net-
work. The set up of multi-spot BP network model of dam deformation follows the steps below: choice of
network inputs and outputs, pre-handling of sample data, design and computation of BP network, use input
parameters of coordinates of water level, temperature, time & measuring spots and output of dam deformation
values based on analysis of factors affecting dam deformation, adopt standardization and scale compression etc.
to make normalization of network input data and reduce the influence of magnitude difference of parameters on
network identification accuracy, decide network structure and computation parameter values preliminarily,
organize typical sample cases to make network training, improve network structure and computation parame-
ters continuously during the computation process until figuring out satisfactory results. The findings reveal that
model simulation and forecast results can meet monitoring accuracy through network training of typical sam-
ple cases. Meanwhile, multiple-spot BP network model of dam deformation demonstrates advantages of easy
model execution, fast running speed, convenient error revision, simple and flexible operation over traditional
statistical modeling.

1 INTRODUCTION regression model are obvious too. To build a multiple

Recent years witnessed establishing of multi-spot dam
deformation monitoring models capable of reflecting
the displacement relationship among the measuring
spots by some domestic specialists and scholars. This
type of multi-spot model covers variables of load, time
and coordinates. Hereby, it can monitor the displace-
ment field and its development tendency of correspon-
ding loads promptly at any time so that the abnormal
points of dams can be detected at early stage to track the
root cause and eliminate the hidden defects. Practices
prove that compared with single measuring spot model,
multiple measuring spot model features better simu-
lation and forecast accuracy and demonstrates the inter-
relationship between the deformations of measuring
points of dames more reasonable than single spot model.
Even though multiple spot model provides the
basis for evaluating the dam safety comprehensively
and exactly, its shortcomings such as large number of
factors, heavy computation, lack of simulation of its
spot model of better quality and reduce the modeling
difficulty, it’s intended to apply BP network in multi-
ple spot modeling job.
As one of the artificial neural network used most
widely, BP network features strong function non-linear
mapping capability, which can define the hidden map-
ping relationship between input and out parameters.
This paper tends to utilize BP network to set up the
mapping relationship between environmental variables
and displacement effect quantity during dam safety
monitoring and avoid complex factor selection and
time-consuming computation workload.
2 BUILDING MULTIPLE SPOT BP NETWORK
MODEL OF DAM DEFORMATION
Besides the factors time (t), water level (H), tempera-
ture (T), special position coordinates (x, y, z) shall be
taken into account to build multiple spot BP network

541
model of dam deformation. The model expression the dam deformation feature multi-dimension
formula is y
f(H,T,t,x,y,z). and complexity quality and network input sam-
The following steps lead to the building of the ples belong to different dimension, which results
model: in significant value taking magnitude and affects
the identification accuracy of the network.
(1) Selection of Network input and output variables.
(3) Design and computation of BP network. The net-
Keeping in view of the BP network’s strong non-
work design includes the network topological
linear mapping capability, such factors influenc-
structure and defining of major network parame-
ing the deformation theoretically as monitor time,
ters. The former refers to the determination of
water level and temperature at a specific monitor-
numbers of hidden network layer, hidden nerve
ing time point and coordinate readings of meas-
cell joints, transferring functions of nerve cell
uring points shall be selected as the input
joints while the later covers such network compu-
variables while the different combinations of fac-
tation parameters as momentum coefficient, study
tors needn’t consideration as the input variables.
rate and study frequency. Since no mature theo-
Dam deformation is the output variable. The
ries and methods can be referred to for the design
actual measuring readings of input and output
of artificial neural network until now, we can rely
variables will be used as training samples of the
on experiences to decide the network structure and
network.
computation parameter values first, then use the
(2) Pre-handling of sample data. The network input
organized sample data to perform network train-
data needs normalization in the ways of standard-
ing. Network structure and computation parameters
ization, re-marking, converting or proportionate
may be improved continuously during computa-
compression etc. because the factors influencing
tions until the satisfactory results are worked out.

Waterlv 3 EXAMPLE
BPnetworkmdl

Tempratu The building of two-dimension multiple spot model

Damdefortin with BP network needs considering the main factors
Time value of water level, temperature, time and two dimension
coordinates of measuring spots. Therefore, the input
Xcordinates
variables of BP network involve observation time,
upstream water level, temperature, X and Y coordi-
Ycordinates
nate readings while the output variable is deformation
Zcordinates value. This computation case takes 700 groups of
deformation observation data of 7 measuring spots of
Input Outp No. 31 section of some dam as training sample. Double
hidden layers are designed for the BP network struc-
Figure 1. Multiple measuring spot BP network model of ture. The converting functions of nerve cells of both
dam deformation. layers use tansig function of tan-sigmoid type and

Table 1. Comparison of simulation and forecast accuracy of various models.

Multiple spot Multiple spot

normalization model BP network model

Simulating Forecasting Simulating Forecasting

Measuring residual sum of residual residual sum residual sum
Spot S/N squares sum of squares of squares of squares

1 6.409 0.226 7.796 0.310

2 46.480 1.143 34.817 1.058
3 10.374 0.861 8.653 0.341
4 11.844 1.541 12.014 1.622
5 15.106 0.733 16.024 0.774
6 25.073 1.421 22.226 0.913
7 4.954 0.254 3.173 0.154
Sum 120.240 6.179 104.703 5.172

542
 Actualmesrin gvalues readings, simulation values and forecasting values of
BPsimulatonve
BPforecastin gvalues normalization model, simulation values and forecast-
2.5 Normaliztnsuve
Normaliztnfecs gvalues
ing values of BP network model of two measuring
2
spots. The figures also reveals that neural network
model features better simulation and forecasting.
1.5

1
4 CONCLUSION
0.5
displacemnt()

Simulation area Forecasting area

0 It proves feasible and effective that water level, tem-
1973-52 1975-2 197-52 197-52 198-52 1983-52
date
peratures, time, measuring spot coordinates and dam
deformation are used as input and output variables of
Figure 2. Comparing diagram of actual value and model BP network to build multiple measuring spot neural
calculated value of spot No. 3 displacement. network model. Example illustrates that the simulation
and forecasting results of the model can meet accu-
Actualmesrin gvalues racy requirement through training of representative
BPsimulatonve
BPforecastin gvalues
study sample on the network. Meanwhile, multiple-spot
2 Normaliztnsuve BP network models of dam deformation demonstrates
Normaliztnfecs gvalues
1.5 advantages of easy model execution, fast running speed,
1
convenient error revision, simple and flexible opera-
0.5
0
tion over traditional statistical modeling practice.
-0.5
-1
displacemnt()

-1.5 Simulation area Forecasting area

-2
1973-52
Figure 3. Comparing diagram of actual values and model
calculated values of spot No. 7 displacement.
output layer employs linear function purelin. Repeated
computations and continuous adjustment of number of
neural cells in hidden layers and main network param-
eters can figure out the dam deformation values through
BP network computation.
We may conclude from Table 1 that multiple BP
network model demonstrates better total simulation
and forecasting precision than normalization model.
Figures 2 and 3 illustrate the comparison of deformation
REFERENCES
1975-2 197-52 197-52 198-52 1983-52
date
Deng Jianhui, Li Zhuofen, Ge Xiurun. 2001. Application of
BP network and Genetic Algorithms in displacement
counter-analysis of side rock slope. Rock Mechanics and
Engineering Journal, 20(1):15.
Lou Shuntian, Shiyang. 2000. System analysis and design
based on MATLAD – Neural Network. Xi’an: Publishing
House of Xi’an Electronic Science and Technology.
Wu Zhongru, Zhu Bofang. 1999. Safety Monitoring and
Feedback Design of Hydraulic Structure of Three
Gorges. Beijing: China Water Conservancy and
Hydropower Publishing House.
Yuan Ximin, Li Hongyan, Liu Shukun etc. 2002. Application
of BP network and Genetic Algorithms in Water Science.
Beijing: China Water Conservancy and Hydropower
Publishing House.

543
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New technologies in the rehabilitation of the drainage network in dams

A. Román
Iberdrola. Spain

A. Gonzalo
HCC S.A. Spain

ABSTRACT: The drainage network in a dam does not usually receive the attention it deserves, considering
its great importance for the security of the structure. On many occasions, the sizing, distribution and technique
of execution of the drains, are not carried out in accordance with the specific needs of each dam but rather in
accordance with very general historical criteria. In many dam inspections carried out in Spain, the lack of
drainage, due both to an insufficient initial sizing and to an incorrect execution or to progressive aging, is
undoubtedly one of the most frequently found problems. The paper includes first an analysis of the drilling exe-
cution procedures of the drainage. It also studies the process of decrease in drainage network efficiency over
time. Finally it analyze and evaluate the various methods used for rehabilitating the drainage network and pres-
ent a new system, based on hydro-demolition techniques, extraordinarily more efficient, and cheaper, than tra-
ditional mechanical techniques.

1 INTRODUCTION Moreover, HCC has got small, very powerful machi-

The drainage network is an essential and often under-
valued element for the security of dams, and its siz-
ing, construction and conservation over time must be
adequate and efficient.
The drainage system must be capable of preventing
the circulation of water through the body of the dam
(vertical drains) and of collecting any possible seepage
from the waterproofing screen (foundation drains).
The correct initial construction of the network and
its maintenance are essential for ensuring information
on and control of uplift pressures and leaks.
This being the case, it is highly recommended
that the drainage network should be constructed by
using the rotation drilling technique as opposed to the
traditional rotary-percussion method. The technical
advantages of the former over the latter can be sum-
marized as follows:
• It is less aggressive with the medium being drilled.
• Continuous information is obtained due to recov-
ery of the core.
• There is no silting of the fractures in the terrain, the
circulating water’s natural access route to the drain,
with shards produced by percussion drilling, so
this does not reduce the efficiency of the drilling.
• Absence of deviations in the route and reductions
of diameter typical of rotary-percussion drilling.
nery, capable of reaching great depths and working in
reduced spaces, as is usually the case of galleries
in dams.
With time, the drainage system or network gradu-
ally loses efficiency due, basically, to the combina-
tion of two factors:
• Silting due to dragging: this is a problem in foun-
dation drains, where the water circulation paths grad-
ually become blocked due to the filter-press effect
resulting from the dragging of silt.
• Carbonate deposits: these affect both kinds of drains.
Deposits are formed, fundamentally of calcium car-
bonate, decreasing the drain’s evacuation capacity,
reducing its diameter and in many cases obstructing
it completely. The origin is in the lime present in
the concrete of the dam and also in the injection
cement in the watertight diaphragm. When it comes
into contact with the CO2 in the air, it forms cal-
cium carbonate (CaCO3) which precipitates. It can
also be a phenomenon not linked to the presence of
cement, essentially in limestone areas, although
this is less frequent.
Correct maintenance of the drainage network cannot
follow a universal rule, as there are numerous factors
which can influence aging or loss of efficiency. But
a rehabilitation of the system approximately every

545
15 years should help resolve the problem. Nevertheless,
if historical gauging data are available, their analysis
will make it possible to decide on the best moment for
intervention. A reasonable criterion could be to reha-
bilitate the drainage network when its functioning has
been reduced to 50% of its original.
2 METHODS FOR REHABILITATING THE
DRAINAGE NETWORK
Although, obviously, each dam requires its own
study, it is usually advisable to carry out rehabilita-
tion of the drainage network when the volume of fil-
tration has been reduced to 50%.
Figure 3 shows the loss of efficiency curves for the
various dams studied. Using the criterion of rehabili-
tating when 50% of drainage network efficiency has

2.1 Background
Even if the dam’s drainage network has been con-
structed correctly, after a period of time it starts to
lose efficiency, due to the accumulation of drag mate-
rial and also to the formation of calcareous concre-
tions, which can even lead to a complete blockage of
the network.
The flow of water drained depends, at any given
time, on two factors.
Figure 1. Relationship between drainage flows, average
• The water level in the reservoir. As is logical, the temperatures and dam levels for the years 1976–1980 in a
higher the level of the reservoir, the greater the vol- particular dam.
ume of water contained in the drainage network.
The charge of water on the slopes can also have an
influence
• Temperature. With the cold, the dam generally
pitches downstream, also increasing the volume of
water in the drains.
Figure 1 shows the volumes of water obtained for a
certain dam between 1976 and 1980. It includes the
corresponding average temperatures and the levels of
the dam. We can see that, indeed, the maximums are
obtained when the level of the dam is high and the
temperatures are low.
Observing this graph will not help deduce if there
is any tendency to loss of efficiency in the drainage Figure 2. Evolution of flows of water circulating through
network. However, if we observe the same representa- the drainage system over time.
tion for the period 1970–2003 (Fig. 2) there is a clear
tendency that indicates a loss of efficiency in the drains
and the resulting decrease in the amounts of water
drained.
The loss, over time, of efficiency in the drainage
systems of the various dams studied can be repre-
sented, with sufficient approximation, by a logarith-
mic curve, situating the time expressed in years on the
horizontal axis and the volumes of water on the ordi-
nates. If a value of 100 is attributed to the average
volumes of water obtained since the drains’ first oper-
ational year, the expression of the volume of water
after t years would be: (Fig. 3)

ß
a dimensional parameter, generally between

20 and 30. Figure 3. Loss of efficiency in the drainage system in var-
In Figure 3 these curves represent various real cases. ious dams.

546
been lost, it can be observed from the graph that it
should be carried out at an interval of between 5 and
20 years, depending on the dam studied. Some propri-
etors establish a set period of 15 years.
When rehabilitating the drainage network of any
dam, there should be a double objective:
• The elimination of blockages and calcareous
deposits, with which both the original lengths and
the diameters of the drains will be recovered.
• Recovery of the drainage network’s efficiency
(increased capacity) along with a reduction in uplift
pressures. In this way, the final objective of the work
is achieved, that is, the recovery of the drainage
network’s capacity in order to ease the uplift pres-
sures beneath the foundation.
At present there are only four existing procedures
for carrying out this rehabilitation with a certain
guarantee:
• Rotary-percussion
• Chemical products
• Rotation with drill bits
• High pressure water jets.
2.2 Rotary-percussion
This is similar to the rotary-percussion used in drilling
the drains. It consists of using a hammer with a diam-
eter as near as possible to that of the initial borehole,
taking special care that this is not affected by wear in
order to guarantee a good scouring of the walls of the
borehole.
When the original borehole was made by rotary-
percussion, problems usually arise with re-drilling due
to the original drilling: deviation of the borehole and
reduction of its diameter.
This usually causes serious problems with re-drilling
and generally requires a reduction in the diameter of
the head, with the resulting reduction in efficiency of
the rehabilitation. The final efficiency achieved may
be limited.
Low effectiveness of chemical products: the com-
position of the chemical products used usually includes
various kinds of acids, but, in general, they are natu-
ral and biodegradable (lactic, citric, etc.) so that their
use will not, in theory, cause any aggression to the
environment. However, their capacity to dissolve very
hard, thick calcareous concentrations, including block-
ages, is very questionable. For environmental reasons,
it is not permitted to include sulphuric acid or hydro-
chloric acid in the mixture in order to speed up the
elimination of deposits and improve performance.
2.4 Rotation with drill bits
The system uses the same methods as rotation drilling,
replacing the diamond bit by a drill bit, similar in
appearance to those used for rotary drilling methods
(Figs. 4 and 5). The advantages of this system with
regard to the previous one is that it really cuts through
the interior of the borehole, normalizing it and elimi-
nating part of the shards that may have been left
incrusted when the drain was made. It is notably more
efficient, therefore, than rotary-percussion re-drilling
while its cost, in this case, is similar.
It has, however, the same inconveniences as regards
difficulty in following the original deviations of the
drain, as well as the need to reduce the diameter of the
drill bit, if the diameter of the drain is also reduced.
And, most important of all, although it manages to
free blockages and decalcify the walls of the drain, it
doesn’t clean beyond its own diameter, so the frac-
tures in the rock are silted up with calcareous deposits
and limes, resulting in, as said above, a final effi-
ciency that is better than that obtained with rotary-
percussion but is still rather limited.
2.5 High pressure water jets
This is a new, extraordinarily efficient system that has
been used by HCC in Spain in the last three years.

2.3 Chemical products

In order to reduce calcareous deposits in drains, the
drain can be filled with a mixture of water and certain
chemical products which, after acting for a shorter or
longer period of time, help to unblock the pipes and
facilitate the water’s access to the drain. When this
process is finished, a hose is introduced to the back of
the drain, a large volume of water is pumped in at low
pressure and this washes out loose material.
However, this method does have serious incon-
veniences.
Low return: more stages or leaving the mixture
inside the drain for longer periods means better clean-
ing but at a higher cost. Figure 4. Drill bit used for rotation cleaning of drains.

547

Figure 5. Cleaning of drains by rotation with a drill bit
zero effectiveness beyond the diameter of the crown.
The industrial development of high pressure pump-
ing equipment has meant it can be used successfully
in dams, offering the possibility of interstitial and
capillary cleaning of the internal faces of drains, and
resolving problems usually presented by the previ-
ously mentioned techniques.
It uses means similar to those used in hydrodemo-
lition techniques, with powerful medium-high pres-
sure (400–1,000 bar) pumping equipment combined
with large flows of water (
75 l/mn) which force the over again with nozzles which direct the water towards
cleaning water into high resistance nozzles which are
introduced into the drain.
Mechanical drilling systems, where the work con-
sists exclusively of reaching the end of the drain, do
not require either great precautions or specialized per-
sonnel. However, rehabilitation work with pressurized
water must be carried out by a highly qualified team,
because there are many variables which have a direct
repercussion on the final quality of the work: charac-
teristics of the foundation rock, application time, type
and diameter of the nozzles, volume of water and
work pressure, etc.
As regards which nozzle to use, it is recommended
to alternate different types in successive rehabilitation
operations (Fig. 6).
There are, broadly speaking, 2 families. First, the
so-called “breakers” concentrate an important per-
centage of the volume of water in the frontal area.
This allows it to advance to the end of the perforation,
eliminating blockages and serious obstructions. Its
aim is mainly to guarantee the introduction of further
nozzles all along the drain by carrying out a prelimi-
nary cleaning of the faces.
Then, to carry out a complete cleaning of the walls,
there is a second operation when the drain is gone
548
Figure 6. Heads of the high pressure nozzle.
Figure 7. Water jet descaling the drain.
the sides. This effect is obtained by means of a homo-
geneous distribution of a large number of fixed water
outlets (up to 20) or by means of high speed rotating
nozzles. In other cases, it is highly recommended to
use low speed rotation nozzles, also called “controlled
rotation nozzles”.
The system presents no problems in adapting to
irregularities in the borehole, as the hoses are of a small
diameter and semi-rigid, capable of adapting to any
bends in the drain.
Given that the bulky equipment is positioned out-
side the dam and that the hoses can be hundreds of
meters long, without affecting the efficiency of the
work, this system can be used in galleries that are either
very small or difficult to access.
High pressure water jets not only descale calcare-
ous concretions, they also penetrate the fractured rocks,
and efficiently clean out both old detritus and any pos-
sible dragging of silt (Fig. 7). Moreover the ascending
flow of water carries most of the loosened solids out
of the borehole.
Once the cleaning is finished, a large volume of
clean water is pumped at low pressure from the bot-
tom of the drain, flushing out the detritus generated
by the high pressure jet.
Figure 8. Comparison of recuperation with the high pres-
sure water system and with traditional methods (rotation).
It is also possible to aspirate the detritus, transport-
ing it directly through the hoses to an external deposit
for its subsequent environmental management.
This technology has got numerous advantages over
rotary-percussion or rotation, the main one being the
efficiency in recovering the drainage flow.
These data must be considered even more impor-
tant that the absence of calcareous deposits, because
they will give a clear idea of the degree of rehabilita-
tion achieved. In order to see the full extent and reality
of this, the following premises must be fulfilled when
comparing capacity and pressures before and after
rehabilitation of the drains:
• Both data gathering campaigns must be carried out
at the same time of year.
• The data in both cases should be taken when the
dam is full.
• Similar environmental conditions.
• Same degree of saturation of the rock (absence of
strong variations in the amount of water in the pre-
vious weeks).
Each one of these conditions is necessary but not
sufficient, so if the four are not fulfilled a completely
realistic comparison cannot be made and it will not
be possible to know exactly the degree of efficiency
achieved during rehabilitation.
3 STAGES IN THE SYSTEM
The high pressure water jet rehabilitation system con-
sists of the following stages.
3.1 Inspection with TV camera (Fig. 9)
In order to know the real situation in the drain, as well
as possible pathologies and the state of the contact, a
small probe is introduced into the borehole with a
549
Figure 9. Left: Operator introducing the mini camera into
a drain. Right: Image taken before and after cleaning at the
same point in the drain. The overprinting of the depth tells
the position of the camera.
mini-TV camera in its head, connected to a monitor
that gathers the images captured. These are recorded
and passed to digital format. In this way very valuable
information is obtained with which to decide the best
way of carrying out the work. Knowing the exact posi-
tion of the concrete-rock contact, as well as its condi-
tion, means that special care can be taken in treating
it. In the first camera inspection total obstructions of
the drain can be located, like that in the illustration.
The overprinting shows the distance from the block-
age to the beginning of the drain, which makes it eas-
ier to locate and then eliminate.
3.2 High pressure water jet
Once the recordings, the stratigraphy of the terrain
and the level of the concrete-rock contact have been
analyzed, the specifications are prepared. These give
the method to be used for each drain, the control points,
the precautions to be taken, the kinds of nozzles, the
pressures and volumes of water, the number of times the
nozzles have to be introduced, the working speed, etc.
Afterwards, the hose is introduced. It is connected
to the high pressure pump and has the nozzle at one
end, with the previously mentioned characteristics, and
the drain is then cleaned and the residue flushed out
(Fig. 10).
3.3 Large flow jet of water
In order to flush out the residue, a hose is introduced,
connected to a large flow, low pressure pump. The high
speed of the current of water thus generated is capa-
ble of bringing the accumulated detritus to the sur-
face. It can achieve up to 5% of solid material per liter
of cleaning water, which means eliminations of more
Figure 10. “Breaker” head with front and lateral jets.

Figure 13. Wood barriers installed to create sedimentation

pools.

Figure 11. Extraction of detritus which is collected for the

necessary environmental treatment.

Figure 12. Mesh for containing detritus placed in chute.

than 1 kg/m of rehabilitated drain, which gives an idea

of the system’s efficiency (Fig. 11).
HCC has always shown a great interest in minimiz-
ing the environmental impact of the work it carries
out. As a result of this concern, it received over a year
ago the Certificate of Quality of Environmental Man-
agement UNE-EN-ISO 14001:96.
Although the above mentioned detritus does not
really suppose a danger to the environment, as it con-
sists of crushed rock along with fragments and fines
of calcium carbonate, the necessary environmental
Figure 14. Rehabilitation of drainage network with high
pressure water.
measures must always be taken in order to facilitate
its collection and subsequent suitable treatment. These
can include the installation of different sized meshes
in the chutes of the gallery, the installation of contain-
ment dykes in order to create sedimentation pools,
etc. (Figs. 12 and 13).

550
3.4 Second inspection with TV camera
Once the above mentioned work is finished, the mini-
TV camera is introduced into the drain again, in order
to know exactly what its new state is, the result of
the rehabilitation, by comparison with the previous
recording, and if it is necessary to continue cleaning
at any point.
In those specific cases where there are extremely
hard obstructions which cannot be eliminated with
this method, it is recommended to use rotation
re-drilling with a drill bit and, once the obstacles is/
are removed, to continue rehabilitation with high-
pressure water. Therefore, the method is mixed, based
on the use of high pressure water technology but
always with the possibility of using rotation re-drilling
probes with drill bits.
4 CONCLUSIONS
The proper functioning of the drainage network is
essential for the safety of dams. While the traditional
method of drain perforation, with rotary-percussion,
is a more economic system than rotation with coring,
it presents sufficient problems in both its initial
551
efficiency and its maintenance possibilities to make it
unadvisable.
Only by analyzing historical gauging data over
long periods of time can it be shown that drains are
losing their efficiency and what their evolutionary
curve is. These losses of efficiency in the drainage
system usually make rehabilitation advisable after a
period of about 15 years.
The rehabilitation system presented here, based
on high pressure water jets and control by micro-TV
camera, is a great innovation compared to conven-
tional technology and allows a spectacular recovery
of drainage efficiency. Moreover, it provides interest-
ing information about the state of each drain before
and after intervention, thanks to its viewing and video
recording system.
Finally, given the high returns achieved on rehabil-
itation, the cost is extremely competitive compared to
traditional systems. If we add to this the enormous
efficiency achieved with this treatment, we can con-
clude that this is the most efficient method available
to date for the rehabilitation of drainage networks.
Practically all the works of this kind carried out by the
main Spanish hydro-electric companies since 2003
have been done with the high pressure water technol-
ogy described above.
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The upstream zone of a very high CFRD

F. Mendez & H. Marengo Mogollon

Comision Federal de Electricidad, Mexico

ABSTRACT: Design and construction features of the upstream zone of the 188 m high El Cajon concrete face
rockfill dam (CFRD) one of the highest CFRD’s currently under construction in the world are described together
with methods, equipment, actual embankment placement sequence and production rates. Problems encountered
during construction are described and solutions adopted to cope with the fast construction pace imposed by an
EPC contract are also discussed. The El Cajon CFRD, when completed in December 2006 will be even higher
than its Mexican predecessor Aguamilpa CFRD to date the highest CFRD in operation in the world.

1 INTRODUCTION fast construction pace imposed by an EPC contract

are also discussed.
The El Cajon hydropower project, with 750 MW of
installed capacity includes a 188 m high concrete face 2 DAM ZONING
rockfill dam (CFRD) currently under construction on
the Santiago River in western Mexico in the state The design of the188-m high El Cajon dam follows
of Nayarit. The hydroelectric project will harness the international practice for modern high concrete face
power of one of the nation’s main waterways. When rockfill dams. Both upstream and downstream slopes
completed in the year 2006 it will be even higher than are set to 1.4:1 a typical cross section of the embank-
its Mexican predecessor Aguamilpa, to date the high- ment is shown in Figure 1 & Figure 2.
est CFRD in operation in the world.
Contractor’s mobilization began on March 2003
and river diversion was successfully accomplished on
March 2004. Project master schedule calls for reser-
voir impounding on July 1, 2006 with generating units
1 and 2 scheduled for commissioning on February
2007 and May 2007 respectively. For the CFRD, as of
late July 2005, a total progress of 60 per cent has been
achieved in the embankment and slipforming of first
stage up to elevation 280.00 has been completed in
the concrete face slab. Upcoming major milestones at
the end of the year 2006 will be slipforming of stage Figure 1. Dam zoning – cross section.
2 of the concrete face up to elevation 332.00. Full
details of the project can be found elsewhere Mendez &
Mendez (2005), and Hydropower & Dams (2003).
The project is owned by Comision Federal de
Electricidad (CFE) of Mexico. Construction is carried
out under an Engineering, Procurement and Construction
(EPC) contract by Constructora Internacional de
Infraestructura S. A. (CIISA), a multinational consor-
tium under the leadership of Ingenieros Civiles
Asociados (ICA) of Mexico.
This paper discusses construction methods, equip-
ment, actual embankment placement sequence and pro-
duction rates. Problems encountered during construction
are described and solutions adopted to cope with the Figure 2. Upstream dam zoning – cross section (detail).

553
Table 1. Placement and compaction requirements. MATERIAL ZONE 2 MIN MAX

10
Layer No. of 90

Zone m Type of roller passes 80

70

% PASSING
60
1B 0.3 Compacted by Dozer NA
50
2F 0.3 10.6 Ton Vibratory roller/ 6 40
10 Ton NPK Plate 30
2 0.3 10.6 Ton Vibratory roller 8 20
3A 0.3 10.6 Ton Vibratory roller 8 10
3B 0.8 12.2 Ton Vibratory roller 6 0
T 1 12.2 Ton Vibratory roller 6 10. 10. 1.0 0.1 0.1
PARTICLE SIZE,mm
3C 1.4 12.2 Ton Vibratory roller 6
3H 0.4 Compacted by Dozer NA
4 NA Placed by backhoe NA Figure 3. Zone 2 gradation specifications.

After final cleanup, riverbed plinth foundation low- Table 2. Zone 2 specifications.
est point turned out to be at elevation 208.0.
The rockfill section is the structural element. The Size Particle size Limits
main shell of the rockfill, zones 3B, T and 3C consists inches mm min max
of any of the available blasted rock from either the
required excavations or Quarry 1. The downstream face 3 76.20 100
zone 4 is also obtained from the same sources. 11⁄2 38.10 79 100
Two filter zones are placed below the concrete 11⁄4 31.75 75 94
face slab. Zones 2 and 2F are semi pervious materials 0.75 19.05 64 78
0.38 9.53 51 64
obtained from required excavations and from alluvial 4 4.75 40 53
material excavated from the riverbed and processed at 10 2.00 30 41
the aggregate plant. Zone 3A is a transition zone between 20 0.850 22 31
zone 2 and zone 3B and is also processed material 40 0.425 16 24
from the same sources as filters. 60 0.250 13 20
Placement and compaction requirements are given 100 0.150 10 16
in Table 1. 200 0.074 6 12
In addition to the above mentioned materials, the
design calls for materials 1B and 3H located upstream
of the face slab. Material 1B is silty fine sand that con-
stitutes a migrating element. In the unhappy event of
failure of the waterstop the silty fine sand will migrate, Technical specifications call for a coefficient of per-
sealing and clogging the open joint and adjacent slab meability of k
1  103 cm/sec and this parameter
fissures. Material 3H is a random material designed was easily achieved in the field.
to confine and protect material of zone 1B. As pointed out by Sherard (1985), for sand-gravel
As for the plinth detailed design and construction mixtures with an average of 40% of sand-sized particles
features can be found elsewhere, Mendez (2005). significant segregation of gravel particles into pockets
and streaks without sand in the voids can be reliably
eliminated with moderate and reasonable efforts during
construction. This is particularly true at the El Cajon
3 THE UPSTREAM ZONE CONCEPTION
CFRD where a simple and economical placement
method was implemented to increase production and
3.1 Zone 2 material
secure the construction schedule while at the same time
Zone 2 design evolution has been discussed elsewhere controlling segregation as will be described later.
Sherard (1985) and a later stage it has been confirmed For the upstream zone 2, the technical specifica-
that, with time, evolution continues for high CFRD’s tions call for the use of a extruded curb as used in
Materon (1998). On the basis of the current knowl- Machadinho Dam in Brazil, Itapebi Dam in Brazil,
edge, and as a result of the above mentioned evolution, Mohale Dam in South Africa, the benefits of this tech-
at the El Cajon CFRD, zone 2 placed directly under the nique are well described elsewhere Materon & Resende
face slab has an average of at least 40% finer than (2001). At the El Cajon CFRD, one hour and a half,
the No. 4 sieve as can be seen in the grading curve after the lean concrete has been poured, the upstream
depicted in Figure 3 and as shown below in Table 2. zone materials are placed against the curb (Figs 4–6).

554
Figure 4. Extruded curb.
Figure 5. Placement of material 2 using a mechanical
spreader machine.
After some field tests, extruded curb lean concrete
mix was defined as follows:
– Cement 71 Kg/m3
– Gravel (19 mm – No. 4) 896 kg/m3
– Sand 1203 kg/m3
– Water 96 litres/m3
Three workers were required to cast the extruded
curb, namely:
– Extruded curb machine operator (1)
– Material transfer from mixer to curb machine (1)
– Alignment & Miscellaneous (1)
No PVC membrane was placed between the face
slab and the extruded curb.
3.2 Zone 3A material
Zone 3A design evolution has been also discussed else-
where Sherard (1985), Materon (1998). On the basis
of the current knowledge, and as a result of the above
555
Figure 6. Compaction of material zone 2.
MATERIAL ZONE 3A MIN MAX
10
90
80
70
% PASSING
60
50
40
30
20
10
0
10. 10. 10. 1.0 0.1 0.1
PARTICLE SIZE, mm
Figure 7. Zone 3A gradation specifications.
mentioned evolution, this material plays the role of a
transition material between filters zone 2 and rockfill
material 3B and at the El Cajon CFRD, a conservative
design of 4 m-wide for zone 3A placed directly behind
Material 2 has been defined with an average of at least
33% finer than the No. 4 sieve as can be seen in the
grading curve depicted in Figure 7 and as shown below
in Table 3. Technical specifications call for a coefficient
of permeability 100 times greater than for Material 2, in
other words, it was defined as k
1  101 cm/sec,
but in practice, this parameter was very difficult to
achieve in the field as will be explained later.
The relationship, if any, between coefficient of per-
meability of material 2 and material 3A remains to be
addressed.
As discussed by Sherard (1985), the sandy gravel
Zone 2 with particle size distribution as shown in
Figure 3 is internally stable, and as long as it is under-
lain by a layer of smaller rockfill, such as zone 3A
rockfill placed in 0.3 m layers, there is no possibility
that there will be erosion of the zone 2 layer. For small
rockfill/sand-gravel mixtures with an average of
Table 3. Zone 3A specifications. Table 4. Zone 2F Specifications.

Size Particle size Limits Size Particle size Limits

inches mm min max inches mm min max

9 228.60 100 11⁄2 38.10 100

6 152.40 91 11⁄4 31.75 91
3 76.20 76 100 0.75 19.05 77
11⁄2 38.10 64 86 0.38 9.53 61 100
1 25.40 57 76 4 4.75 49 74
0.75 19.05 53 70 10 2.00 37 57
0.38 9.53 43 57 20 0.850 28 44
4 4.75 33 46 40 0.425 20 35
10 2.00 23 35 60 0.250 15 28
20 0.850 14 25 100 0.150 12 23
40 0.425 7 19 200 0.075 7 17
60 0.250 2 14
100 0.150 10
200 0.075 5 grading curve depicted in Figure 8 and as shown in
Table 4.
MATERIAL ZONE 2 MIN MAX
10
90 4 THE UPSTREAM ZONE CONSTRUCTION
80 STRATEGY
70
% PASSING

60
50
40
30
20
10
0
10. 10. 1.0
PARTICLE SIZE,mm
Figure 8. Zone 2F gradation specifications.
40% of sand-sized particles significant segregation of
gravel particles into pockets and streaks without sand
in the voids can be reliably eliminated with moderate
and reasonable efforts during construction. At the El
Cajon CFRD after some field tests, conventional place-
ment methods were implemented.
3.3 Zone 2F material
At the contact between Zone 2 embankment and the
rock foundation there is an increased tendency for
undesirable segregation of the coarse particles directly
at the rock surface Sherard (1985). For this reason, at
the El Cajon CFRD, a conservative design has been
selected and special details at the rock contact were
provided by using a thin strip of Zone 2F material with
maximum particle size finer than 38 mm, located
underneath the perimetric joint Figure 2.
Material 2F is made with processed material with
a filter gradation in order to retain migrating silty fine
sand through the perimetric joint, clogging it and
restraining any leakage. Zone 2F material placed directly
under the perimetric joint has an average of at least
49% finer than the No. 4 sieve as can be seen in the
The upstream zone was the critical path for the dam
and construction strategy was set as follows:
– Access to the upstream zone available at all times
by ramping within the dam body.
0.1 0.1
– Processed zone 2, 3A and 2F materials must be qual-
ity control inspected at the processing plant and at
stockpiles in advance.
– The extruded curb machine should be traveling well
ahead of the mechanical spreader machine with
material being placed one and a half hour after
extruded curb is poured.
– Compaction should start once the mechanical
spreader machine was half way.
5 UPSTREAM ZONE CONSTRUCTION
METHODS
5.1 Placement of material 2
The method followed at the El Cajon CFRD, can be
briefly described as follows:
a) The extruded curb machine is aligned topographi-
cally. No laser beam has been used.
b) The curb machine travels from one abutment to the
other extruding the lean concrete curb with the
design specification 0.3 m high and the required
upstream slope 1.4:1.The curb machine IMB 900-G
CT imported from Brazil gives a production of about
50–60 linear meters of extruded curb per hour.
c) The complimentary 6 m wide layer of filter (Material
2) is being placed one hour and a half, after the lean
concrete curb has been poured.

556
Figure 9. Placement of material zone 2.
d) Material 2 layers were placed at the very beginning
using conventional methods, i.e. dumping directly at
the zone and spreading material using dozer and
grader but, with this method production was on the
low side and a change in the placement method was
quickly decided and then material was placed full
width using a DEMAG DF 140 CS mechanical
spreader machine similar to that employed in high-
way pavement construction for placing grade & sub-
grade materials. Using the DEMAG machine has
improved quality of the placed material, reducing
segregation and increasing productivity; this consti-
tutes one step further in the advancement of new
technology for CFRDs. In addition, the DEMAG
mechanical spreader machine has eliminated the
need for a dozer and grader that were used in previ-
ous CFRDs that were built with the Ita Method
(Galvao et al 1999) leading to economical savings.
e) Upstream zone 2 is compacted using a 10.6 ton Cat
CS 683 vibratory roller until a void ratio of 0.22
is reached (d
2334 kg/cm2). This is generally
achieved with six to ten passes because Zone 2 mate-
rial is very sensitive to moisture contents.
Actual coefficient of permeability achieved was k

6.5  104 cm/sec.
f) Hauling from the stockpile was performed with a
fleet of articulated off-road Terex TA 30 end-dump.
g) Work on the next layer can start (Fig. 9).
And average of 2.4 layers per day or about 1300 m3
of filter material are placed during the dry season with
crews working 20 effective hours per day in two shifts
and the following construction equipment was used:
– DEMAG DF 140 CS mechanical spreader
machine (1)
– Extruded curb machine IMB 900-G CT (1)
– Articulated off-road Terex TA30 end-dump trucks (6)
– 10.6 ton Cat CS 683 vibratory roller (1)
557
Figure 10. Placement of material 3A.
– During rainy days in the wet season and average of
1–1.5 layers per day were achieved.
5.2 Placement of material 3A
The method followed at the El Cajon CFRD, can be
briefly described as follows:
a) The material zone 2 in the adjacent upstream area
must be already placed. Also material 3B at the
downstream zone must be placed and the contact
area 3A & 3B trimmed with segregated material
being eliminated.
b) End-dump trucks unloading material 3A as shown
in Figure 10, where overlapping of loads reduced
segregation significantly during unloading.
c) Material 3A layers are placed full width using con-
ventional methods, i.e., piles of material 3A were
spread using a Cat 140 Grader, (Fig. 10), after the
first pass of the blade some segregation was evi-
dent at the outer edges of the placed material, but
with a few more passes segregated material was
collected with the tip of the blade and blended with
the rest of the material already placed in the center
of the layer, segregation was thus controlled as
demonstrated with field tests. Conventional den-
sity tests were carried out every 2 layers giving the
opportunity to check for segregation of the placed
material.
d) Upstream zone 3A is compacted using a 10.6 ton
Cat CS 683 vibratory roller until a void ratio of 0.28
is reached (d
2032 kg/cm2). This is generally
achieved with six to ten passes because Zone 3A
material is very sensitive to moisture contents. A
number of attempts were made to achieve specified
void ratio and coefficient of permeability with a
reasonable number of passes of the vibratory
roller, but available material 3A did not perform as
 expected thus and adjustment was made to these
parame-ters at the field. Actual coefficient of per-
meability achieved was k
1  103 cm/sec and
actual void ratio turned out to be equal to 0.28 as
opposed to 0.24 which was originally defined.
e) Hauling from the stockpile was performed with a
fleet of articulated off-road Terex TA 30 end-dump
trucks.
f) Work on the next layer can start.
With the method described above for Zone 3A,
an average of 2.4 layers per day or about 960 m3 of
transition material are placed during the dry season
with crews working 20 effective hours per day in two
shifts and the following construction equipment was
used:
– Cat 120H Grader (1)
– Articulated off-road Terex TA30 end-dump trucks (6)
– 10.6 ton Cat CS 683 vibratory roller (1)
As with material zone 2 during rainy days in the
wet season and average of 1–1.5 layers per day were
achieved. It has been evident that construction pace of
material 2 governs pace of material 3A.
It is interesting to note that at the beginning of
the construction operations, the controlling factor for
progress of the upstream zone was placement of fil-
ters and the extruded wall and with time, this factor
switched towards material 3B; at mid-height of the
dam i.e from elevation 260.00 and upwards, the con-
trolling factor for production in the upstream zone
was placement of material 3B and in particular the
required trimming of the surface at the contact with
material 3A. Due to construction methods selected by
the contractor for placement of material 3B trimming
of the surface at the contact with material 3A was
required in order to eliminate segregated material.
5.3 Placement of material 2F
The method followed at the El Cajon CFRD, can be
briefly described as follows:
a) Material is transported from the stockpiles by con-
ventional end-dump trucks and unloaded at the con-
tact zone between Material 2 and the rock abutments.
b) Material is spread by using a Case 580 M Series 2
backhoe and labor.
c) Upstream zone 2F is compacted using a 10.6 ton
Cat CS 683 vibratory roller with six passes where
space for the roller is available. For re-entrant cor-
ners a backhoe-mounted Nippon Pneumatic Kenko
(NPK) vibratory steel plate is used until (d

2040 kg/cm2) is reached. The NPK steel plate is
1.0 m wide and 0.8 m long and delivers an impact
equivalent to 10 Ton.
d) Hauling from the stockpile was performed with a
fleet of conventional end-dump trucks.
558
e) Make sure dental concrete for the next upper layers
is poured well in advance.
f) Work on the next layer can start.
Placement of material 2F was a very straightfor-
ward operation, with placement rates of about 28 m3
per working day. The following pieces of heavy equip-
ment were used:
– Case 580 M Series 2 backhoe (1)
– End-dump trucks (3)
– 10.6 ton Cat CS 683 vibratory roller (1)
– 10 Ton NPK backhoe-mounted vibratory steel
plate (1)
Actual placement rate for the entire dam has been
for most of the time above 20,000 m3 of rockfill per
day with crews working around the clock 20 effective
hours per day in two shifts 6 days a week.
6 CONCLUSIONS
The El Cajon CFRD has a tight construction schedule
despite the fact that is a member of the family of very
high dams. In order to cope with the demand for rapid
construction imposed by the EPC contract it was essen-
tial to establish rapid construction methods to secure
the construction pace. As the construction progressed,
key decisions had to be made at site in order to suit
field conditions and in order to adjust required mate-
rial properties such as, coefficient of permeability, void
ratio and moisture content of filter materials based
upon available materials for the upstream zone. Once
again, it was confirmed that material properties and
lab parameters defined under controlled conditions
during the feasibility stage and written in the technical
specifications must be adjusted during the construc-
tion phase when a large scale operation takes place.
Another key consideration was the careful selec-
tion of the right construction equipment in particular
the use of a extruded curb machine, the articulated
off-road Terex TA40 dumps trucks and the DEMAG
DF 140 CS mechanical spreader machine for Material
Zone 2 placement operations during the upstream zone
construction.
El Cajon CFRD project represents the fastest heavy
construction operation ever achieved in Mexico for a
large scale dam. It is hoped that the material presented
here will facilitate the planning, design and construc-
tion of CFRD’s of similar scope.
REFERENCES
Galvao, D., Materon, B., Resende, F., and Mazzutri, R.
March 1999. Ita Update a new technology for CFRDs.
Water Power & Dam Construction.
Materon, B. Issue Six 1998. Transition material in the high-
est CFRDs. Hydropower & Dams.
Materon, B., and Resende, F. Issue Five 2001. Construction
Innovations for the Itapebi CFRD. Hydropower & Dams.
Mendez, F. Issue One May 2005. Rapid Construction at El
Cajon CFRD. Hydropower & Dams.
559
Mendez, F. May 2005. Construction Strategies. International
Water Power & Dam Construction.
Progress at Current Major CFRD Projects. Issue Four 2003.
Hydropower & Dams: 87–87.
Sherard, J.L. October 1985. The Upstream Zone in Concrete –
Face Rockfill Dams ASCE Symposium on Concrete Face
Rockfill Dams. Detroit, USA.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Technical and economical comparison between

two reinforcement methods of coastal dykes

A.Y. Daghigh, A. Karami Khaniki & A. Tolooiyan

A.A.A Soil conservation and watershed management research center (SCWMRC), Iran

B.H. Shahroozifar
B. Azad Islamic University, Iran

ABSTRACT: In this paper with pointing on two customary reinforcement methods of coastal dykes, the rein-
forcement of HENDIJAN coastal dyke (with 40 kilometers length at Khouzestan province) has investigated.
The results of these two methods has compared with each other. The first method is reinforcement by utilize
geo-textile filaments in parallel layers in dyke body. The second method is using a layer of geo-textile in the bed
of dyke. Presented analyzes simulated by PLAXIS FEM model (Developed by Delft University of
Netherlands). Utilized different material parameters have used as for available materials at project site in south
coasts of Iran. In this paper, decrease of lateral slope of dyke as for suitable stability, is most cared. The results
of analysis indicate better efficiency and economic profit by utilize a layer of geo-textile in the bed of dyke.

1 INTRODUCTION quantities backgrounds under the title of suitable length

Coastal dykes have designed and made of terrestrial
or another suitable material to protect the coastal lands
and the structures, which are behind the coast. At recent
years, utilize this structures has increased, and recent
improvement in materials and polymer science (geo-
textile materials) leads to decrease the total costs of
coastal projects.
Used simulator in this research is “PLAXIS Version
7.2 FEM model for Soil and Rock Analysis”, which
can analyze terrestrial dams, coastal dykes, tunnels,
foundation, geo-textile materials, beams etc by utilize
ELASTO-PLASTIC models [2]. Since the length of
coastal dykes usually passes several ten kilometers
(40 kilometers at HENDIJAN project), any optimiza-
tion on dyke slopes, leads to increase in land restora-
tion and decrease in structural costs. Therefore,
utilizing geo-textile in these projects has economical
and technological justification.
2 STUDIES BACKGROUND
FHWA [3], under the title of one of the primeval organi-
zation which has done many simulation in embank-
ments reinforcing, after researches deliberation on
length of reinforcement materials, offers bottom
of reinforcement materials:
– 0.7 of Embankment height.
– 2.5 meters.
In case of spacing between reinforcement materials,
the optimization of analyze results must be distinct
based on kind of applications and environmental con-
ditions. Also when the dyke based on a weak founda-
tion a layer of geo-textile used in dyke foundation to
foundation reinforcement. Researches show that the
reinforcement material resistance has effects on safety
factor, and with its increase safety factor will be
increased [3].
3 MODEL MAKING AND ANALYZE METHOD
In this stage because available version of PLAXIS only
able to analyze reinforcement materials in tensional
estimate, to analyze the effects of used reinforcement
materials hardness, analyzes have done with various
modules (100 kN/m to 2000 kN/m) and the safety fac-
tor of each module have estimated. Changes of safety
factors toward replacement for top of a dyke with
100 kN/m to 1000 kN/m modules, have shown in fig-
ure (1), and comparative chart of various modules and
safety factors of each of them have shown in figure (2).

561
Just as shown, at first, increase of module has an
intense effect on safety factor but after that, going to
be an asymptote [1].
1000 hardness module has chosen under the title of
reinforcement material optimum module by utilize
figure (2), and all of the analyzes have done by utilize
this module which has high safety factor.
There are two methods to reinforcing the embank-
ments by utilize geo-textile filaments.
First method: Figure 3. Embankment reinforcement by utilize geo-
Embankment reinforcement by utilize geo-textile lay- textile layers inside the embankment body.
ers inside embankment body, as similar which has
shown in figure (3) [5].
Second method:
Embankment reinforcement by utilize a geo-textile
layer inside embankment foundation as similar which
has shown in figure (4) and figure (5) [5].
In first method, geo-textile materials situated inside
the dyke body horizontally, and in second method,
reinforce the dyke foundation by utilize a geo-textile
layer over the foundation bed. Designed 2D section of

Figure 4. Embankment reinforcement by utilize a geo-

textile layer inside embankment foundation.

Figure 1. PLAXIS output graph for sensitivity measuring

of geo-textile filaments module on safety factor.

Figure 5. Embankment reinforcement by utilize a geo-

textile layer inside embankment foundation.

Figure 2. Sensitivity measuring of geo-textile filaments Figure 6. Simulated section of dyke core by utilize PLAXIS
module toward safety factor. simulator.

562
HENDIJAN coastal dyke which used in PLAXIS sim-
ulation analyzes has shown in figure (6). Dyke height
is 4 meters and the height of water level at seaward is
3 meters which has situated on a 10 meters thickness
microlithic layer [1]. Land recovering, agriculture and
fishing development at HENDIJAN delta and coastal
dyke construct optimization are the targets of men-
tioned project.
The analyses in the first method are as below:
1 Study the necessary length of reinforcement mate-
rials and comparison with mooted cases.
2 Study the spacing between reinforcement materi-
als and comparison with obtained optimum length
at the End of Construction1 or waterless condition.
3 Study the spacing between reinforcement materi-
als and comparison with obtained optimum length
at Steady State Flow Condition2 or full water level
up to 3 meters height.
The analysis in the second method is as below:
Study the effect of a geo-textile layer inside the
dyke foundation on total stability of dyke, at the End
of Construction and Steady State Flow Condition.
It is necessary to mention that, at the End of Con-
struction analysis, after calculation the initial stress of
foundation, the weight of dyke and arrival forces to
dyke crest, have entered to model. Also at Steady State
Flow analysis, after construction of dyke, the water
level in seaward increased to 3 meters up to sea bed.
This exertion is equal as maximum tide (flux) level.
Later the seepage analysis has done on the model. At
the end, the results of different safety factors have
checked and compared.
After obtaining the optimum length, considering dif-
ferent spacing of geo-textiles as a fraction of dike height
(1/8, 1/6, 1/4), the effect of this item on safety factor
is investigated. Figure (8) shows safety factors of using
different reinforcement spacing at the End of Construc-
tion and Steady State Flow Condition.
As shown in figure (8), spacing between geo-textile
has petty effects on safety factor. The reason of that is
being weak foundation, and rupture will start in base
bed. The effect of this reinforcement is much clear in
figure (9). At the End of Construction, spacing between
reinforcement has a weak effect on dyke stability. At
steady state seepage, since critical unstable slice enwind
a far area by water force effect, when geo-textile fila-
ments have 0.5 meter spacing (geo-textile heavy aggre-
gation), reinforcement has more effect. With increasing
the spacing, this manner going to be less, in order that at
1 meter spacing, the reinforcement has no effect.
As shown in table (1), maximum effect of reinforce-
ment is at Steady Seepage Condition with 0.5 meter
spacing. Safety factor increase of 0.5 meter spacing is
almost 7%, for 0.75 meter is almost 4% and for 1 meter
spacing is almost zero.
At next stage, a geo-textile layer has used over the
dyke bed. Figure (10) shows the graphical output by
PLAXIS model. The reinforced and non reinforced

4 ANALYZE RESULTS

Geo-textile strength and length effect on safety factor

(according to a coefficient of dyke height) has shown
in figure (7). The length which is equal to 0.75 H
(75% of dyke height) is optimum length, which is in
accordance with FHWA [3] range. Figure 8. The effect of reinforcement spacing on safety
factor in embankment body.

Figure 9. Reinforcement effect on safety factor in embank-

Figure 7. The effect of geo-textile strength and length on ment body at the End of Construction and Steady Seepage
safety factor. Condition.

563
Table 1. Reinforcement spacing effect on safety factor
increase (in percentage).
Figure 10. Foundation reinforcement effect on safety factor.
Table 2. Safety factor comparison between reinforced and
non reinforced foundation.
condition of safety factor analysis at the End of Con-
struction and Steady Seepage Condition are presented.
As shown in table (2), this reinforcement method
has a great effect on safety factor at both of End of
Construction and Steady Seepage Condition. By soil
reinforcement, safety factor increase is 4.3% at the end
of construction and 8.1% at steady seepage condition.
As shown in table (3), at second method (foundation
reinforcement) in addition to safety factor increases,
the used geo-textile length is less than first method
(embankment body reinforcement).
Above parameters, manifest foundation reinforce-
ment suitable effect on total dyke stability.
564
Table 3. Total necessary length of geo-textile in first and
second method (per unit of dyke length).
Table 4. Bed reinforcement effect on soil activities.
Comparison of different analysis result, delineated
that, at first method with 47 and 35 meters and at least
29 meters length (one meter geo-textile spacing), there
is no safety factor noteworthy increase at the end of con-
struction condition [refer to figure(9)]. But, only with
20 meters length at second method, there is much better
results in safety factor increase [refer to table (2)].
After analyzing and characterize the best reinforce-
ment method, the slope of dyke body was checked by
slope decrease from 2:1, least reinforced slope which
has all safety factor standards characterized [3]. At uti-
lize second method (foundation reinforcement) dyke
body slope decrease from 2:1 to 1.4:1 and the amount of
soil activities decreased note-worthily [refer to table(4)].
In these study we found that, by utilize foundation
reinforcement 200,000 m2 equal with 20 hectare of
coastal lands which had been under the dyke core
reclaimed, and its economic value as for short distance
from project site to city center and high cost of lands,
is over 20,000,000,000 Rial (2,500,000 US$).
5 INFERRING
1 By study on necessary length of geo-synthetic for
slope stability increase, we found that the optimum
length is 75% of dyke height and this amount is
according to FHWA [3]. Also we found that dyke
slope reinforcement has not any noteworthy effect
on total safety factory increase.
2 As for that at HENDIJAN project site, foundation
layer is soft soil, by reinforcement the connection
place of dyke body to foundation, inferred that safety
factor increase noteworthy than last methods. So
under the title of one parameter of reinforcement, we
 advance to reinforcing the connection place of dyke
body to foundation. Also in this method geo-syn-
thetic materials amount decreases about 45% than
side slope reinforcement.

Figure (A-3). Un-stability slice of reinforced dyke at the

REFERENCES End of Construction.
Soil Conservation and Watershed Management Research
Center, 1383(A.H), Coastal dyke optimization in inter- Spacing between Length of
tidal dams, “Case study on Delta of HENDIJAN river”, Safety factor geo-textiles (meter) geo-textiles (meter)
incipient project report.
Project Code: 2-003-04-0000-83005. 1.632 0.75 3
Brinkgreve, R. B. J. & P. A.Vermeer, (1998), “Manual of
Plaxis, Finite Element Code for Soil and Rock Analyses”,
A. A. Balkema, Rotterdam, Netherlands.
FHWA, (2004), “Effects of Geo-synthetic Reinforcement
Spacing on the Behavior of Mechanically Stabilized
Earth”, United States Department of Transportation –
Federal Highway Administration.
Floss, R. G., Bräu, (1998), “Design Fundamentals for Geo-
synthetic Soil Technique”.
Technische Universität München, Zentrum Geotechnik, Figure (A-4). Un-stability slice of reinforced dyke at
Germany. steady seepage.
Phillips, M. & Bruce, (2001), “Design of Stream-bank
Stabilization with Geo-grid Reinforced Earth Systems”, Spacing between Length of
Member, ASCE, April. Safety factor geo-textiles (meter) geo-textiles (meter)
1.565 0.75 3
APPENDIX

PLAXIS output models

Figure (A-5). Un-stability slice of reinforced dyke at the

Figure (A-1). Un-stability slice of reinforced dyke at the end of construction.
End of Construction.
Spacing between Length of
Spacing between Length of Safety factor geo-textiles (meter) geo-textiles (meter)
Safety factor geo-textiles (meter) geo-textiles(meter)
1.634 1 3
1.639 0.5 3

Figure (A-2). Un-stability slice of reinforced dyke at Figure (A-6). Un-stability slice of reinforced dyke at
steady seepage. steady seepage.

Spacing between Length of Spacing between Length of

Safety factor geo-textiles (meter) geo-textiles (meter) Safety factor geo-textiles (meter) geo-textiles (meter)
1.608 0.5 3 1.506 1 3

565
Figure (A-7). Un-stability slice of reinforced dyke at the Figure (A-8). Un-stability slice of reinforced dyke at
End of Construction. steady seepage.

Spacing between Length of Spacing between Length of

Safety factor geo-textiles (meter) geo-textile (meter) Safety factor geo-textiles (meter) geo-textiles (meter)
1.706 0 20 1.623 0 20

566
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Specific procedures used during the construction of the asphaltic

concrete core in Mora de Rubielos dam

J.M. Benlliure
Confederación Hidrográfica del Júcar, Spain

M.G. de Membrillera
Masters Thesis. Ivaleying S.A., Spain

C. Seitl & V. Flórez

FCC Construcción, S.A., Spain

ABSTRACT: This paper describes the construction of Mora de Rubielos dam, designed as a zoned embank-
ment with asphaltic concrete core after the analysis of several technical alternatives. Prior to Mora de Rubielos
dam, in Spain, this particular solution had only been set out for the construction of the right abutment in Algar
dam, also managed by the Júcar River Water Authority (Spanish Environment Ministry). With the bituminous
core usage, disabilities faced when looking for impervious soils of enough quality as well as meeting environ-
mental constraints are overcome. In addition, there is no need to consider internal erosion through the core or
ageing, and performance in handling and placing material for dam body is improved. Suggestions pointed out
in ICOLD’s 84th Bulletin “Bituminous cores for fill dams” have been followed, and a 0.50 m width concrete
core with transitions of 1.50 m width have been adopted for the 35 m high dam. Cross section is completed with
limestone rockfill and natural gravels at the outer shoulders. In this paper the authors show the steps followed
during construction, taking into account particular modifications and adjustments made to mixes, materials and
construction procedures imposed by local conditions in order to meet quality and safety requirements.

1 INTRODUCTION Júcar River Water Authority. In this case, the whole

Mora de Rubielos dam is located in Las Tosquillas
creek, province of Teruel (Spain), about 4 km upstream
the same named town. It is now being constructed by
Júcar River Water Authority (Confederación Hidrográ-
fica del Júcar), from Spanish Environment Ministry.
Its main purpose is to regulate run-off in order to
meet strategic purposes related to irrigation, water sup-
ply, and rural tourism; for Mora de Rubielos is a tourist
spot with seasonal population increase.
After the analysis of several technical alternatives,
a zoned embankment with asphaltic concrete core came
out as the best option. Owing to the bituminous core
usage, disabilities faced when looking for impervious
soils of enough quality as well as meeting environmen-
tal constraints are overcome.
Prior to Mora de Rubielos, this particular solution
had only been set out in Spain for the construction of
the right abutment in Algar dam, also managed by the
dam is drawn up on the same structural basis.
In this paper, we shall briefly examine the dam
features to, finally, focus on the peculiarities and
adjustments made to mixes, materials and construc-
tion procedures. With the aim of meeting quality and
safety requirements, imposed by local conditions
among others, suggestions pointed out in ICOLD’s
84th Bulletin “Bituminous cores for fill dams” were
followed.
2 MORA DE RUBIELOS DAM
The dam has a basin of 21.1 km2 and, before routing,
maximum discharge for the design flood (1000 year)
is 372 m3/s.
The gorge constitutes an important narrowing in
the creek, comprising terraced hillsides with both steep
and mild slopes.

567
 T T
G2 G1 AC
G1
R
F G2 G1
Figure 1. Mora de Rubielos dam. Cross-section
The actual geology belongs to the eastern side of
the Iberian mountain range, and it’s made up of thick
sedimentary layers from cretaceous age. Dam site
shows limestone sound rock at the foundation (with a
slight dip towards the upstream side) and alternative
layers of sandstone and siltstone at the buttresses and
the reservoir area.
The typical cross-section outlines a 35 m high
embankment dam with crest level at 1125.80 m and
215 m long. The outer slopes are 1.5H :1 V and berms
are found, both at the upstream and downstream
shoulders.
It can be seen that limestone rockfill is placed at
the outer dam shoulders, with natural gravels, and
transitions of 1.50 m width next to the 0.50 m wide
asphaltic concrete core. Due to the nature of gravels
extracted at the borrow pit, it has been necessary to
include an upstream filter between the gravels and the
quarried rock. In addition, some of the natural gravels
are being screened and horizontal drains have been
placed in order to prevent from pore pressure build up
at the upstream shoulder.
It must be emphasized that adjacent transition zones
give the hot asphaltic concrete immediate lateral sup-
port to avoid dilatancy.
The vertical asphaltic core is aligned with the access
road from the left side and is curved at the right abut-
ment. It rests on the control gallery, which extends the
length of the riverbed and at the abutments lies on
concrete slabs (foundation sill). The core thickness is
0.50 m except for the base and the lateral contacts,
where it increases to 1.50 m, and it’s placed in approx-
imately 0.20 m thick layers. (Fig. 1)
Another remarkable element is the 55 m long lateral
fixed lip spillway, common in narrow gorges with lim-
ited space next to the dam. It’s combined with a frontal
gate at the beginning of the channel and they both pro-
vide for optimum flood management.
The outlet works are located in a gallery that was used
for river diversion during construction and has access to
the control gallery below. There are two steel circular
culverts ( 800 mm and 8 mm thick) operated with four
0.90  0.60 m2 sluice gates installed in a chamber.
One tower houses the draw-off pipework at three
different levels and, eventually, these pipes get into the
outlet gallery.
G2 R
Figure 2. View of construction tasks from the left abutment.
Moreover, the project considers several environmen-
tal management measures for preserving water quality,
implementing stream corridor measures, preventing
erosion, and so on.
3 CONSTRUCTION OF THE ASPHALTIC
CONCRETE CORE
Next we shall review specific aspects related to the
construction of the impervious membrane.
3.1 Concrete base for the core
At the buttresses, the core rests on a 6.00 m wide con-
crete plinth with a thickness of 0.80 m. Watertightness
is achieved by means of transverse joints between slabs
that lodge into the ground and contact grouting plus
anchorage.
As mentioned before, down at the riverbed it leans
on the control gallery, in a rock trench, where grouting
of the cut off can be carried out. The gallery is con-
structed in bays with contraction joints duly sealed with
water stops. Any leakage will be collected at each block
by little partition walls and measured at a drain pipe
within the gallery.
3.2 Mix design
In order to lay down the bituminous mix design a test
plan was set up as follows:
– Preliminary tests on the local aggregates: coarse,
fine and mineral filler.
– Preliminary tests to estimate adhesion and put for-
ward several mix proposals.
– Preliminary tests on tentative mixes using the
Marshall method.
– Final tests on the proposed mixes: Marshall, volume
change, permeability and triaxial tests.
– Full-scale test on a trial section.
568
3.2.1 Preliminary tests Table 1. Some features of the triaxial tests performed.
This section includes an overview of the report sub-
mitted by the sub-contractor, Kolo Veidekke, with Confining stress
regard to the core fitness. Making use of aggregates
N° test % bitumen Aggregate MPa PSI
and bitumen supplied from Spain, they obtained the
most efficient gradation curve and bitumen content 1 6.7 Limestone 0.5 72.5
for the core. 2 7.0 Limestone 0.5 72.5
The mix design was performed according to MS-2 3 7.0 Limestone 0.5 72.5
guidelines and, in any case, the aggregate composition 4 7.0 Limestone 0.2 29.0
complied with Fuller’s gradation curve, despite of the 5 7.0 Siliceous 0.2 29.0
fact that some natural sand was added to increase mix 6 7.3 Limestone 0.5 72.5
workability and ease compaction. 7 7.3 Siliceous 0.5 72.5
As usual, the bitumen content was chosen higher
than just sufficient to theoretically fill the voids between
the aggregates in order to achieve maximum density
during compaction. be less than 0.50% up to an axial strain of 4%, a
Bitumen levels of 6.40%, 6.70%, 7.00% and 7.30% small value. In general, the dilation decreases with
were tested, whereas production temperature was 180° increasing confining stress and increasing bitumen
and the specimens were compacted at 160–165°C after content.
one hour in a heating cabinet. In addition, results obtained with limestone and
Based on the results from the MS-2 mix design siliceous aggregates were very alike. This allowed the
work, a mix (SP1) was chosen. Taking into account the indiscriminate use of the commercial plant, without
absorption of bitumen and the fact that an imperme- major changes, even when it was manufacturing large
able asphalt core is needed, bitumen content of 7.00% supplies for a nearby highway under construction.
(% weight) was chosen. To cover the full loading range, tests were carried
The lowest void content was achieved at around out with lateral pressure of just 0.20 MPa so that high
7.00% bitumen content and voids filled with asphalt deviator stresses were modeled.
were close to 100%. In fact, permeability tests proved Provided the usage of B60/70 bitumen, triaxial tests
that cores were completely impervious for no water determined a final content of 7.30% as a conservative
passed with a pressure of 10 bar over two hours. What is choice for keeping deformations at a low level. With
more, even after 12 hours there was no water passing. this asphaltic core mix, the required workability and
flexibility were easily accomplished and dilatancy was
3.2.2 Triaxial tests considered negligible.
Kolo Veidekke engaged the Norwegian Geotechnical
Institute (NGI) to perform triaxial tests in order to find
out the stress-strain behavior of the asphalt concrete 3.2.3 Trial section
proposed for use in the central core. As mentioned The ultimate step followed to set down construction
before, these tests were carried out as part of the pro- procedures was a trial section at the dam site. Apart
gram to determine a suitable mix design. In all speci- from serving as training for labor and tuning for
mens, the same bitumen type (B60/70) was used, though machinery, it helped to verify compaction levels and
bitumen content (as a percentage of total specimen in situ mix performance.
weight), type of aggregate, and lateral confining stress
were varied.
3.3 Preparation for the asphaltic concrete core
Seven triaxial tests were performed as defined in
table 1. Prior to placing the asphaltic concrete, some fieldwork
Young’s modulus derived from the initial portion of has to be done.
the stress-strain curves was comparatively high due to On the one hand, the concrete surface should be
the high viscosity of the type of bitumen used (B60/70). rough but even and, on the other, maximum cleanness
Recent practice in the design and construction of asphalt must be achieved.
concrete dam cores has been to use lower viscosity Throughout the construction, the base was washed
bitumen. with acid to promote good bond between concrete and
The triaxial stress-axial strain curves for bitumen mastic along with heating before the application of
contents 7.00% and 7.30% showed ductile behavior and mastic. The latter was partially casted at the plant and
only a small strength loss for strains beyond the peak finally prepared with a simple mixer at the dam site.
and up to ca. 8% axial strain. Then, it was heated before placing at a temperature of
Another important variable measured with these tests 180°C, thus waterstops were made of material that can
is the dilation (volume expansion) and it happened to stand this heat.

569
Figure 3. Placing the first layer of the asphaltic concrete core.
Figure 4. Asphaltic concrete core machine.
3.4 Asphaltic concrete core placing
Transportation, placing and compaction of the asphaltic
concrete require special procedures that take into account
the tasks involved and foresee possible adjustments.
At first, hand placement inside formwork is always
necessary to establish a horizontal base for the core
paver. Leveling, removing of formwork and compaction
have all to be done quickly so that required features
are obtained. Moreover, hand work is always needed
at each abutment. (Fig. 3)
The continuous placing using a special machine
allows the process to be controlled visually. This
machine has a built-in device to heat the existing sur-
face, though it wasn’t strictly necessary at Mora for
the construction was carried out during summer time.
Three vibratory rollers were used to simultaneously
compact the core and the transition zones in 0.20 m
horizontal layers. Usually no more than two layers were
placed in 24 hours, and when a third layer was required
(near the bottom where gorge width is limited) two
were placed in the morning and, after a 2 hour break,
the last one was finished during the afternoon. (Fig. 6)
570
Figure 5. Finishing the last layer of asphaltic core.
Figure 6. Three vibratory rollers.
Great care was taken when vehicles had to cross
over the core, and a special steel bridge was built for
this sake.
If need be, a special procedure was also set out for
removing faulty layers without causing any damage
to other parts of the core already built.
4 QUALITY CONTROL
Quality control was implemented through the whole
construction process; from monitoring the plant and
placing operations to sampling of raw materials along
with the finished core. Quality control specifications
were as follows.
4.1 Materials
– Bitumen: Certificate of compliance for each delivery
to the plant from the supplier/asphalt plant.
– Aggregates: grading curves weekly from supplier.
– Control of density and water absorption when required
and whenever aggregates were changing or varying.
Table 2. Maximum deviations accepted.
% Gradation and bitumen content
7 aggregate on sieves 2 mm and coarser
5 aggregate on sieves 0.5–1 mm
4 aggregate on sieves 0.125 mm
3 aggregate on sieves 0.075 mm
3 bitumen content
Figure 7. Asphalt samples drilled on site.
4.2 Asphalt from mixing plant
– Marshall samples.
– Void content: minimum one complete test per day of
construction. Void content was not to be over 2%.
4.3 Asphalt samples from the plant
– Measurements of gradation and bitumen content:
one extraction test per day.
– Results complying with mix design and the maxi-
mum deviations accepted were given in table 2.
4.4 Asphalt samples drilled on site
Finally, core samples were drilled at least once every
month. A minimum of three cores, with diameter of
100 mm were drilled to a depth of approximately 40 cm.
After cutting off the top piece of approximately 3 cm,
the core was cut into segments of 50–60 mm long and
tested for void content. The specifications were:
– Void content below 3%.
– The average void content from all pieces in one core
less than 2.5%.
– Only one piece could exceed 3%, and this value
ought to be less than 4%.
571
Permeability was controlled once a month on one
sample if so requested and drilled holes in the dam
were eventually cleaned and carefully filled with hot
asphalt in 50 mm thick layers and properly compacted.
5 CONCLUSIONS
Environmental issues along with material availability,
in quality and quantity, have both influenced the design
of Mora de Rubielos dam.
Eventually a zoned embankment with a bituminous
core was picked out and, between the two main philoso-
phies used in the past, the one where the asphaltic con-
crete mix of the core is softer than the fill materials
and the adjacent transitions was followed.
Steps taken in order to accomplish quality and safety
requirements have been shown in this paper; and par-
ticular adjustments made to mixes, materials and con-
struction procedures imposed by local conditions were
mentioned.
With the purpose of ensuring enough impervious-
ness through the core (10-7 cm/s), an air void content
of 3% or less is mandatory. That is the reason why
having a core material with no tendency to dilatate
becomes crucial bearing in mind the stress levels that,
presumably, will appear in the dam.
As a matter of fact, the mix used in Mora de
Rubielos has shown strain patterns that cover a wide
range of plausible load conditions and lessen the
uncertainties involved.
Under these circumstances, preliminary tests carried
out on local aggregates and bitumen, together with tri-
axial tests run on several mixes, provided with essential
information for choosing the most appropriate one.
The suitability of the final design and construction
procedures were checked through trial sections and
numeric modeling whereas, in the end, mix features
and correct implementation of procedures were veri-
fied by means of the quality control program.
REFERENCES
Asphalt Institute. Mix design methods (Sixth edition).
Höeg, Kaare. 1993. Asphaltic Concrete Cores for Embankment
Dams.
Veidekke, Kolo. 2005. Laboratory report to Mora de Rubielos
Dam works (Norway).
 ts
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Seals for Aguamilpa, El Cajón y La Parota concrete face dams,

in México

J. Fuentes & E. Mena

Comisión Federal de Electricidad, México D. F., México

ABSTRACT: Before starting the construction of the H. P. Aguamilpa in 1991, the Gerencia de Estudios de
Ingeniería Civil (Civil Engineering Studies Management or GEIC), under the direction of Professor Raul J.
Marsal, carried out a series of testings to characterize and define the seals that were going to be used in the
joints of the concrete face with the philosophy of having three barriers. For that reason a device was designed
to simulate three-dimensional physical conditions of the movement expected between the slabs of the concrete
face; these barriers are: inferior copper seal, intermediate PVC seal and a superior ash container. As a result of
testings and the experience obtained in Aguamilpa dam, the same materials were chosen to make seals for El
Cajon (still in construction) and La Parota (in project). The barriers are: inferior copper seal, the intermediate
PVC is eliminated and substituted by a superior copper seal, and at last the ash container.

1 INTRODUCTION The objective of this work is to show how labora-

tory tests and assays in prototypes realized in 1991,
The design of seals for the joints between the slabs determined the selection of materials to be used for
and the plinth in concrete face rock fill dams (RF) is the seals of the Aguamilpa Dam, located at Santiago
fundamentally empirical and has been evolved with River in the state of Nayarit, México, where this seals
the experience acquired in studying the behavior of have shown a great performance for 13 years, becom-
the projects where they have been applied. ing a pattern to improve the seals design in the
Based on the experience and good behavior of the Hydroelectric Project El Cajón (2003), Nayarit, and
seals in the Hydroelectric PowerStation Aguamilpa the possibility of using the same technology for the
(H. P. Aguamilpa), and continuing with the philoso- H. P. La Parota, in Guerrero, México.
phy of having three barriers, the same specifications
and standards were used for the Hydroelectric Project
El Cajon and La Parota to fabricate: the first barrier, 2 REFERENCE FRAME
made of an inferior copper seal modified in eaves and
bulb; a second barrier formed by a superior copper seal, Table 1 shows general information from the three
similar to the inferior without eaves, and the third projects, one in operation (Aguamilpa), another under
conformed by an ash container with double sheet to construction (El Cajón) and the last one in bidding
confine the geotextile.
The design of the H. P. La Parota began in the middle Table 1.
of 2005, although presents similar conditions for the
Data: Aguamilpa El Cajón La Parota
concrete face of Aguamilpa and El Cajón, it was neces-
sary to verify which joints of the concrete face should Dam type: Concrete Face Rockfill
have seals and its type. Usage: Electric generation and water regulation.
Based on the numerical model of Dr. Miguel Romo, Height: 187 m 186 m 189 m
from the Universidad Nacional Autónoma de México (613 ft) (610 ft) (620 ft)
(UNAM) hired by Comisión Federal de Electricidad Generation 750 MW 960 MW 900 MW
(CFE), because the project is located in a highly seismic capacity:
zone, and for other security reasons, it was proposed Generation 3 2 3
units:
that at least two barriers should be placed in the com-
Location: NE, Nayarit SE, Nayarit NE, Guerrero
pression zone and three in the tension zone, just as it River: Santiago Santiago Papagayo
had been done in other projects.

573
process (La Parota), that use seals on the concrete
face to contain possible filtrations in the perimetral
joint and extension slabs.
The present work describes the laboratory testings
made to characterize the seals’ materials that were used
in Aguamilpa, El Cajón and possibly at La Parota.
3 TESTS TO CHARACTERIZE THE SEALS
FOR AGUAMILPA PROJECT
GEIC designed and fabricated a device to realize
three-dimensional tests, capable of running trials to
the PVC and copper seals, with the same geometry
and requirements of the Aguamilpa Project.
In figures 1 and 2 can be seen the mechanical device
together with the hydro pneumatic equipment, which is
capable of generating pressure up to 4900 kPa, in order
to run tests to the PVC and copper seals. The most
important components of the testing device are shown
in Table 2.
4 DESCRIPTION OF THE TESTING DEVICE
FUNCTIONABILTY TO CHARACTERIZE
THE SEALS TO BE USED AT AGUAMILPA
Based on photograph 1, there are two lateral blocks (4
and 5) and a “floating” central block (7) which contains
half wing of right and left seals, drowned into the con-
crete, being able to move in a three-dimensional way
with the help of an hydro pneumatic device for the
opening movement and a mechanical for settlement
and shearing. Photograph 2 shows the confinement
loading frame (3) and the hydro pneumatic pressure
switchboard (8).
The displacements are given in a gradual way
with a pre-established program and studying seals’
conditions.
Table 3 presents an example of tests done with this
device. Pressure increases and displacements are cal-
culated in desk, but in practice can be applied in smaller
proportions and with more test stages, which are estab-
lished due to the obtained results.

4.1 Test beginning

Initially the two seals (right and left) are pressurized
combining settlement and shearing displacements
with mechanical or hydraulic devices (the mecha-
nisms are not shown in pictures). Due to the displace-
ments, the right seal (block 5) depressurizes gradually
until the displacement programmed on the first phase
is obtained, leaving approximately a 2 hour period
before continuing with the second phase. The next
phase proceeds in the same way as the first according
to the programmed parameters, until the programmed
test concludes. If there is no leak that would risk the

Table 2.
Figure 1. Front view. 1. Hydro pneumatic vessels
2. Pressurized water line to right seal
3. Load frame for tension stress
4. Left fixed concrete block
5. Right fixed concrete block
6. Internal seal between fixed and floating blocks
7. Mobile concrete block for three-dimensional movements
8. Measurement panel

Table 3.

Pressure Opening Settlement Shearing

(kPa) (mm) (mm) (mm)

490 10 5 5
980 20 10 10
1 470 30 15 15
1 960 40 20 20
Figure 2. Lateral view.

574
test, it continues as done, but in an inverted way, it
means, the left seal is depressurized (block 4).
Schemes in figures 3 and 4 show the models used
to assay the two seals: an oval section model for the
PVC with dimensions of 85 cm width and 20 cm
height, forming a half circle in its ends with a 10 cm
radius, and 85 cm width, and the rectangular section
with 20 cm height and 85 cm width, the for the copper
seal. The copper seal model was formed in a rectangu-
lar way due to problems in the oval shaped folding or
rolling, caused by its rigidness which did not allow
having a curved radius as small as the testing device
design requires. The tests were run under a wide lab-
oratory assay program where physical models, such as
this device, permitted the reproduction of the three-
dimensional movements and stresses to which the
seals would be subjected to.
The different tests made on national PVC seals with
3, 5, and 12 mm widths failed with a pressure between
785 and 1 570 kPa (depending of its width). Later a
12.7 mm thickness, and 23 cm width PVC imported
seal, similar to the one used in the Hydroelectric Project
Salvajina in Brasil, was tested, supporting up to a
1 960 kPa pressure without failure. The test was repeated
in staggered cycles from 0 to 1960 kPa, the results
Fixed Blocks (FB)
A
A´
B´
72
62
frames
B
Shearing
Opening
Mobile Block (MB)
Settlement
Pressurized
Seal
water
MB
FB
85
A - A' B - B'
PVC section
Figure 3. PVC seal testing.
showed that thickness and material were appropriate
with a critical projected work pressure of 1 920 kPa.
Concerning to the copper seal, there was difficulty
a in folding or rolling the sheet with the project dimen-
sions: 5 cm eaves, 15 cm wings, and a bulb of 4.5 cm
height and 6.3 mm radius, so it was necessary to be
changed in a rectangle section with the dimensions of
85 cm long, 20 cm height and 90° direction changes.
This new section caused the behavior of the copper
seal to be less favorable during hydrostatic test due to
the four top welted unions in the 90° direction changes,
because in that part there are more stress concentrations.
The seals were made with phosphated copper sheets
according to the ASTM B-152 norm, soft temper
C12200 alloy, defined in the project specifications. The
seal conformation was made by folding straight sec-
tions to be cut later at the size required for the test probe.
Within the test program, two of them were with 26
caliber (0.46 mm) copper sheets. The first reached a
pressure of 1 470 kPa practically without displacements
because the objective was to observe the behavior of
the model with this type of seals. One of the most fre-
quent failures occurred in the concrete due to tension
stress. The second test was ran under the same con-
ditions, reaching a maximum pressure of 1 370 kPa
with displacements of: 20 mm of settlement, 23 mm at
(FB)
A
A´
B´
Load
Load frames
B
(MB)
Pressurized
Seal 22
22 water
MB
FB
63
A - A' B - B'
Copper section
Figure 4. Copper seal testing.
575
opening and 19 mm in shearing, failing the test because
of the poor adherence between the concrete and copper.
Later, on tests ran with an 18 caliber copper sheet
(1.25 mm), a maximum pressure of 1 176 kPa was
applied with displacements of: 5 mm settlement, and
less than 1 mm for opening and shearing, failing the test
due to the lack of tension resistance of the concrete.
The silver welding which obtained the best results to
weld copper seals at temperatures between 650 to 730
degrees was a naked electrode of 1.6 mm diameter to be
used with flux, with a minimum silver content of 56%,
cadmium free and 451 MPa tension stress resistance.
Due to the ash container, tests of rolled perforated
sheets and galvanized by hot immersion were done,
finding that optimal calibers were between 18 and 22.
A 18 caliber sheet was selected because it presented
smaller deformation, since rolling sheets left residual
stresses that stand out with the temperature reached
with the galvanizing process, deforming the container.
To select the geotextile, many kinds of textiles were
proved until find the one capable to retain at least 90%
of the ashes and let pass water flow. One of the princi-
pal characteristics is the material whereupon geotextile
is made of, which in common market is polyester and
polypropylene, where the last one is the most adapted
to resist chemical agents and salts. A disadvantage of
this material is degradation by exposure to gamma rays
which are emitted by sunlight.
Sand filters beneath slabs of concrete face must be
capable to retain ashes, and were selected in the Soil
Mechanics Laboratory of GEIC to assure the retention
of ash grains; in case of a broken seal, sand should
retain ashes to act as a barrier against seepage.
5 SEAL DISPOSITION IN CONCRETE
FACE DAMS
5.1 H. P. Aguamilpa
As it was mentioned previously, in accordance with
experience in concrete face dams, is essential to count
up with at least three protection barriers against seepage
in perimetral plinth-slabs and slabs-slabs extension
joints, where greater movements are expected. Seal
disposition in Aguamilpa is as follows: inferior cop-
per seal, middle PVC seal and a superior sealing by a
container made of a perforated galvanized iron sheet
covered inside with a geotextile and filled with fly ash.
In figure 5 is schematically shown the seal disposition
in a plinth-slabs section, which is practically the same
for tension slabs but without central wood.
The central wood between the plinth-slabs junction,
which is not a part of the seal, has the objective to
avoid penetration between both parts of concrete slabs,
nevertheless when being in contact with water and con-
fined in concrete makes it to expand resulting as an
additional barrier. In compression slabs, the wood is
576
Figure 5. Aguamilpa dam seal disposition.
disposed alternately. The theoretical maximum open-
ing expected between slabs is about 8 cm.
5.2 H. P. El Cajón
Experiences from Aguamilpa dam were considered in
this project to design the copper seal, ash container
and laboratory tests.
Because of the good functionality of Aguamilpa
seals for the last years and continuing with the method-
ology of using three barriers, for El Cajón project were
made some changes because during the constructive
process of Aguamilpa, it was observed that in the infe-
rior part of the PVC seal (middle barrier) there had
been problems with concrete pouring, for the reason
that inferior zones with hollows of different dimen-
sions, caused by vibration problems and the uncom-
fortable installation of the plinth-slabs seal, couldn’t be
avoided; with that purpose the PVC seal changed for a
copper seal placed on the top of plinth-slabs and slabs-
slabs as much for tension as for compression slabs.
The barriers used in El Cajón are: inferior copper
seal for all joints, superior copper seal, similar to infe-
rior one (but without eaves), for perimetral joint and
tension slabs, and the ash container for perimetral
joint and tension slabs, modifying its design to avoid
geotextile deformation.
The seals arrangement in a plinth-slabs section is
shown in figure 6, which is equivalent for tension slabs;
compression joints neither have an ash container nor
the superior seal.
To characterize the size of the bulb, the results of
numeric models and measurements done in similar
projects were employed to determine the probability
of having extension between slabs up to 11 cm.
5.3 H. P. La Parota
For the concrete face type dam, as it is the case of La
Parota, and in accordance with the experience and

Figure 6. El Cajón dam seal disposition.
Figure 7. La Parota numeric model.
technology of other projects, the tendency is to use
three retention barriers to avoid possible seepage by
plinth-slabs and slabs-slabs joints, this type of seals
have evolved through its use, for the case of La
Parota, the proposal is to use the same scheme of seal
employed in the recently studied H. P. El Cajón, but
with a different disposition.
Given the characteristics of a seismic location where
the construction of La Parota is projected, it was nec-
essary to study in detail tension and compression zones
to design the arrangement and disposition for the seals
on concrete face, based in the numeric analysis’ results
of Dr. Miguel Romo and from GEIC, which deter-
mined the sections that should have seals.
Figure 7 shows the scheme of the numeric model
of the concrete face, where 15 m width slabs are sim-
ulated. Taking this figure as a reference, the darker
part represents the compression zone, which covers
slabs 32 to 47, tension slabs are from number 1 to 31
and from 48 to 59.
Therefore, the disposition of the seals in joints stays
as the next: plinth-slabs perimetral and tension slabs-
slabs joints must have the three barriers, it means supe-
rior and inferior copper seals and ash container; for
compression slabs-slabs joints only two barriers are
577
Figure 8. Slab-slab seal arrangement.
needed: the superior and inferior copper seals. Slabs-
parapet joint requires inferior copper seal and the ash
container only. The expected maximum theoretically
opening between slabs is from 11 to 15 cm.
In Aguamilpa and El Cajón joints a wood between
slabs was alternately installed in the compression
joints to avoid the penetration effect between slabs.
For the specific case of La Parota, according with the
realized studies, sliding, separation and penetration
caused by low, mid or high seismicity effects may
cause severe damages to concrete slabs, principally
due to impact; by such reason, it was specified that all
these joints should have an intermediate wood that
will function as a shock absorber to reduce the possi-
ble fragmentation of the concrete.
The seal arrangement in a tension slab-slab section
is shown in figure 8; the arrangement for compression
joints is the same but without the ash container. The
perimetral plinth-slabs joint is similar to the used in El
Cajón and can be observed at figure 6. It was already
mentioned that parapet-slabs joint are projected only
with the inferior seal and the ash container.
5.4 Seal generalities
General data of the variety of seal dispositions is men-
tioned, but for each one of them are particularities
mainly in the fabrication process, installation, quality
control in the seal collocation, site and material supply
inspections, seal and ash container transitions, connec-
tions, anchorages, and other installation procedures.
Shown figures (5, 6 and 8) present changes made
to seal disposition with the objective to improve effi-
ciency of seals and to apply continuous improvement
with the experience obtained from other projects.
6 COPPER SEAL CONFORMATION
Figures 9 and 10 schematically present sections of
Aguamilpa, El Cajón and La Parota copper seals. Seal
 4,5 cm bulb Table 4.
R = 0.63 cm
Dam: Aguamilpa El Cajón La Parota

1. Eaves 5 cm 5 cm 5 cm
5 cm eave 2. Boreholes No Yes Yes
R = 0.3 cm 3. Wings 15 cm 15 cm 15 cm
Copper sheet 4. Bulb 4.5 cm 7.0 cm 7.0 cm
ASTM B-152 C 18 5. Radius 6.3 cm 9.5 cm 9.5 cm
Variable length
6. Seal bend Overlap Overlap Overlap
7. Welding Silver Silver Silver
15 cm wing
R = 0.3 cm Table 5. Conditions for tests assayed with the arrangement
shown in the referenced figure.
Figure 9. Aguamilpa inferior seal geometry.
1. Test without adherent nor perforations (plain sheet).
7 cm bulb 2. Test with adherent without perforations (plain sheet).
R = 0.95 cm 3. Test with adherent and perforations in eaves (plain sheet).
∅ = 1.27 cm
@ 10 cm
the first one is used in hydraulics and the second for
electric aims). It is necessary to have a strict supervi-
5 cm eave sion of manufacturer’s quality control during fabrica-
R = 0.95 cm tion process of the sheet to be used.
The copper seal must be conformed by a rolling
Copper sheet
process to obtain longer sections and reduce welding
ASTM B-152 C 18
Variable length in overlaps. Folding method has the disadvantage to
create a greater stress concentration in each fold and
15 cm wing only short pieces can be made. Table 4 specifies details
R = 0.95cm for seals’ dimensions.
Observations according to Table 4:
Figure 10. El Cajón and La Parota inferior seal geometry.
1. Same main dimensions for the three projects.
2. Eaves for El Cajón and La Parota seals have
geometry in these projects is practically the same
1.27 cm diameter boreholes, for a better adherence
with exception of the bulb, which varies according to
with concrete.
expected movements in concrete face joints. The
3. The same in the three cases.
expected opening between tension slabs determined
4. A higher bulb is used in El Cajón and La Parota
additional studies to define the geometry of superior
expecting larger movements.
and inferior seals of El Cajon. Boreholes in eaves were
5. El Cajón and La Parota seals have increased radius
a substantial update to the seal, increasing adherence
to avoid stress concentration in corners.
between the seal and concrete when working at tension
6. Higher rupture resistance than top resistance.
stresses.
Already solved dimensions and modifications to
El Cajón copper seals, different methods of fabrication
were studied with the required dimensions. A rolling 8 LABORATORY TESTS MADE TO DEFINE
process, as used in Aguamilpa, was specified for seal ADHERENTS IN THE COPPER-CONCRETE
formation, because it prevents from stress concentra- CONTACT
tion and can be made longer seal sections.
Another significant factor to consider collocation of
copper seals in site is the way copper is adhered to con-
7 CHARACTERISTICS AND PARAMETERS OF crete. Due to plenty of new adhesive products in market,
SEALS EMPLOYED IN THE THREE DAMS programmed tests were related with adherence between
copper and concrete.
According to expected movements in each project, the
definition, characteristics and parameters for copper
8.1 Copper-concrete contact in inferior seal
seal fabrication are as follows:
Copper sheet used in the three dams has the next spec- Standard ASTM-370 probes were used in tests, so it
ifications: ASTM-B-152, 18 caliber phosphated copper was necessary to design a way to hold the probes to
(Copper is classified in phosphated and electrolytic, concrete. The concrete used in tests was made with the

578
 Table 6. Testing results.
18 Maximum load in kPa

Plain with 1.27 cm

Square Impregnated product Plain borehole
section
None (directly to 510.0 913.3
concrete)
Wire 18 Polyurethane 476.6 883.3
Ø = 0,63
Epoxic 876.6 936.6
cm(1/4")
Igol with sand passed 93.3 783.3
trough No. 50 grid,
retains No. 100 grid
Igol and black Igas 50.0 480.0
with sand passed trough
18 cal. No. 50 grid, retains No.
Adherence
copper 10 100 grid
area
test Polyurea with thick sand 103.3 879.0
Waterproof membrane 145.0 340.0
with sand passed trough
No. 50 grid, retains No.
100 grid

characteristics were made and qualified in the same

12 8 18
Corrugated rod
Ø= 0,95 cm (3/8")
Landmarks in mm Ç
Figure 11. Scheme of test used for tension assay with dif-
ferent adherents for Cu-concrete contact.
same mechanical properties specified for El Cajón
project due to realize a representative test. Figure 11
shows a scheme of how tension tests were made with
different materials proposed in Table 6.
The reinforcement structure for concrete, observed
in this figure, prevents tension failure of concrete;
being the principal objective assaying copper-con-
crete adherence.
The set adjustment to form tests was by mean of a
centering wood with dimensions 14  14  18 cm,
with 6 mm wire reinforcements, where the 9 mm
anchors for holding tests to the testing machine are
lodged. The formation of tests was made in a single
draw, leaving a cure period for concrete in a room with
controlled moisture and temperature, until reaching its
resistance for tension testing.
To determine test reliability for each one of the mate-
rials to be tried as adherent, three tests with the same
period due to have the same concrete resistance. Tests
made in laboratories demonstrated no concrete failure,
the most of them occurred because of poor adherence in
concrete-copper joint or copper section rupture.
Table 6 presents the results for the assays done
with different adherents; the most efficient product was
the epoxic one. Another aspect of the tests was the per-
forations in eaves, which considerably increases tension
resistance, having a much better adherence with
concrete.
8.2 Concrete-copper superior seal contact
Necessary material to avoid filtration between concrete
and wings of upper copper seal were determined with
tests done to select the most efficient product which
functions fulfill the objective to seal under a working
pressure of 1 960 kPa. The seal is held to concrete by
anchors; boreholes for anchors are punched in the seal
during the rolling process.
Overlaps on straight sections and direction changes
are made with silver welding on site. Figure 12 presents
a section of the upper seal, in figure 13 is shown the
scheme of the device used to assay adherents in upper
seal and figure 14 shows the test used in this device.
The assays consisted of maintaining the design
pressure constantly by a minimum of 24 to 72 hours;
if in that period the reference gage of the isolated
chamber (figure 13) registered a pressure increment
or if there were a water lose in the hydro-pneumatic
system, it was indicative of filtrations, and the testing
recipient was opened to determine the possible cause
of the leakage.

579
 Figure 14. Testing block for upper seals.

Pores in concrete were one of the observed causes,

another one was the little efficiency that had the bitu-
minous material selected to be used as seal, and more
by human error, since the seal was not tightened with
torque required in the tappets.
Of tried products, the one that gave the best results
Figure 12. and fulfilled the objective of the test was made with
polyurethane.

9 CONCLUSIONS

9.1 Inferior seal

Considering experience obtained with tests done for
H. P. Aguamilpa and the observed behavior, it was
determined to use the same material for H. P. El Cajón,
which is a C-12200 alloy copper, hot laminated, which
commercial name is smooth temper phosphated copper,
in agree with ASTM-B-152 standard. The adherence
of copper seal and concrete was improved using bore-
holes in seal’s eaves, increasing resistance to tension so
the seal can’t be released easily from the part embedded
in concrete.
Geometry of the seal used in El Cajón and La Parota,
varies depending of the opening movements expected
between slabs and plinth.

9.2 Superior seal

Figure 13. Testing device for determining upper seal
between copper and concrete.
It is used a cooper seal for the first time in the upper
face of the concrete slabs, so is the case of El Cajón
and La Parota.
To define geometry and adherents of the seals, the
Subgerencia de Seguridad de Estructuras (SSE) of CFE
realized a testing program; these results determined
the technical and mechanical characteristics of the
superior seal for the concrete face of El Cajón. This
arrangement has the advantage of installing upper seal
after the slabs are poured, without obstructing construc-
tion process. Geometry is similar to lower seal and used
material is the same, which represents an advantage
because upper seals can be rolled in the same machine
used for inferior seals.

580
9.3 Ash container
To improve efficiency of ash container, a confine-
ment material, in the inner face of geotextile used for
retaining fly ash, is added to avoid collapse or loosen-
ing of geotextile, because it can obstruct the pass to
ashes inside the container. To procure this, a double
container is specified for El Cajón and La Parota.
REFERENCES
Fuentes, Javier, Ibarrola, Rafael & Carvajal, Valdemar 2003,
Evaluación y pruebas de sellos de cobre y contenedores
581
de ceniza que se utilizarán en la cara de concreto de la
cortina del P. H. El Cajón, Nayarit. México:GEIC-CFE.
Macedo, Gabriel & Fuentes, Javier 2003. P. H. El Cajón,
Nayarit, sellos de la cara de concreto. México: Subgerencia
de Seguridad de Estructuras-CFE.
Montañés, L. E. 1991. Presa Aguamilpa-Criterios de
Diseño, XV Reunión Nacional de Mecánica de Suelos,
México.
Romo, Miguel 2004. Análisis Sísmico de la Cortina
(Enrocamiento con Cara de Concreto) de la Presa La
Parota. México: Instituto de Ingeniería-UNAM.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Hydroelectric project “El Cajón, Nay. México” design and construction

of the deviation project using the criterion of compound corrugation

H. Marengo, L. Athié & O. Calahorra

Comisión Federal de Electricidad, México, D. F. México

ABSTRACT: The diversion tunnels for “El Cajón” dam, were designed using the methodology proposed by
Dr. Humberto Marengo Mogollón, which consisted of using the compound corrugation criterion since it was
considered that the floor and walls should be covered with conventional concrete and the vault should be covered
exclusively with thrown concrete. Additionally, the construction of the two tunnels of portal section measuring
14 meters, capable of discharging a maximum consumption of 7,011 m3/s and of a total length of 1,545 meters were
constructed in just 9 months. Also an additional criterion of constructing a pre-divert tunnel of portal section
measuring 6 meters wide, 14 meters tall and 734 meters long was applied in order to conclude both tunnels during
the low water season when the water had already been divert from the river’s bed. Both the design and the con-
struction aspects made it possible to start the construction before it was planned, winning a year of generation
of electric energy consisting of 1,228 GWh, which represents a profit of approximately 100 million dollars. In
the article are presented in detail the design and constructing aspects.

1 BACKGROUND The 26 of March 2003 the contract was signed by

During the years of 1980 to 1992 the different exten-
sive studies having to do with the pre-feasibility and
feasibility of the hydroelectric project “El Cajón, Nay”
were done. Located on the principal river bed of the
Santiago River, it was determined by hydrologic, topo-
graphic and geological studies the technical, econom-
ical and social feasibility of the site. Later, on the year
1994 works of pre-construction consisting of field and
office studies, were done so more information of geol-
ogy, material banks and hydrology was obtain, and in
this way the project could be sustained on more solid
basis. Despite all this, it was until 1999 that the studies
of basic engineering, scheme optimization and engi-
neering of the diversion tunnels start. On September 3
2002 it was published on the Official Journal of the
Federation the letter of convocation for the bidding
under the scheme of financed public construction, in
which was established that the bidder had to present the
financial costs of the project during the different stages
of construction. The 19 of February 2003 in a public act
the bidding process starts, receiving several proposals.
The 14 of March 2003 the decision that the con-
tract would be given to the partnership “Constructora
Internacional”, formed by the companies “Ingenieros
Civiles Asociados” (ICA), “Promotora e Inversora
ADISA”, “La Peninsular Compañía Constructora”
and “Energo Mechexport-Power Machines”.
the Comisión Federal de Electricidad (CFE) and the
partnership CIISA.
On June 6, 2003 the president of Mexico Vicente
Fox Quesada leads the starting of the construction of
the hydroelectric project.
For the 30 of March 2004 the diversion of he
Santiago River is accomplished.
2 INTRODUCTION
Because of the hydrologic studies the future average
monthly drippings were determined, considering the
actual uses and the future affectations to the dripping,
because of the supplying of water to the nearby popu-
lations. It was also determined that the average annual
volume expected would be of 3,326 million cubic
meters (mcm), which was estimated by a record of 51
years, from the year 1949 to the year 1999. It was also
established, by the records of maximum instantaneous
expenses and maximum and average daily expenses,
the maximum design expenses for the different prob-
ability periods of return for the construction of the
diversion project. Those flows are shown on the table 1.
This table was determined applying different func-
tions of probability distribution to the sample of max-
imum annual expenses such as: Normal, log-Normal,
Exponential, Gumbel, Gamma, and Gumbel for two

583
 Table 1. Probability period of return.

Probability period of Maximum flow

return (years) (m3/s)

2 1 412,93
5 2 417,73
10 3 639,84
20 4 959,88
50 6 537,31
100 7 667,53
200 8 773,13
500 10 219,31
1000 11 304,99
2000 12 394,86
5000 13 820,08
10000 14 893,19

samples, obtaining that the best adjustment was with

the probability function Gumble for two samples.

3 DESIGN

3.1 Design of the diversion tunnels

The project of diversion is located on the left margin
and consists of two tunnels, with a total length of
1545 m, 734 m for the tunnel N°1 and 811 m for the
tunnel N°2. The cross section is of the portal kind, and
is covered with hydraulic concrete on the floor and
lateral walls and covered with thrown concrete on
the vault. The lengthwise slope in the tunnels is
S1
0,00340 on tunnel N°1 and S2
0,00801 on
tunnel N°2.
The diversion project is complemented with two
reinforcements of graduated material located upstream
and downstream in the zone were the curtain is con-
structed, guaranteeing the stagnancy of this part of the
construction.
Taking into consideration all of this, economical and
technical studies were done to determine the diameter
and height of the optimum reinforcements. This will
be presented ahead.
3.2 Hydraulic design
For the hydraulic design the following facts were taken
into consideration:
– The Manning coefficient of corrugation; n
0,015
for the concrete of the floor and lateral walls,
n
0,0026 for the thrown concrete on the vault.
With this numbers an equivalent “n” was calculated
according to the Muhlofer and Banks criterion (see
Reference 1)
– The coefficients for local losses principally consid-
ered were; the loss at the entrance Ke
0,15, taking
Figure 1. Elevation curve–consumption for the portal
section of 13 m.
into consideration the results observed in the
hydraulic model, the loss because of the horizontal
curve, which was calculated following the USBR
criterion, it was also taken into consideration the loss
because of the slot, applying the Mosonyi formula
and the loss because of the brusque reduction (in
the pile zone, tunnel N°1) according to the Weisbach
criterion, allowing this to calculate the correspon-
ding coefficients. (see Reference 2)
– The losses because of the friction were calculated
according to the Manning criterion.
With the previous information the elevation curves
were calculated. These curves represent the discharge
consumption of the tunnels working as a canal and as
a tube full for the portal section of 13 and 14 m of
height. The curves are shown on figures 1 and 2.
3.3 Obtaining the optimum diameter
To be able to obtain the optimum diameter, as well as
considering the elevation curves–discharge consump-
tion, it was also taken into consideration for this opti-
mization analysis the following parameter:
– The magnitude of the expected ways associated
with a returning period, considering the risks pre-
sented in a failing case
– The construction program

584
 Table 2. Reinforcement heights vs. construction time.

Reinforcement Construction
height Volume time Finishing
(m) (mcm) (months) date*

45,5 0,58 4,4 19 of march

48,5 0,66 5,1 10 of april
57,0 0,83 6,4 19 of may
63,0 1,00 7,7 28 of june

* It is considered that the construction of the reinforcement

starts November 7.

Table 3. Portal section vs. costs.

Portal section (m) Costs (USD millions)

12,5  12,5 *12,76

13,0  13,0 13,87
13,5  13,5 *14,98
14,0  14,0 16,08
14,5  14,5 *17,17
15,0  15,0 *18,29

* They were estimated according to the data obtained

for 13  13  14  14 m.
Figure 2. Elevation curve–consumption for the portal sec-
tion of 14 m. Table 4. Reinforcement height vs. costs.

Reinforcement height (m) Costs (USD millions)

– The costs of the needed structures (tunnels, rein-
forcements, structures for the temporary and defin- 45,5 2,11
itive closures of the diversion) 48,5 2,34
– The costs of expected damage in case of a failure in 57,0 *3,16
the curtain and reinforcements, as well as for the 63,0 *3,72
delay of the project.
* It was considered the incrementing costs of the
Every one of these parameters is analyzed sepa- vertical tunnels.
rately on this paper.
the reinforcement; the costs in millions of dollars
3.4 Construction program were estimated, in each case.
The principal restriction for the time of construction a) For the tunnels, with the following portal sections:
of the diversion project is the size of the reinforce- b) For the reinforcement:
ment. That is way on table 2 it is indicated for several
heights, the time necessary for constructing them, In this case it was not considered the costs of the
establishing that 130,680 m3/month are collocated. materials, because these are product of the excavations
According to the construction program, the tunnel of the diversion tunnels, and only the collocation costs
N°1 should be finished by the 31 of October 2003. were considered.
This way the 7 of November the river would be devi- It can be observed that the construction costs of the
ated through tunnel N°1 and the construction of the reinforcement are relatively low and not significantly
upstream reinforcement would initiate. The second affected by its height, which leads to the thinking that
tunnel would be finished by January 15 and the rein- it high reinforcement is convenient.
forcement would be finished by the end of March.
3.6 Potential damages
3.5 Costs The selection of the more convenient size for the
The principal aspects that define the cost of the diver- diversion project is related with the magnitude of the
sion project are the size of the tunnel and the height of damages that could be produced in the case of an

585
Table 5. Height of the reinforcement vs. costs. Table 7. Portal sections vs. costs, Tr
20 years.

Reinforcement height Volume Costs Tunnels Reinforcement Total

(m) (mcm) (USD millions) Portal costs costs cost
sections Height (USD (USD (USD
45,5 0,58 6,91 (m) (m) millions) millions) millions)
48,5 0,66 7,87
57,0 0,83 9,89 12,5  12,5 47,5 12,76 2,26 15,02
63,0 1,00 11,92 13,0  13,0 44 13,87 2,00 15,87

Table 6. Volumes and curtain heights vs. costs. Table 8. Portal sections vs. costs, Tr
50 years.

Dam Tunnels Reinforcement Total

Raining Volume height Costs* Portal costs costs cost
season (mcm) (m) (USD millions) sections Height (USD (USD (USD
(m) (m) millions) millions) millions)
2004 1,51 261 18,00
2005 7,20 302 85,83 12,5  12,5 59 12,76 3,35 16,11
2006 10,8 376 128,69 13,0  13,0 55 13,87 2,97 16,84
13,5  13,5 51,5 14,98 2,63 17,61
* Considering a cost of construction of $11,92/m3. 14,0  14,0 48,5 16,08 2,34 18,42

eventual failure because of an overflow. Those dam-

ages will be produced on the reinforcement as well as Table 9. Portal sections vs. costs, Tr
100 years.
in the curtain (accordingly to the stage of it’s con-
struction), provoking with this the delay in the putting Tunnel Reinforcement Total
in operation of the hydroelectric as well as the addi- Portal cost cost cost
section Height (USD (USD (USD
tional costs because of the suspension of the con- (m) (m) millions) millions) millions)
struction. The estimated costs for each one of these
aspects is: 13,5  13,5 60 14,98 3,44 18,42
1 For each year of delay in the putting in operation of 14,0  14,0 56 16,08 3,07 19,15
14,5  14,5 51,5 17,18 2,63 19,81
the hydroelectric, it is estimated a cost of $1,100
millions, as well as several damages estimate in
$435,5 millions
2 Reinforcement. With the relation between the height For a period of return of 20 years, the cheaper com-
of the reinforcement an it’s volume, and considering bination was a tunnel with a portal section of 12,5 m 
the cost of $137,08/m3 the table 5 was constructed 12,5 m and a reinforcement of 47,5 m of height, with
(in this case the costs of the materials used in the a cost of $15,03millions.
reconstruction of the reinforcements are taken into b) For the costs of a design of 6481 m3/s (Tr
50
consideration) years), and constructing the correspondent way transit,
3 Dam. For the volumes and height corresponding to table 8 was obtained.
the different construction stages of the dam, are The options for the lowest cost consider the rein-
shown on table 6. forcement heights bigger than the recommended are
48,5 m. Because of this it is proposed that the first
two options are eliminated, and leave the third option
(section of 13,5  13,5 m and height of 51,50 m) to
4 SELECTION OF THE TUNNELS analysis on further chapters, because the increment in
DIMENSIONS FOR SEVERAL PERIODS height, is not that big (3 m), and with the purpose of
OF RETURNING considering on the expected damages analysis a wider
range of options.
For every period of returning it was analyzed the best c) For the costs of a design of 7,578 m3/s (Tr
100
combination of the diameter of the tunnel with the years), and constructing the correspondent way transit,
height of the correspondent reinforcement, as well as table 9 was obtained.
the costs associated with them. In this case all the options exceed the limits rec-
a) For the costs of a design of 4,958 m3/s (Tr
20 ommended. Nevertheless, with the purpose of con-
years), and constructing the correspondent way transit, trasting these inconveniences with the potential
table 7 was obtained. damages analysis, it is proposed to take the second

586
Table 10. Period of return vs. expected damage cost due to Table 13. Period of return vs. expected damage cost.
construction delay.
−
Q (m3/s) Tr (years) D
First year Second year
4,958 20 126,8
Qdis Tr Tr −Total
6,481 50 51,7
− −
m3/s years Pfailure D years Pfailure D D 7,578 100 31,2

4,958 20 0,05 76,8 70 0,014 21,5 98,3

6,481 50 0,02 30,7 170 0,006 9,2 39,9
Table 14. Period of return vs. total cost.
7,578 100 0,01 15,4 200 0,005 7,7 23,1
Expected
damage Structure
cost costs Total cost
Table 11. Period of return vs. expected damage cost due to
Qdis Tr (millions (millions (millions
destruction of the reinforcement.
m3/s years of USD) of USD) of USD)
Qdis Tr Height Cost − 4,958 20 11,03 15,03 26,05
(m3/s) years Pfailure (M) (USD millions) D
6,481 50 4,49 17,62 22,11
7,578 100 2,71 19,15 21,86
4,958 20 0,05 47,5 7,57 4,4
6,481 50 0,02 48,5 7,57 1,8
7,578 100 0,01 56,0 9,563 1,1
probability by the delay cost. This way for every
expense considered in the design of the diversion
Table 12. Period of return vs. expected damage cost due to
project, a potential cost of $133,52 USD millions,
the destruction of the curtain. which is the addition of $95,65 and $37,87; was taken
into consideration.
First year Second year In every case it was considered that from the second
year on, the curtain will reach the elevation of 302 m,
Qdis Tr − Tr − −Total and because of this the quantity of water that can be
m3/s years Pfailure D years Pfailure D D deviated is incremented, according to the considered
section.
4,958 20 0,05 10,3 70 0,014 13,8 24,1 In the following tables the expected damage is
6,481 50 0,02 4,1 170 0,006 5,9 10,0
expressed in millions of dollars.
7,578 100 0,01 2,1 200 0,005 4,9 7,0
b) Due to the destruction of the reinforcement (only
on the first year)
c) Due to the destruction of the curtain; cost of the
option as representative of the way of a 100 years, first year (h
261 m, V
1,51 mcm, cost
18 USD
since it represents the average reinforcement height million); second year (h
302 m, V
7,251 mcm,
(56 m), section size (14  14 m), and cost (19,15 USD cost
85,83 USD millions), according to the con-
millions) of the three presented. struction program.
In resume, the total expected damage cost will be
the addition of the considered aspects:
4.1 Expected damage calculations
In order to obtain the expected damage, the damage
cost is multiplied by the probability of a failure in 5 ESTABLISHING THE OPTIMUM
which: PERIOD OF DESIGN

(4.1) The period of return of the optimum design is deter-

mined on the basis of the probability nature of hydro-
and because of this: logical events and the caused damage if a failure was
presented. When the period of return increments, the
costs of the structures raise too, but the expected dam-
(4.2) ages reduce because a better protection is given to the
construction. Adding the structure costs and the
a) Due to construction delay expected damage costs, the design period of return,
The expected damage due to a construction delay which has the lower total costs, is determined, as
was obtained multiplying, for every year, the failure shown on table 14.

587
6 CONCLUSIONS
According to the previous analysis, the combination
of the lowest total cost corresponds to a period of
return of 100 years with a project that considers a
reinforcement of 56 m of height and tunnels with por-
tal section of 14  14 m.
It is also important to take into consideration other
relevant aspects, regarding the reinforcement height
and the size of the diversion tunnels, in the taking of
this decision.
a) Geological aspects. With the geological infor-
mation obtained and with the studies done by the
Civil Engineering Studies Office in February 2002, it
is established that the safest limit for the rocky mass
was below the 269 elevation, zone in which the plug-
ging platform of both tunnels was located (268,50 m
elevation). This platform is best located on adequate
rock, because on it will be established the structures that
will raise up the plugs and also because several impor-
tant maneuvers will take place here during the years
that the diversion projects works. This will also give
the vertical tunnels better geotechnical conditions.
Because of all of this it is important to maintain the
reinforcement height at 48,5 m, and considering that
the diameter of the selected tunnels if of 14  14 m, the
period of return should be of 50 years (table 8).
b) Advantage of the operation as a diversion. From
the second year on, the reinforcement height ceases to
be important for the capacity of the diversions. In fact,
form the second year on, the curtain height will pass
the reinforcement height and the diversion capacity
will depend on the size of the tunnels.
c) Advantage of the operation as a drainage. It is
contemplated constructing a background drainage to
guarantee the useful life of the dam and to extract,
with certain frequency, important volumes of mud.
Because of this need, it is being analyzed the con-
venience of using one of the diversion tunnels as a
588
background drainage, using the investment made on a
provisional structure, and turning it into a permanent
structure.
Turning this tunnel into a permanent structure des-
tined to extract large volumes of mud, represents a great
advantage in having this bigger device.
Considering that adequate equipment is available,
the CFE has managed to reduce the costs of its hydro-
electric projects by reusing the plugs and closing gates
on different projects, avoiding with this the need of
fabricating this new equipment for such uses.
The existing equipment is designed to cover a
14  14 m area, and although it is true that they can
be used on smaller holes, it would be loosing an impor-
tant advantage, because there are enough and in good
condition equipment for closing bigger tunnels.
Due to all the previous reasons and considering that
the security aspects in this kind of projects are very
important, the design of the diversion tunnels was for
the dimensions of 14  14 m, allowing with this to
locate the upper elevation of the vertical tunnels at
268,50 m, that as has already been said it corresponds
to the rocky mass of better quality. Also the reinforce-
ment height would be of 48,50 m (crown with an ele-
vation of 268,50 m), height that corresponds to a period
of return of 50 year and not to a 100 years, that is of a
lower cost, according to the combination of concepts
considered for the choosing of the optimum design.
REFERENCES
Marengo H. Fundación ICA, “Cálculo Hidráulico de
Túneles de Conducción en Sección Baúl Considerando
Rugosidades Compuestas”, México, 2005.
CFE, Subgerencia de Diseños Hidroeléctricos, Coordinación
de Proyectos Hidroeléctricos, Subdirección de
Construcción. “Proyecto Hidroeléctrico El Cajón, Nay.
Informe Final de los Estudios Hidrológicos e Hidráulicos”
julio 2002.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Use of non plastic material in core of Shamil & Nian earth fills dams

F. Jafarzadeh
Assis. prof.of sharif university & Head of Embankment Dam dept. Moshanir co., Iran

Y. Daghigh
Assis. prof of Soil Conservation and Watershed Management Research Center

A. Reza gholi lou

M.sc in soil Mech. & Found. Eng. Ferdowsi Mashhad, Iran

ABSTRACT: Shamil & Nian earth fill dams have 32.3, 27.3 m height respectively. These under construction
dams with common reservoir are located in 85 Km distance of Banndar abbas city, south of Iran. There isn’t
enough plastic impervious materials borrow area around 50 Km distance of dam sites so it was decided to use
available impervious materials. The result of exploration studies has showed that these materials can be classi-
fied as CL-ML, ML, CL unified groups respectively. Internal erosion and compaction are main problem in using
of these materials in core of dams. Compaction is difficult because these materials are sensitive to water content
variation from optimum water content in hot climate. Also filter design criteria should be controlled exactly due
to erosion potential. Adding and mixing bentonite with such material was proposed to minimize compaction
and erosion problems but it was very expensive. In this paper, it will explain the features of these materials and the
result of studies and compaction experiences form FCT also laboratory tests such as NEF with these low plastic
materials. Initial result showed that CL material can be eroded to dam filter, so thoroughly mixing of borrow
area material without adding bentonite is necessary.

INTRODUCTION 2 LOW PLASTIC CORES OF

The main requirement of the core material are that it
should provide the necessary degree of imperviousness,
should be deformable in order to withstand differen-
tial settlements without cracking, and should be non-
erodible in the even of cracking.
Clay was considered superior to cohesionless imper-
vious materials because it would be more deformable
and better able to follow imposed strains from differen-
tial settlement without cracking, and because it would
have higher resistance to erosion if a concentrated leak
developed from any source.
Highly plastic clay will definitely resist erosion of
the walls of the concentrated leak much more strongly
than cohesionless silty soils. But the relatively high
unconfined compressive strength of the clay core pro-
vides more likelihood that the embankment material
can arch around the leakage channel and keep it open.
Cohesionless silty sands have the theoretical advan-
tage over clay they cannot sustain an open crack in an
embankment, since they have no (or very little) uncon-
fined compressive strength and there is a much greater
tendency for any crack to collapse.(Sherard 1984)
CONSTRUCTED DAMS
In some parts of the world there are non-plastic clays
available for dam construction. In those areas many
major dams have been built over the years with imper-
vious cores consisting of cohesion less silty sand sandy
silt, gravelly and sandy silts and so on. (Table 1).
3 COMPACTION IN LOW PLASTIC SOIL
Embankments are constructed both dry and wet of opti-
mum. When placed dry of optimum, the fill is rigid and
stiff and is liable to cracking but the construction pore
pressure are low. On the other hand, placement of fill on
the wet side of optimum makes it more plastic than that
placed on the dry side of optimum and thus a more desir-
able core material since it is less susceptible to cracking.
In general, fill placed on the dry side of optimum
are likely to undergo excessive settlement on satura-
tion, resulting in cracking as well as stratification dur-
ing placement, whereas placement on the wet side of
optimum results in relatively homogeneous fill and

589
Table 1. Low plastic cores of constructed dams(Villegas 1976,Singh 1995).

Finer than Wplac plus

Height Soil type 200 sieve PI K Dmax Wopt Wopt
Dam (m) (Unified) (mm) (%) (*10e-8 cm/s) (mm) (%) Ru (%)

North Hartland 52.5 CL-ML 4 100 2.04 9.5 0.19 0.1

Mad River 55 SM-CL 42 6 500 2.05 10 0.44 1
Boysen 60 GM,SM 20 5 220 1.979 11.4 0.35 0.6
Vallecito 38.7 SC-CL 49 1 7 1.97 11.5 0.71 0.7
North Coulee 44 ML 87 2 2 1.647 18.2 0.04 2.5
Frenso 22 CL-ML 54 5 12 1.908 12.4 0.77 0.3
Bonny 37.8 ML 88 2 35 1.694 16.2 0.06 0.8
Baur 18.9 CL-ML 70–92 7 200 1.7 15 0.7 2
Quebradona 27 SM 30 4 100 – 23 0.2 3
Troneras 37 ML 79 9 100 – 25.5 0.6 4.5
Miraflores 55 SM 46 6 100 – 19.5 0.7 2.5
La Fe 34 ML 68 10 100 – 19 0.25 6
Santa Rita I 25 ML 54 6 100 – 16.5 0.5 5
Santa Rita II 54 ML 56 8 100 – 20.5 0.5 5.5

improved flexibility, thereby reducing cracking
potential.
In construction practice, there is a limiting water
content beyond which the operation of equipment
becomes difficult.
Therefore, the practicability of operation of equip-
ment is the main consideration that governs the per-
missible limit of water content on the wet side.
(Sharma,1991)
Moderate cohesion soils of a wide variety include
broad graded glacial tills with silty fines, weathering
products of sandstones and siltstones, granular soils
with as well percentage of clays of low plasticity.
For all these soils the effectiveness of compaction
procedure depends greatly on moisture content of
the soil.
This statement applies especially to almost non-
plastic uniform fine-grained soils. If the water con-
tent is not almost exactly equal to optimum, these
soils cannot be compacted at all. (Terzaghi,1996)
Rubber-typed roller are good for compacting
slightly cohesive sandy soils, mixed fine-grained soils
ranging from gravel to silt in size, and non-plastic
silty soils.
The compaction water content is less critical than
for rubber tyred, i.e. the shape of the dry density-
water content curve is broader for tamping feet type
rollers. (Fell,1992)
The thickness of the compacted layer with 4–6
passes varies from 15 to 30 cm depending on soil type
and density to be attained.
4 IMPROVEMENT OF LOW PLASTIC SOIL
For cores of cohesionless silty sands and clayey silt of
low plasticity (PI  8), there may be some material
into filters under the combined action of gravity and
seepage forces. So filter operation is very important.
Sometimes a good core material has been made by
blending together two materials with radically differ-
ent properties.
For example, at some dams cohesionless fine silts
(or fine clays) were mixed with sandy gravel to obtain
a core material. With the imperviousness of the silt
and the high shear strength and low compressibility
of the sandy gravel.
In some cases, core flexibility has been enhanced
by addition of a proportion of clay.
For example, part of the core of 57-m high Suger
Pine Dam at a potentially seismically active site in
California was made more plastic by adding 6.6%
Wyoming bentonite to silty sand (by dry weight of
minus-No 4 material) from borrow area.
Also in 153-m high Gepatsch Dam at upstream face
of core 1% bentonite added in mixing tower of similar
material.(Nostrand 1988)
5 SHAMIL AND NIAN DAMS
5.1 Erosion control
These two earth fill dams with common reservoir are
located South of Iran in Bandar Abbas City. Central
core of these two dams is making with non to low plas-
tic silty clay (Figures 1 and 2.). The source of core
material is moraine deposit around 4 km of dam site
that has high erosion potential (Table 2).
The main portion of core material can be classified
as CL-ML according to unified classification. Filter
design criteria in down & upstream face satisfy sher-
ard trend and the soil is mainly in group one.

590
Figure 1. Typical section on Nian Dam.

Figure 2. Typical section on Shamil Dam.

Table 2. Shamil & Nian Dam core material specification.

Finer than Finer than

Unified PI PL LL d max Wopt Clay 200 sieve 10 sieve K
class (%) (%) (%) (gr/cm3) (%) Pin hole (%) (mm) (mm) (cm/s)

CL-ML 75% 5.53 20.79 26.32 1.93 10.30 ND1 14.65 86.29 99.99 5.2E-08 Ave
0.95 1.26 1.97 0.03 0.63 5.00 8.65 0.02 1.7E-07 Stdev
CL 21% 8.03 22.40 30.43 1.92 10.89 ND1 13.39 88.26 99.99 2.1E-07 Ave
0.89 1.06 1.67 0.05 1.02 5.35 8.71 0.02 3.4E-07 Stdev
ML 4% 7.63 24.50 32.13 1.96 10.20 ND1 10.33 91.45 100 6.5E-08 Ave
0.41 0.50 0.74 0.00 0.00 1.61 2.74 0.00 1.1E-07 Stdev

Fortunately in dam site especially near the axis of
dams in foundation alluvium there is large amount of
fine sand that can be used with small washing.
In design and construction phase of dams many
dispersion test as pinhole, double hydrometer and
chemical was conducted.
Chemical test in 20 sample showed that NA

66.3%, TDS
189.8 meq/lit, ESP
0.992 SAR

25.8. So according to dispersion potential graph the
material are Dispersive.
On the other hand, double hydrometer tests in 40
sample showed that 75% of samples aren’t dispersive,
25% medium dispersive.
The result of pinhole and chemical tests weren’t
compatible. So preliminary filter test according to
USBR 5630-90 was conducted .Filter has D15

0.12–0.25 mm and D85
13.5 mm, Dmax

0.15–0.5 mm with natural sands.
Results on compacted samples with some holes
showed that effluent was slightly clear, some holes
collapsed and some with small change. Flow rate in
little tests became constant.
Operation of filter wasn’t definite again. So it was
decided to do Nef test. Results of 40 Nef tests showed
that operation of filter is successful in CL-ML mate-
rial but isn’t good in CL material.

591
 These results make it necessary to mix material thor-
oughly in borrow area so erosion of core material will
not critical.
5.2 Construction control
Fct test in these materials in 15 cm, 20 cm layer thick-
ness with 4, 6, 8, 10 passes by 10 ton vibrating pad foot
roller conducted.
Reduction of water content to optimum caused pow-
dering of soil and the surface will dry while rolling
because of hot climate.
Result regard to surveying levelling and compaction
test has showed that 8 passes with water content
about 2% wopt according to standard proctor com-
paction in 20 cm layer thickness is the best form of
compaction. The 10 ton pad food rollers capability isn’t
as well as rubber tyred roller and it isn’t possible to use
smaller percent of water.
6 CONCLUSIONS
Low to non plastic material in core of earth dam should
be used with caution. They have many problems about
592
erosion and construction. Providing success filter and
controlling of water content just at optimum will be dif-
ficult so it will anticipate internal erosion & high pore
pressure after construction.
In Shamil & Nian dams regarding to Non erosion fil-
ter test (Nef ) thoroughly mixing of borrow area mate-
rial and controlling of water content without adding
bentonite would be enough to have a safe core.
REFERENCES
Fell Robin & Mac Gregor Patrick 1992, Geotechnical Engi-
neering of Embankment Dams, A. Balkema/Roterdam.
Nostrand Van & Reinhold. 1988 , Advanced Dam engineer-
ing.New York.
Singh Bhart & Varshney R.S. 1995, Engineering for Emba-
nkment dams, A.A.Balkema.New Dehli.
Sharma H.D. 1991, Embankment Dams, Oxford & Ibh Pub
New Dehli.
Sherard J.L. 1984, Trends and debatable aspects in embank-
ment dam engineering , Water Power & Dam Construction.
Terzaghi Karl & Peck Ralph B. 1996, Soil Mechanics In
Engineering Practice, John Wiley & sons, Inc.
Villegas Fabio & Mejia Oscar 1976, Experience on Earth
dams Built of silt in Colombia, Icold Congress, Mexico.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Phased construction of the Barragem de Cerro do Lobo

M. Oliveira Toscano
Somincor S. A, Castro Verde, Portugal

M. Cambridge
Cantab Consulting Ltd, Ashford, Kent, UK

ABSTRACT: The SOMINCOR S.A Neves Corvo mining complex is located near Castro Verde in southern
Portugal. The mine commenced operation in 1988, processing copper and tin ores, the storage capacity for the
resulting residues (tailings) and process water supply being provided by the phase-constructed Barragem de Cerro
do Lobo. The first-phase embankment comprised a complex zoned rockfill dam, designed initially with an inclined
clay facing modified to a vertical impervious core during construction. The tailings generated by the process are
sulphidic and oxidise rapidly, generating low pH water if not managed appropriately. The tailings have therefore
been deposited sub-aqueously to prevent oxidation and prevent acidification. Though the facility includes an emer-
gency spillway, this is designed to operate only in extreme floods for environmental permitting reasons. There is
an emergency drawdown mechanism to comply with Portuguese reservoir legislation.The first phase of construc-
tion, completed in October 1988, included the principal 850 m long, 28 m high clay-cored embankment and two
left bank saddle dams impounding some 6  106 m3. During the second and third construction phases in 1990 and
1993, the dam was raised in 4 m increments, the impervious zone being replaced with an inclined HDPE geomem-
brane. The storage capacity increased to 15.5  106 m3 and the inundation area to 1.5 km2 over this period. The
fourth phase of construction was completed in 2005, raising the dam a further 3 m and increasing the storage
capacity to more than 20  106 m3 and the inundated area to 1.8 km2. The facility now includes four linked
embankments with a maximum height of 42 m and a total crest length of 3327 m.This paper presents the history
of this phase-constructed embankment and describes the development of the zoning system to meet the constraints
of environmental compliance, availability of construction materials and mine tailings storage requirements.

1 INTRODUCTION 20.4 Mm3, a total crest length of 3327 m and a maxi-

mum height of 42 m, and was constructed in stages
The Neves Corvo Mine is located in the southern part between 1987 and 2005.
of Portugal on the south-western limit of the Iberian
pyrite belt. The mine, which is a high-grade copper
operation, was discovered in 1977 and developed from
1985 onwards by Somincor S.A., a joint venture
between Rio Tinto and the Portuguese State Mining
Company, Real & Franco (1990). The mine is located
some 10 km south of Castro Verde in the Alentejo
region of Portugal between the villages of Neves and
Corvo, Figure 1. The mine complex includes under-
ground operations, twin process plants and, some 5 km
to the east of the mine facilities, a tailings management
facility, the Barragem de Cerro do Lobo. The tailings
management facility comprises a principal embank-
ment dam across a tributary of the Oerias River, together
with three saddle dams and appurtenant works for the
disposal of the process waste and the control of process
and flood-waters. The Barragem de Cerro do Lobo
embankment dam has a storage capacity of in excess of Figure 1. Project location plan.

593
 This paper presents a synoptic review of the phased
construction of this embankment and the alterations
to the embankment cross-section which developed over
the eighteen-year construction period to meet permit-
ting requirements and to suit storage criteria, environ-
mental considerations and construction materials’
availability.
2 BACKGROUND
The Neves Corvo Mine exploits three complex poly-
metallic ore bodies at a depth of some 700 m below the
surface. Production from the mine was initially 1.Mt/yr,
but has risen since inception to 2.3 Mt/yr in recent years
and is targeted to increase to more than 2.5 Mt/yr in
future. The ore body comprises principally chalcopyr-
ite with secondary cupriferous minerals, and is crushed
underground prior to hauling to surface via the main
shaft. The ore is subsequently reduced to 20 microns
in the process plant in crushing and grinding circuits.
Copper and tin (a by-product from one of the ore
bodies) metal is liberated through a combination of
flotation and gravity methods to produce high-grade
concentrates. Some 95% of the mine throughput is
produced as process waste (tailings), a fine sandy silt
waste (100 microns) which comprises silicates and
in excess of 85% pyritic minerals. The tailings have a
specific gravity of 4.1, and are pumped from the
process plant site to the depository in the Cerro do Lobo
basin as a slurry at a pulp density averaging 20% and
a pH of 10, Cambridge & Coulton (1990).
In order to store the anticipated volume of tailings
to be produced throughout mine life, a facility was
required which could be developed in stages and which
would ultimately retain some 20 Mm3 of the mine
waste product. Initial cost benefit analyses indicated
that a staged approach to the construction of this facil-
ity would be most appropriate, and it was initially
designed to be constructed in two stages with an ultim-
ate crest elevation of 253 mOD but with the potential
for a further raise to 255 mOD as mine production
demanded (Table 1).
The initial design was undertaken under an EPCM
contract by a combination of Portuguese, British and
American companies. Initial permitting required the
embankment to be constructed in accordance with
Table 1. Construction phases.
Construction Construction
phase Crest level mOD period
Phase 1 244.00 1987–88
Phase 2 248.00 1990
Phase 3 252.00 1992–93
Phase 4 255.00 2003–05
594
Portuguese reservoir legislation, there being no spe-
cific national mine tailings regulations at the time. As
the mineralogy of the tailings included principally
pyritic minerals, there were concerns that oxidation of
the waste product might lead to rapid and untoward
acidification of the deposit and of the reservoir water,
with potential negative environmental consequences.
Permitting therefore required the facility to be designed
in accordance with the Canadian model and to store
tailings sub-aqueously, thus preventing oxidation of
the pyritic waste and, in addition, reducing the possi-
bility of wind erosion. The facility was also to be
designed in accordance with national reservoir legis-
lation which, in addition to requiring approval from
the National Reservoir and Water Authorities (LNEC
and INAG) also required that the facility be con-
structed with an emergency drawdown facility.
The principal confining embankment proposed for
the tailings storage facility was to impound the Lajes
Stream, a tributary of the Oeiras River and ultimately
of the Guadiana River. The geological setting for
the embankments is characterised by Palaeozoic-
metamorphic rock formations, the main outcrops in
the embankment foundations and throughout the stor-
age basin being greywackes and shales of the Flysch
Group. These outcrops exhibit thinly-to-thickly foli-
ated deposits which trend at shallow angle towards
the northeast. The deposits are faulted and fractured
throughout the area, but initial hydrogeological inves-
tigations indicated the storage basin to have a rela-
tively low permeability and thus be suitable for the
storage of the pyritic wastes arising from copper pro-
duction on the site.
Figure 2. General plan of Barragem de Cerro do Lobo
Legend.
CP – Main Embankment (Corpo Principal)
PCP – Principal Embankment Saddle Dam
ME1 – Left Bank Saddle Dam No. 1
ME2 – Left Bank Saddle Dam No. 2
MD – Right Bank Saddle Dam
3 DESIGN AND CONSTRUCTION
3.1 Phase 1
Phase 1 involved the construction of the main embank-
ment dam, together with two left bank saddle dams
(ME1 and ME2), to impound a storage volume of
some 6 Mm3. The initial embankment was to be 28 m
high with a crest length of 850 m and to comprise a
rockfill dam with an inclined upstream sloping clay
core. Due to the concerns, not only of achieving com-
pliance with Portuguese legislation, but also the Owner’s
intention of complying with international best prac-
tice for tailings disposal, Somincor appointed experts
to review the engineering and environmental aspects
of the tailings management facility.
A review of the design was undertaken with particu-
lar respect to the proposed embankment cross-section
and the geotechnical characteristics and availability of
suitable clays. Arising from the principal concerns
regarding the very low plasticity of the local clay, the
limited availability and high cost, the embankment
cross-section was re-designed. To overcome both geo-
technical and cost concerns the sloping clay zone was
replaced by a narrow central core, thus reducing the
volumes of clay required and improving the stability of
the embankment, Cambridge & Maranha de Neves
(1991). The revised section, Figure 3, included the cen-
tral core, downstream filter protection and embank-
ment shoulders constructed from selected mine waste
rockfill with an upstream slope of 1:1.8 and a down-
stream slope of 1:1.7. Given the generally competent
nature of the foundations, preparation works were
limited to slush-grouting of the core trench with removal
of surficial deposits beneath the shoulder zones. The
core zone was protected by a chimney drain on the
downstream side which connected into a lateral filter
drain, in turn feeding into a central drainage blanket. To
ensure that any acidic or contaminated waters were not
discharged into the surrounding area, all seepage from
the facility was to be collected via the blanket drains
and fed into seepage sumps located at low spots
throughout the periphery. These sumps were fitted with
float valve controlled pumps in order to return all seep-
ages back into the main reservoir.
In addition to storing tailings from the process plant,
the BCL facility was also the principal water storage
facility for the process plant, and from start-up was
the principal driver for future embankment raises. For
environmental reasons the facility was to operate on a
zero release basis and hence all discharges needed to
be recycled, the only outlets being the emergency draw-
down system and the overflow spillway constructed in
the location of the future saddle dam MD. The emer-
gency drawdown facility comprised a bottom outlet
for regulatory purposes only. This structure consisted
of a reinforced concrete conduit with inlets into the
595
Figure 3. Phase 1 embankment cross-section.
upper surface. The outlet structure was constructed on
the right abutment of the main embankment dam at the
toe of the upstream face. In order to prevent tailings
being discharged from the facility, concrete plugs were
to be installed progressively into the inlets as depos-
ition levels rose. The emergency overflow facility was
located on the centre line of the future right bank sad-
dle dam MD and included an overflow weir designed to
accommodate a 500-year return period event.
Construction of the Phase 1 facility commenced in
1987 and was substantially completed in 1988 in time
to receive initial tailings from the process plant at
start-up. Instrumentation was installed in the facility
to record pore pressures in the embankment and foun-
dations, seepage volumes, embankment settlement
data and environmental performance. In addition to
the statutory inspections undertaken by LNEC and
the designer, Somincor instigated annual audits by the
expert reviewer. These inspections and the monitoring
data have been instrumental in the construction of
subsequent phases and in the operation of the facility.
3.2 Phase 2
Initial tailings were deposited into the management
facility in October 1988, being pumped via a 5 km
long 500 mm diameter HDPE pipe into a similar mani-
fold system laid on the crests of the main embankment
and saddle dams. A series of valved offtakes from the
manifold connected to floating HDPE fingers enabled
tailings to be distributed throughout the basin, thus
minimising dead-storage areas. The operating require-
ment was to maintain a minimum of 1 metre of water
above all deposited tailings surfaces and thus prevent
oxidation. During the very wet two-year initial depos-
ition period, the difficulty of maintaining even distrib-
ution of tailings across the depository and preventing
islands from forming required the storage of signifi-
cant volumes of process water and resulted in the reser-
voir level within the BCL rising faster than predicted.
As a result of this untoward rapid rise in reservoir level,
the embankment design strategy was modified to suit
the anticipated water storage requirements and, in par-
ticular, to prevent any possibility of there being an
untoward discharge over the emergency spillway. The
modified construction programme led to the number of
proposed phases being increased to three, with a further
stage planned for implementation as future mine pro-
duction determined.
The Phase 2 construction was thus brought forward
to 1990 and involved raising the crest level by 4 m by
extending the embankment in the downstream direc-
tion. This involved not only extending the existing
embankment and saddle dams but also constructing an
additional saddle, MD, on the right bank. The initial
design method proposed for this raise was to utilise the
local clay to extend the existing Phase 1 central low-
permeability core by the construction of an upstream
inclined zone. After expert review, it was agreed that
the characteristics of the clay did not meet the geotech-
nical design requirements for a steeply inclined core,
and it was recommended that the designer replace the
clay with an HDPE liner, Cambridge & Dale (1993).
The modified design section included the installation
of an HDPE membrane to raise the core zone, as well
as the downstream extension of both the embankment
toe using selected mine waste rockfill and the seepage
control system.
The geomembrane selected was a double-roughened
HDPE to be laid on a filter blanket connected into the
main chimney drain as protection against any unto- Figure 4. Details of geomembrane anchorage.
ward leakage. In addition, extensive laboratory test-
work was undertaken to address the potential for
upstream shear failure along the sand geomembrane
interface, Cambridge & Maranha de Neves (1991).
The installation of the geomembrane liner through-
out the periphery also required the development of
two key design details, namely the intersection with
the core and that with the foundations on the abutments
where the embankment was to be extended laterally.
The former involved the design of a key trench into Figure 5. Phase 2 embankment cross-section.
the upper surface of the clay core and a sand/bentonite
seal to prevent any possibility of seepage around the
joint between the geomembrane and the clay core.
3.3 Phase 3
The latter required the design of a concrete founda-
tion plinth to act as an anchor for the geomembrane Over the next three years of operation, a number of
throughout the flanks of the embankment, together studies were undertaken to ensure that the Company
with a further sand/bentonite seal to prevent seepages had a better understanding of both process water supply
through the concrete/greywacke foundation zone on and usage, and of tailings deposition. Water balance
the extreme perimeter of the facility, Figure 4. modelling was advanced to allow better prediction of
During this construction period the opportunity demand and storage, with the result that overall fresh
was taken to relocate the overflow spillway away from water requirement was reduced by increasing the
the embankment and to upgrade the hydraulic capacity recycle volumes. This resulted in the demand for stor-
to meet international standards for embankment flood age being more reliant on the tailings management
design. The new emergency spillway was designed to facility at a time when mine throughput was increas-
discharge extreme floods only into a side tributary of ing and Alentejo was experiencing unusually wet
the Oeiras River near to Monte Branco at the upstream weather. These factors put further pressure on reser-
end of the catchment. The overflow structure com- voir and hence embankment crest level.
prised a concrete weir designed to pass the probable The Phase 3 lift was again undertaken ahead of
maximum flood in safety. schedule and involved a further 4 m raise, with an
The Phase 2 construction works were commenced additional extension of the embankment in a down-
in 1990 under the management of the same EPCM stream direction using similar construction techniques
team as for Phase 1. The embankment raise was sub- to those employed for Phase 2. The increased crest
stantially completed in the same year. elevation also necessitated extension of the saddle

596
dams and the modification of the emergency over-
flow spillway to raise the maximum reservoir level.
In addition, the location, design and effectiveness of
the emergency drawdown facility was reviewed. Its
location, adjacent to principal tailings deposition fin-
gers and determined by regulatory rather than engin-
eering considerations, had led to rapid inundation of
the conduit. The encroaching deposition levels had
necessitated the sealing of all vertical inlet points to
prevent tailings being ingested into the body of the
structure. The presence of sulphidic tailings within this
concrete outlet structure led to concerns that, under the
aerobic conditions prevailing in the conduit, acidifica-
tion would cause deterioration of the structure, increas-
ing the potential for leakage and thus posing a risk to
embankment stability. Despite the presence of the mine
return pumps, which under an extreme event would
have had sufficient capacity to drawdown the reservoir
in an emergency, the Regulators’ interpretation of
Portuguese legislation was that an independent outlet
was a statutory requirement. An alternative structure
was therefore incorporated into the works and com-
prised a siphon overflow system located on the right
abutment of the main embankment. This siphon was
constructed as part of the Phase 3 works and commis-
sioned in 1994. The existing buried conduit was even-
tually grouted up in 1999 to ensure that there were no
leakage paths through the structure and that no deteri-
oration of the concrete could arise in the future from
acid attack.
In addition, the water balance model had indicated
the significant benefit to reservoir level variations of
reducing runoff. To achieve this, five 5 m to 6 m high
embankment dams were constructed on the southern
periphery to divert catchment runoff around the facil-
ity. These small embankment dams were interlinked
by a deep channel which carried excess water through
each of the reservoirs via the emergency overflow spill-
way outlet into the adjacent catchment, thus bypass-
ing the tailings reservoir. These embankment dams
reduced the effective catchment area from 4.1 km2 to
1.95 km2.
Embankment construction commenced in 1993
using a local contractor, J. Dias, managed by Somincor
and supervised by Kaiser. The works, including the
diversion dams, were completed in 1994.
During the subsequent period, extensive monitor-
ing of embankment performance was undertaken with
particular respect to deposited tailings density, the
piezometric data and to seepage volumes and quality,
Oliveira Toscano & Fonseca Almeida (2004). The
annual expert audits offered the opportunity to assess
geotechnical and geochemical performance, and high-
lighted the increasing occurrence of acidic runoff
from the embankment faces and the modest but unto-
ward increase in localised piezometric levels within
the downstream shoulders. Prior to undertaking the
597
Figure 6. Phase 3 embankment cross-section
final construction phase (Phase 4), therefore, a num-
ber of studies were instigated to address the acid-
generation capacity of the existing rockfill and the
options for implementing permanent geochemical and
geotechnical stabilisation of the downstream face. The
seepage data in particular highlighted two phenom-
ena. The first showed the direct relationship between
seepage pH and rainfall, indicating the existence of
seasonal acidification of sections of the downstream
embankment faces. The second confirmed the antici-
pated reduction in overall seepage flows from the
facility as the tailings deposition created an effective
low permeability zone throughout the storage basin.
3.4 Phase 4
During the previous operational period, seepage flows
from the embankment had shown a significant degree
of acidity and further, despite the intention to select
clean waste rock for the downstream face, there was
significant evidence of oxidation of the embankment
surface. The rock selection for the previous embank-
ment phases had resulted in unidentified zones con-
taining modest yet destructive quantities of sulphides.
The resulting seasonal acidification cycle not only led
to a reduction in the pH of the seepage but also affected
the geotechnical characteristics of the structural zone
of the embankment. The oxidation of the sulphidic
materials led to a breakdown of rock particles, result-
ing in increasing fineness of the fill and reduced shear
strength and permeability. This increasing fineness led
not only to a small rise in piezometric levels in the
embankment shoulder but also to reduced erosion
resistance under normal weather conditions. Localised
slumping and gullying were noted, increasing the cost
of embankment maintenance. Though not an apparent
stability concern, the impact was to increase mainte-
nance costs, and with time would have led to a signif-
icant change in the characteristics of the embankment
facing. The result of the oxidation on the mine waste
rock, the reduction in grain size and lower permeabil-
ity led to poor drainage conditions within the down-
stream zone.
The review of the options for preventing long-term
acidification of the fill led to the modified cross-section
shown in Figure 6. This section shows the modified

Figure 7. Phase 4 embankment cross-section.
material arrangements designed to minimise percola-
tion through the downstream face by utilising coarser
clean competent rock fill derived from a nearby quarry.
This fill was proven to be acid- and weather-resistant,
and would thus create a stable long-term facing for
the embankment. The sizing was also selected to
ensure that percolation fronts would not develop, thus
inhibiting oxidation of the previous construction sur-
face. In addition, the seepage control system was
upgraded where appropriate to reduce the likelihood
that the existing fill would be subject to fluctuating
piezometric levels, thus inhibiting the seasonal acid-
ification cycles and reducing the influence of any future
oxidation rates on embankment stability. Moreover,
the modified control system ensured that all seepages
could be effectively monitored and returned into the
reservoir and would not discharge into the environment.
The most recent construction phase has therefore
involved the raising of the crest to the ultimate per-
mitted level of 255 mOD, giving a maximum embank-
ment height of 42 m and a peripheral length of 3327 km.
The reservoir at top level contains some 20.4 Mm3 of
storage and has a surface area of some 1.8 km2. The
proposed embankment raise entailed extending the
HDPE membrane throughout and raising the down-
stream face using imported clean waste rock. The
resulting cross-section, Figure 7, shows the change in
construction materials between Phases 3 and 4 and
the modification of both toe drainage and seepage
control systems.
During this phase of embankment raise it was also
necessary to modify the emergency overflow struc-
ture and to relocate the siphon drawdown facility. The
final emergency overflow spillway is now located at
the extremity of saddle dam ME2 adjacent to the final
diversion dam, Monte Branco. The location of this
diversion embankment dam required a modified cross-
section as, due to its location downstream of the
diversion channel and overflow spillway, it could be
inundated on both upstream and downstream faces.
The modified cross-section, Figure 8, shows installa-
tion of a geomembrane on both upstream and down-
stream faces connected into the existing core zone
and to the foundation plinth respectively. Seepage
control in this location is via a deep sump located on
the centre line of the embankment which prevents any
598
Figure 8. Monte Branco embankment cross-section.
Table 2. Summary of Construction Phases.
Phase 1 Initial Construction Phase
Construction of:
clay cored rockfill embankment
two saddle dams
buried culvert bottom outlet structure
overflow spillway adjacent to MD
seepage collection system
instrumentation
Phase 2
Construction of:
downstream embankment extension/crest raise
HDPE installation above clay core
right bank saddle dam
relocated and up-rated overflow spillway
modification of seepage collection system
instrumentation
Phase 3
Construction of:
downstream embankment extension/crest raise
HDPE extension
replacement of emergency drawdown facility/siphon
grouting up of Phase 1 emergency drawdown facility
five runoff diversion dams
instrumentation
Phase 4 Final Construction Phase
Construction of:
downstream embankment extension/crest raise
HDPE extension
modification to material zoning in downstream face
modification to internal seepage control system
installation of new seepage return sumps
relocation of overflow spillway
replacement of siphon
final instrumentation phase
potentially contaminated seepage from being dis-
charged into the diversion system.
The final construction phase was undertaken under
the management of Somincor by a local contractor,
J. Dias, with site supervision by Cenorgeo, Oliveira
Toscano, Romeiro & Almeida (2006).
4 SUMMARY
The final phase of construction works on the Barragem
de Cerro do Lobo tailings disposal facility was
completed late in 2005. The resulting depository has
sufficient capacity for the storage of tailings from the
current orebody and is in compliance with international
standards for stability, flood control and environmen-
tal performance. The various phases of construction
and the structural modifications undertaken are pre-
sented in summary form in Table 2.
Throughout the last 18 years, the Barragem de
Cerro do Lobo has been inspected and monitored not
only for operational reasons but also to ensure that the
facility performs in accordance with its design cri-
teria. The external expert and regulatory inspections,
working in tandem with the internal monitoring sys-
tems, have ensured that all untoward signs have been
identified and corrected either immediately or through
subsequent construction phases. Throughout this per-
iod the facility has continued to receive tailings from
the production plant and to provide a continuous sup-
ply of process water. Over the same period, the mine
as a whole has reduced freshwater demand from the
Santa Clara Reservoir by some 20%, a significant
achievement in both a corporate and a national con-
text, particularly during the recent drought periods in
southern Portugal. This tailings management facility,
with all its modifications, has performed to its design
criteria and can now be considered to meet the stan-
dards demanded internationally for both water dams
and mine waste storage facilities.
5 CONCLUSIONS
The Barragem de Cerro do Lobo has been designed to
meet the tailings storage requirements emanating from
copper production at the Neves Corvo Mine. The
embankment and its appurtenant works have been
constructed over an 18-year period to meet the demands
of tailings storage and process water requirements as
well as of legislative and environmental standards.
During this period the successful operation of this facil-
ity and the various design modifications implemented
have highlighted the principal differences between
the construction of water retaining dams and those
designed to store tailings and process water for min-
ing projects. These differences are, in particular, high-
lighted by the requirement for the initial design to be
prepared to allow for future variations in tailings prop-
erties, process water demand and project economics,
in addition to being required to meet the international
standards for design, construction and environmental
compliance throughout its life. Staged construction
provides flexibility to the mine operator in terms of
enabling ongoing review of design and construction
to meet the demands of the project. Unfortunately the
financial model for a mine development project, i.e.
front-end loading of costs, can lead to pressure on both
designer and constructor to make economies in the
599
early stages of a project. Expert review can benefit
projects by dispassionate overview of engineering
and environmental detail and criteria, leading in the
long run to cost savings both during operation and at
closure. During the construction of the Barragem de
Cerro do Lobo, the lack of appropriate Portuguese
legislation aimed at tailings disposal rather than water
storage projects hampered the design and increased
construction costs. This key legislative omission has
now been in part addressed by the recent EU Directive
on the management of wastes from the extractive
industries. The Neves Corvo project emphasises the
need for separate reservoir and mine waste disposal
legislation. Appropriate regulations ensure that inter-
national standards for design and construction of dams
are met whilst recognising the fundamental differ-
ences in the operation and function of water retaining
and tailings confining embankments.
The Barragem de Cerro do Lobo has met design cri-
teria and satisfies the storage requirements arising from
the processing of the existing ore bodies at Neves
Corvo. However, as for most mineral operations, the
existing orebody will be depleted and new mineral
deposits be identified. The future of this tailings man-
agement facility, should such new deposits prove eco-
nomical to extract, may involve a further raise, more
innovative thinking in design and construction and add-
itional modifications to the embankment cross-section.
ACKNOWLEDGEMENTS
The authors wish to thank SOMINCOR for their per-
mission to publish this paper.
REFERENCES
Real, F. & Franco, A. 1990. Tailings Disposal at Neves
Corvo Mine, Portugal. Acid Mine Water in Pyritic
Environments, Lisboa 90.
Cambridge, M. & Coulton, R. H. 1990. Geotechnical
Aspects of the Construction of Tailings Dams – Two
European Studies. The Embankment Dam. Proceedings
of the 6th Conference of the British Dam Society.
Cambridge M. & Maranha de Neves E. 1991. Textured
Geomembrane for the Staged Raising of the Cerro do Lobo
Dam. Water Power and Dam Construction, June 1991.
Cambridge, M. & Dale, S. G. 1993. The use of liners for the
containment and control of pollution – A review. Pro-
ceedings of the Conference on Geotechnical Management
of Waste and Contamination. Balkema.
Oliveira Toscano, M. & Fonseca Almeida, L. 2004. Análise dos
Resultados da Observação da Barragem do Cerro do Lobo.
IX Congresso Nacional de Geotecnia, Aveiro, Portugal.
Oliveira Toscano, M., Romeiro, M. & Almeida, N. 2006.
Alteamento da Barragem de Rejeitados do Cerro do Lobo.
X Congresso Nacional de Geotecnia, Lisboa, Portugal.
 ts
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Lessons learnt from karst hydro-geological and geological

investigations at Baraftab dam site (Southern Iran)

M. Shirouyeh, M. Giahi & M.T. Goudarzi

Lar Consulting Engineers Co. Tehran, Iran

ABSTRACT: Karst hydro-geology and geological investigations carried out for Baraftab dam site in southern
Iran reveals important points which can influence design criteria of the dam. The study shows that for an appro-
priate evaluation of hydro-metery data for design purposes, the location of hydro-metery stations are to be
determined with a team consisting not only of a hydrologist, but also an engineering geologist and karst-hydro
geologist. In the case of the Baraftab dam site, the existing hydro-metery data are quite miss-leading, and result
in an extremely over-estimation of the water resources, within a factor of 4. In the paper, it is concluded that for
karst-hydrogeological studies around dam sites, the study area should be extended to areas much larger than the
dam, reservoir, down-stream and the surrounding areas, and should include also the catchments area.
Additionally, in areas where active salt domes are present near the surface, such as around the considered site,
even-if the ground water is in a normal condition, solutions for water-tightness should be obtained by methods
other than grout curtain, such as use of geo-membrane and impervious blanket. Multi-purpose geotechnical and
geophysical investigations not only near dam location, but also all around the reservoir is an absolute necessity.

1 INTRODUCTION mentioned zones is defined in view of tectonics and

For the purpose of flood control, and water supply for
irrigation of 2313 hectares of Tarom and Ganj plains,
Baraftab dam has been selected on the Ganj River. It is
located at about 40 kilometers SW, of Hadji-abad city
of Hormozgan province. The Baraftab earth fill dam is
70 m high from river bed with crest length of 255
meters. Its reservoir volume at NWL is 87 MCM. Due
to complicated geology, structure, karst-hydrogeology,
faulting and salt tectonics, and also the influence of
mentioned parameters to design and water tightening
of dam project, it was necessary to perform detail
investigations around the dam and reservoir area. The
current design of the dam as well as water tightening
of the reservoir is based on such detailed investigation.
2 GEOLOGICAL AND STRUCTURAL
CONDITIONS
Based on the structural and lithostratigraphic subdivi-
sion of Iran the watershed of the Baraftab dam is located
in Sanandaj-Sirjan zone (to the north) and High Zagros
zone (to the south). The border line between these
two structural elements is Main Zagros Thrust fault
(Daragah thrust fault). The differences between the
lithostratigraphy. The Sanandaj-Sirjan zone mainly
consists of metamorphic and igneous rocks which are
complex and disturbed, where as the high Zagros con-
sists of regular sequences of sedimentary rocks that
are locally disturbed by intrusion of salt plugs.
The ZagrosMain Thrust Fault, the most important
structural element of the area, is in fact a geo suture
forming the border line between the Zagross and
Central Iran structural units. Major fault contributes to
the geological and structural evolution of both sides
of it. It is believed that ZMTF and associated crush
zones show the location of continental collision between
Arabian and Central Iran plates. In the study area, a few
salt plugs outcrop along the ZMTF.
Other important faults of the area that run parallel
to the ZMTF with a NW-SE trend include several seg-
ments: Waneman fault 1 to 3 and also Baraftab seg-
ment that crosses the dam axis at right abutment. Based
on the studies carried out, it seems that trend and form
of the near by anticline (Tavali mountain) forming the
left abutment of the dam, has been affected due to the
intrusion of local salt plugs that are outcropping along
the Vaneman 2 thrust fault. Curvature of the salt dome
is similar to the curvature of the Tavali anticline.
Deformation of Tavali mountain maybe due to either
the formation of a presumed salt plug underneath, or

601
due to the combined effect and interaction of mentioned
salt plug, the Waneman faults 1 to 3 and Baraftab fault.
Also Baraftab thrust fault beneath dam axis at right
bank, caused the thrusting of right bank conglomerate
over the alluvial deposits and towards the left bank. The
Baraftab fault is an active fault. Considering the tec-
tonic setting and seismic activity as well as salt tecton-
ics, type of the dam was selected to be earthfill.
3 HYROGEOLOGY CONDITIONS
Ganj River with a watershed area of 3400 km2 collects
water from seasonal Gazo torrent and permanent Fakhr-
Abad River. Considering the lithology of northern
part of the watershed area in Sanandaj-Sirjan zone,
consisting of metamorphic, volcanic rocks and fylsch
deposits, their hydraulic conductivity is very low and
are aquiclude. Therefore, main discharge and floods are
formed in this portion of the watershed. Ganj river, after
passing the Daragah hydrometer station, enters the
southern portion of the watershed (Zagros zone), that
along the main Zagros thrust fault and seasonal Khaneh
Varz river from west, joins the Daragah river. As a result
of the structure and litho logical situation of southern
portion of the watershed that mainly consists of karsti-
fied limestones (Asmari-Jahrom Formation), and due
to influence of local faults and salt plugs, the mentioned
limestone units are well jointed and springs with high
discharge are developed in a way that main discharge of
Ganj river along the anticlinal axis and Vaneman faults
1 and 2, down stream of Daragah hydrometer station, is
conveyed out of the watershed, and all the Tezerj springs
are fed by Ganj river. The base flow of the river at
Daragah hydrometer station, which is 300
1200 lit/s,
was one of the basic data used for evaluation of water
resources and dam height. However due to the unsuit-
able location of the hydrometer station, such data could
not be used for the estimation of the river base flow.
An interesting hydrogeological observation is that the
river lost along the river channel, upstream of the dam
axis. Extensive outcrops of karstic limestone in the
southern portion of the watershed, dam site and reser-
voir area, existence of many springs at up stream of
the reservoir, and loss of water along the river channel
in the vicinity of the site and reservoir area, indicates
complex hydro geological condition of this portion of
the watershed. For detailed investigation of hydro geo-
logical situation, discharge of river and Tezerj springs
(Fig. 1, Appendix 1) was measured along nine sections
at three successive days from the hydrometer station to
down stream of the dam axis. Water samples have also
been taken for chemical analysis. The results are given
in the Tables NO. 1 and 2.

Table 1. Result of river sections measurements.

Debi(lit/s) Debi(lit/s) Debi(lit/s)

Number of Environment Water
River section Location 29/9/98 30/9/98 1/10/98 Temp. Temp.

1 Dehstan 227 211 222 33 28–29

2 Dehstan 19 16 15 32 28–29
3 Dehstan 257 235 217 31–32 28–29
4 Dehstan 169 163 155 32–34 29
5 Dehstan Dry Dry Dry – –
6 Dehstan Dry Dry Dry – –
7 Dehstan Dry Dry Dry – –
8 Dam axis 15 15 15 36–37 26–27
9 Down stream 64 68 65 36 26–27

Table 2. Result of Tezerj springs measurements.

Debi(lit/s) Debi(lit/s) Debi(lit/s)

Environment Water
Spring Location 29/9/98 30/9/98 1/10/98 Temp. Temp.

Tezerj Tezerj 42 42 43 30–34 28–29

Soleimani Tezerj 90 90 94 30–34 28–29
Hoghati Tezerj 33 33 33 30–34 28–29
Damadi Tezerj 73 66 84 30–34 28–29

602
 Based on the river discharge measurement results,
in section 1, the discharge changes from 211 to 227 lit/s.
In section 3, due to addition of discharge of seasonal
Khaneh Varz River to Daragah (Ganj) river, discharge
varies between 217 to 257 lit/s. In section 4, water loss
from 62 to 88 lit/s has been recorded. In section 5 to 7,
the river is totally dry. In section 8, discharge of 15 lit/s
has been measured, which seems to be discharge of
river at the dam axis from intermediate catchment’s
between Tezerj to dam axis. Total measured discharges
of the Tezerj springs were almost equal to river dis-
charge at the section 1 (Table No. 2). In view point of
elevations, elevation of Tezerj springs vary between
960 to 1000 from average sea level, and that of the
river at section 1 and section 4 (where loss of water
reported), varies between 1080 to1100 from average
sea level .On the other hand, chemical quality of water
in the vicinity of the site is different and more suitable
with respect to up stream sections. Also sum of anions
and cations in the dam site is much less than that of the
up stream section (Figs. 2 and 3, Appendix1). Chemical
quality of water at Tezerj springs has a little difference
with that of the river. In addition, the amount of
Cl
and Na in the springs are lower and that of
So4
2 and Ca2 are higher with respect to the river.
These differences could be assigned to ion exchange
of water with hot springs and gypsiferous materials
along the flow path. Also down stream of the springs,
outcrops of travertine deposits are visible. Considering
above mentioned observations, it is evident that the
Baraftab dam and reservoir does not lie completely at
the Ganj river watershed and other factors affect water
discharge at dam location. Therefore Using of Daragah
hydrometer station readings, for the estimation of
base flow and annual river discharge and height of the
dam, would result in remarkable misevaluations. Con-
sequently, in such a complex geological and hydro geo-
logical conditions, a team of high ranking expert of
hydrology, engineering geology and karst hydrogeol-
ogy, for the selection of hydrometer station is an
absolute necessity to obtain reliable basic data.
Therefore in karst hydro geological studies, first of all
one should investigate not only the dam axis and down
stream, but also the watershed and reservoir area.
4 EXPLORATION STUDIES
To define the sub-surface conditions of the formations
at the reservoir area, and recognition of impervious
layers and also for identification of probable structural
disturbances, site investigations were conducted, includ-
ing: geological mapping, boring with permeability tests,
laboratory tests and geophysical studies. Based on the
exploration data, the water tightness of the reservoir
was ensured, since the reservoir includes impervious
marl laid over permeable limestone of Asmari-Jahrom
603
Formation. The main problem with the water tightness
of the Baraftab dam is on the geological complexities of
the left abutment. Here, the reservoir is in contact with
limestone layers in a higher extent. The hydro-isopies
map of this section shows that the ground water flow is
towards the left abutment .In addition, as it was men-
tioned previously, the morphology of the Tavali anti-
cline, which makes the left bank, is affected by local
tectonics as well as salt tectonics. Therefore, such com-
plexities are to be considered in the water tightness plan
of the dam and reservoir. In the proposed final plan, all
these complexities were taken in to consideration to
reach a reliable solution. The solution we obtained is to
use geomembrain or a combination of shotcrete and
clay blanket at the left bank up to the normal water level
with a length of 1500 meters and a cutoff wall beneath
the river channel. In this way, possible surface damages
to such covers would be identified and treated, more
easily, with respect to deep curtain grouting.
5 CONCLUSIONS
Considering the complex geological conditions of
Baraftab dam project, following conclusion can be
drawn:
1. Location of hydrometer stations in the karstic areas
should be determined by a team consisting of hydrol-
ogist, engineering geology and karst-hydrogeologist.
2. In karst-hydro geological studies, the area to be
investigated should include, watershed area, reser-
voir, dam axis and down stream.
3. In areas with complex structural geology and salt
tectonics, water tightness of the project should be
designed using surface cover treatments, although
the water table is in normal condition.
4. In areas with complex geological, structural and
hydrological conditions, subsurface explorations
(including geotechnical and geophysical investiga-
tions), are to be conducted in a multilateral basis in
wider area, including dam site and reservoir.
REFERENCES
Engineering Geology report of Baraftab dam Project Lar
Consulting Engineers co. 1995.
Bulletin 112, Neo Tectonic and dam-Icold 1999 Geological
map of Haji-abad, 1:100000, series Sheet 7346-Geological
Survey & Mineral Exploration of IRAN 2002.
Geophysic report of Baraftab dam project Sahra Kav
Consulting Engineers co. 1994.
 APPENDIX:

604
Figure 1. Geological and hydrogeological map of Baraftab dam project.
Figure 2. The result of water chemical quality in river sections (9.29.98).

605
Figure 3. The result of water chemical quality of Tezerj springs (9.29.98).

606
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The flood energy dissipation features and feasibility analysis for

Wudongde Hydraulic Power Station

Han Jibin, Lu Hong & Han Xijun

Yangtze River Scientific Research Institute, Wuhan, Hubei, China

Guo Yanyang
Yangtze Survey Plan Design Research Institute, Wuhan, Hubei, China

ABSTRACT: At Wudongde dam site, the downstream water depth is 80
125 meters, the rock of energy dis-
sipation zone is very rigid and has high anti-scour capacity, so the downstream energy dissipation zone itself is
a advantageous natural plunge pool. Therefore falling flow bucket lip and plunge pool without concrete apron
are adopted as the flood energy dissipater. Within a 288-meter-long zone downstream arch dam, earthing bank
revetment is installed and more than 288 meters away from the dam hanging bank revetment is installed. The
hydraulic comprehensive model test data indicates the energy dissipation scheme mentioned above is feasible.

1 INTRODUCTION pool. Smaller flood discharging radius results severe

Wudongde Hydraulic Power Station is located on the
boundary river between Sichuan Province and Yunnan
Province of China. It is the first water power station of
total four step power stations (the others are Baihetan,
Xiluodu and Xiangjiaba) in lower Jinsha River. Electric
generating is the main function of Wudongde Hydraulic
Power Station. The other functions include flood pro-
tection, sediment control, and improvement for reser-
voir and dam downstream navigation condition etc.
2 FLOOD ENERGY DISSIPATION
FEATURES AND DESIGN
Wudongde Hydraulic Power Station features high water
head (99.7 meters), flood discharge (35040 m3/s), huge
flood discharge power (26860 MW), narrow river val-
ley (100-meter width), deep water depth (125 meters)
and high anti-scour capacity of rock bed (anti-scour
velocity value is around 7 m/s). After a lot of schemes
are compared, hyperbolic arched concrete dam with
235-meter maximum height is recommended. Flood
is discharged by five surface outlets, eight middle
outlets and two bank tunnels. Downstream dam, falling
flow bucket and plunge pool are adopted as flood
energy dissipater.
2.1 Choice of flood discharging radius
The value of flood discharging radius effects on
falling point distribution of water flowing into plunge
flow centripetal concentration, higher dynamic water
pressure and pressure fluctuation in plunge pool and
also means deeper scour. Whereas the effect mentioned
above can be mitigated. But water flow striking bank
slope must be prevented. The 300-meter flood discharg-
ing radius is adopted after comprehensive consideration.
2.2 Design of surface outlets
The outlet dimension of five surface outlets is
12-meter (width)  18-meter (height) each. WES
curve with equation y  0.03918x1.85 is applied to
surface outlet crest. The crest elevation is at 932.0 m.
The surface outlets are symmetrical by flood dis-
charging center line, viz. 1# and 5# outlet are sym-
metrical mutually, 2# and 4# outlets are symmetrical
mutually (the rank begins from left side to right side,
below is same). For the other three surface outlets
(2#, 3# and 4#), the outlet width is changed gradually
from 12-meter on the crest to 18-meter at their tail.
For the two side surface outlets, their tail width is
15-meter. In order to decrease flow centripetal con-
centration effect and spreading longitudinally flow fall-
ing points as possible, the bucket angle value of surface
outlets is not same mutually. For 1# and 5# surface
outlets, their bucket angle value is 0°. For 2# and 4#
surface outlets, their bucket angle value is
30°. The
bucket angle value of 3# outlet is
20°. A emergency
gate and a tainter gate are installed for each surface
outlet. The sections of surface outlets are showed as
Fig.1
Fig.3.

607
 958.00 958.00

m
25
R=
932.00 932.00
928.41
0+000

925.79

0+000
0+15.46

0+11.49
920.86
WES curve
917.54
WES curve

¡ã
flood discharging

30
axis line

flood discharging
axis line

Figure 1. The section of 1# and 5# surface outlets.

Figure 3. The section of 2# and 4# surface outlets.

964.24
flood discharging
958.00 axis line 892.60
A
886.0

R=2
R=30m

0m
878.05
876.33
A
x2 + y2 871.88
2
10 =1
0m

2
10
3 )
R=5

863.0
0+25.6
0+000

932.00
0+000

924.96
0+16.55

A-A
WES curve 917.26
¡ã

flood discharging axis line

20

axis line

Figure 4. The form of 1# and 8# middle outlets.

and 8# middle outlets. The intake bottom plate elevation

Figure 2. The section of 3# surface outlet.
2.3 Design of middle outlets
The short pressure intake is applied to all eight middle
outlets. As the same with surface outlets, middle outlets
are symmetrical by flood discharging center line. In
order to spread flow falling points, horizontal bottom
plate is adopted for 2#, 4#, 5# and 7# middle outlets,
upper bended bottom plate is adopted for 1#, 3#, 6#
of horizontal bottom plate outlets is at 870.0 m and that
of upper bended outlets is at 863.0 m. The top curve
and side curve are elliptic, applied to the intake of all
middle outlets. The bucket elevation of upper bended
middle outlets is at 871.52 m
871.88 m and their
bucket angle value is 20°
30°. The bucket elevation of
horizontal bottom plate middle outlets is at 870.0 m
and their bucket angle value is 0°. The control section
dimension of all middle outlets is 6-meter (width) 
8-meter (height). The form of middle outlets is showed
as Fig.4
Fig.7.

608
 flood
discharging 892.60
A flood discharging 892.60
axis line axis line
883.33
A 883.33 A
x2 + y2 1 A
10 2 10 2 = 878.0
3 ) x2 + y2
870.00 10 2 10 2 =1 878.00
3 )
870.00
865.00

A-A A-A

axis line axis line

Figure 5. The form of 2# and 7# middle outlets. Figure 7. The form of 4# and 5# middle outlets.

flood discharging plate of plunge pool and velocity distribution near bank.
axis line Within 288-meter-long zone downstream arch dam,
from Elevation 732 m to Elevation 860 m, earthing
revetment is installed. Hanging revetment is installed
886.00 885.49 more than 288 meters away from the dam. The length
R=40m
R=30m

A of both side bank revetments is 473-meter.

876.33
A 873.59
x2 + y2
10 2 10 2 =1
3 ) 866.33
863.00 3 HYDRAULIC COMPREHENSIVE MODEL
STUDY

3.1 Water flow pattern

A-A
axis line
Figure 6. The form of 3# and 6# middle outlets.
2.4 Bank tunnels
The long pressure intake connected with open channel
at exit is adopted for two bank tunnels. The radius of
pressure tunnel is 14-meter. Since the angle between
tunnel axis line and river bed center line is approxi-
mately 26°, in order to prevent water flow falling on
bank slope, deflecting bucket is adopted for two tunnels.
2.5 Protection design within energy
dissipation zone
The main concerns of downstream dam protection
design are range of jet for surface outlets and middle
outlets, transverse flow width, length of water-jump
zone, dynamic water pressure on bank slope and bottom
When only surface outlets are under operation, dis-
charging flows fall into plunge pool, formatting several
longitudinal screens. The range of jet is correspon-
ding to bucket lip angle value. The flow falling point
is 59 meters away from the dam toe for 2# and 4# sur-
face outlets. For 3# and 5# (1#) surface outlets, the
range of jet is 64 meters and 80 meters respectively.
The transverse flow width of both side surface outlets
is 52-meter. The minimum distance between side
surface outlet flow and side wall of plunge pool is
5-meter and no flow falls on side wall. After flows
enter into plunge pool, oblique submerge jet-flow and
submerge water-jump are shaped in plunge pool. With
high water depth, it can be observed on the model that
only a little air-water flow can touch the river bed of
plunge pool intermittently. Weak backflow appears in
the zone between dam toe and flow falling points.
Downstream flow falling points, strong backflow can
be observed. There are so many air bubbles in strong
backflow zone that the color of water become milky.
In the middle of plunge pool, water body hunches
upward. No backflow appears at two side of plunge
pool. No distinct water falling down can be observed
downstream plunge pool.

609
 When only middle outlets are under operation, cor-
responding to bucket lip pattern, the distribution of
flow falling points is flabelliform and the range of jet
for 1# and 8# middle outlets is bigger than that of 4#
and 5# middle outlets.
When surface outlets are under operation with
middle outlets, since they are arranged radially, with
flow falling and spreading, flow overlapping-colliding
between surface outlets and middle outlets is unavoid-
able. The flow collision point between 1# (5#) surface
outlet and 2#, 3# (6#, 7#)middle outlets is 72 meters
away from the dam toe. When the collision happens,
flows fall in almost parallel direction, so the collision
extent is not severe. Meanwhile because flow coming
from 1# (5#) surface outlet spreads adequately and its
thickness is too small, flows coming from 2# and 3#
middle outlets rush out. The flow collision point
between 2# (4#) surface outlet and 3#, 4# (5#, 6#)
middle outlets is 40 meters away from the dam toe.
The flow collision point between 3# surface outlet
and 4#, 5# middle outlets is 58 meters away from the
dam toe. After two collisions, flows coming from 3#,
4# 5# and 6# middle outlets are blocked. The model
test data indicates that the bigger flood discharge of
surface outlet can has more blocking effect on flow of
middle outlets.
3.2 Dynamic water pressure
Under each flood discharging condition, the dynamic
water pressure distribution on river bed and side walls
of plunge pool is uniform, no peak value point appears,
basically agreeing with hydrostatic pressure distribu-
tion. That indicates water flow does not impact on river
bed and side walls of plunge pool.
3.3 Scour
The scour downstream plunge pool is limited to over-
lying bed and can not damage base rock. It can not also
endanger the natural mountain slope.
3.4 Velocity
Before scour and deformation of river bed down-
stream plunge pool happens, surface velocity value is
bigger than bottom velocity value. The flow velocity
of near left bank is bigger than that of middle river
bed and right bank. Under 27900 m3/s flood discharge
condition, 288-meters away from plunge pool, the
average velocity value of near left river bank is
5.14 m/s, the value of surface velocity, middle veloc-
ity and bottom velocity is 9.78 m/s, 2.75 m/s and
2.90 m/s respectively. On the middle river bed, the
610
average velocity value is 4.05 m/s, the value of sur-
face velocity, middle velocity and bottom velocity is
8.21 m/s, 2.13 m/s and 1.80 m/s respectively. Near right
river bank, the average velocity value is 1.98 m/s, the
value of surface velocity, middle velocity and bottom
velocity is 3.50 m/s, 1.52 m/s and 0.92 m/s respec-
tively. After scour has finished, the average velocity
value of near left river bank is 4.97 m/s, the value of
surface velocity, middle velocity and bottom velocity
is 10.36 m/s, 3.31 m/s and 1.25 m/s respectively. On
the middle river bed, the average velocity value is
4.30 m/s, the value of surface velocity, middle veloc-
ity and bottom velocity is 8.33 m/s, 2.16 m/s and
2.41 m/s respectively. Near right river bank, the aver-
age velocity value is 4.35 m/s, the value of surface
velocity, middle velocity and bottom velocity is
8.09 m/s, 3.27 m/s and 1.68 m/s respectively. It is evi-
dent that scour changes velocity distribution of near
right river bank. But considering scour limited to
overlying bed and bottom velocity value of two side
river banks less than anti-scour velocity value of base
rock (7 m/s), there is nothing to worry about.
4 CONCLUSION
Based on hydraulics parameters such as flow pattern,
dynamic water pressure distribution, scour depth and
velocity, it is concluded that flood energy dissipation
scheme for Wudongde Hydraulic Power Station (five
surface outlets, eight middle outlets, two bank side
orifices and natural plunge pool) is rational and feasi-
ble. The design scheme can be used as reference to
others similar hydraulic projects.
REFERENCES
1993. Hydraulic computation manual of flood discharging
building. Hydraulic Electric Plan Design Chief Institute
2000. Flood discharging energy dissipation key technology
research report of high arch dam and big flood discharge
for Xiluodu Hydraulic Power Station. Chengdu Survey
Design Research Institute
2005. Report of project arrangement and building design for
Wudongde Hydraulic Power Station. Yangtze River Survey
Plan Design Research Institute
2005. Test report of 1:100 hydraulic comprehensive model
for Wudongde Hydraulic Power Station. Yangtze River
Scientific Research Institute
Guo Zizhong 1982. Energy dissipation anti-scour principle
and hydraulic design
Zhang Ruijing & Xie Jianheng 1988. River sediment dynam-
ics. Wuhan: Wuhan Hydraulic Electric Institute
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Monitoring as a tool of dam safety improvement at Plavinas HPP

S. Dišlere
Head of Engineering Geology Laboratory, Faculty of Geography and Earth Science,
Latvian University, Riga, Latvia

ABSTRACT: Plavinas HPP is the largest dam in Latvia and Baltic region constructed on Daugava River. Dam
structure is founded on soft soils and it has a head of the 40 m. The dam structures and the areas around the dam are
equipped by comprehensive monitoring system. It consists of about 700 different measurements including ground-
water level and pressure head, settlement points and inverted pendulums, inclinometers and others. Most of them
are included in automatic data acquisition system. It allows controlling the structure and foundation behavior con-
tinuously and reacting on any undesirable event immediately. The geology and hydrogeology of Plavinas HPP
area is complicated. There are different geodynamic processes observed: erosion of Daugava riverbanks down-
stream of the dam, karst and internal erosion in the foundation rocks and soils, differential settlement of the
structures and changes in soil properties. All of them have an impact on dam safety issues and shall be assessed
for sustainability of the Plavinas dam. Comprehensive monitoring system can be used as a control system not
only for structure behavior but for geodynamic processes as well.

1 INTRODUCTION flood period. Mean annual discharge of Daugava is

Plavinas HPP is the largest dam in Latvia and Baltic
region constructed on Daugava River.
The Daugava River rises in Russia Valdaya Highland
and flows through Belarus before it enters into Latvia.
Within Latvia it has a length of 250 km between the
eastern border and the capital Riga, where the river
enters in the Gulf of Riga. The Daugava River has been
developed for hydropower with the construction of the
cascade of dams at three sites upstream Riga City (see
Fig. 1).
The discharge value of the Daugava River varies
from 100–150 m3/s during winter time and the hot sum-
mer time up to 4000–8000 m3/s during snow melting
Figure 1. Daugava dam cascade.
600 m3/s.
Plavinas Dam having a head of 40 m was con-
structed 107 km from its entrance to the Baltic See. The
construction was started on 1961 and finished on 1966.
The design capacity of the power plant was 825 MW.
The hydro units were reconstructed during the last 10
years and the capacity was increased up to 868.5 MW.
There are two dams constructed downstream of the
Plavinas Dam on Daugava River: Kegums HPP with
head of 14 m and total installed capacity 264.6 MW;
and Riga HPP with head of 18 m and installed capacity
402 MW. The calculated discharge value during Prob-
able Maximum Flood for Plavinas Dam is 12,600 m3/s.
The reservoir of the Plavinas HPP has a volume of
509 million m3 for normal operation water head (72 m
asl) and 580 million m3 at the highest permissible water
head (73.3 m asl). Gated spillway has to be operated if
discharge is higher than 3000 m3/s.
The powerhouse is of combined type. The gated
spillway is on top of the powerhouse consisting of two
blocks or sections sealed by a special bitumen seal.
The hydraulic fill dam is connected to power plant
structure and it crossed the preconstruction river chan-
nel (see Fig. 2).
The base of the powerhouse sits on blanket type
granular under drains. These are extended down into the
foundation by short vertical drain wells (see Fig. 3).
The hydraulic cut-off is below a concrete upstream
blanket slab. The slab is connected to the powerhouse

611
by heavy reinforcing passing through a flexible joint,
which is sealed by a bitumen seal (Dislere & Snore
2000).
2 DAM SAFETY ASPECTS AT
PLAVINAS DAM
It is calculated that in case of the Plavinas Dam failure
wide downstream areas would be flooded. Moreover
there is a risk of the failure of the Kegums Dam and
Riga Dam at lower reaches due to failure of Plavinas
Dam.
Plavinas dam is constructed across an ancient pre-
glacial river channel, which is filled with glacial
deposits. The embankment dams on either side of the
powerhouse/spillway are built on rock foundations.
Glacial deposits at the foundation of dam structure are
sensitive to load conditions and hydraulic regime. Due
to this one of the critical issues in respect of Plavinas
Dam safety is to reduce the geotechnical risks.
The foundation soil of the Plavinas powerhouse has
already been facing a number of serious problems. The
event trees for the possible failure modes were prepared
and the estimated conditional annual probability of the
failure of Plavinas dam due to various geotechnical
failure modes is 0.00012. (Brenner & Speerli 2002).
Figure 2. Plavinas Dam on Daugava River.
Figure 3. Plavinas Dam. Cross section of the power plant.
612
Initiating events were reviewed as listed below:
– Blockage of almost all relief wells.
– Sudden increase of sand removal from relief wells.
– Clogging of drainage layer below powerhouse.
– Failure of bitumen-filled joint caused by sudden
settlement of powerhouse.
– Weakening of powerhouse-embankment interface
due to sudden movement of powerhouse.
It is concluded that safety level of Plavinas Dam
can be improved reducing the possibility to develop
any critical situation at the foundation soils and relief
wells. It can be solved by using comprehensive mon-
itoring and early warning system.
3 GEOLOGY AND HYDROGEOLOGY
3.1 Thickness of quaternary deposits
The geology and hydrogeology of the Plavinas HPP
area is complicated. The thickness of the Quaternary
deposits is the largest in the buried valley and reaches
more than 135 m (the largest recovered thickness by
drilling is 137 m), while smallest thickness is on the
slopes of the both banks (0.25–3 m) and in Daugava
river bed downstream Plavinas Dam (0.25–2 m), in
Daugava River bed (0.64–1.3 m) upstream of the
Powerhouse (in reservoir) and in reservoir close to
the Dam on left bank of ancient valley (0.45–0.81 m).
The variable thickness of Quaternary deposits is con-
sistent with the uneven pre-Quaternary surface in the
area (see Fig. 4).
3.2 Type of the deposits
The ancient pre-Quaternary river channel is filled by
glacial till – soft clayey soil with low permeability.
At the river banks Quaternary deposits are repre-
sented by different types of alluvium, mainly sand,
gravel and pebbles as well as glacial and glacial –
fluvial deposits. The inclined slopes of the ancient
river channel and the river channel bad is fragmentary
covered by the colluvial – deluvial deposits called
“Train” and consisting from sand, pebbles and gravel
material partly filled by clay. Coarser material has a
high permeability. The train has an important role in
forming of the seepage regime in the area because it
can act as connector between different aquifers.
3.3 Pre-Quaternary deposits
The top elevation of the pre-Quaternary surface is at
approximately 65 m above sea level (asl) in the Daugava
river banks, whereas its base lies at about 101 m below
sea level in the buried valley downstream of the Power-
house, where the deposits of the Burtnieki formation
outcrop (Figs 5 & 6).
Figure 4. Thickness of the Quaternary deposits.
613
The highest elevation of the surface of the Salaspils
formation reaches 57 m asl, but its surface decreases
in elevation to less than 28 m asl at the foot of the for-
mation strata’s slopes (close to contact with the Plavinas
formation).
The distribution of the Plavinas formation deposits
occupies several separate areas having an uneven sur-
face transacted by the ancient valleys. The elevation
of the surface of the Plavinas formation varies; in the
vicinity of the HPP and reservoir it lies at about 19 m
asl to 58 m asl.
The strata of the Amata formation has been split only
by the buried valley, which eroded the Amata forma-
tion deposits, as well as, the Gauja and Burtnieki for-
mation sandstones and clays in the deepest places.
The surface of the Amata formation is particularly
uneven on both sides of the Plavinas HPP, where
are found protrusions, whose relative height reaches a
few 10 m.
Figure 5. Pre-Quaternary surface and elevation above see level.
Figure 6. Geological cross section.
The surface of the Gauja formation in the area of
dam generally has a tendency to become deeper in the
direction from north-east to south-west. The elevation
of the Gauja surface varies from
12–14 m bsl at the
central part of the area to
25 m bsl in its north-eastern
614
part. The deepest elevation of the Gauja formation is
founded in the area of buried valley, were it reaches
up to
76.53 m bsl. Throughout, the thickness of this
sandstone formation is very small, only a few meters,
which indicates that the largest part of the strata has
been eroded in the area of the pre-Quaternary valley.
The Gauja formation deposits have completely eroded
in the deepest part of the pre-Quaternary valley, where
at elevation from
81 to
101 m bsl the Middle
Devonian Burtnieki formation (D2br) sandstones and
clays directly underlie this Quaternary deposits.
3.4 Hydrogeology
Three groundwater aquifers connected with deposits
of the Upper Devonian formations namely: Daugava
(D3dg), Plavinas (D3pl), and Amata-Gauja (D3am-gj)
have a significant role in the formation of the hydro-
logical regime in the area of the Plavinas HPP.
The natural hydrodynamic regime of the Daugava
aquifer (D3dg) has been changed during the Plavinas
HPP operation. The piezometric level of D3dg aquifer
has been increased by 2–5 m and the direction of
groundwater flow trended from the reservoir to the
power plant’s switchyard on the right bank comparing
the situation before and after construction of the HPP.
Furthermore, the groundwater flow on the left bank
has been radically re-oriented: the direction of ground-
water flow was towards the Daugava valley before HPP
construction, but these flows are changed to the oppo-
site direction, i.e., from reservoir to the Laucese River
valley as result of the construction of HPP.
Hydraulic regime of the Plavinas aquifer (D3pl) after
construction has been changed and local feeding from
Plavinas water reservoir is characteristic.
The hydrodynamic regime of the Amata aquifer dur-
ing Plavinas HPP operation has been changed, in com-
parison with the situation before construction too. The
location of the present Plavinas HPP before construc-
tion had a higher piezometric head in the Amata-
Gauja aquifer compared with its surrounding territories,
where piezometric head were lower. High piezometric
heads have been a consequence of the complicated
hydrodynamic conditions in the flanks of the buried
valley, for example, hydraulic links between aquifers
through the train deposits.
4 GEODYNAMIC PROCESSES
The situation changes due to dam construction can
initiate the geodynamic processes and during dam
exploitation they are developing. This process is a sub-
ject of all regularities specific to geodynamic processes.
As a consequence the stability of structure can be
subject to change if the soil and soil mass properties
are changing. Soil properties and any changes in soil
mass shall be carefully monitored to avoid this.
The impact on the environment is always noticeable
due to construction of the dams and other water retain-
ing structures:
– Hydrological regime of the river is changed due to
using of river flow for production of electricity or
other needs
– Geological conditions and soil physical properties
are changed due to excavation of the foundation pit
and secondary loading of soils after construction of
massive dam
– Seepage conditions are changed as a result of dewa-
tering of the foundation pit during construction
period and operation of the relieving and drainage
system after commissioning; impounding of the
reservoir has an impact on piezometric heads of
different aquifers.
There are different other geodynamic processes
observed: erosion of Daugava riverbanks downstream
of the dam, karst and internal erosion of the dam
615
foundation soils. All of them have an impact on dam
safety issues and shall be assessed for sustainability
of the Plavinas dam.
5 MONITORING
5.1 Monitored parameters
The dam structures and the area around the dam are
equipped by comprehensive monitoring system. The
vertical and lateral displacements of the concrete and
earthfill structures, piezometric heads in foundation
soils and discharge through the Plavinas HPP relief
wells have been carefully monitored since their con-
struction. However parameters were monitored with the
periodicity insufficient to check the actual changes
before installing of automatic data acquisition system.
Any incidents were observed visually at first and only
after recognised by measurements.
At the moment monitoring system consists of more
than 700 measurement devices including piezometers,
settlement points and inverted pendulums, inclinome-
ters and others. Most of them are included in automatic
data acquisition system (ADAS). It allows controlling
the structure and foundation behavior continuously
and reacting on any undesirable event immediately.
5.2 Using of monitored parameters for analysis
As an example the graphs are presented showing
changes of the monitored parameters during field test
performed on November–December 2005. It was
necessary to check possible changes in permeability
of soil in filter zone as a result of soil improvement
by electrochemical processing of soil mass between
two drill holes. Increasing of permeability of soils was
defined as one of the main parameters testifies the
positive effect of the developed method.
Two wells were used as an observation points: well
No 1240 is included in automatic data acquisition sys-
tem, and well No 1266 was monitored manually. Dis-
tance between wells is about 17 m.
Water level in reservoir (downstream level) and
upstream water level have an impact on pressure head
and discharge of wells and they have been monitored
automatically. Reservoir water level varies during
observation period between 70.5 and 72.0 m asl (see
Fig. 7).
Observation well 1240 is situated at downstream
area close to river bank; and the downstream level has
an impact on well discharge (see Figs 8–9). It can be
noticed in periods 2006.11.17–2006.11.24 and 2006.
11.24–2006.12.1 there inclination of the trend of dis-
charge graph follows the downstream water level graph.
Lowering of relief level for 2 m in the well No
1266 (Fig. 10) reflected on discharge and pressure
head of the well No 1240 (Figs 9, 11).
 AB L P1 2 6 R ES U R E H EAD

l
47 3 6.0 0

sa
3 5.0 0

,m
7 3.5
3 4.0 0

s u r e h dae
37 3 3.0 0
a s l

3 2.0 0
7 2.5 3 1.0 0
v e l, m

3 0. 0

P r se
27

8
W a t e r le

13

20

27

03

10

24
1

0
1 .

2 .

2 .
7 1.5

0.

0.

0.

1.

1.

1.
.1

.1

.1

.1

.1

.1

.1

.1

.1
05

05

05

05

05

05
50

50

50
17 aD ta

7 0.5
Figure 10. Pressure head in borehole No 1266.
07
0

8
H1 2 4 0 E A D
06

13

20

27

03

.1

.0

0
1 .

1 .

2 .
0.

0.

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0.

1.

11
.1

.1

.1

.1

.1

.1

.1

. 21

.1
43
0 5.
05

05

05

05

05

05

05

05

50
aD te 3 3.8

l
sa
3 3.6

,m
Figure 7. Changes of the water level in reservoir. 3 3.4

o m te r i c h dae
3 3.2
LB
3
34
3 2.8
3.5
3 2.6
P i ze

3 3 2.4

32.5 3 2.

23
32
60

31

02

72

30

01

71

42

10

80
1 .2

1 .2
31.5
.01

.01

.01

.01

.1

.1

.1

.1
0 .5

0 .5

0 .5

0 .5
.50

.50

.50

.50

.50

.50
20

20

20

20

20

20
Waterlv,ms

02

02

02

02
31 aD te
30.5
Figure 11. Pressure head in observation borehole No 1240.
30

0 S4 2 1 o l i d rap t ic le s , m g/l
205.16 205.13 205.1 205.17 205.13 205.1 205.17 205.14 205.1 205.18 6 0.
g/l

Date 5 0.
4 0.
s m

3 0.
Figure 8. Changes of the downstream level.
S o lid

2 0.
1 0.
0.
D1 2 4 0 IS C H A R G E
13 20 27 03 10 17 4 01
. . . . . . .2 .
8.0 0
.1 0 .1 0 .1 0 .1 1 .1 1 .1 1 .1 1 .1 2
0 5 0 5 0 5 0 5 0 5 0 5 50 0 5
7.8 0
aD te
7.6 0
a r ge, l / s

7.4 0
Figure 12. Removal of solid particles.
7.2 0

7.0 0
W a t e r d i sch

6.8 0 holes and decreasing of the relief level of the boreholes

6. 0 No 1240 and 1266.
6.4 0 Detailed information about soil improvement field
6.2 0 test results can be obtained looking on the large scale
6.0 0 graphs. Trends can be identified using appropriate res-
olution. Two parameters were used as criteria of the
6

0 3

1 0

1 7

0 1

8
0

0
0 .

0 .

0 .

0 .

1 .

1 .

2 .

2 .

increased permeability:
1.

1.
.1
1.

1.

1.

1.

1.

1.

1.

1.

1.
05

05

05

05

05

05

05
50

50

50

aD te
• Increasing of the relief discharge and
Figure 9. Discharge through relief well 1240. • Constant pressure head.
Looking on the graph in figure 13 the increasing of
Figure 12 shows increasing of the removal of solids discharge value can be noted up to 2005.11.28 than
trough well 1240 during 2005.10.13–2005.10.27. This processing was finished and further stabilisation of
is a period of preparation works for field tests, and soil discharge through relief well. The pressure head was
removal increased due to pumping of closest drill kept at 33 m asl.

616
 ID S AHC GR E IRUD GN F I E L DT E S T I N 0421 – Geodynamic processes developing at the river banks,
7.6 0
at rock foundation and soils shall be assumed as a
7.5 0 consequence of the structure design and mainte-
7.4 0 nance conditions.
7.3 0 – It is highly important to recognise the changes in
7.2 0 soil properties as soon as possible to notice any
7.1 0 incidents in early stage and to localise the process
7.0 0 developing.
6.9 0 – Measurements of monitoring system and early warn-
.40 N o v .90 N o v .41 N o v .91 N o v .42 N o v 2 .9 N o v 0 .4 D e c 0 .9 D e c 1 .4 D e c
ing system is a tool allowing to identify the incidents
Figure 13. Discharge during field test through 1240.
at the very beginning and avoid further progress so
monitoring system is an important tool for dam
safety improvement in large dams constructed on
The case shows how comprehensive monitoring soft soils.
system can be used as a tool not only for structure
behavior but for controlling of the geotechnical and
filtration processes and its dynamic as well. The
important task is to check these changes frequently REFERENCES
and review the initiators of process.
Dislere S. & Snore A.R. 2000. The calculated settling by
6 CONCLUSIONS using 2D method and actual observations of the Plavinas
HPP structures. Pernava.
Brenner P. & Speerli J. 2002. Detailed Risk assessment for
– Plavinas HPP is a structure there dam safety the Three Daugava Dams. Detailed Failure Mode. SJSC
improvement tasks are actual since construction of Latvenergo Daugava HPP Cascade
dam due to extremely complicated geology and Dislere S. & Kalnina L. 2002. Geological Survey at Plavinas
hydrology of the surrounded area. HPP. SJSC Latvenergo Daugava HPP Cascade

617
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Innovative design for durable and economic spillway structure

using SFRC

M. Safi, M. Hamidian & H. Sahranavard

Research Center for Natural Disasters in Industry, Department of Water Engineering, Power & Water
University of Technology, Tehran, I.R. Iran

ABSTRACT: Design of an efficient and durable spillway structure has been one of the most critical issues for
earth and rock fill dam. Many failures of dams have been reported to be due to insufficient capacity or struc-
tural inadequacy of spillways. The spillway lining prevents erosion and reduces friction losses by providing smooth
bounding surfaces for the chute. Despite the fact that concrete has been the most appropriate lining material for
water conveyance structures, it still form a considerable portion of project cost and time noting that it is a structure
that is rarely used during the operation of the dam. In this paper a new design of spillway structure has been pre-
sented using synthetic fiber reinforced concrete (SFRC). The characteristics and applications of SFRC in civil
and dam engineering projects have also been briefly reviewed. Through a real case study it has been shown that
this design can result in an economic and durable structure. For the example presented here in it was concluded that
this replacing material may reduce the cost to and the construction time to half comparing to the conventional
reinforced concrete spillway.

1 INTRODUCTION

As for brittle materials in general, concrete is strong

under compression and weak under tension or flexure.
This problem may be alleviated by the addition of short
carbon fibers (Typically 10 m in diameter). Figure 1
shows various shapes of synthetic fibers used in con-
crete mix. Synthetic fiber reinforced concrete (SFRC)
has many advantages compared to normal concrete.
The carbon fibers added to the concrete mix can
increase the freeze-thaw durability of concrete.
Synthetic fibers are also added to concrete to reduce
plastic shrinkage cracking of reinforced concrete and
structural plain concrete and/or to reduce shrinkage
and temperature cracking in structural plain concrete
slabs. Concrete structures made with SFRC are also
more durable than steel reinforced concrete as they Figure 1. Various shapes of synthetic fibers used in FRC
don’t have the problem of steel corrosion especially for mixes.
structures exposed to water or soil.
In this paper the characteristics and applications of
2 SYNTHETIC FIBER REINFORCED
SFRC in civil and dam engineering projects have been
CONCRETE
briefly reviewed. A new design of spillway structure
has been presented using SFRC. Through a real case
2.1 Synthetic fibers
study it has been shown that this design can result in
an economic and durable structure. For the example Synthetic fibers are manufactured from materials such
presented here in it was concluded that this new mate- as acrylic, aramid, carbon, nylon, polyester, polyethyl-
rial may reduce the cost to and the construction time ene, or polypropylene. The use of synthetic fibers has
to half compared to the conventional reinforced con- been increasing at a steady rate in the past couple of
crete spillways. decades. Their primary use in concrete pavements to

619
date has been in ultra-thin white topping, where 2 to 4
inches of concrete is bonded to an existing asphalt pave-
ment to form a composite pavement. The most com-
monly used synthetic fibers in concrete pavements
are made of fibrillated polypropylene. They are nor-
mally used in concrete at a rate of at least 0.1% by
volume. Ultra-thin white topping typically utilizes
1.8 kg/m3 of polypropylene (or polyolefin) fibers. The
benefits of polypropylene fibers included reduced
plastic shrinkage and subsidence cracking, as well as
increased toughness or post-crack integrity. In fresh
concrete, polypropylene fibers also reduce the settle-
ment of aggregate particles from the pavement sur-
face, resulting in a less permeable and more durable,
skid resistant pavement.
The physical properties of synthetic fibers that
enhance concrete’s performance are:
1 Tenacity, which reflects fiber strength based on the
draw ratio, and…
2 Elongation, which indicates the length stability of
the fiber under load.
A quick test to determine a fiber’s tensile and elon-
gation properties are to put a fiber between the thumb
and forefinger of each hand and pull. If the fiber breaks,
it has a low tensile strength. If the fiber stretches rather
than breaks, it is easy to conclude it has high elongation.
A fiber with low tensile strength will never hold con-
crete together after it cracks.
Different types of plastic fibers are:
– Acrylic fibers contain at least 85 percent by weight
of acrylonitrile units.
– Aramid is a high-modulus, manmade polymeric
material.
– Carbon fibers were developed primarily for their
high strength and stiffness properties.
– Nylon is a generic name that identifies a family of
polymers characterized by the presence of the
amide functional group.
– Polyester fibers for example, polyethylene tereph-
thalate are available only in monofilament form.
– Polyethylene has been produced for use as concrete
reinforcement in monofilament form with wart-like
surface deformations along the length of the fiber.
– Fibrillated polypropylene fibers are the product of
an extrusion process where the die is rectangular.
2.2 SFRC advantages
Quality of the concrete finish is an important consid-
eration when evaluating synthetic reinforcing fibers.
The finish directly relates to the properties of the fibers,
as well as the liquid coating applied to the surface of the
fibers to facilitate production and in the case of syn-
thetic fiber reinforcement to improve fiber distribu-
tion within the concrete matrix.
620
Figure 2. Short term deflection of plain and fiber rein-
forced concrete.
There are a variety of fiber coatings used in the
extrusion process, hydrophilic being the most suited
for concrete reinforcing fibers. The hydrophilic coat-
ing helps the fibers mix with the mortar in the matrix,
a key factor in fiber bond within the concrete. Not all
fibers are specifically manufactured as a concrete rein-
forcement; and those which are not may be inferior in
dispersing and bonding within the mix.
The carbon fibers increase the freeze-thaw dura-
bility of concrete. Synthetic fibers are added to con-
crete to reduce plastic shrinkage cracking of reinforced
concrete and structural plain concrete and/or to reduce
shrinkage and temperature cracking in structural plain
concrete slabs. Figure 2 compares the shrinkage behav-
ior of plain concrete and SFRC. Consideration shall
be given to the volume, size and type of fibers used.
Benefits of SFRC in relation to structural durability
which is a function of ductility:
– Low cracking potential
– Due-Protection for Extended Service Life
– Initiation phase-transport property
– Propagation phase spall resistance
– Decoupling of steel reinforcement from crack width
control
– Crack width independent of structural dimension
– Quality cover without the need for large thickness
– Promotion of self-healing
In Figure 3 the limit state behavior of normal and
fiber reinforced concrete has been compared under
compression test.
2.3 FRC applications in civil and dam
engineering
Fibers are added directly to the concrete mix. Fibers
are homogeneously dispersed throughout the con-
crete, reducing cracks while increasing toughness,
residual strength, shatter resistance and resistance to
 Figure 4. Water Reservoir Retrofitting with FRC in Norway.

Figure 3. Fracture mechanism of normal and fiber rein-

forced concrete.

fatigue and ductility of the system. Trusted Critical

Applications of FRC are: Figure 5. Open Channel Retrofitting with FRC in Japan.
– Tunnel segmental linings, Lining large underground
cavities, Mining
– Structural rehabilitation, Aqueduct rehabilitation
– Slope stabilization, Ground support, Retaining walls
and soil nailing
– Channel linings
– Marine structure repair and rehabilitation
– Tanks, Pools, Barrier walls
– Seismic retrofits
– Protection against fire spalling
– City streets and intersections, Local roads, Parking
areas, Taxiways, Airport aprons, Overlays & top-
pings, Slip formed concrete
– Bridge deck overlays and walls
Figures 4 to 10 present several examples of appli-
cation of fiber reinforced concrete in civil and dam
Figure 6. FRC for repair of Mitaka Dam in Hiroshima,
engineering structures including reservoirs, channels, Japan.
dams, tunnels and retaining walls.
Most of the application of SFRC has been in the
field of retrofit of structures and they have been mostly required for the same application and the final cost may
in Japan. However there are some applications for also be less than the normal reinforced concrete. Figures
design and construction of new structures. In this paper 4 and 5 show the application of SFRC for retrofitting
a sample of such applications has been introduced. of reservoir and channel structures in Norway and
Although comparing the unit weight of concrete, the Japan.
SFRC is more expensive than the normal steel rein- Figure 6 shows the repair of the Mitaka Dam in the
forced, the characteristics of the concrete is also con- Hiroshima-Prefecture in 2003. This dam is over 60
siderably improved. Thus less concrete volume may be years old, with a severely damaged concrete surface.

621
Figure 7. Repair of earth retaining wall using FRC in Gifu,
Japan.
Figure 8. Fiber reinforced concrete for repair of tunnel lining.
Figure 9. Strengthening of Castlehill Reservoir spillway
with High Performance Polymer fibers in Scotland.
622
Figure 10. Fiber reinforced concrete for Tai Yam Teng tun-
nel lining in Hong Kong.
Cracks, spalling and water leakage were concerns that
prompted the use of composites as a cover layer. This
20 mm layer was applied by the spraying technique onto
approximately 600 square meter of the upstream dam
surface.
3 SFRC STRUCTURES ANALYSIS
AND DESIGN
Building codes and design specifications will eventu-
ally recognize the advantages and disadvantages of
FRP materials when defining analytical procedures on
which engineers will rely for design. This may require
lower flexural capacity reduction factors to be more
compatible with the specific performance limitations
of FRP materials. The ductility of normal and fiber
reinforced concrete has been schematically compared
in Figure 11.
Compressive strengths have been reported for
polypropylene FRC with fiber contents ranging from
0.1 to 2.0 percent by volume. There is no consensus in
the reported results. In general, it can be stated that the
addition of polypropylene fibers at different quantities
has no effect on the compressive strength. The minor
differences noticed are expected variation in experi-
mental work. They can also be due to variations in the
actual air contents of the hardened concrete and the
differences in their unit weights. However, the addition

Figure 11. Ductility capacity of plain and fiber reinforced
concrete.
of polypropylene fibers has a significant effect on the
mode and mechanism of failure of concrete cylinders
in a compression test.
The fiber concrete fails in a more ductile mode.
This is particularly true for higher strength fiber con-
cretes, whereas plain control concrete cylinders typi-
cally shatter due to an inability to absorb the energy
release imposed by the test machine at failure. Fiber
concrete cylinders continue to sustain load and endure
large deformations without shattering into pieces.
It was also reported that, for a specific concrete mix
used for both control concrete and fiber concrete, high
quantities of fiber (2.0 percent by volume) produced
concrete with poorer workability, more bleeding and
segregation, relatively higher entrapped air (13.9 per-
cent), and lower unit weight. This resulted in a decrease
in the compressive strength. This observation indicates
the importance of adjusting aggregate proportions when
high quantities of fibers are used. Optimum mixture
proportions should be obtained by trial mixes when
using higher fiber volumes. It was shown that there was
no reduction in compressive strength when 0.1 to 1.0
percent by volume of fibers was added.
Flexural strength similar to the compressive strength
results, there is no consensus in the published literature
about the effect of adding polypropylene fibers on the
first-crack strength and modulus of rupture. It has been
reported [4.34] that at a fibrillated polypropylene fiber
content of 0.1 percent by volume, there was a slight
increase in flexural strength (0.7 to 2.6 percent) and at
0.2 to 0.3 percent by volume there was a slight decrease.
When the same basic mix proportions were used, the
modulus of rupture decreased as the fiber content was
increased from 0.1 to 2.0 percent by volume [4.59]. For
2.0 percent by volume fibrillated polypropylene FRC,
the compressive strength was low due to the higher air
content and, hence, the flexural strength was also low.
Previous work on carbon fiber reinforced concrete
conducted in Japan showed that the use of carbon fibers
623
Figure 12. Effect of fiber direction on nominal strength of
fiber reinforced concrete.
in the amount of 2 vol% approximately doubled the
flexural strength. Nevertheless, it is desirable for eco-
nomic reasons to keep the amount of carbon fibers in
concrete to a minimum. The aggregate size effect is
quite minor, so that the technology of carbon fiber
reinforced concrete is indeed viable for concrete with
coarse aggregates, such as concrete that is typically
used for pavements. The technique of dispersing car-
bon fibers randomly in the concrete mix is critical to the
success of the carbon fiber reinforced concrete tech-
nology. Two options are possible. One is to mix the
fibers with cement and fine aggregate in the dry state.
The other option is to first disperse the fibers in water
and then pour the dispersion into the slurry with cement
and fine aggregate. The second option is much more
practical.
Figure 12 shows the effect of fiber direction on the
strength of SFRC. It can be seen that in the case of
random distribution of fiber in the concrete mix the
final compressive strength in small. So the efficiency
of fiber usage in concrete will increase if it is use in
unidirectional or bidirectional cases.
4 CASE STUDY
Farnagh dam which is an earth dam with clay core is
located in north central of Iran, 80 km south east on
Arak city in central province with crest level of
1900 masl. The dam is located in low seismicity area
with no active fault around the site. This earth dam
has about 18 m height with a spillway located on the left
abutment.
As shown in Figures 13 and 14 the spill way is a
semi circle with 17.5 m radius and 2.5 m height. The
spill way has been designed as a composite structure
using SFRC. The bottom slab is anchored to the ground
using normal rock bolts and thus a two stage concrete
construction should be provided.
The concrete mix used for the design of spillway
and chute structure has been tested in the laboratory.

Figure 13. Plan view of semi circle spillway designed
by SFRC.
Figure 14. Sample view of semi circle spillway.
The force displacement behavior of the SFRC has been
depicted in Figure 15. The failure mode shown in figure
3 was obtained for this test.
Figure 16 shows the shear stress distribution in the
SFRC slab. The results have been obtained using a lin-
ear elastic analysis under equivalent hydrostatic and
hydrodynamic loads. The results showed that no expan-
sion or contraction joint is required as the governing
factor in the design of the slab was uplift pressure
624
Figure 15. Force–Displacement behavior of SFRC used
for spillway design.
Figure 16. Shear stress results in SFRC spillway slab
obtained from elastic analysis.
and minimum thickness required for shear transfer in
anchors.
A 54 m chute is located on the left abutment begin-
ning from the spillway to the stilling basin. Usually,
the foundation material of a spillway is not able to
adequately resist the destructive action of high-velocity
flows; therefore, a non-erodible lining must ordinarily
be provided along the spillway waterway. Such a lin-
ing prevents erosion, reduces friction losses by pro-
viding smooth bounding surfaces for the channel.
Figure 17. General cross section of trapezoidal chute design
using SFRC.
Economy and durability most often favor concrete as
the appropriate lining material for water conveyance
structures. The type of walls, linings, and associated
structures of a spillway and its design details should
depend on the nature of the foundation. During spill-
way flows, the floor may be subjected to hydrostatic
forces from the weight of the water in the channel, to
boundary drag forces caused by frictional resistance
along the surface, to dynamic forces caused by flow
impingement, to uplift forces caused by the reduction
of pressure along the boundary surface, and to uplift
pressure caused by leakage through joints or cracks.
Concrete walls, linings, and associated structures must
be designed to withstand normal hydrostatic and earth
loadings, movements caused by temperature changes,
and unequal or large foundation movements. The design
must also provide for handling leakage from the chan-
nel or under seepage from the foundation, which might
cause saturation of the underlying materials and large
uplift forces on the structure.
Typical cross section of the chute has been depicted
in Figure 17. The walls of the trapezoidal section have
a slope of 2H/1V. The structure of the chute has also
been designed using SFRC mix including polypropy-
lene fibers. The behavior of the structure has been
assumed to be elastic under all load conditions.
Wall footings must be safeguarded against frost
heave, and wall panels must be articulated to accommo-
date foundation yielding or unequal settlement. To
avoid differential settlement in soft or yielding foun-
dations, wall footing dimensions should be selected to
minimize foundation load concentrations and to pro-
vide nearly uniform bearing reactions across the base
areas.
Because of its infrequent use, the entire auxiliary
spillway need not be designed for the same degree of
safety required for other structures. However, the con-
trol portion must be designed to forestall failure
625
Figure 18. Foundation interaction analysis for the SFRC
chute for differential settlement control.
because its breaching would release large flows from
the reservoir. For example, concrete lining may be
omitted from an auxiliary spillway channel excavated
in competent rock. Where the channel is excavated
through less competent material, it might be lined but
terminated above the river channel with a cantilevered
lip rather than extended to a stilling basin at river level.
The design of auxiliary spillways is often based on the
premise that some damage to portions of the structure
from passage of infrequent flows is permissible. Minor
damage by scour to an unlined channel, by erosion and
undermining at the downstream end of the channel,
and by creation of an erosion pool downstream from
the spillway may be acceptable.
Figure 18 also shows the results of soil structure
interaction analysis which was performed to check
the possible differential settlements. A seepage analy-
sis was performed to obtain the uplift pressure under
the chute bottom slab. A sample of the results which
presents the water head has been shown in Figure 19.
Stress analysis has been performed to obtain the
thickness of the channel similar to that of spillway.
The critical section regarding maximum shear stress
has been shown in Figure 20. The section has 15 cm
thickness for the walls and 15 to 25 cm thickness for
the bottom slab. Finally the stilling basin has been
designed with a combination of SFRC and masonry
structures. Table 1 compares different alternatives from
economical point of view. In this table the gravity
masonry option has been selected as the base and other
options have been compared to it.
Figure 19. Seepage analysis results for evaluation of uplift
pressure under chute and stilling basin slabs.

5 COMMENTS AND CONCLUSION

In this paper a new design of spillway structure was

Figure 20. Critical section for shear stress in the SFRC
presented using synthetic fiber reinforced concrete chute structure.
(SFRC). The characteristics and applications of
SFRC in civil and dam engineering projects were also
Table 1. Comparison of project time and cost for different
briefly reviewed. Despite the fact that concrete has
option for spillway structures.
been the most appropriate lining material for water
conveyance structures, it still form a considerable Cost Time
portion of project cost and time noting that it is a
structure that is rarely used during the operation of Alternative Ratio Ratio
the dam. Although comparing the unit weight of con-
crete, the SFRC is more expensive than the normal Masonry 1.00 1.00
steel reinforced, the characteristics of the concrete is Reinforce concrete 1.22 1.39
also considerably improved. Thus less concrete vol- SFRC 0.76 0.85
ume may be required for the same application and the SFRC and masonry 0.67 0.88
final cost may also be less than the normal reinforced
concrete. concrete and also more durable compared to masonry
Through a real case study it was shown that this structures.
design can result in an economic and durable struc-
ture. The results were compared to the conventional
reinforced concrete design. It has been concluded ACKNOWLEDGEMENT
that the new design is 60% cheaper in cost and also
45% faster than the conventional design. Therefore The technical and financial supporsts by Jame Iran
for the case of small to medium size chutes and spill- Engineering Consultant Company & Moshanir Power
ways it seems that this type of structure can be an effi- Engineering Consultant Company are gratefully
cient alternative for the conventional reinforced appreciated.

626
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Walton, P. L., and Majumdar, A. J., “Cement Based
Composites with Mixtures of Different Types of Fibers,”
Composites, Sept. 1975, pp. 209–216.
Kobayashi, K., and Cho, R., “Flexural Behavior of
Polyethylene Fiber Reinforced Concrete,” The Inter-
national Journal of Cement Composites and Lightweight
Concrete, Vol. 3, No. 1, Construction Press, Feb. 1981.
ASTM Standards for Concrete and Aggregates, Vol.4, ASTM
C1116, “Standard Specification for Fiber Reinforced
Concrete and Shotcrete”, 1989.
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ACI Committee Report 544.2R 89, “Measurement of
Properties of Fiber Reinforced Concrete,” ACI JOUR-
NAL, July 1989.
Vondran, G., and Webster, T., The Relationship of
Polypropylene Fiber Reinforced Concrete to Permeability,
SP 108, American Concrete Institute, Detroit, 1988,
pp. 85–97.
Padron, I., and Zollo, R. F., “Effect of Synthetic Fibers on
Volume Stability and Cracking of Portland Cement
Concrete and Mortar,” ACI Materials Journal, Vol. 87,
No. 4, July–Aug. 1990, pp. 327–332.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Current progress of HPP “LESCE” under construction in Croatia

N. Petrovic, S. Uzelac & M. Feketic

IGH d.d, Croatia

ABSTRACT: Water potential is important and attractive within the planning of energy development in Croatia.
This statement is based on the example of up-to-date water power utilization in comparison with available
potentials. Particular advantage utilizing the hydro energy potentials should be observed through the environmental
protection and reduction of green house emission. This is even more important as Croatia has signed pre-agreement
with respect to Kyoto protocol. Following the completion of the project documentation in the 90’s, HEP-
Proizvodnja d.o.o has recently commenced with the construction of the hydro power plant “Lesce” (HPP Lesce) on
river Dobra in Croatia. The commencement of works in wet part of the year 2005 has imposed adjustments to
the anticipated solutions of the diversion structures. Thus, the RCC (roller compacted concrete) upstream cof-
ferdam is replaced by the mass concrete cofferdam. This paper deals with a design solution of HPP Lesce and
changes to the preliminary works.

1 INTRODUCTION the canyon). The bedding is not especially expressed,

HPP Lesce is the second step in utilization of the hydro
potential of river Gojacka Dobra. The purpose of HPP
Lesce is to produce electricity during the variable daily
demand which increases the value of this power plant.
Hydrology characteristics of Gojacka Dobra comprise
high water flow in spring and autumn, therefore it re-
sults by high energy production during these seasons.
HPP Lesce utilizes water head at the distance of about
12 km. Along this section, Dobra riverbed is predomi-
nantly canyon-like. The vegetation within the canyon
is mainly bush with sparsely growth of some trees.
There are two creeks (Bistrica i Ribnjak) joining the
river Dobra upstream of the dam site.
i.e. they are in greater parts weakly bedded or blocks
are markedly fractured. Limestone is a strong rock, well
petrified and suitable for dam foundation. However,
within the investigated partition area its physical-
mechanical properties are considerably degraded by
tectonics and weathering. The joints are numerous and
they often mark the bedding. The orientation of the joint
systems is mainly parallel to the main fault directions
(Dinaric strike orientation).
Based on all the performed investigations the geo-
technical model was formed which was used for the
design.
3 DESCRIPTION OF THE LESCE

2 ENGINEERING GEOLOGICAL
CHARACTERISTICS OF THE SITE
The basic geological structure of the plateau consists of
calcareous rocks of Jurassic and Cretaceous Age. These
rocks are predominantly limestone, limestone breccias
and dolomites. Water impermeability of the calcareous
rocks is medium to higher one while the dolomite layers
have weaker water impermeability.
In the area of the partition the bending of layers and
smaller secondary anticline appeared in which apex of
the canyon of the river Dobra is cut.
Limestone is of light grey to brown color, some-
where brecciform (more expressed on the left side of
The main elements of the scheme are as follows: con-
crete gravity dam with the appropriate hydro mechanical
structures, accumulating basin (storage), power plant
with two main aggregates and one small aggregate
utilizing biological minimum flow, and the other follow
up structures including switch yard and access roads.
During excavation of the construction pit, the river flow
will be regulated by diversion tunnel which is seated
on the right abutment, and by the upstream and down-
stream cofferdams. The upstream cofferdam was origi-
nally designed as RCC (roller compacted concrete). An
intention was to get experience by using RCC as this
material has not been used in dam construction in
Croatia (Ref.4).

629
3.1 Characteristics of the scheme power plant (power outlets), to regulate biological
minimum flow in the river and to empty the storage
3.1.1 Water diversion structures during
(bottom outlet). In this scheme, the outlet for biological
construction
minimum is utilized for the power generation by small
The diversion structures were designed for the flood
aggregate (1.32 MW).
protection during construction for a 10 year return
The characteristics of the above mentioned struc-
period which corresponds to Q  245 m3/sec. To ensure
tures are as follows:
this protection, the characteristics of the structures
are as follows: Spillway
Diversion tunnel • width 2  7.0 m
• radial gates 2  6.0 m  7.0 m
• Diameter D  5.7 m
• Length L  158 m • spillway crest level 180 m
• capacity (10,000 AEP) Q  452 m3/sec
• Floor level FL  143 m
• Capacity for water Q  245 m3/sec Main power outlets (two pipes)
level of 156.5 m
• diameter 4.4 m
Upstream cofferdam • flow Q  60 m3/sec
• Maximum height 15 m
Outlet for biological minimum
• Crest length 74.75 m
• Crest width 3.5 m
• diameter 1.2 m
• Crest level 157.5 m
• flow Q  2.7 m3/sec
• Upstream slope 10 V : 1 H
• Downstream slope 1 V : 0.8 H Bottom outlet
• Total volume 7,300 m3
• diameter 1.8 m
Downstream cofferdam (earth-fill structure) • maximum capacity Q  65 m3/sec

• Maximum height 5.25 m The energy scheme data are as follows:

• Crest length 47.5 m – Plant power 41.32 MW
• Crest width 4m – Annual utilization 2,890 hrs
• Crest level 148.25 m – Annual energy production 106 GWH
• U/D slope 1V : 2H – Transmition lines 2  110 KV & 1  35 KV
• Total volume 3,000 m3

3.1.2 Concrete gravity dam 4 TECHNICAL DESCRIPTION OF UPSTREAM

Water storage required for the hydro power plant will be COFFERDAM
ensured by construction of a concrete gravity dam. The
main characteristics of the concrete dam are as follows: Project solution of the upstream cofferdam is devel-
• Maximum height 52.5 m oped as the roller compacted concrete (RCC) gravity
• Crest length 176 m concrete dam which, along with economic has also
• Crest width 4m technical advantages as follows:
• Upstream dam face vertical • Simple placing and compaction of material
• Downstream slope 1 V : 0.7 H • Quick construction
• Crest level 189 m • It is performed as a monolith and does not require
• Total volume 82,000 m3 joints
Powerhouse is located within the river bed immedi- • Requires smaller cement quantity which reduces
ately downstream of the dam and separated from the the hydration heat problem and cracking within the
dam body by the expansion joint. Water tightness will be cofferdam body
controlled by grouting curtain which will be extended • Enable communication along the upstream coffer-
at the left and right abutments with respect to the geo- dam connecting the right and left river banks during
logical conditions. construction
• Reduced sensitivity to changes in the foundation
3.1.3 Hydraulic structures soil under the cofferdam due to monolithic type of
The hydraulics structures are incorporated within the cofferdam
the concrete dam to release surplus or floodwater In a longitudinal section, the upstream cofferdam
(spillway), to provide the passage of the water to the consists of a central spillway section with a crest at

630
the elevation of 156,5 m which is 26,0 m long. The
crest level of no-overflow’s section (left and right of
the spillway section) is 157,5 m. The total length along
the crest is 74,75 m.
Change from the elevation157,5 m to the elevation
156,5 m is performed by means of transition slope in
ratio 1:4 to allow transport along the crest.
The upstream cofferdam’s water impermeability is
ensured by placing of sprayed concrete, 10 cm thick at
the upstream face which is reinforced by Q-131 wire
fabric reinforcement.
The water tightness of the foundation is ensured by
the execution of a grout curtain from the upstream
cofferdam’s foot.
It is already well established rule that the concrete
mixture placed by rolling has to be dry enough (5–7%
depending of the sand quantity) to hold the heavy
compacting equipment and at the same time it has to be
wet enough to enable filling of the cavities among
gravel large particles. Since norms for the aggregate
grading for RCC do not exist (as far as authors know) a
valuable experience of our concrete experts who
worked on the Mosul dam in Iraq is reviewed and taken
into account. According to this experience, recom-
mended sand quantity should be around 30% for maxi-
mum grain size of 90 mm (Ref. 2 & 3). Some more
recent experiences (Ref.1), besides the sieving curve
equation require also a #200 sieve passage of 8% for
the 76 mm maximum size of aggregate grain.
Concerning the execution of the upstream cofferdam
the following characteristics are anticipated: the spec-
ified compressive strength at 28 age is 5 N/mm2.
The expected mean value of testing results is fcm 
5.0  0.8 N/mm2 (20% fractile). Minimum allowed
strength is 2.5 N/mm2. A static modulus of elasticity
is equal or greater than 10,000 N/mm2. The minimum
density is 2.2 t/mm2 measured in situ. Maximum
cement quantity per cubic meter must not exceed
120 kg/mm3 or 180 kg/mm3 for a first contact layer.
Anticipated aggregate grain size is 63 mm.
The execution of this kind of cofferdam with appli-
cation of the RCC technology was anticipated during
dry season of a year after completing works on the
diversion tunnel which will allow diversion of river
Dobra. According to authors, this should be the first
cofferdam constructed using RCC in Croatia.
5 REASON FOR CHANGE OF TECHNICAL
SOLUTION
The commencement of works coincided with a humid
part of the year. Due to dynamics of major works the
anticipated preparation works (cofferdams and diver-
sion tunnel) had to be completed during wet season.
Therefore, it was necessary to make certain adjustments
of the predicted solutions to new conditions and enable
631
parallel construction of as many evacuation structures
as possible. Justification of the upstream cofferdam’s
construction by means of RCC as anticipated in the
major project has been reconsidered because it is more
convenient and technologically justified to execute
RCC of the upstream cofferdam in dry season. Also,
only after the completion of works on the diversion
tunnel and auxiliary cofferdam and their putting into
operation, the RCC upstream cofferdam can be exe-
cuted as a monolith unit.
The basic requirements and new situation are as
follows:
• It is the intention to commence with the cofferdam’s
execution as soon as possible and complete works
during wet season;
• Execution of the upstream cofferdam should com-
mence as soon as possible and parallel with execu-
tion of the diversion tunnel in order to complete it
before the anticipated commencement of major
works (April 2006);
• To reduce design works it is recommended to adopt
the gravity type of the upstream cofferdam and thus
reduce changes in existing projects and make require-
ment for a new static evaluation unnecessary;
• Enable the cofferdam’s construction in stages and the
commencement of works before the river’s diver-
sion through the diversion tunnel.
This newly occurred situation and requirements have
imposed the need to consider a change of the already
accepted upstream cofferdam’s construction technol-
ogy. Employer, Contractor and Project Engineer have
discussed the issue at meetings and a new concept has
been adopted. Accordingly, the project solution for the
RCC upstream cofferdam is to be replaced and the
upstream cofferdam with same characteristics is to be
executed but using mass concrete this time. In that case
the cofferdam would be executed in blocks.
It is also agreed that mass concrete MB 20 with V6
(water impermeability grade 6) and maximum grain
size of 63 mm, anticipated for major dam execution, is
used. The upstream cofferdam is divided in six mono-
liths (maximum length of 16 m) mutually separated by
expansion joints. Water impermeability at the expan-
sion joints is realized by placing rubber gaskets at the
upstream and downstream cofferdam’s faces.
By this choice of solution the following is made
possible:
Commencement of works before river diversion,
i.e. before the diversion tunnel is completed.
Execution of the upstream cofferdam in stages; first,
left and right cofferdam’s sides should be performed,
thus leaving a central part of a riverbed free (approxi-
mately 20 m wide) for the river Dobra flow.
At the central part across the 26 m wide stretch
where Dobra flows until the diversion tunnel is per-
formed it is possible to execute a foundation part of the
 NOITCES- R LA PY
THROUGESPILWAY
concrete is adopted as the most favorable and justi-
0 1: ERUSA M
fied one.
NOITAVEL
TSERC 157.0 05.3 Typical cross-sections of a modified upstream cof-
WOLFREV TS C
SECTION«
156.0
ferdam are presented at Figure 1.
NOITAVEL
57.1

6 CONCLUSION
05.1
Although HE Lesce has been selected based on the
optimal energy production, it has been designed with
10:

1:0.8
respect to the very strict environmental requirements.
0 .3 I/2
Morphology of the terrain was beneficial to reduce an
147.0 impact to the environment since Dobra riverbed is
146.0 mainly canyon-like.
The project is typical example where obvious advan-
143.50
1.57 14.0 tages of RCC utilization in dam construction are not
142.50
IX used due to the commencement of works in a wet period
1:5

5:1

of the year 2005.

The owner of HE Lesce is HEP (Croatian Electrical
5 .81
Corporation) and construction is financed by their
own funds.
NIATRUC O G

Figure 1. Typical cross – section through the spillway. REFERENCES

Bagioni de Menzes, J., Gama, H., Bandeira, O. & Lacerda S.

cofferdam’s central section. The foundation pit excava- 2005. Roller compacted concrete in the extension works of
tion and concreting of that section would be performed the Tucurui hydropower plant. Concrete Engineering Inter-
underwater and during small flow of Dobra. A special national, Volume 9, Number 2 Summer 2005, pp 39–41.
type of concrete for underwater concreting should be Beslac, J.1984. Roller Compacted Concrete at the structures
used for this section’s concreting. The cofferdam’s on the dam Mosul. Gradevinar, 36 (1984)3, str. 101–104.
central section should be completed after the diver- Guzina, B.J., Uzelac, S. & Sarić, M. Appilication of Roller
compacted concrete at appurtenant hydraulic structures
sion tunnel’s completion. of a large dam. XVI ICOLD, San Francisco, 1988; Q.62,
To meet specified requirements in the newly occu- R.30; pp 515–533.
rred situation with respect to the anticipated construc- Petrovic, N., Lincir, P. 1992. Utilization of Hydro Potential
tion dynamics, the replacement of the cofferdam type HHP Lesce. Conference – Constructors in Renovation of
which implies the replacement of RCC with mass Croatia, Book 2, 1992, Brijunski Otoci, Croatia.

632
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Optimization of concrete gravity dams foundation drainage systems

J.F. Da Silva
CMEC – Consulting Engineers, Belo Horizonte, Minas Gerais, Brazil

ABSTRACT: Numerical three-dimensional nonlinear flow analysis is a very efficient instrument for the opti-
mization of the subsurface drainage systems of concrete gravity dams. Post-mortem optimization analyses of
the intake and powerhouse structures of Isamu Ikeda dam indicated that the drains’ lengths, spacings and diam-
eters used in design were very close to optimum. The analyses have also indicated that the uplift force effec-
tively acting at the structures’ base is of the order of 25% of that obtained using the USBR design criterion. The
introduction of an additional drainage gallery together with two lines of inclined drains, in all galleries, would
have caused an additional reduction in the uplift force to a value near 10% of that indicated by the USBR crite-
rion suggesting that if the present methodology had been available at the design stage of Isamu Ikeda dam it
would have been possible to reduce the concrete structures’ weight by nearly 40%.

1 INTRODUCTION upstream reservoir (kN), Hj is the thrust of the down-

One of the most relevant activities of the geotechnical
design of concrete gravity dams is the determination
of its stability to sliding. Figure 1 shows the system of
forces that acts on a typical dam.
The correlation between these forces, to maintain
equilibrium, is given by the expression:
(1)
where Fs is the shear safety factor, P is the total
weight of the structure (kN), Hm is the thrust of the
stream reservoir (kN), U is the uplift force caused by
the water pressure acting at the dam’s base,  is the
friction coefficient (0), c is the cohesion (kPa) and A
the area of the base of the structure (m2).
Expression (1) shows that the safety factor increases
with increments in the weight of the structure or with
reductions to the uplift force. As the structure’s weight
can be modified, through changes to its geometry,
a reduction of the uplift force would allow for a reduc-
tion of the concrete volume and therefore of the struc-
tures’ cost and construction time. Since the uplift force
has such a strong influence both on stability and cost of
the structure, its control is probably the most important
aspect of the geotechnical design of concrete dams.

2 DETERMINATION OF THE UPLIFT FORCE

The uplift pressures caused by seepage through the

Figure 1. Forces acting on a concrete gravity dam.
foundations of concrete gravity dams has been gener-
ally estimated based on certain design criteria, the crite-
rion proposed by the USBR (Davis, 1969) and indicated
in Figure 2 being that most used.
The use of the USBR design criterion leads, in most
cases, to the design of conservative structures in terms
of safety factors to sliding but, sometimes, it can lead
to the design of dams with inadequate safety factor val-
ues (Serafim & Del Campo, 1965).
In a previous paper (da Silva & da Gama, 2003), it
was postulated that the most adequate form of estimat-
ing the uplift pressures in the foundation of concrete
dams lying on continuous permeable rock would be

633
 Figure 3. Typical cross section of block 2 of the intake and
powerhouse structures of Isamu Ikeda dam.

Therefore, the determination of the permeability

tensors for the foundation materials, through special
Figure 2. USBR design criterion.
field tests (de Quadros, 1992), is a requirement for the
realization of adequate flow analyses.
through adequate seepage analyses capable of incorpo-
rating the three-dimensional and nonlinear characteris-
tics imposed on the flow by the presence of the drains
5 OPTIMIZATION OF DRAINAGE SYSTEMS
drilled from the drainage galleries. A numerical model
which includes the above characteristics was developed
The optimization of foundation drainage systems of
by means of the finite element method and was denom-
concrete gravity dams consists in determining the num-
inated DW3D. The model accuracy was then verified
ber and position of the drainage galleries and the posi-
comparing the results of the analyses with the instru-
tions, inclinations, lengths, diameters and spacings for
mentation data of Isamu Ikeda dam, in operation in
the drains in order to reduce the uplift pressure to ade-
northern Brazil since 1982, and the agreement between
quate values.
observed and calculated pressure values was very good
Reductions to the uplift force (U) will permit the
(da Silva & da Gama, 2003). The results have also
structure’s weight (concrete volume) to be also reduced
shown that the uplift pressure diagram at the base of
without changes to the safety factor value, as indicated
the structure as determined by the USBR criterion
in expression (1).
was much larger than that determined by means of the
numerical model.
6 THE ISAMU IKEDA DAM
3 DRAINAGE SYSTEM GEOMETRY
Figure 3 shows a cross-section through the structures of
block number 2, one of the four blocks that comprises
In a subsequent paper (da Silva, 2005) the influence of
the intake and powerhouse complex of Isamu Ikeda
the drainage system geometry on the uplift pressure
dam. This block has been chosen because it contains the
under concrete gravity dams with drainage galleries
piezometers installed in the dam’s foundations. More
and drains was discussed. The geometry of the drains
details can be found in da Silva & da Gama (2003).
(length, diameter, spacing, roughness and inclination)
was investigated together with the number and posi-
tion of the drainage galleries. It was concluded that the
7 OPTIMIZATION OF ISAMU IKEDA DAM
drainage system geometry has a large influence on the
values of the uplift pressure.
7.1 Original drainage system geometry
The drainage system built for the structures is indicated,
4 FOUNDATION ANISOTROPY schematically, in Figure 4. The system is comprised of
two drainage galleries with one line of vertical drains
In that same paper (da Silva, 2005) the influence of the each. The drains on both galleries have diameters of
foundation materials anisotropy on the uplift pressure 76 mm (3). The spacing of the drains in the upstream
was investigated and the conclusion was that its influ- gallery is 3 m and in the downstream gallery is 4.5 m.
ence is also very large. The drains’ lengths are 16 m and 7.5 m respectively.

634
Figure 4. Original drainage system.
Figure 5. Uplift Pressure Diagrams at the base of Isamu
Ikeda dam (da Silva & da Gama, 2003).
7.2 Uplift pressure at the base
A flow analysis, using model DW3D, was performed
for the original drainage system and the resulting
pressure diagram at the dam’s base is shown in Figure
5 together with the USBR diagram. The uplift force
(U) resulting from each diagram was 1075.5 kN/m
(DW3D) and 4482.0 kN/m (USBR).
7.3 Reduction of the uplift pressure
As discussed elsewhere (da Silva, 2005), the follow-
ing actions generally provide reductions to the uplift
pressures:
– longer drains
– smaller spacing between drains
– larger diameter drains
– relocation of galleries
– additional galleries
– lines of drains duplicated and inclined
A discussion on the influence of each of these meas-
ures to reduce the uplift pressure in the foundations of
Isamu Ikeda dam follows.
635
Figure 6. Uplift pressure diagram with the gallery closer to
the downstream face.
Figure 7. Uplift pressure diagram for three galleries.
7.3.1 Longer drains
The drains at the upstream gallery were increased in
length from their original 16 m to 21 m and the drains
at the downstream gallery from 7.5 m to 10 m. For this
new situation the uplift force (U) at the base is equal
to 1071.5 kN/m, indicating a very small reduction.
This is in accordance with previous studies, since the
drains’ original lengths in Isamu Ikeda dam are close
to the reservoirs’ water heads and, therefore, are already
optimized in this respect (da Silva, 2005).
7.3.2 Smaller spacing
The spacing between drains was then reduced by 50%
from 3 m to 1.5 m for the upstream drains and from
4.5 to 2.25 m for the downstream drains. The shortening
of the distance between the upstream drains alone led
to a reduction of (U) to a value of 1043.8 kN/m. The
same action applied to the downstream drains reduced
(U) to a value of 1039.9 kN/m. The shortening of the
drains’ spacings in both galleries caused a further
reduction of (U) to a value of 1008.7 kN/m. It can be
seen that the reduction of (U), by shortening the drains’
distances was small, of the order of 6%, and this is
explained by the fact that the original spacings were
already adequate (da Silva, 2005).
Figure 8. Uplift pressure diagram for two inclined lines of
drains in the upstream drainage gallery.
Figure 9. Uplift pressure diagram for two inclined lines of
drains in the intermediate drainage gallery.
7.3.3 Larger diameter drains
The drains’ diameters were increased from 76 mm (3)
to 100 mm (4) resulting in no changes to the uplift
pressures, as expected (da Silva, 2005).
7.3.4 Relocation of gallery
The downstream gallery was relocated to the position
shown in Figure 6. This change reduced (U) to a value
of 1015.3 kN/m.
7.3.5 Additional gallery
An additional gallery was introduced in the position
shown in Figure 7. This measure caused a significant
reduction in (U) to a value of 702.8 kN/m.
7.3.6 Additional drain lines
The vertical line of drains in the upstream gallery was
then replaced by two inclined lines of drains. Figure 8
shows the resultant pressure diagram. The (U) value
was equal to 641.7 kN/m.
The same action on the intermediate gallery led
(U) to a value of 651.0 kN/m. This situation is indi-
cated in Figure 9.
636
Figure 10. Uplift pressure diagram with two inclined lines
of drains in the downstream drainage gallery.
Figure 11. Uplift pressure diagram for two inclined lines
of drains in all galleries.
The introduction of two inclined lines of drains in
the downstream gallery, as shown in Figure 10, led (U)
to a value of 671.2 kN/m.
Finally, the introduction of two inclined lines of
drains in all galleries, simultaneously, as shown in
Figure 11, led (U) to a value of 542.3 kN/m.
7.4 Summary of the analyses results
Table 1 presents a summary of all cases analyzed and
the corresponding values of the uplift force U.
From Table 1 it can be observed that the largest
reduction in the value of the uplift force, resulting
from use of the USBR criterion, occurred by actually
taking into account the original geometry of the
drainage system in the DW3D flow analysis. This fact
alone led to a reduction of 76% in (U) values at the
base of the structures, as shown in Figure 12.
The use of longer drains, shorter distances between
drains or larger diameter drains caused small reduc-
tions in U values. As explained, this is due to the fact
that these parameters are already very close to their
optimum values.
Table 1. Cases analyzed and corresponding values of the REDUCTION OF UPLIFT AT THE BASE
uplift force at the base of the structures in relation to the 30,
USBR value. 25,0
20,
Case Description (U) (kN/m)

U (%)
15,0

1 USBR design criterion 4482,0 10,

2 Basic case – Original drainage 1075,5 5,0

system 0,
3 Longer drains 1071,5 ORIGNAL ADITONL INCLEDRAS
GALERY
4 Smaller spacing – upstream 1043,8
drains
5 Smaller spacing – downstream 1039,9 Figure 13. Reduction of uplift pressure at the base of the
drains structures as a result of the drainage system’s optimization.
6 Smaller spacing – upstream 1008,7
and downstream drains
simultaneously
7 Larger drain diameters 1075,5
8 New position for the downstream 1015,3
gallery
9 Additional gallery 702,8
10 Additional gallery – Two lines 641,7
of inclined drains – upstream
gallery
11 Additional gallery – Two lines of 651,0
inclined drains – central gallery
12 Additional gallery – Two lines 671,2
of inclined drains – downstream
gallery
13 Optimized case – Additional 542,3
gallery – Two lines of inclined
drains – all galleries

REDUCTION OF UPLIFT AT THE BASE

10,
90,
80,
70,
60,
U (%)

50, Figure 14. Sliding stability analysis for the uplift pressure
40, on Plane A-A – Basic Case.
30,
20,
10,
0, The hatched areas represent blocks of rock and water
USBR DW3 wedges that have been incorporated into the stability
analyses by the designer.
Figure 12. Reduction of uplift pressure at the base of the From Figure 14 we have:
structures – Original drainage system.
(2)
However, as indicated in Figure 13, the introduction
of an additional gallery together with double lines of
inclined drains in all galleries caused a further reduc- where P is the total weight of the structures (kN/m),
tion in U of the order of 50% (from 25% to 12%). This Pc is the concrete weight (kN/m), Pr is the weight of
means that after the optimization process the final the rock blocks (kN/m) and Pw is the weight of the
value of U is nearly 12% of that indicated by the USBR water wedges (kN/m).
criterion. Taking expression (2) into expression (1) we have
the following expression to determine the weight of
7.5 Stability analyses concrete (Pc) for the structures:

Following the original design, stability analyses were

carried out along the horizontal plane (A-A), shown (3)
in Figure 14.

637
Figure 15. Variation of the structures’ concrete weight as a
function of the uplift force on plane A-A.

Figure 17. Sliding stability analysis for the uplift pressure

on Plane A-A – Optimized Case.

This expression gives the variation of the structures’

concrete weight as a function of the uplift force (U),
acting along plane (A-A), for a safety factor of 1.5.
Figure 15 depicts expression (4) in graphical form.

7.5.2 Cases analyzed

Two cases were analyzed: the basic case and the opti-
mized case, the difference between them being the
drainage systems and therefore the values of U on
plane (A-A).

7.5.3 Basic case

Figure 16. Optimized drainage system. The drainage system, for the basic case, is shown
in Figure 4 and corresponds to the original system
designed and constructed for the structures of the intake
7.5.1 Design parameters and powerhouse.
In all stability analyses the following parameters were In this case the uplift force (U) on plane A-A, indi-
assumed constant: cated in Figure 14, was determined using the USBR
criterion and its value was equal to 4397 kN/m.
For this value of (U) Figure 15 indicates that the
concrete weight Pc would be equal to 11780 kN/m.

7.5.4 Optimized case

The drainage system for the optimized case is indi-
cated in Figure 16.
The diameter of all drains is equal to 76 mm(3 ).
The spacing of the drains in the upstream gallery is
3 m and in the intermediate and downstream galleries
is 4.5 m. The length of the upstream gallery drains is
16m and in the other galleries 7.5 m.
In this case, the uplift force on plane A-A, indi-
cated in Figure 17, has been determined by means of
the DW3D model and resulted in 973 kN/m. For this
Introducing the values of these parameters in (3), value of (U) Figure 15 indicates Pc  8356 kN/m.
we have: The results show a difference of 41% in the struc-
tures’ concrete weight between the basic case and the
(4) optimized case.

638
8 CONCLUSIONS
The flow analyses, realized with the intention of opti-
mizing the subsurface drainage system of the structure
formed by block 2 of the intake and powerhouse of
Isamu Ikeda dam, have shown that the lengths, spacings
and diameters originally designed were already very
close to their optimum values. The flow analyses per-
formed for the original drainage system geometry
have shown that the uplift force value at the dams’ base
is of the order of 25% of the value estimated through
the USBR criterion. This represents a decrease of 75%
in the value of (U) as compared to the value used in
design. The optimized drainage system consisting of
three drainage galleries together with double lines of
inclined drains, replacing the single vertical line in each
gallery, induced a further 50% reduction in the uplift
pressure to a final value near 10% of that indicated by
the USBR criterion. This is a reduction of nearly 90%
in the value of (U) as compared to the value used in
design. A comparison between the sliding stability
analyses performed using the USBR uplift pressure
diagram and the pressure diagram obtained through
DW3D for the optimized drainage system, has shown
that if the present approach had been available at the
design stage of Isamu Ikeda dam there could have been
a reduction of nearly 40% in the structures’ concrete
weight for a safety factor value of 1.5. It is concluded
639
that flow analyses, along the proposed lines, are a very
good instrument for the optimization of subsurface
drainage systems of concrete gravity dams and can lead
to appreciable reductions in their costs and construc-
tion time.
REFERENCES
da Silva, J.F. & da Gama, E.M. 2003. A Three-dimensional
model for seepage analysis of concrete dams foundations.
4th International Workshop – Applications of Computa-
tional Mechanics in Geotechnical Engineering. 337-357.
Ouro Preto. Brazil.
da Silva, J.F. 2005. Influence of the geometry of the drainage
system and of the foundation anisotropy on the uplift pres-
sures under concrete dams. Infogeo 2005 – 50. Brazilian
Symposium on Applications of Computational Mechanics
in Geotechnical Engineering. 165-174, Belo Horizonte,
Brazil.
de Quadros, E. F. 1992. The directional hydraulic conductivity
of rock masses. Doctor of Sciences Thesis. University of
Sao Paulo. Volume 1. (In Portuguese).
Davis, C. V. 1969. Concrete dams, basic principles of design.,
In Davis, C.V. & Sorensen, K.E (ed), Handbook of applied
hydraulics. Third Edition: McGraw-Hill, Section 9.
Serafim, J. L. & Del Campo, A.. 1965. Interstitial pressure
on rock foundations of dams. Journal ASCE. Vol 91,
SM5, 65-85. New York.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Special precast for San Francisco Hydroelectric Power Plant – Equator

J.F.F. Nascimento & N.G. Graça

Furnas Centrais Elétricas S.A., Goiânia, Brazil

S. Freitas & A. Toro

Construtora Norberto Odebrecht, Baños, Equator

ABSTRACT: The San Francisco Hydroelectric Power Plant, under construction at this moment, located in the
Los Andes mountain range, approximately to 220 km to the south of the city of Quito, capital of the Ecuador,
and it has as a main characteristic a project completely underground. In this project the water tunnel is 11,099 km
long and 7,04 m wide, considering its diameter that it will be excavated by Tunnel Boring Machine (Fig.1).
According to the opposing rock type, following an approach settled down by the design, in some of its parts
have been foreseen lining and support by using special pieces of concrete Precast that to be installed in the place
by means of the own TBM during the excavation. They are produced six types of pieces that, when connected,
compose one ring with 1,40 m of thickness. The successive placement of the continue rings composing the tun-
nel lining. The aim of this paper is to present the methodology and the industrial process of production of these
pieces, keeping the high grade of required precision and the obtained quality. They are also presented the
obtained control data and the illustrations corresponding to the whole adopted process.

1 INTRODUCTION discharge of the Hydroelectric Power Plant Agoyán,

The Hydroelectric Power Plant San Francisco, located
at Pastaza river, is being built at the moment. It is a dif-
ferent of the conventional projects because it is entirely
building underground.
The generation of energy in San Francisco Hydro-
electric Power Plant, begins in the two tunnels of
located waters up (Fig. 2).
The interconnection between two power plants
begins in the “Interconnection Chamber” structure, to
those that one adds the tunnel of intermediate dis-
charge to be used in the event of any stoppage in San
Francisco Hydroelectric Power Plant.
From the Interconnection Chamber, the Conduction
Tunnel continues in an extension of 11.099 m. That
structure driving the waters until the Pressure Conduit

Agoyán HPP
Flow from
2 Units
Agoyán Dam
156 MW
Q: 116 m³/s
By-Pass
Q: 60 m³/s
Conduction Tunnel
Diameter: 7,0 m
Length: 11,099 km
Water Flow San Francisco HPP
Fall: 200 m
Q: 116 m³/s
254 MW

To pastaza river

Figure 1. Preparation for initial activities of TBM. Figure 2. San Francisco Hydroelectric Power Plant – Layout.

641
(a vertical shaft with 7,04 m in diameter and 200 m
deep) toward the powerhouse. The capacity of electri-
cal generator is 230 MW through of two turbines type
Francis. The water is given to the Pastaza river, by
means of the Restitution Tunnel. The energy pro-
duced in the San Francisco Hydroelectric Power Plant
it will be incorporated to the Interconnected National
System (I.N.S.) through the transmission line of 230 kW
and 44 km length.
The Conduction Tunnel will cross different rock
types and geologic structures. Where necessary their
maintenance by means of rings formed by six pieces
of concrete precast (segments).
That segments present special characteristics in their
geometry, very precise dimensions and compatible
strength with the application. Their assembly is a con-
tinuous and automatic process and its contact with the
rock it will be filled out fine agregate. The completion
of the voids will carry out by grouting of flowed mortar.
Segments of “A” types was produced to the invert
of the tunnel and of the “A”, “B1”, “B2”, “C”, “D”,
“E” types to formation of the rings (Figs. 3 and 4).
Figure 3. Six types of pieces that compose the ring.
Figure 4. Mounted ring.
642
2 PROJECT CONSIDERATIONS
2.1 General purpose
The lining with rings concrete precast is an alterna-
tive to the other types of support and lining proposed
in previous projects. That alternative consist of:
– shotcrete and with steel ribs; and
– simple expanded precast concrete lining “in situ”.
This alternative was chosen for reasons of change
in the executive process of conventional excavation
by excavation with TBM, which foresees the use of
the precast concrete rings with 0,20 m thickness con-
sisting of six segments of 1,40 m wide.
2.2 Criteria for use of segmental linings
In this case the allowable stage was analyzed for the
following:
2.2.1 Handling stress
– Removal of the molds;
– Stress after removal of the molds;
– Hoisting for transport with special device and/or
cables.
The minimum compressive strength of the concrete
was 10 MPa.
2.2.2 Stress during the excavation and operation
– Tractive forces due to the pistons as for the displace-
ment of the TBM;
– External force due to the weight of the rock;
– Drive force.
2.2.3 Definition of Reinforcement
The minimum reinforcement section was calculated
by normal state of loads. This section was increased
due to the efforts coming from the requirements geo-
logic conditions.
2.2.4 Fissure occurrence
The width of the calculated fissures was of 0,06 mm,
inferior to the one considered acceptable for design
(0,15 mm).
3 FABRICATION OF PRECAST SEGMENTS
3.1 Initial considerations
The production of the segments began with the pieces
of the type “A” usable in the invert of all the longitude
of the conduction tunnel. Their main functions are the
following ones:
– To allow the reaction of advance of the TBM and to
improve the hydraulic conditions.
– To serve as support of the freight trains rails.
 The concrete strength compressive, with control
age to the 28 days, is 45,0 MPa.
Due to the great quantity of pieces to be produced,
the process of acceleration of the hardening was
adopted by means of thermal cycle of 6 hours with
maximum temperature of 70 °C, included in the pro-
duction system.
3.2 Central of fabrication
To development of this work an industrial structure it
was mounted. This structure consisting of a appropri-
ate production line and is constituted for the main
parts:
– Sector of reinforcement preparation;
– A concrete plant of the automatic batching type;
– A power plant of production of vapor (boiler);
– Laboratory for concrete control;
– Production line.
The Figs. 5 and 6 illustrate the facilities.
3.3 Fabrication
3.3.1 Special molds
All molds are fixed and they are destinated to the pro-
duction of segments, whose characteristics are pre-
sented in Table 1. Their lateral and superior parts are
articulated and the vibration is made by means of
vibrators external.
These models have a rigorous calibration process,
for the following reasons:
– to eliminate any doubt possibility.
– limited space and high degree of TBM precision.
3.3.2 Preparation of the models
Before each batching, the molds are submitted a rig-
orous preparation process:
– The cleaning of the molds begins with brush steel
mechanic,
– At once the application of a degreasing is made. In
this operation is used a natural and biodegradable
emulsion.
– The following operation is water wash and drying
with pressurized air.
– After the whole cleaning the checkup of its dimen-
sions is made frequently considering several points
in order to guarantee the uniformity of the pieces
as the limits of tolerance.
– The final operation is the application of emulsion
on the molds to remove the piece.
The Figs. 7 and 8 illustrate that operation.

Table 1. Characteristic of the molds.

In site Ø Weight Dimensions

Molds (mm) (kg) (mm) Use

A 6.800/6.400 2.400 3671  7154 Invert

A 6.800/6.400 2.400 3671  7154 Ring
B 6.800/6.400 2.900 4448  1210 Ring
Figure 5. General vision of the facilities. C 6.800/6.400 3.100 3288  1210 Ring
D 6.800/6.400 2.900 3240  1210 Ring
E 6.800/6.400 3.100 3288  1210 Ring

Figure 6. Vision of the facilities interior. Figure 7. Vision of the “A” type mold (closed).

643
Figure 8. Washing after cleaning with steel brush and Figure 9. Removal of the molds.
removal with chemical product (open).

3.3.3 Steel reinforcement

The steel reinforcement is produced by manufactur-
ing and sending to the site with its final dimensions
settled down in the project.

3.3.4 Production and placement of the concrete

The concrete is made in automatic batching plant. Its
application is made through of a bridge crane and the
concrete is placed direct into the molds and vibrated.

3.3.5 Acceleration to the strength – Thermal

cycle
The process of acceleration of the hardening was
adopted by means of thermal cycle of six hours with
maximum temperature of 70°C. There are four stages:
Stage 1 – 2 h30 min – Time of wait (in rest).
Stage 2 – 30 min – Time to elevate the temperature of
the vapor until 70 °C.
Stage 3 – 2h30 min – Temperature stabilized in 70 °C
for acceleration of the stress concrete.
Stage 4 – 30 min – Time to reduce the temperature and
to take out the piece of the mold.
3.3.6 Transport of the piece
After the Stage 4, the mold is removed. At this time
the concrete presents strength to uniaxial compres-
sive more than 10 MPa, which is enough to its trans-
ports and storage (Figs. 9 and 10).
4 CONCRETE CONTROL QUALITY
Due to the reduced time to removal of the molds (each
6 hours) and logistics conditions, the control of the
compressive strength is made in own laboratory, located
in the plant.
Figure 10. Transports with special device.
4.1 Materials
The materials were submitted the complete character-
ization of their physical and chemical properties.
4.2 Concrete composition
Addition of 3 % of active silica was adopted with pur-
pose to improve the internal structure of the concrete.
This composition is being used in the production of
the segments of the rings.
The Table 2 presents the compositions used.
4.3 Technological control
Basically, the ages of technological control of the
concrete are two:
– 6 h: reference age for checkup of the strength to the
compressive that allows removal of the molds and
to handling the piece.
– 28 days: reference age for checkup of the compres-
sive strength to use of the piece in the structure. This
value have to assist the specified strength of 45 MPa.

644
Table 2. Concrete compositions.

Composition – kg/m3

Materials Cement IP Sílica Active Sand Wash Gravel Gravel Water Admixture Ratio
2,4 – 9,5 mm 9,5 – 19 mm Viscocrete 20 HE W/C

500 15 864 277 518 170 2,8 0,327

Quantity
500 – 889 277 518 170 3,0 0,340
Thermal Cycle
6 hours Maximum temperature
70°C

Table 3. Concrete without active silica: slump average Table 5. Uniaxial compressive strength (kg/cm2).
14 cm.
Average Average
Compressive strength – kg/cm2 Characteristic unit uniaxial
of the Age weight compressive
Statistical data 6h 7 days 28 days 90 days segments (days) (kg/m3) strength (MPa)

Average – MPa 155 366 488 593 Segments without 2.325 45,8
Stand. Deviat.– MPa 25,9 37,0 36,8 19,8 addition of active
Coeff. of Variat.- % 17,8 10,9 7,5 3,8 silica 28
Specif. strength – MPa 100 – 450 – Segments with 2.348 54,9
Required strength-MPa 121 – 439 – addition of active
Sample – N 99 90 85 11 silica

Table 4. Concrete with silica ativa: slump average 13cm.

Compressive strength – kg/cm2

Statistical data 6h 7 days 28 days 90 days

Average – MPa 177 380 552 –

Stand. Deviat.– MPa 24,0 20,2 19,8 –
Coeff. of Variant.– % 85 56 3,2 –
Specif. strength – MPa 100 – 450 –
Required strength 144 – 517 –
Sample – N 45 41 25 –

– Other ages: also used for verification of the evolu-

tion of the strength.
Figure 11. Concrete with active sílica: adhesion of the
In the Table 3 the statistical data of compressive mortar with aggregate.
strengths from concrete samples are presented for pro-
duction of segments type “A” for the use in the invert.
In the Table 4 the statistical data of compressive 5.2 Electronic microscopy of sweeping
strengths from concrete samples are presented for
The analysis of the micro structures of the concrete it
production of segments of the types “A”, “B”, “C”
was verified through the electronic microscope of
“D” and “E” for a complete ring.
sweeping, for the concrete compositions, with and with-
out active silica.
The Figs. 11 and 12 compare the density and adhe-
5 CORE DRILLING ANALYSIS
sion of the mortar with the aggregate.
5.1 Compressive strength
The compressive strength results of core drilling sam- 6 CONCLUSIONS
ples from the segments to the age of 28 days (with and
without addition of active silica) are presented in the From the results presented above, the follwing con-
Table 5. clusions can be made.

645
Figure 12. Concrete without active silica: adhesion of the
mortar with aggregate.
Figure 13. Rock unstable.
1. The pieces have presented excellent quality con-
cerning strength and dimensions.
2. Concerning to the use of active silica, the micro-
scopic analysis reveals:
– better characteristics of adhesion mortar-
aggregate;
– high compactness of the mortar; and
– better formation of chemical compounds.
3. The analysis of the statistical data indicates better
results to the average compressive strength and
smaller dispersions in the results from concrete with
addition of active silica (Tables 3 and 4). Probably,
to high dispersion of the cement by introduction
of the active silica and additive superplasticizers,
646
Figure 14. Final surface of the ring section.
with the consequent influence in the properties
analyzed.
4. The data to the compressive strength of core drilling
of the segments (with and without active silica), to
the age of 28 days (Table 5), present compatible
values with those obtained of the cylinders (Table 3
and 4).
5. The data of calibration of the molds present values
as the specified, those guarantee with security their
applications in the tunnel by means of the TBM.
6. The materials presented its properties as
specificated.
7. The aggregates had yours reactivity neutralized by
the pozolanic cement type IP (ASTM C595–03).
8. The application of the segments were well suc-
ceeded, when applicated on critical locals where the
rock presented fractured and decomposed. (Fig. 13).
9. The rings formed by segments presented a regular
and continuous face (Fig. 14).
REFERENCES
Nascimento, J.F.F. & Graça, N.G. 2005. Report to Consultancy
to the Inspection. In Hidropastaza, Project Hydroelectric
San Francisco, Report ASFI.SF.02.2005-R0, February
2005. Baños.
Nascimento, J.F.F. & Graça, N.G. 2005. Characterization of
the cement and potential reactivity of the aggregates. In
Furnas Centrais Elétricas, Report D.C.T.T.01.049.2004-
RO, July 2004. Goiânia.
ASTM C595-03: Specification of pozolanic cement.
ASTM C1260: Determination of alkali-aggregate reaction.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Application of jet grouting for watertightening of coarse grained alluvium

H. Bagheri
Head of Engineering Geology Section, Moshanir power Engineering Consultants, Iran

ABSTRACT: Nian dam, with a height of 32 m is an embankment dam with clay core, which will be con-
structed on 17 m thick foundation of coarse-grained alluvium. The abutments are made of conglomerate with
rather low permeability. In the final design, a cut-off wall was considered for water tightening of the alluvial
foundation. However, the cut off construction will be very time consuming and because of urgent water require-
ments, it was decided to make some modifications to the design. One of the changes introduced was replacing
the Nian cut-off wall by jet grouting. Jet grouting is a fast procedure, through which low permeable soilcrete
columns of up to 3 m in diameter can be formed within alluvium. This method has so far not been utilized in
Iran and this project is the first one where this method has been designed and executed.

1 INTRODUCTION range extends from northeast to south-east of the

In order to provide water for domestic uses of Bandar
Abbas city (South of Iran) and Qeshm Island, Moshanir
Company as the consultant of the project, has studied
the catchments area of Zendan River and has proposed
two dams namely Shamil and Nian with a join reser-
voir. The join reservoir has a capacity of 115 MCM
and can provide a portion of the domestic needs.
Nian dam, with a height of 32 m is an embankment
dam with clay core, which will be constructed on 17 m
thick foundation of coarse-grained alluvium. Shamil
dam, at a height of 30 m is also an earthfill dam with
clay core, which will be constructed on a 4 m thick
alluvial material.
In the final design, two cut-off walls were consid-
ered for water tightening of the alluvial foundation of
both dams (Moshanir, 1999).
Water sealing of dam foundations especially when
the dam is going to be built on alluvial material is one
of the main issues. Although, cut off wall is the most
common method to achieve the desired watertightness,
since watertightening is a contentious issue from feasi-
bility study up to operation stage, during the construc-
tion stage, it was decided to replace the cut off wall with
jet grouting method to provide the technical require-
ments of the project. This paper reviews the results of jet
grouting method currently applies in Nian dam site.
province and terminates to lime and sandy hills and high
lands as well as low lands parallel to the Persian Gulf
and Oman Sea (Moshanir, 1995). The area is mainly
composed of Mishan & Aghajari formations. Mishan
formation is formed of marly limestone, marl and inter-
calations of limestone. Aghajari formation is composed
of conglomerate with mudstone interbeds. Dam sites
are located on Aghajari formation (Moshanir, 1998).
The reservoir will be formed in a small plain,
named as Sarzeh-Shamil plain, which is triangular
shape and located 195 m a.m.s.l. The plain extended
some 35 km2 and the reservoir is 14.2 km2. This plain
is covered with river, terrace deposit, and alluvial fans
with a maximum thickness of l00 m. Deposits are
mostly coarse-grained and composed of sand, gravel,
pebble, and small amounts of silt.
Zendan river trending south-west has cut two val-
leys in conglomerates. The entrance of U shaped valley
with a width of 410 m in the riverbed, and its semi
vertical abutments have been selected for Nian dam
project. Abutments are formed of thick layers of con-
glomerate with intercalation of sandstone dipping 20°
towards upstream. Alluvial deposits with maximum
thickness of 17 m covers the riverbed. Depth of weath-
ered rock is about 3–4 m.
3 GEOTECHNICAL DATA

2 GEOLOGY In order to investigate subsurface conditions, 20

exploratory boreholes were drilled, 12 of them in the
The catchments area and the dam sites are located in the riverbed. Permeability tests were carried out in all bore-
east zone of Zagros mountain range. Zagros mountain holes. The average permeability of river alluvium, right

647
and left abutments are 2.5*102, 3.2*104 and 4.3*
104 cm/sec respectively (Moshanir, 1998).
In addition, some 36-geoelectrical profiling was
carried out along the riverbed to investigate the allu-
vium layers. According to the results, the thickness of
alluvial material is 12–17 m. The groundwater in the
abutments stands higher than the river level. The
measured hydraulic conductivity was obtained from a
pumping test carried out in the middle of the riverbed,
is 2.3*101 cm/sec.
These data were utilized for seepage analysis and
grouting design. Based on properties of alluvial mate-
rial, containing coarse-grained gravel with sand, silt and
big boulders, a cut off wall at height of 20 m and width
of 60 cm was designed together with an upstream blan-
ket of 90 m long. The estimated time for construction
of cutoff wall is around 18 months.
Low precipitation during last 5 years, and high
water consumption requirement, asked for a tight
time schedule for completion of the dam. Therefore, a
team of experts was reviewed the project design, as to
introduce required modification in a manner to reduce
the construction time. Although completion of the dam
body was of critical importance, it was not possible to
start work on it before completing the cut off wall.
Therefore, it was decided that jet grouting will be
carry out instead of the cutoff wall as a water tighten-
ing measure, to reduce the construction time.
4 JET GROUTING
Jet grouting is a soil grouting method that uses very
high pressure to inject cement grout into a soil deposit.
The method is an erosion/replacement process, to
increase the strength and reduce permeability when
grout is hardened.
The application of jet grouting method has signifi-
cantly increased in the world since the late 1970s and
in the US since late 1980s. This method hasn’t yet been
utilize in Iran and normally cut off wall is using in the
dams with alluvial foundation.
The method is very flexible and can be used to
treat a wide range of soils, at much shorter time, as
compared to other grouting systems.
By recognizing the jet grouting potentials for our
project, team of expert started to investigate the man-
ner the jet grouting can be adopted to suit Nian project.
Basically, there are three methods of jet grouting,
namely Single, double and triple methods. The basic
principle of each one is practically the same. The main
differences are in the number of nozzles and type of
fluids that are injected through the grouting rod.
Eventually, the triple method was found to be the
appropriate one for Nian dam foundation.
In this method, the mixture of water and air sends
out at high speed through a nozzle, so that soil erosion
648
Table 1. Design criteria for jet grouting.
Water pressure (MPa) 30–36
Water flow (l/min) 70–75
Air pressure (MPa) 0.6–1.2
Air flow (m3/min) 0.8–5
Grout pressure (MPa) 0.3–4.0
Grout flow (l/min) 65–80
Density of grout (g/m3) 1.6–1.7
Lifting speed (cm/min) 7–10
Rotating speed (sec/min) 0.8–1.0
Spacing of grout holes (m) 1.5
W:C ratio 0.7
occurs. Then, together by slow rotation of the drilling
bit and slow uplift of the drilling rods, the grout will
injected through another nozzle in order to mix soil
and cement. By separating the erosion process from
the grouting process, this procedure yields a higher
quality soilcrete.
5 DESIGN AND SPECIFICATION
The required data for design of jet grouting collected
from the results of geotechnical investigations, and
trial grouting. In the first phase of trial grouting, four
boreholes with depth of 5 m drilled and grouted by jet
grouting method, introducing different pressures and
mixes in order to define the ideal mixing ratio and ade-
quate pressure required to get an impermeable soilcrete.
The Second Trial grouting consisted of drilling and
grouting of five boreholes, with controlled pressures
and mixes to redefine the mixing ratio and adequate
pressure. After completion of the insitu tests the sur-
rounding alluvium of the soilcrete columns excavated
up to depth of 5 m in order to control and inspect the
results. Finally, the design criteria for actual jet grout-
ing were determined as shown in Table 1.
6 GROUTING OPERATION
Jet grouting operation started on Dec. 2005. During
the grouting of first set of grout holes it was noted
that the grout pressure could not be raised above
0.2 MPa due to inadequacy of pump. Consequently,
the diameter of soilcretes reduced to 1.5 m. Therefore,
the spacing of grout holes was reduced to 1.2 m. In
addition, it was found that rate of cement consump-
tion was very high.
After completion of 50 m, length of grout row,
three control holes were drilled along the grout cur-
tain to control the grouting results. Permeability tests
(Lugeon) carried out for every five meters length of
the control holes.
 Differences noted in cores drilled along the soil-
cretes (Moshanir, 2005) are as follows:
a – Sandy silty gravelly layers showed good cementa-
tion with average RQD of 50%. Permeability was
reduced to 105 to 106 cm/sec.
b – In silty sandy layers, only traces of cement could
be recognized. Permeability of these layers was
reduces to 10–4 cm/sec.
c – Around the big cobbles, and boulders no cementa-
tion was found. The permeability was in range of
10–3 to 10–4 cm/sec.
Due to non-homogeneity of alluvial material, dif-
ferent layers show different cementation.
In order to observe the actual condition of soilcrete
columns, the surrounding soils along six columns
were excavated down to 7 m. Unexpected result was
reached where jet grouting intersected very big
boulders.
The fine material below the boulders washed away
during high-pressure injection, forming open spaces.
These spaces were filled with grout material during
grouting works. Then, due to bleeding effect, water was
washed away from the area and cement was deposited
on the base of these spaces. As a result, cavities were
formed above them.
Three cavities with different sizes up to 20*20 cm
and 1.5 m long were discovered in the excavation area.
At present, it is not certain that how many of these
cavities might be formed along the grout curtain. Each
one of them can transfer water from reservoir towards
down stream.
Effective jet grouting diameter is about 1.5 m,
which reduces the spacing between grout holes. For
the effective diameter of 1.5 m, the max volume of
soil being affected by grouting is 1.8 m3 for every
meter length of the columns. As the minimum perme-
ability is about 0.5 cm/sec, in fact the porous volume
amounts to 0.09 m3/m.
Assuming max. washout rate of 10% of fine mate-
rials, the volume of replacement grout to achieve zero
porosity for every meter of the grout holes, will be
270 lit. Also with W/C
0.7, 1 Kg of cement is
needed for one liter of grout. However, due to inade-
quate capacity of the available equipment and high
rate of removal of mix from the borehole, cement
consumption has reached 500–1000 Kg per meter,
which has resulted in severe loss of cement.
Finally, as remedial measure, it was decided to
apply grout holes with spacing of 1.0 m in the middle
649
of soilcrete columns to fill the possible cavities and
meet the design criteria. Grouting is still going on.
7 CONCLUSION
Considering the composition of alluvium of the foun-
dation in Nian Dam and presence of large boulders,
being problematic for the construction of the cut off
wall and slowing down the progress of execution works,
use of triple method of jet grouting was approved for
water tightening of dam foundation.
In this method, the mixture of water and air sends
out at high speed through the nozzles, so that soil ero-
sion occurs. Then, together by slow rotation of the
drilling bit and slow uplift of the drilling rods, the
grout will injected through another nozzle in order to
mix soil and cement. As a result, soilcrete columns with
diameter up to 3 m will form.
This work is aimed at creating of soilcrete columns
with permeability of 105 to 106 cm/sec.
Field investigations carried out in the grouted sec-
tions of Nian dam show wash out and removal of fine
materials by jet grouting. Fine materials up to sand
size are washed out and replaced by cement. Because
of the presence of large boulders, contact between rock
and cement in such areas is poor, cavities are formed
and their water tightness is weak.
Based on the results, one row of the soilcrete will
not provide proper tightening of the foundation, there-
fore, drilling grout holes in the middle of the jet grout-
ing columns was agreed to designed and executed to
fill the cavities and gaps.
In general, it is concluded that for jet grouting works
utilization of suitable equipment, experienced and com-
petent personnel and use of suitable grout at appro-
priate pressure are of particular importance.
This method, is being practiced for the first time in
Iran was not successful in achieving the requirements
of project, since suitable equipments and experienced
personnel were not used.
REFERENCES
Moshanir. 1999. Final Technical Report of the Project.
Moshanir. 1995. Geology and Hydrogeology Report of the
Project area.
Moshanir. 1998. Engineering Geology Report of the Dam
and Reservoir Area.
Moshanir. 2005. Results of Jet Grouting.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Research and application of the new technique of seepage

control – the replaceable relief well

Wu Chang Yu & Zhang Wei

Yangtze River Scientific Research Institute, Wuhan, China

ABSTRACT: This paper presents a new structure of relief well which is divided into two parts, the fixed part
and the removable part, the former plays as the supporting framework, and the later is as the main filter to keep
clean, prolong the service life of relief well by replacing the removable part in the suitable time, to get the long-
term result and lower cost. A series of research work has been done, including lab and field experiments in three
stages, the results further explain the mechanism of silting, and show the effects of different design cases, pro-
vide the solid foundation for this new technique.

1 INTRODUCTION 2 ABOUT WELL SILTING

The adoption of relief wells for seepage control on dike
or dam foundation sometimes is the only choice, as the
other method may be expansive or nearly no feasible
under the geology condition. On the contrary, the relief
well is flexible, costs less, takes small place, makes
less influence to the residents near by. However, relief
wells always be silted up at last with the change of time,
although they work very well in the first stage. In the
past time, the relief well can be partly repaired by wash-
ing only, once being blocked up, complete repair is very
difficult. This limits the relief well full to be developed,
and need the higher maintenance and renewal expenses
to insure the flood control safety.
The relief well in Yangtze River dike is built in the
foundation of fine silt sand, fine sand or deeply gravel
sand layers. The research work on the well silting in the
past mainly focus on the filter and the chemical silt-
ing but not the whole drainage system and the process
of different silting types. In order to improve it, we
have carried out a series of research work on the relief
system and various silting forms. The reason causing
the silting and the moment when it would happen are
concerned in a plenty of tests. Based on the research
result, we have studied on the possibility and feasibil-
ity of prolong the service life of relief well by replac-
ing the removable part in the suitable time, thus to get
the long-term result and lower cost. A series of
research work has been done, including in lab and
field experiments in three stages, the results further
explain the mechanism of silting, and show the
effects of different design cases, provide the solid
foundation for this new technique.
2.1 Mechanical silting
The reasons of relief well silted by mechanical force
include: mud enters the granular filter in construc-
tion, starting from the interface between the well
screen and the filter then into the inner filter gradu-
ally; the silt pie formed at the front of the filter after
well operation block up the flow, as the choice of
grain size of the filter material tends to smaller; the
choice of opening size of the well screen net is not
suitable for the grain size of granular, makes silting at
the interface between the net and the granular; and the
exit of well is lower than the surface of ground or no
suitable protection for well exit.
Practice shows that the possibility of mechanical
silting in Yangtze River dike in flood season is lower,
if the granular filter design is properly in accordance
to the related standard.
2.2 Chemical silting
We have done a great deal of silting tests in lab, and
some redox experiments in situ to check the electric
potential of well water. The results show that the
chemical silting does not take place in flood season
but after the intermission period of well working. At
this time groundwater flows relatively slower, the fer-
rous sand of foundation and filter dissolves in water
under the redox condition. This creates a favorable envi-
ronment for oxidation as opening to the air at the exit
of well, it makes Fe2 of water near the exit converts
to Fe3, that decreasing the content of Fe2 in well
water, and let Fe2 diffusing from groundwater to well

651
water. In this way, Fe3 content increases continu-
ously in the surface of well water, some of them
(Fe2O3.nH2O) are adsorbed and adhere to the wall of
well, the other forms some precipitate (Fe(OH)3). Most
sinks to the well bottom, the rest enters into the filter
and net, causing the chemical silting.
The main sources of silting material are the iron-
stone, calcite in the permeable sand layer that can
reduce in the water.
The main forms of chemical silting are adsorbing
on the wall of well, and forming precipitate enter into
the filter and the net.
The research indicates that the permeability will
descend greatly and the silting will be seriously if the
content of Fe(OH)3 reaches to 3%.
At the depth direction, the most serious chemical
silting is on the position above the well water table of
well, the second one is on the place related with the
water fluctuating zone of well. The adsorbing zone is
at the area below the water 35 ms, by the field tests.
At the radial direction, the adsorbing area mainly con-
centrates on the wall or filter net, the depth of affecting
area is about 24 cms.
2.3 Biological effect
By the observing and analyzing, we notice that algae
are easily live on the water fluctuating zone to block up
the well gradually. And this will also speed up the
chemical silting growing, and deepen the affecting area.
The microorganism that affects the relief well is
mainly algae, crenothrix and sulfur germs; The biologi-
cal effect mainly includes bioaccumulation, adsorption
of suspended sediment in the well water and fouling.
2.4 Summary
As a result of the analysis as above, we find that the
most possible to occur and the most difficult to prevent
and cure for well is the chemical and biotic silting. But
it is still possible for us to adopt the artificial means to
intervene the process of silting if the whole process is
understood. The essential idea of the new type well is:
let the silting happens in the place where is easily to be
changed, than remove the silted part and change with a
clean one to prolong the service life of relief well.
The key of it is success or failure lies in whether
match the silting mechanism objectively, if the replace-
able well is feasible and practical to be changed easily,
and how well it works.
3 DESIGN AND RESEARCH OF THE
REPLACEABLE WELL
3.1 Design of the replaceable well
The structure of the removable well can be divided into
two parts that are fixed and removable. The fixed one is
652
the same as the conventional, with granular filter, screen
net and outer-tube placed from outside to the center of
well; the removable one includes nylon net, foamed
plastic layer and inner tube, in the same sequence.
3.1.1 Design of granular filter
The choice of filter should satisfy the both require-
ments of stability and permeability. On the base of prac-
tice it is easer to get each but difficult to get both. The
emphasis of design was mostly on the aspect of sta-
bility in the past, that the smaller grain size was pre-
ferred within the value range of calculation. Although
this will be OK in permeability in the first stage, but
it will be hard for small grains entering the filter to
leave and then stay and concentrate together. Besides,
the filter passage is smaller, the gummed material of
Fe and the sediments of Ca are easier to enrich together,
and providing a favorable space for the microorganism
at the same time. So the smaller gradation sometimes
is not safe for the well. In fact, there is no strict rule of
sand content of pumping water for relief well, so a little
amount of fine grain runs off should be something to
allow, if no deformation of the soil body’s framework
occurs.
At this point, choosing the grain size of a filter to
just protect soil above some size but not most small
size of foundation is beneficial to keep the perme-
ability much longer. We take different grain size of
filter for the replaceable wells to study how to make
the drainage system is not only stable but also highly
permeable.
The thickness of the filter is generally between
100200 mms, too thin will be hard to keep material
evenly in construction, and too thick will not get yield
remarkable increasing but cost.
3.1.2 Choice of filter net
In design of supply water well and relief well, the
wire or copper mesh have already abandoned to be use
in China, the alternative one is the polymer material
which is stable in chemistry, such as nylon net. It is nec-
essary that choosing the greater opening size of the
net in order to prevent fine grains silting.
3.1.3 Design of well tube parameter
The well tube parameter includes diameter, depth of
well, the position of screen and the rate of opening.
The well diameter was adopted mostly in
200250 mms before, even in 150 mms. But if it is
too small that makes the flow line concentrate around
the well the negative effect on silting will be stronger,
although its discharge and the relief result satisfy the
request at primary. So we use the 400 mms diameter
plastic pipe for the new type well based on the present
products and techniques of well construction.
The depth of well is determined by the seepage
analysis, here is 22 ms or so. The opening size, rate and
position of the screen are designed to ensure the
material strength and stable in replace.
3.1.4 Design of inner filter
Inner filter is made of porous polyester foam, inside
the filter is the hard plastic pipe of suitable diameter,
mainly plays the role to prop up the foam. Outside is
the nylon net wrapping the foam filter, holding the three
things tightly, to get rid of droping when being lifted
up and pressed down. Filter is made in a number of
small parts to be installed conveniently.
3.2 Performance of well replace and experiments
We choose the Li’s garden section of Yangtze River
Dike (at Jing Nan part Cu -uniformity coefficient) as
our field research site for the new type well. Investi-
gation, parameter tests, construction of the wells, and
monitoring in and after the flood season have been
carried out respectively.
3.2.1 Basic geology condition
The foundation of the dike is roughly as two layers
structure, the upper layer is the clayey soil, loam or clay,
with low permeability, the thickness is about 320 ms,
the lower layer is sandy soil, fine sand, sand and gravel,
with high permeability, the thickness is over 50 ms.
In the reinforcement design of Li’s garden section,
landside seepage berms and relief wells were adopted
to control the seepage. Totally 67 wells established
downstream the berm and near a canal, among them
9 ones are replaceable type, the serial numbers are
C30#C38#.
Some gradation tests and mineralogical analysis
are made for foundation soil and granular filter, part
of results are listed in table 15. Here we use two
filter materials with different grain size, the properties
see table 3.5.
Comparison between the grain size characteristics
of the filter and the foundation sand in table 5, the cal-
culation result according to the related design standard
see the table 3.6.
From the result of table 3.6, we can see that filter
material F1 satisfies the all design standards, but fil-
ter material F2 can only satisfy some of them. But we
still adopt F2 as filter material as it can keep fine sand
seepage stable under the condition that the gradient is
smaller than 8 by the result of tests.
Table 4. Chemistry composition of groundwater in Li’s
garden (mg/l).
PH HCO3 Cl Ca2 Mg2 SO2
4 Fe3

7.2 520.4 5.5 84.8 55.8 19.0 Did not

Table 1. Grain size characteristics of the foundation sand. measure
Grain size characteristics (mm)
Table 5. Grain size characteristics of filter and foundation
No. Name Cu D10 D15 D50 D60 D85 sand.

C32# Fine 1.89 0.075 0.090 0.160 0.170 0.210 Grain size characteristics (mm)
sand
C33# Fine 2.00 0.090 0.100 0.170 0.180 0.220 No. Name Cu D10 D15 D50 D60 D85
sand
F1-1 Coarse 2.31 0.65 0.75 1.30 1.50 1.80
*Part of fine grain may be lost when sampling in drill; Cu - sand
uniformity coefficient. F1-2 Coarse 3.42 0.38 0.47 0.96 1.30 2.80
sand
F2-1 Fine 2.56 1.25 1.65 2.80 3.20 4.30
Table 2. Main chemistry composition (%).
gravel
SiO2 Al2O3 CaO MgO Fe2O3 MnO F2-2 Fine 2.20 1.50 1.70 2.95 3.30 4.50
gravel
72.77 8.19 5.04 1.76 3.58 0.06 Sof f. Fine 5.5 0.03 0.053 0.135 0.165 0.22
72.84 7.98 5.20 1.75 3.83 0.06 sand
71.44 8.92 4.97 1.86 4.32 0.06
* Cu -uniformity coefficient, Sof f.-foundation sand.

Table 3. Main minerals of foundation sand (%).

Organic Field Calcite, Horn Green Iron

matter Quartz -spar dolomite Mica -blende sand -stone

0.30 50–55 20–25 6–11 3 2–3 2 2–3

0.26 45–50 8–13 6–11 5–10 3 2 2–3
0.30 43–48 15–20 3–5 8–13 3–5 3 3–8

653
 Table 6. Result of Comparison between filter and design standards.

F1 F2

Standard Criterion F1-1 F1-2 F2-1 F2-2

(SDJ218-84) filter design D15/d85 ! 45 3.41 2.14 7.50 7.73

D15/d15 " 5 14.15 8.87 31.13 32.08
Filter design in Mississippi, USA MaxD15/Mind85  5 3.41 7.73
MaxD50/Mind50  25 9.63 21.85
MinD15/Maxd15
5 8.87 31.13

* D15, 50 – the filter grain size, means the amount less than the size is 15%, 50% of the total weight; d15, 50, 85 –
the foundation sand size, means the amount less than the size is 15%, 50%, 85% of the total weight.

6 wells (C33# C38#) use F1(the range of grain is Table 7 Result of pumping test after construction.
in 0.52 mms) and 3 wells(C30# C32#) use F2( the
No. d mm D mm Hm T min Tr min Q m3/h
range of grain is in 25 mms) as filter material. The
construction period is in March 11 to April 14, 2002. 25# 0.52 295 0.50 60.00 8.00 10.252
26# 0.52 295 0.42 60.00 8.00 17.478
3.2.2 Pumping test analysis 30# 25 260 0.58 60.00 8.00 9.262
Table 7 gives a part of results of pumping test both for 32# 25 260 0.61 60.00 8.00 10.898
replaceable well and conventional well. 37# 0.52 260 0.59 110.00 27.00 4.120
The result shows that, the yield and the depth per 38# 0.52 260 1.05 75.00 152.00 3.980
unit decline of water table of the conventional well are
greater than those of the replaceable well. It confirms * d-grain size of filter; D-diameter of well; H-decline depth;
the influence of the thickness of filter and diameter of T-Pump time last; Tr- Water level restore time; Q-discharge;
25#,26# are conventional well, 30#38# are replaceable.
well, and reflected the foam body has been com-
pressed under the restraint and its permeability has
been slightly lowered. Table 8. The part of wells discharge result.
The depth per unit decline of water table in wells
30#32# adopted with F2 is obviously larger than in No. C26# C30# C31# C32# C33#
wells 33#38# adopted with F1, shows the former
Q (m3/h) 9.00 5.40 3.53 2.25 2.25
one is better in permeability.
No C34# C35# C36# C37# C38#
Q (m3/h) 1.17 0.83 1.35 0.75 0.09
3.3 Observation in flood season
Observations and tests have been carried out to get Table 9. Result of groundwater quality analysis.
the discharge of C26# and C30#C38# in July 89,
2002 flood season, the result is at the table 8. No. C26# C31# C32# C33# C34#
From the discharge observed, the general tendency
of the discharge distribution is in accordance with the PH 7.22 7.22 7.22 7.22 7.22
result of pumping experiment. The discharge of the Ca2 144.54 144.54 128.05 122.55 123.33
wells with F2 is much more than the ones with F1. Fe3 9.49 29.50 37.00 34.00 29.50
Mn2 1.41 1.16 1.16 0.23 0.36
Moreover, observing the groundwater from wells, it
No. C35# C36# C37# C38#
is thus clear that the water in the exit of certain scope PH 7.22 7.22 7.22 7.22
presents red color, shows the groundwater with higher Ca2 121.76 113.12 108.41 106.84
content of Fe ion. The examination result in lab also Fe3 41.00 61.00 39.00 36.00
indicates the content of Fe3 in water is higher, see the Mn2 0.08 0.03 0 0.08
table 9, it is in accordance with the result of the exper-
iments and analysis before.
that, to confirm the feasibility of the new type well
3.4 Well replacing and sample examining after the and do the further study on silting mechanism.
flood season
3.4.1 The process of experiments for wells C32#
The practice of replacement for wells C32# and C38# and C38#
was carried out from October 28 to November 2, in After taking the water sample and pumping experi-
2002, and samples from the foam filter was taken after ment, we started to pull out the foam body from well,

654
and took the samples of the foam and of water in it at Table 10. Result of Pumping Experiment before and after
the same time, the whole process of pulling lasted about the Body Replacing.
2.5 hours.
Observing the variety of the external appearance of No. T (min) Q (m3/h) QP (m3/h.m)
filter body, five kinds of circumstances along the depth
C32# a 338.00 1.69 18.76
of well can be basically divided into, from up to down: b 286.00 10.19 19.17
(1) in the upper segment, yellow and red brown mate- c 60.00 10.90 17.87
rial sticks to the outside wall of inner well pipe from C38# a 41.00 1.64 3.27
the exit to the water level where is no foam body; (2) in b 120.00 8.14 3.97
about 8 ms under the water level the foam body appears c 75.00 3.98 3.79
in green and ash black; ( the outer well tube at this posi- C19# b 48.00 9.11 27.61
tion is the section no openings) (3) next in about 10 ms, c 120.00 15.09 34.50
the color of external appearance of the foam in well
*T-pumping time last, Q-discharge, QP-discharge per unit
32# is lighter and no miscellaneous color, the foam
decline depth, a-before filter removing, b-after filter removing,
body is clean; the color of the foam in well 38# is darker c-after construction.
slightly, and a little impurity can be seen within it (the
outer well tube at this position is the screen section);
(4) down to the well bottom as follows about 4 ms foam mineral composition. The test result shows the
body, the external appearance becomes gradually darker, permeability of foam is higher than 102 cm/s,
as ash black, only in 1 cm outside edge of the foam boy, after a flood, it is still satisfactorily permeable.
the color inside is still light and clean (the outer well tube Currently the content of silting material in foam
at this position is the screen section); (5) in the bottom is lower, the content in well C38# is relatively
segment, it is obviously that there is a great deal of green higher than in well C32#. The main mineral com-
sand attaches on the foam body. position of the material are quartz, calcite, mica,
The analysis shows that their is precipitation of ironstone, dolomite and so on. There is 80% or so
Fe(OH)3 in the first section of well tube without water, of it in the outside edge of foam, that is near the
a part of it may has already dehydrated as Fe2O3.nH2O; outer tube, much more than in the inside.
there are some microorganism, algae living in the sec- (3) about the tests of water sample
ond section, also some impurity and fine silt sand The tests of water sample only involve in the con-
absorbed in foam in the construction process. It could tent of Ca2, HCO 3 , Fe
3
of water. From the
prove that the most severe chemical and biological silt- results of the three wells we can see the content of
ing is at the exit of well. The appearance in the third Ca2, HCO 3 , Fe
3
ion are higher.
section indicates chemical silting could be declined in about the analysis of precipitant sample
flood season, and a proper design of filter could reduce When pulling out the foam body in situ, we have
the chemical and biological precipitate. The circum- taken some precipitate attached on the wall of well
stance in the fourth and fifth segments tells us that some above the water level to make the gradation test and
construction crafts still need to be improved. Both mineralogical composition analysis. The result shows
results in the lab and in the field are accordance with that the grain size of precipitate is tiny and 0.074 mm.
each other. The main mineral of precipitate is ironstone
After the pumping experiment, the new inner well (Fe2O3.nH2O), in yellow brown and in microlite to
body was installed to the wells C32# and C38#. The microgranular, the content reaches to 85% of the
first 67 sections of the body can go down by their total. The grain size is in 0.0010.3 mms, the most are
self weight, then some more pressure should be taken in 0.0020.005 mms; the second is the mineral load
to make the inner well body down the definite place. in 8%10% of the total, the grain size is in
The whole installing process takes about 2 hours. 0.0020.03 mms, mainly are mica and China clay.

3.4.2 Analysis on the results of the examination

and experiments
(1) about pumping experiments
The result of pumping is listed in table 10, and
also the result after well construction for compar-
ison. In generally, there is no obvious variety in
quantities of well yields, it shows that the silting
so far is not yet seriously.
(2) about the tests of foam sample
The items of foam sample tests in lab include per-
meability, content of silting material and the
4 CONCLUSION
– Time of occurrence for each kind of silting is dif-
ferent. Mechanical silting mainly happens in flood
season, chemical or biological silting often takes
place in well intermission period. Mechanical silt-
ing starts at the interface between the screen net and
the grain filter, then to the inner part of the filter; or
between the grain filter and the foundation sand,
goes towards the inner part of foundation gradually.

655
 The most serious chemical silting takes place on the
section of pipe wall which is above the water table, in
the perpendicular direction. The second one is on the
section of pipe wall where water level is fluctuating,
from water table goes down. In the radial direction,
the main adsorbing area is concentric on the wall of
well or filter net, developing from the wall to the
foundation. The biotic effect is mainly on the water
fluctuating zone, this will speed up the chemical silt-
ing growing, and deepen the affecting area. The
direction of its development is also towards the inner
part of foundation layer.
– The occurrence of chemical and biological silting is
not avoidable, but the prevention and cure is more
difficult. We find the start place of silting is inside
the well tube and then it goes towards the founda-
tion, in the other seasons but not flood season. This
important result provides us possible chance to adopt
the artificial means to change the silting process.
– Placing the inner filter between the well water and
granular filter to form a transitional area, makes the
silting occur in inner filter body, easing that in the
granular filter to a large extent. So it can be realized
to decrease and delay the relief well silting by remov-
ing and changing the filter to interfere the silting
artificially.
– The design of the replaceable well is conform to
the silting mechanism objectively and reality,
656
examine results show the function of keeping well
clean is satisfactorily. It is easier to construct and
replace into new one, with the help of some pulley
device, to change and install the inner body even
can be done just by manpower.
– About the inner body result and usage period, more
and further research work, confirmation and con-
tinuance investigation are necessary. Besides, how
to protect the exit more safely, how to make the
best choice of the grain size of filter and so on, still
need to be studied in the next stage.
REFERENCES
Mao, C. 1990. Seepage analysis and control, the water con-
servancy and electric power publisher, Beijing
Mansur, C. Postol, G. & Ronald, J. 2000. Performance of
Relief Well Systems along Mississippi River Levees,
Journal of Geotechnical and Engineering Vol. 126 No. 8
The northwest plan and design institute of the water conser-
vancy and electric power of Chinese Water Resources
Ministry, 1984. The Norm of rolled fill dam design
SDJ218-84, Beijing
Tarik, H, & etc. 1990.Laboratory Testing of Filters and Slot
Sizes for Relief Wells, Journal of Geotechnical and
Engineering Vol. 116 No. 9
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Study dam-detouring leakage at the left abutment of

Xiaolangdi reservoir using nature tracers

Chen Jiansheng & Fan Zhechao

Geotechnical Research Institute of Hohai University, Nanjing, China

Dong Haizhou
Research Academy of Hohai University, Nanjing, China

ABSTRACT: Oxyhydrogen isotopes and hydrochemical compound of kinds of ions in reservoir water can be
used as tracers to study dam-detouring leakage field and leakage pathway. With artificial tracer detection and
interconnection experiment, the recharge sources of leakage water and leakage strata are located. Since the oper-
ation of Xiaolangdi reservoir, the leakage flow rate of left dam abutment has been greater than normal. When
reservoir level exceeds 235 m, the leakage amount increases sharply. The stratum T13–1 in the left abutment is a
strong permeable stratum, which is testified by natural tracer detection and interconnection experiment. Firstly,
reservoir water flows into strata T14 and T13–1, and then discharges into deep stratum T13–1 along the fault F28.
The drainage holes on the north of No.30 drainage tunnel penetrate the stratum T13–1 and the concrete curtain
does not interrupt the stratum T13–1. About 50% leakage water in No.30 drainage tunnel flows through the path-
way. Because the concrete curtain in front of No.4 drainage tunnel had only been grouted to the elevation of
200 m, when the reservoir level excesses 235 m, the reservoir water will discharge into the drainage holes of
No.28 drainage tunnel through T14 stratum, and the quantity of leakage of No.4 and No.28 drainage tunnels
increase greatly when the reservoir level increases. By analyzing environmental isotopes, besides the leakage
from the reservoir, about 33% of the quantity of leakage in No.30 drainage tunnel comes from downstream tail
water and local precipitation, which drains from the drainage holes on south side and east side of No.30 drainage
tunnel through faults F1 and F2.

1 INTRODUCTION determined by above analysis, artificial tracer experi-

Xiaolangdi Hydro Project of Yellow River is one of
biggest hydro projects in China. After the running of
Xiaolangdi reservoir, the leakage of its left dam abut-
ment was increasing with the increase of reservoir
water level, which has caused much attention of asso-
ciated authorities. When reservoir water level exceeded
235 m, the leakage amount increased rapidly, which
mainly locating in No.30 drainage tunnel around under-
ground workshop, the crown of underground work-
shop, and upstream side wall. The maximal flow rate of
single drainage hole in No.30 drainage tunnel is 10 L/S.
In order to investigate the cause of leakage, locate
the main leakage strata, confirm the relation between
leakage passage and faults, isotopes, 2H, 18O, 3H, and
hydrochemistry components were analyzed in the
leakage water, reservoir water, local precipitation, and
as well, the change of temperature, electric conductiv-
ity, pH and total amount of dissolved solid (TDS) were
determined in different seasons. In the abnormal strata
ments in boreholes were performed including deter-
mining groundwater flow velocity (Chen Jiansheng &
Dong Haizhou 2001, 2002), vertical velocity, and
groundwater flow direction and interconnection exper-
iment. Combining the geologic analysis and the result
of physical exploration, the leakage passage and the
recharge source of dam-detouring leakage water can be
ultimately determined (Plata 1999, MOOK 2002).
Much hydrogeological work has been performed
prior to the construction of Xiaolangdi reservoir, and
the hydrogeological condition has been systematically
studied in the area, and much geological information
has been attained. By the geological analysis, there
was a basic hypothesis that deeper the bedrock of
Xiaolangdi dam area is, less permeability is, and
greater the uplift pressure is (Zhang 2002, Liang 2002,
Nie 2002). However, above-mentioned experiments
proved this hypothesis to be wrong. Because the leak-
age calculation was based on this wrong hypothesis,
and lack of boundary condition, the calculation model

657
is far from the actual leakage case. Practice approves
that it is important to investigate the leakage field using
natural and artificial tracers. In most cases, investigat-
ing dam leakage clearly is impossible without tracers
or interconnection experiments (Plata 1999).
2 PRINCIPLE OF DETERMINING DAM
LEAKAGE USING NATURAL TRACERS
2.1 Temperature and electric conductivity
analysis
The temperature of water is a perfect tracer to investi-
gate dam leakage. Usually, the temperature distribution
of reservoir water is stratified. Only in less 10 m-depth
reservoir, the temperature is basically consistent, which
is the result of temperature exchange with atmosphere.
In summer, the surface water will be rapidly heated and
its density reduces, and the warm surface water will
form a steady water-column. On the contrary, in winter,
the upper water will be cold and has high density, so
it will sink down vertically. So the water with low tem-
perature is always at the reservoir bottom in summer
and winter. In the other way, the temperature of earth
core is very high. Generally the temperature gradient
is 3°C per 100 m in shallow strata. In summer, if the
abnormal low-temperature has been determined in the
leakage water of dam, it affirmatively comes from
the water around the reservoir bottom. If the temperature
of leakage water varies with environment, the leakage
water probably comes from the shallow reservoir water.
If the temperature of leakage water is rather high, the
water affirmatively passes through the high-temperature
strata, and there may be dam-detouring leakage at dam
abutment or through deep bedrock.
Electric conductivity of water is an easily meas-
ured parameter, and it can provide useful information
for investigating leakage. The following empirical
equation relates the electric conductivity (EC) of an
aqueous solution at 25°C and the total amount of dis-
solved solids (TDS):
Obviously, the electric conductivity is a temporal
and spatial variate. The electric conductivity always
varies with seasons, and in rainy season the electric
conductivity value is low, while in dry season the electric
conductivity value is great. The water sources mainly
affect electric conductivity. In rainy season, surface
runoff flows into reservoir, and the salinity is low. On
the contrary, in dry season the groundwater of high
salinity flows into reservoir, and the electric conduc-
tivity increases. The seasonal change of electric con-
ductivity value can help to investigate hydraulic relation
among reservoir, boreholes, and spring. If the time of
658
investigation is long, it is easy to attain the hydraulic
relation. The flow velocity between reservoir and obser-
vation point can also be attained by the interrelation of
observational electric-conductivity peak value. During
investigating dam leakage, it is necessary to measure
periodically electric-conductivity and temperature of
water at all points, including reservoir, boreholes, and
spring (Chen 1999, Chen Jiansheng & Yu Bo 2002).
2.2 Environmental isotopes and hydrochemistry
analysis
If the recharge sources of reservoir water are compli-
cated, or reservoir water circulates rather fast, isotope
values of D, 18O, 3H vary greatly with time, so it is
difficult to study the recharge sources of reservoir by
isotope effects such as elevation effect, latitude effect,
temperature effect, landmass effect, and rainfall amount
effect. Especially if the values of 3H vary greatly, the
retention time can’t be determined just by the values
of 3H. But isotopes and ions can be regarded as event
tracer. Yellow River is recharged by local precipitation
along its bank. Great variations of isotopic components
exist in the precipitation, so are the contamination con-
tents in different season. So isotopic components and
contamination contents can be used as event tracers to
study the spatio-temporal interrelation between the
leakage water and reservoir water. Because flow veloc-
ity of deep water is slow and that of shallow water is
fast in a reservoir, isotopes and hydrochemistry com-
ponent of upper and bottom water are different, then it
can be determined that leakage water comes from upper
or bottom water in reservoir, or from local precipitation
or leakage from downstream of dam by comparison
analysis.
Generally there are several main components dis-
solved in water as following:
It is necessary to point out that chloride is most sta-
ble in ions dissolved in water. The concentration of Cl
will almost not change after long flowing distance,
because the dissolved degree of chloride is rather great
in water, and the reaction between Cl and other ions in
stratum is neglectable. The stable characteristic of Cl
can be used as natural tracer to study the hydraulic rela-
tion among reservoir, spring, and borehole. In other
words, if spring and reservoir water have the same con-
centration of Cl, there may exist rather close hydraulic
relation between them. If spring has lower concentra-
tion of Cl, at least part of water does not come from
reservoir water (Plata 1999, Chen Jiansheng & Chen
Liang 2003).
3 GENERAL-SITUATION OF LEAKAGE AND
HYDROGEOLOGY OF LEFT DAM
FOUNDATION
Bedrock formations at Xiaolangdi zone mainly con-
sist of Permian (P) and Triassic (T) strata. Quaternary
loosening sediment is mainly distributed over terrace
and river valley. Bedrock formations can be divided
into five petrofabrics: P21, P22, P23, P24 and petrofab-
ric T. The strata T14 and T13–1 at left abutment are
permeable. Stratum T13–2 is less permeable. Strata
T16–1 T13–1 have been vertically disclosed at left abut-
ment. The attitude of strata is: 50°60° 8°9°. Three
large faults develop almost along the Yellow River, F236,
F238 and F240 faults. There also exists fault F28 at left
dam, which intersects with axes of dam. The fault has
water-resist conformation. But it is found that there
exists rather strong leakage at the fault zone by experi-
ments, which is showed in Figure 1 and Figure 2.
The elevation of No.30 drainage tunnel is 117 m,
and the elevation of bottom of drainage holes is 85.0 m.
When reservoir water level is around 233 m, the
drainage rates of No.133, 143 and 169 drainage holes
are 3. 5 L/S, 2. 2 L/S and 3. 5 L/S respectively, while the
ones of other holes are less than 2 L/S. When reser-
voir water level exceeds 235 m, the leakage amount
rapidly increases in No.30 drainage tunnel. When reser-
voir water level is 238 m, amplitude of drainage incre-
ment is more than seven. Obviously the leakage of
No.30 drainage tunnel is related with reservoir water.

Figure 1. Distribution of faults, drainage tunnels and drainage holes at Xiaolangdi left dam area.

Figure 2. Sketch of rock strata, faults, and dam-detouring leakage passage in the left dam abutment.

659
When reservoir level increases from 234.95 m to
240.83 m, the leakage amount increases 2624 m3/d.
During the increases and decreases period of reservoir
water level, the leakage amount is basically the same at
the same reservoir water level. According to long-time
observation data, there exists definite hydro-relation
between drainage water and reservoir water. When
reservoir water level is less than 220 m, drainage rate
of single hole doesn’t vary with reservoir water level.
4 ANALYSIS OF SOURCE OF LEAKAGE
WATER IN NO.30 DRAINAGE TUNNEL
In order to investigate the leakage source in No.30
drainage tunnel, firstly the temperature and electric
conductivity of the leakage water have been measured
in different seasons, which is plotted in Figure 3. The
distribution of drainage holes is showed in Figure 1. The
average temperature of L119–L169 drainage holes is
about 16.8°C on April 14, 2002. These holes are located
on the north side of No.30 drainage tunnel and has great
leakage amount. While on the east-south side of No.30
drainage tunnel, the temperature of S6 hole is the low-
est, which is only 10.3°C. The temperature difference
is 6.5°C. The measured result on May 25, 2002 is con-
sistent to that on April 14, 2002. The relation between
temperature, electric conductivity and amount of leak-
age is sketched in Figure 3. The high temperature meas-
ured in the drainage holes proves that leakage passage
passes through high-temperature strata. So it is sus-
pected that the leakage water is probably dam-detouring
leakage, and the setting depth of leakage passage is
rather deep. Because the curtain of left abutment is
rather shallow, and do not interrupt into the permeable
stratum T13–1, the leakage water flows into stratum T13–1
along F28 fault and from other weak permeable rock
mass, and then rapidly discharges in L119–L169
drainage holes in No.30 drainage tunnel, for these
drainage holes interrupt stratum T13–1.
According to above analysis, the leakage water may
come from dam-detouring leakage along F28 fault. In
(a)
Figure 3. Relation of leakage volume between temperature and conductivity in No.30 drainage tunnel. (a). Relation between
seepage volume and temperature, (b). Relation between seepage volume and electric conductivity.
660
order to approve the judgment, seven observation bore-
holes are drilled, six boreholes locating in the range of
200–500 m from the north side of No.30 drainage
tunnel, and one lying to the south of No.30 drainage
tunnel. The positions of these observation boreholes
are sketched in Figure 1. During drilling No.1, 2 obser-
vation boreholes, water level in the boreholes are rather
high all the time, only 10 m lower than ground sur-
face. When the boreholes were drilled over depth of
100 m (elevation of 155 m or EL155 m (abbreviated)),
water level abruptly decreases about 100 m. Water level
was decreasing down along with the depth of bore-
hole all the time during the drilling process of No.3 and
No.4 observation boreholes until the boreholes depths
exceed 130 m (EL100 m) where water levels discon-
tinue decreasing. Water levels in No.5, 6, 7 observation
boreholes are always 1020 m lower than elevation
of surface ground during the process of drilling, and
the water levels are 270260 m. When the three bore-
holes are drilled to the depths of about 190 m (EL91 m),
the water levels rapidly decrease to EL137 m (the depth
of 143 m), EL225 m (the depth of 55 m) and EL174 m
(the depth of 106 m), respectively. When reservoir
water level is 218 m, the water level of No.5 observa-
tion borehole decrease to 129 m accordingly, 6 m lower
than that of tail water.
Artificial tracer experiments have been performed in
the boreholes, and data measured are listed in Table 1.
The water levels of observation boreholes are 89
101 m lower than that of reservoir, and most water lev-
els of holes are lower than that of tail water (EL135 m).
Obviously these are caused by the water-drainage of
No.30 drainage tunnel. The water level of No.3 obser-
vation borehole is almost near to that of No.5, which
shows that there is strong hydraulic relation between
them. The water level of No.1 borehole is 59 m higher
than that of other boreholes, and the water level of No.2
borehole is also higher than that of No.37 boreholes.
The seepage velocity of No.3 borehole is greatest, and
its flow direction is N270°. The flow direction of No.5
borehole is N120°, and that of 6 and 7 boreholes are
N150°, which is showed in Figure 4.
(b)
 There exists vertical flow in the six observation
boreholes at left dam abutment, which is showed
in Table 1. Vertical flow in No.3 borehole is upward
(5.0 m/h, measured elevation of 119 m), and down-
ward vertical flow exists in the other five boreholes,
which shows that at the elevation of 119128 m there
exists very strong leakage passage near No.3 borehole.
The groundwater of upper stratum and substratum
flows into the passage. No.2 borehole is around the
passage, and 9.2 m/h downward vertical flow exists in
the borehole. Just because the vertical flow exists, the
analytical isotopes values of D, 18O and 3H of water
samples is not completely the same values of reservoir
water. Actually the water samples are the mixture water
of upper stratum and substratum water. Determining
vertical flow must be performed when sampling in the
aquifer with more than two different water levels.
Otherwise, completely false conclusions will be made.
In order to approve the above experiment result, we
made two interconnection experiments between bore-
holes. We inject rose tracer of 1.6 kg in No.3 borehole
during 10:3011:00 on May 26, 2002. The tracer dis-
charged in L119–L169 drainage holes on the north
side of No.30 drainage tunnel at 10:00 on May 27. On
May 28 the maximum concentration firstly occurred
in L146 drainage hole, and 48 hours later occurred in
L156 drainage hole. Because L146 and L156 drainage
holes are on the east side of the drainage hole with the
greatest drainage amount, and the leakage passage lies
to the west of No.3 borehole according to the flow
direction analysis of No.3 borehole, the flow directions
obtained by isotope tracer experiments are credible.
In order to further study the position of the leakage
passage at left dam abutment, we pay attention to the
three observation boreholes, which is No.5, 6, and 7
boreholes. The three boreholes have been drilled in

Figure 4. Sketch of interconnection experiment on left dam.

Table 1. Data of water levels, velocity, flow direction, vertical flow and isotope of D, 18O, and 3H in boreholes of left dam
abutment.

Numbers of boreholes Reservoir water 1 2 3 5 6 7

Elevation of orifice (m) 255 255 230 281 281 281

Depth of borehole (m) 180 177 150 230 200 200
Water level (2002.5.23) 229.85 138.43 133.23 128.14
Water level (2002.7.29) 218.05 138.85 133.56 129.08 129.42 131.92 132.5
Vertical flow (m/h) 6.1 9.2 5.0 2.5 0.14 1.4
Average seepage velocity (m/d) 0.0073 0.086 0.425 0.017 0.0062 0.001
Flow direction of groundwater N190° N170° N270° N120° N150° N150°
D (‰) (2002.6.18) (2002.8.6) 61.2 54.4 49.1 49.1 62.5 66.6 61.6
18O (‰) (2002.6.18) (2002.8.6) 9.3 9.2 9 9.1 8.8 8.7 8.4
3
H (TU) (2002.6.18) (2002.8.6) 11.66 10.24 30.7 16.98 10.81 7.94 9.43

661
the curtain that cuts off F28 fault, and the distance of any
two boreholes is more than 20 m. No.5, 6 boreholes
locate at the lower plate of the fault F28, and No.7
borehole is at the upper plate of the fault. Though the
three holes don’t disclose the leakage passage, low
water level of No.5 hole shows that the main leakage
passage is not far from No.5 borehole. We inject rose
tracer of 1.6 kg in No.5 borehole at 9:30 on July 29,
2002. In order that the tracer can flow into the leakage
passage, we inject water for four hours in No.5 bore-
hole, and the water–injection rate is 60–70 L/Min. We
firstly observed the high-concentration water sample
in No.3 borehole (elevation of 110 m) after 22 hours, Figure 5. Distribution of 3H in reservoir water, precipitation
which shows that there exists strong hydraulic rela- and leakage water.
tion among No.5, No.3 boreholes and the main leak-
age passage. 26 and 27 hours later the low-
concentration tracer was received in the No.2 and
No.1 boreholes, respectively. This shows that the two
boreholes are not in the main leakage passage. The
low-concentration tracer was received in L161, L147
holes in No.30 drainage tunnel after 48 hours. All
these approve that there exists a deep bedrock leakage
passage in left dam abutment. The passage is in T13–1
stratum, and goes around dam abutment, and the max-
imum leakage depth is EL58 m. The passage is the
main cause for great water amount in No.30 drainage
tunnel. The interconnection experiment is showed in Figure 6. Sketch of leakage direction of No.30 drainage
Figure 4. tunnel.
The temperature of leakage water varies with sea-
sons in S7 drainage hole and in the drainage holes
near S7 hole on the east side of No.30 drainage tun- in drainage holes in the south and east side is about
nel. The value of 3H of drainage water in S7 hole is 33% of total amount of No.30 drainage tunnel. Low-
44.2 TU. According to the analysis of hydrochemistry, temperature water in the holes comes from tail water.
the total amount of dissolved solid is 723.9 mg/l, near
to that of reservoir water, 729.9 mg/l. The chemical
type of drainage water and that of reservoir water are 5 ANALYSIS OF LEAKAGE WATER IN NO.4
the same, HCO3-SO42-Ca2-Na, and especially AND NO.28 DRAINAGE TUNNELS
concentrations of Cl, NO3 with stable characteristic
are 115.68 mg/l, 20.52 mg/l respectively, and are near No. 4 drainage tunnel is on the upstream side of under-
to that of reservoir water, 113.9 mg/l and 20.08 mg/l ground workshop. The section figure is sketched in
respectively. These may be related with F1 fault, and tail Figure 7, and the plane position is showed in Figures
water flows into No.30 drainage tunnel through the F1 1, 4, 5, and 8. The bottom elevation of the tunnel is
fault, which is showed in Figures 5, 6. By the analysis 184190 m. Low temperatures were detected in No.26,
of isotopes, it is found that leakage water with 3H value 27, 28 drainage holes in the tunnel, which is showed
of 44. 2 TU is the mixture of local precipitation and tail in Figure 9. The temperature of drainage water is only
water. Compared to the high temperatures of water in 12.7°C in Apr., 23°C lower than that of other
north side of No.30 drainage tunnel, temperatures of drainage holes. The 3H value of No.28 drainage hole
drainage water in L189L202 drainage holes is rather is 59. 7 TU, near to that of shallow river water. The val-
low, ranging from 15°C to 18°C, and the flow amount ues of 3H of shallow and deep river water are 54 TU and
of them is rather little. By analysis it is found that the 18. 7 TU respectively. These show that the recharge
drainage water of L189L202 drainage holes and source of No.28 drainage hole is shallow water.
south drainage holes is related with F2 fault, and water In order to locate the accurate position of the leakage
is the mixture of downward tail water and groundwater passage, BG419 borehole was drilled in the grouting
that comes from infiltration of precipitation. The leak- tunnel at responding position of No.27 drainage hole
age water on the east-south side of No.30 drainage tun- of No.4 drainage tunnel, and the orifice elevation of
nel is recharged by local water along F1 and F2 faults, the borehole is 200 m, elevation of its bottom is 104 m,
which is showed in Figures 1, 5, 6. The leakage amount and water level of the hole is 177 m. Reservoir water

662
Figure 7. Sketch of vertical section of No.4, 28, 30 drainage tunnel.
Figure 8. Sketch of leakage direction from reservoir to
No.4 and No.28 drainage tunnel.
level is 218 m. According to the distributing figure of
flow velocity, leakage exists in upper depths of 40 m.
The maximum leakage velocity exceeds 0.08 m/d at the
depth of 23 m (EL177 m), where permeable stratum
T14 locates, which is showed in Figure 10(a). Leakage
also exists in the depths below 80 m, and the maximum
leakage velocity can attain 0.01 m/d. where stratum
T13–1 locates, and temperature of the stratum is rather
great, more than 1°C greater than that of L5L35
drainage holes in No.30 drainage tunnel. In this section
the electric conductivity in drainage holes is obviously
lower than that of upper strata, which is showed in
Figure 10(b). These show that leakage exists at the ele-
vation below 120 m, and leakage direction is N120°,
which is showed in Figure 8.
The leakage mainly occurs at following two layers
in the strata around these drainage holes. Leakage exists
in the bedrock (T13–1) at the elevation below 120 m. The
depth is lower than grouting-curtain’s bottom. Leakage
663
Figure 9. Distribution of temperature and conductivity in
drain hole of No.4 drainage tunnel, Apr.15 and May. 28, 2002.
water flows out through L5L35 drainage holes in
No.30 drainage tunnel. Leakage also exists in the
grouting curtain (T14) at the elevation above 160 m,
around these drainage holes, and part of leakage
water discharges through No.4 and 28 drainage tun-
nels. No. 28 drainage tunnel is located over No.30
drainage tunnel, and the elevation is 163 m, which is
sketched in Figures 7, 8. By analysis of stable isotopes
and hydrochemistry, it is found that all kinds of com-
ponents in No. 28 drainage tunnel are basically con-
sistent to that of No. 4 drainage tunnel. Leakage water
of reservoir passes through stratum T14.
Abnormal temperature is found in No.28 and neigh-
boring drainage holes in No.4 drainage tunnel, and low-
temperature and low electric conductivity occurred in
No.28 drainage hole, but the temperatures of the holes
locating bilaterally around No.28 drainage hole grad-
ually increased, and electric conductivity gradually
increased. Combined with the analysis of BG419 bore-
hole, it can be judged that the water comes from the
strata of the elevation above 160 m. When reservoir
Figure 10. Distribution of seepage velocity, temperature, and electric conductivity in No.BG419 hole of No.4 drainage tunnel.
(a) Seepage velocity (b) Temperature and electric conductivity.
water level increases, leakage water of the elevation
above 160 m around No.28 drainage hole in No.4
drainage tunnel will discharge into the top drainage
holes of No.28, 30 drainage tunnels, and at the same
time cause the increment of the water level and leakage
amount around underground workshop. When the level
of reservoir exceeds the elevation of 235 m, the level of
groundwater around BG419 borehole in No.4 grouting
tunnel will exceed the elevation of 200 m. Because
there is no curtain above the elevation of 200 m, leakage
water will largely flow into No.28 drainage tunnel and
increases non-linearly, which is sketched in Figure 7.
6 CONCLUSION
The study of leakage passage in left dam abutment of
Xiaolangdi reservoir using nature tracers shows that
reservoir water recharges permeable stratum T13–1
along deep fracture zone of F28 fault. Because the
drainage holes in the north of No.30 drainage tunnel
disclose T13–1 stratum, and form a dam-detouring
leakage passage: F28 fault → No.5 borehole → No.3
borehole → No.30 drainage tunnel, which is showed
in Figure 2. When the reservoir level is high, the
drainage water amount on north side of No.30 drainage
tunnel is more than 50% of that in No.30 drainage
tunnel, and the water levels of No.2, 3, 5, 6, 7 obser-
vation boreholes were caused to be lower than that of
tail water. Two successful interconnection experiments
approve the existence of the strong leakage passage.
Leakage exists in the grouting curtain above the ele-
vation of 160 m around No.2628 drainage holes in
No.4 drainage tunnel. Because there is no grouting
curtain above the elevation of 200 m, and when reser-
voir water level exceeds 235 m, leakage amount has the
trend of non-linear increment with the reservoir water
level, which is the main factor that causes the leakage
of underground workshop. Leakage also exists in the
bedrock (T13–1) at the elevation below 120 m around
No.2627 holes in No.4 drainage tunnel.
664
According to the values of 3H, the leakage water of
drainage holes of S1S57 and L189L202 in No.30
drainage tunnel mainly comes from tail water and pre-
cipitation. The leakage amount is around 33% of total
amount of No.30 drainage tunnel. Low-temperature
water in the holes comes from tail water. Groundwater
of downstream at left dam abutment recharges into
No.30 drainage tunnel passing through F1 and F2
faults.
The study of leakage field at Xiaolangdi dam zone
using natural tracers shows that leakage field is very
complex. It is far from enough only by boring explo-
ration, hydrogeological experiments and analysis. There
are many methods in detecting leakage. Obviously, not
all these methods are applicable in all cases or do all
of them provide valuable results in a general way. Apply-
ing natural tracers to study leakage of dam should be
combined with traditional geophysical exploration at
the same time.
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 ts
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Estimating development of the Urridafoss ice jam by using a

river model

J. Eliasson
Engineering Research Institute, University of Iceland

G. Orri Gröndal
National Energy Authority Iceland

ABSTRACT: When frazil ice is produced in a river, any water storage reservoir must be able to accumulate
the ice produced during the winter season without clogging the reservoir outlets. Diversion of the water flow to
places where it can cause flooding and damage must also be prevented. The heat loss theory and the hydraulic
theory for the analysis of the development of wide channel ice jams are discussed and shown. The results are
combined in a new method to calculate the maximum thickness and the extent of an ice jam. The results are
compared to the HEC-RAS model for the development of a very large ice jam in Thjorsa river in Iceland. The
results are found in good agreement with historical data, and suggestions are made for the improvement of
observation plans for engineering investigations that are being conducted at this site in preparing the construc-
tion of the Urridafoss hydroelectric dam project.

1 FREEZE-UP JAM IN THJORSA 1.2 Freeze-up ice jam at Urridafoss in Thjorsa

Thjorsa river originates at Hofsjokull glacier in Central
1.1 Introduction
Iceland and flows to the South-West approximately
Ice jams are among the most dramatic natural events 230 km where it discharges into the North Atlantic
that occur in a river. Understanding of ice jam formation Ocean, see Figure 1.
and break up is very important in river engineering, The river system has a large hydropower potential
especially dams and water diversion works. As a rule, that has been developed quite extensively in the last
water levels are greatly increased when an ice jam forms four decades, but the development has been concen-
in a river section. Ice jams often lead to potentially trated in the upper reaches. The freeze-up jam under
unwanted situations for the human activities along the discussion in this article forms in the relatively flat
banks of the river. Other major difficulties are reduced section just downstream Urridafoss waterfall, as a
flow during the formation of an ice jam and surges of
water and ice fragments during break-ups. A thorough
description of the formation and evolution of ice jams is
given in Beltaos (1995) and Uzuner & Kennedy (1976)
and a large number of publications exist from other
authors and institutions as well. Here, the Cold Regions
Research and Engineering Laboratory (CRREL) is an
important source. In this paper the force balance that is
used to predict the thickness and shape of the freeze-up
jams is described (Grondal 2003). There exist two mod-
els, the heat loss model that can only predict formation
of ice mass in the river, and the force balance model that
can only describe the ice jam thickness that is in equi-
librium with the river flow. It is shown that these mod-
els can be combined through a single equation. The
results are compared with field data from Urridafoss
(fig. 1) in Thjorsa River in Southern Iceland. Figure 1. The Thjorsa river system.

667
consequence of frazil ice production in the approxi-
mately 50 km long river section downstream of the
power plant at Burfell (fig. 1).
The Urridafoss ice jam is formed in almost every
winter. It typically extends through the lower part of
the Urridafoss gorge down to the flood plain, in all a
distance of about 3–4 km. The width of the jam in the
gorge is approximately 100–400 m, and expands to
roughly 700 m on the flood plain. Water levels increases
up to about 18 m have been observed (Rist, 1962). The
formation and evolution of the jam was first described
by Rist (1962), and currently the second author is
involved in further investigations of the ice conditions.
These investigations are planned to obtain the neces-
sary design data for a dam in the Thjorsa river at the
Urridafoss site and a hydroelectric power plant asso-
ciated to it.
1.3 The heat loss model
In the heat loss model that was used to estimate the
volume of the Urridafoss ice jam two equations are
solved, namely a heat transport equation and an ice
transport equation:
(1)
and
(2)
t time
x distance along longitudinal axis
T water temperature in cross section
C ice concentration in cross section
V flow velocity
S heat loss from water column
y depth of flow
w density of water
i density of ice
cp specific heat of water
L latent heat of fusion of water
According to equation (1) the temperature of the
water decreases when there is net heat loss from the
water surface. As soon as the temperature of the water
has dropped to the freezing point of the water, the
temperature decrease stops. Instead, ice begins to form
at the rate corresponding to the heat loss, according to
equation (2). Thus, by solving equation (1) and (2) in
combination, one can find the total ice produced in a
river section, given that the heat loss, S, can be deter-
mined. Heat loss from the river is governed by
668
Figure 2. Accumulated solid ice volume produced in the
open river reach in Thjorsa from Burfell to Urriðafoss.
1. rate of heat exchange with the atmosphere,
2. rate of heat exchange with the river bed
3. heat transfer via groundwater inflow
4. frictional heating
In Thjorsa, term 1 is the dominating one, and the
other terms can be neglected without serious error. Net
rate of heat exchange with the atmosphere is a sum of
the effects of terrestrial or long wave radiation, heat
transfer due to evaporation or condensation of water,
sensible heat transfer due to convection and heat trans-
fer due to precipitation, minus the effects of incoming
solar or short wave radiation. Grondal (2003) discusses
methods that can be used to quantify heat loss caused
by these processes.
Figure 2 shows the result of the calculations of ice
volume in the winters 1958/59 to 1963/64 and 1998/99
to 2001/02. According to the heat loss model about 35
to 40 mil. m3 of solid ice are produced on the average
each winter. In mid winter accumulated volume is often
about 20 mil. m3. At this time there is often a large ice
jam at Urridafoss (fig 1). To give an idea how this
production is distributed throughout the winter there
is figure 3.
1.4 Forces in an ice jam, hydraulic theory
The external forces acting on the jam arise from fric-
tion between ice cover and flowing water, backwater
pressure, and the longitudinal component of the ice
and pore water weight. They are balanced by internal
normal stresses and boundary shear stresses at the river-
banks. As the jam lengthens upstream and thickens,
the forces acting on the jam increase, until internal
stresses in the jam become too large. At that point the
ice jam lengthening process stops, which may lead to
shoving, i.e. consolidation and thickening of the jam.
Broadly speaking, this process then repeats while the
 If it is assumed that the cohesion Ci can be neglected,
eq. 3 then reduces to:

(4)

For steady state flow, the energy equation is used to

calculate the water surface profile in the jam, viz.:

(5)

Y1, Y2 water depth at two cross sections 1 and 2

Z1, Z2 elevation of channel depth
V1, V2 average velocities
Figure 3. Calculated ice discharge at Gauging Station 30 at
1,
2 velocity weighting coefficients
Krokur. River discharge is taken as 200 m3s
1. Horizontal
H energy head loss
bars indicate days with ice observed. Light blue bars  slush
or frazil ice run. Dark blue bars  ice cover.
2 ICE JAM THICKNESS AND EXTENT

supply of ice from the river upstream continues.
Beltaos (1995) and Uzuner & Kennedy (1976) pres-
ent derivations of the one dimensional force balance
equation for floating ice jams, that leads to the fol-
lowing equation for the thickness of the jam:
(3)
2.1 Properties of the jam thickness equation
When investigating local behavior of h it is natural to
assume that convective acceleration plays a minor
role compared to gravity so changes in velocity head
can be neglected. This makes the friction slope equal
to the slope of the water level inside the jam. The
water level relation becomes
(6)

h jam thickness
x lengthwise coordinate 2.2 Maximum jam thickness
B width of jam
When h and y are constant Sf  S0. Now dh/dx can be
Sw slope of water surface
zero for two values of h, found by solving (4) after
Kx  tan(
/4+/2) equivalent Rankine passive
inserting Eq. (6) and putting the left side to zero. The
pressure coefficient
resulting quadratic equation has two roots, one nega-
k0  tan  angle of internal friction in jam
tive but the other one is positive
k1 coefficient of lateral thrust
Ci cohesion in jam
i  gRiSf shear stress between water and (7)
underside of jam
Sf  (VncRi
2/3)2 friction slope (Manning
formula) This is the maximum thickness the jam can reach.
V flow velocity Similar result was obtained by Beltaos (1995). In eq.
nc composite Manning roughness (7) y may be calculated from the Manning equation
Ri  1/2y hydraulic radius  1/2 flow using Sf  S0
depth y
e  0,5(1
pJ)(1
si) ig cos

pJ porosity of jam (8)
si  i/ specific density of ice
i density of ice
w density of water
2.3 Change of slope
g gravity constant

angle between water surface Eq. (7) reveals that the hm is directly proportional to S0.
and horizontal The quantity a
1 may be regarded as the length scale of

669
 45 Here L is the reach of the jam upstream of the point
40
of slope change and hm the maximum thickness of the
35
elevation m a.s.

jam. This remarkably simple estimate will be a crude

30
25
one as it is based on constant B and S0.
20
In estimating the extension of an ice jam we may
15
proceed as follows. Mj is estimated first using heat loss
10 calculations. hm  Mj/(L B) is then inserted in eq. (12)
5 and L inserted instead of x and the resulting implicit
0 equation solved for L. Eq. (12) will thus serve as an
12 14 16 18 20 2 24
distance km
estimate of the river reach jammed with ice. Eq. (12)
Riverbotm icejamsurfd1958 eqn(1) eqn(12)
combines the two theories, the heat loss theory for
calculating volume of ice production, and the hydraulic
theory for ice jam thickness. The heat loss theory gives
Figure 4. Ice jam in the Thjorsa river, theory compared to no information on jam thickness and the hydraulic the-
observations.
ory gives no information on ice production. The com-
bination through eq. (12) is new theory that has both.
the jam. When we have a slope change from a large S01
to a small S02 this length scale is reduced and with it
hm. Upstream of the point of slope change we will have 2.5 Change of width
an ice jam with increasing thickness in the streamwise In eq. (7) change of the width of the river channel, B,
direction, h approaching hm1. Downstream of the point has the same effect as change of slope. Large changes
of slope change the maximum thickness will be hm2  in width do however, usually bring larger changes in
hm1. Figure 4 shows this development clearly. water profile than mere changes in slope. Care must
be taken in using (12) as the condition of low convec-
2.4 Jam volume and length tive acceleration may very well not be fulfilled. This
condition will normally hold for gradually funneling
If we define Ky  si  y/2h it may be argued that Ky river channels, but not for abrupt changes in width as
is of the order one in thick jams. We put Ky constant, at the end of a gorge e.g.
insert Eq. (7) in (4) and get:
2.6 Flooding because of ice jam building
(9)
In theory, the flood from an ice jam can be as high as
the water level inside an ice jam of maximum height.
One may notice that eq. (9) produces almost the same The majority of the ice jam thickness will be below
maximum as the more accurate eq. (4), as long as the the water level, so it is on the safe side to estimate the
assumption Ky is of order one holds. Eq. (9) contains maximum flood equal to hm eq. (7) above normal
a new constant water level in the river as the ice jam does not get
thicker than that.
(10)
2.7 Building a dam in an ice jam river
When a dam is to be built in a river reach where frazil
Eq. (9) may be solved ice formation and ice jam building is known to take
place, it is necessary to make the dam high enough so
(11) the water level inside the dam does not reach over it in
the jam flood. The dam must thus be higher than hm.
Eq. (11) is valid above a point of slope change, below
this point we will have 2.8 Numerical simulation of Urriðafoss jam
Several numerical models have been developed to
study river ice jams. One of these is the ice jam model
(12) incorporated in HEC-RAS, which was developed in the
U.S. by the Corps of Engineer’s Hydraulic Engineering
Center (HEC) and Cold Regions Research and Engi-
Eqs (11) and (12) make it possible to estimate the neering Laboratory (CRREL) (Brunner, 2001). A test
total volume of the jam. was made on how well HEC-RAS works on the
Urriðafoss jam. The details of the model and its cali-
(13) bration (Gröndal, 2003) will not be described here,

670
only one longitudinal section is shown on the follow-
ing picture. There are 12 observation in figure 4 (red).
3 CONCLUSION
The ice production model combined with solving the
force balance equation can be used to predict the size
of an ice jam, given that the parameters that appear in
the force balance equation can be estimated. In the
analysis at hand, assumptions were made that allowed
for a relatively simple solution, but nonetheless a rea-
sonably accurate result emerged. By using the heat
loss theory to calculate the expected ice mass in an ice
jam, eq. (12) can be used to find the extent of the jam.
671
REFERENCES
Beltaos, Spyros (editor), 1995. River ice jams. Water
Resources Publications, U.S.A.
Brunner, Gary W., 2001. HEC-RAS River Analysis System –
Hydraulic Reference Manual. U.S.Army Corps of
Engineers Hydraulic Engineering Center. U.S.A., 2001.
Grondal, Gunnar Orri, 2003. Ice jams in the river Thjorsa at
Urridafoss (MSc thesis). University of Iceland.
Rist, Sigurjon. Thjorsarisar (River ice in Thjorsa). In Icelandic
with English summary. In Jokull, 12. Reykjavik, Iceland,
1962.
Uzuner, Mehmet S. & Kennedy, J.F. Theoretical model of river
ice jams. In Journal of the Hydraulics Division 102(HY9).
American Society of Civil Engineers, U.S.A., 1976.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Dam leakage and relevant leakage diagnoses in China

Liu Jiangang, Fang Fang & Chen Jiansheng

Civil Engineering College of Hohai University, Nanjing, China

ABSTRACT: There are more than 80 000 large and medium-sized reservoirs, and the dike is about 260 000 km
long in China. Through running for several decades, most of them have been encountering some hidden trouble,
especially the leakage problem. In this article, the authors have analysed the actuality, types and relevant diagnosis
techniques about leakage of dam and dike in China. The types of leakage are as follows: leakage of the curtain body
at the dam foundation, the bed rock under the curtain body, the surface layer of the bed rock, core wall (or impervi-
ous core) in the dam body, expansion joint in concrete dam body, crack in the core wall, impervious blanket, and
by-pass leakage, etc. The diagnosis techniques include geophysical exploration, engineering CT, flow field method
and synthetic tracer techniques, etc. Among these techniques mentioned above, isotope-tracer techniques are the
most effective methods. Isotope-tracer techniques have two branches which are single pore artificial isotope-tracer
technique and environment isotope-tracer technique. Two leakage cases and relevant diagnosis techniques are intro-
duced: The first is about leakage in the low-angle dip bedrock below the curtain body at the left dam foundation
of Xiaolangdi hydropower station, the second is about the asphalt concrete core wall leakage of Majiagou Reservoir
dam. It is founded by the leakage-diagnosis that the centralized leakage passages composed of the fissure nets exist
in the low-angle dip bedrock below the curtain body at the left dam foundation of Xiaolangdi hydropower station,
the vertical cracks exist on the asphalt concrete core wall between ZK7 and ZK7-1,ZK7-2 and ZK8 in Majiagou dam.

1 INTRODUCTION run scores of years, so projects themselves have gone

There have been 85 153 reservoirs built in China Since
1949. Among these reservoirs, the number of large
reservoirs is 453, of the medium-sized ones is 2827, and
of the minitype ones is 81873. The river dike is about
279 000 km long in total, and of sea wall is 14 000 km.
These reservoirs and dikes engineering have been
brought enormous social, economic and environmental
benefit in the development of civil economy and soci-
ety. However, because of their running for several
decades as well as the limitation of technique and econ-
omy condition, these hydrology projects have encoun-
tered some hidden trouble to a certain degree. It is
surveyed that there are about 30 000 sick reservoirs,
account for 36% of total. How to detect the proper
positions of leakage and how to resolve these prob-
lems are focused on by Chinese engineers. This paper
introduces the achievement in diagnostic techniques
of dam leakage in recent years in China.
2 TYPES OF DAM LEAKAGE IN CHINA
2.1 Leakage reasons
The reasons for dam leakage in China are listed as fol-
lows: (1) The aging of dam body. Most of dams have
into an aging period, and structures and establishments
aging seriously, such as the aging of water-sealing
establishments resulting in leakage of expansion
joint. (2) Geological disfigurement, including that
strong leakage paths existing in geologic body and
stratum cracking at dam foundation which was aris-
ing out of the asymmetry settlement lead to leakage
through the cracking in dam body. Karst passage,
underground ancient riverway and faults are familiar
centralized leakage place. Large-scale karst hollows may
give rise to generating asymmetry settlement which
results in the dam body cracking. Huangbizhuang
attached-reservoir is such a representative example[1].
(3) Construction quality. 75 percent of large reser-
voirs, 67 percent of medium-sized ones and 90 percent
of minitype ones were built in 1957 to 1977. Because
of various reasons, these reservoirs were under poor
design and construction, which left behind a lot of leak-
age hidden troubles. Some new-built dams have the
same problems.
2.2 Type of leakage
The types of dam leakage in China are included as fol-
lows: (1) The leakage of the curtain body at the dam
foundation or by-pass leakage. Most of the curtain

673
bodies are concrete grouting curtain. Because rocks
have different grouting performances in different posi-
tions of dam foundation, leakage may be caused by
grouting with bad effect in some places. It is most
universal phenomenon that leakage occurs when con-
crete grouting curtain was chemically corroded under
the perennial permeation of reservoir water. For the
design depth of curtain does not accord with demand,
round about seepage of reservoir water under the cur-
tain is in existence. (2)The leakage of bedrock under
the curtain of dam foundation[2–3]. Leakage of karst
conduits and pervious stratum in bedrock are included,
as it is impossible to survey clearly the karst conduits
and pervious stratum in the infinite depth by engi-
neering geological investigation. Take the Xiaolangdi
hydropower station for example: in its left dam, dam
foundation leakage is the pervious stratum leakage in
the depth of 30
40 m under the curtain, and the
reservoir water leak through the vertical cracks and
bedding cracks which developed widely in the stra-
tum with low dip angle. (3) The Surface leakage of
bedrock in dam foundation. The aerated layer of
bedrock was excavated done by halves, as a result of
the surface leakage occurring after impoundment.
Such situation mainly happened in the dams built in
1957 to 1977 and paucity of new – built dams. (4) The
leakage of core wall (or impervious core). This kind
of leakage is a common problem at present. In com-
pany with the accretion of height of dam, the height
of core wall (or impervious core) is also accreting,
which results in that construction quality is difficult
to control. For example, the impervious core usually
was built not as design to insert the bedrock but to
appear as carried type, or the joint of walls can not be
obturated well, or wall-body is not close-grained as
beehive, etc. (5) The leakage of expansion joint in the
dam body. It happens in concrete dams, especially in
concrete gravity dams. This kind of problems are
mainly caused by the aging of sealing material, and
it can be resolved by replacing the sealing material.
(6) The leakage of cracking in the dam body.
Asymmetrical sedimentation of dam foundation may
cause the leakage of vertical cracks, and the transmu-
tation of concrete which arise from the change of tem-
perature and stress or any other factors may cause the
horizontal crack. For example, in Anhui province in
China, there is a large horizontal crack in Chencun
hydropower station, of which the cutting depth has
not been surveyed with consistent. Though leakage
has not happened yet, if it expand further, it will threat
the stability and safety of dam structure. (7) By-pass
leakage. By-pass water-permeating fault or that the
length of impervious elements extending to the dam
abutment is not enough result in the leakage. (8) The
leakage of impervious blanket. More and more rock-
fill dams with face slab are constructed in China nowa-
days. The materials for the impervious face slab are
674
not chosen reasonably enough and construction tech-
nique usually cannot satisfy the need. So the impervi-
ous effect of face slab is not very well. That the asphalt
concrete face slab appears melting, cracking and
humping is familiar complexion. For instance, first, in
Nangudong reservoir of Linzhou city in Henan, melt-
ing at high temperature and cracking occur in asphalt
concrete impervious slab. Second, in directed blasting
rockfill dam of Shibianyu reservoir, under the reversed
hydraulic action, within range of elevation from
664
665.5 m, asphalt concrete slab appears 8 hump-
ings of different sizes, 4 collapse depressions, 3 long
cracks and humpings ranged about 200 m2.
3 THE DIAGNOSTIC TECHNIQUE OF DAM
LEAKAGE IN CHINA
3.1 Electric prospecting technique
This technique includes Galvanic resistivity method,
self-potential method and induced polarization method,
etc. ZDT-I intelligent scouting instrument for surveying
hidden trouble in dams and dikes (China) is developed
based on ultimate principle of Galvanic resistivity
method. It adopts constant current power supply to set
uniform detection electric field, setting up proper elec-
trode distance to achieve quadrupole rolling locating
the hidden trouble, and to detect the hidden trouble
position in the dike of Yellow River. This method is
applied successfully in prospecting the hidden trouble
of leakage in many service reservoirs. High density
resistivity method is used more and more widely. Since
1990, the high density resistivity prospecting system,
new-type high density electrical prospecting apparatus
of distributed intelligence and the system of distrib-
uted high density resistivity method are developed. In
these method involved above, the most important one
is Galvanic resistivity method, though there is the prob-
lem of vertical limiting resolution in prospecting cavers
in existence.
Self-potential method is a method which is based
on the abnormity of difference of potential of water
around the centralized water leakage path in dike. This
method is carried into execution as follows: first, locate
survey grid in possible vertical leakage direction. sec-
ond, measure the difference of potential between deuce
along the survey line using non-polarizing electrode.
Third, draw the electrical potential profile maps and
plane isopotential maps all along the survey lines. In the
end, according the abnormity of difference of potential,
analyze and determine the position, buried depth and
flow direction of hidden trouble of leakage. While,
induced polarization method is another method, in
which, through observing the addition electric field
generated in charge and discharge process, analyze the
position, scale, aspect of dam leakage. It has check out
 Table 1. Comparability between none-swirl flow field and stead electric current field.

None-swirl flow field Stead electric current field

Velocity of flow u Current density J

Flow continuous equation
 u  0 Current density continuous equation
 J  0
Velocity potential H
2H  0 Electric potential V
2 V  0
Velocity of flow and potential equation Current density and Electric potential equation
u 

 H  0 R 

V
Darcy’s law u 
k
 H Ohm’s law J  E 

V
Permeability coefficient k Conductivity
Equipotential surface (line) as constant, Equipotential surface (line) as constant,
Equipotential line and flow line are Equipotential line and current line are orthogonal
orthogonal everywhere everywhere
Boundary condition: fluid-flow boundary: Boundary condition: Conduction boundary:
un1  un2, impermeable boundary: un  0 Jn1  Jn2, insulation boundary: Jn  0

the dam-body leakage of Maojiacun dam in Yunnan 3.4 Flow-field method

province successfully. Taking this method, detect the
This method is based on the research of the relation
construction quality of impervious wall as well.
between flow filed and electric current field. Under
certain conditions, the two fields have some similar-
3.2 Electromagnetic method acquisition technique ity (Table 1), by analyzing the relation between “pseudo
random” electric current field and leakage flow field
Electromagnetic method acquisition technique include
in mathematical version, establish the fitting relation
instantaneous electromagnetic method acquisition tech-
between electric current field and abnormal flow field
nique, frequency field electromagnetic method acqui-
in the spatiotemporal distribution, thereby measure the
sition technique and geological radar acquisition
leakage flow field indirectly by measuring the electric
technique. Instantaneous electromagnetic method
current field. In a general way, first, transmit a certain
acquisition technique is applied in prospecting hidden
artificial signal – “pseudo random” electric current into
trouble of leakage in earth dam and dike in China.
the water of different localities which are exist point
Dike leak detection SDC-2 developed in China plays
on the downstream face of seepage area, dyke and
an important role in leak prospecting in 7 reservoirs
reservoir region. At the same time, receiver is working
(Nishan, Miyun, Yuechen and etc.). Some importing
on the water, and the receiving transducer entry into
instruments such as frequency field electromagnetic
the water at different depths detecting the distribution
instrument, earth conductivity instrument EM34-3,
intensity and direction of the artificial signal, then fix
leakage detection SDC-2 is used for prospecting hid-
on the leakage entrance. A series of leakage detection
den trouble of leakage in 7 dams and 3 dikes. Different
devices have been developed, especially DB-3 popu-
frequency radar antennas made in China apply geo-
lar dam seepage detection device have been applied in
logical radar to detect hidden trouble effectively. In
flood control dykes and dangerous reservoirs in Hunan,
addition, the dual-frequency Doppler phased array
Hubei, Jiangsu, Jiangxi, Fujiang, etc.
exploring earth radar three-dimensional scanning imag-
ing system can ameliorate conflict beween depth of
exploration and resolution.
3.5 Synthetic tracer method
Synthetic tracer method is one of most effective method
3.3 Engineering CT acquisition technique
in detecting the concentrate water leakage path of dyke.
Elastic wave CT (Computerized Tomography) tech- It can be introduced as follows:
nique in engineering is a technique, with which we Single well isotopic tracing instrument was devel-
process an excitation elastic wave transmission in the oped by Hohai University in 1980s, and intelligent
profiles, and reshape elastic wave velocity maps of groundwater synthetic tracing instrument is developed
engineering profiles with projection data in each direc- as well at present. It can not only determine the veloc-
tion. This technique was firstly applied in Xiaolangdi ity, direction and perpendicular flow of groundwater,
project, which was not only for prospecting the geo- but also determine the temperature and conductivity
logic body but also for detecting the quality of imper- of natural water. Based on the determination of velocity,
vious wall in main dam[7]. direction and perpendicular flow of groundwater, going

675

Natural tracer
technique
Tracer technique
in single borehole
Artificial tracer
Groundwater tracer
technique
technique
Natural tracer
technique
Tracer technique
in multiholes
Artificial tracer
technique
with the other technique as temperature field and chem-
istry field of natural water and environmental isotope
analysis technique, it is easy to confirm hydrogeologic
parameters and to resolve the problem of detecting
the complex seepage path in dyke effectively. Some
successful examples can be cited such as Xinanjiang,
Longyangxia, Bikou, Liujiaxia, Xiaolangdi hydro-
power stations.
4 TYPICAL CASES OF SYNTHETIC TRACER
METHOD IN CHINA
4.1 The detecting of concentrate seepage paths
deep in dam foundation on left bank of
Xiaolangdi project
Stratum of bedrock on left bank of Xiaolangdi project
is composed of Lower Triassic mega-thick-bedded and
thick-bedded fine sandstone, and 356 monolayers are
include in all, dip angles are usually less than 10°. In
front of the dam, there is a near NS fault F28 closing
to the dam, and there is a near EW fault in the north of
dam (Fig 1). Four group of tectonic fissures develop
in rock mass of dam foundation, in result of that rock
mass was cut into rectangular hexahedron. Most joints
only develop in monolayer, and obviously relate to the
thickness of monolayer. In the direction of tangent
sheaf, the connection rate of joint in mean lines is
30%. When softrock and hardrock appear alternative
distribution, joints develop in the hardrock.
676
Temperature and conductivity tracer technique
Hydrogeochemistry tracer technique
Environmental isotope tracer technique
Velocity of leakage determining by dilution method
Determining the direction of leakage
Determining the vertical flow
Velocity of flow determining by tracer
technique in multiholes
Seepage zone detecting by
technique
Effective porosity of measurement
by artficial flow field tracer technique
in multiholes
Dispersion coefficient determining
by tracer in multiholes
Figure 1. Sketch map of seepage path at the north side of
drainage gallery 30# at the altitude of 117 m around the
underground powerhouse.
Since the project started to work, the quantity of
seepage into the 30# drainage gallery is quite large even
with grouting curtain. The single hole water drainage
reached 10 L/s of a maximum. Although curtain reme-
dial treatment was made, the effect was not so obvi-
ous. The permeability of the bedded structure is
analyzed and the modern tracer theory and analysis
method are applied to get the result of seepage, which
shows that the seepage pathway to the 30# drainage
gallery is quite different. The seepage from the drainage
boreholes at the north side of the gallery is very large.
According to the survey, the reason is that reservoir-
water goes into the permeable stratum running through
 Figure 3. Sketch map of dam transverse section.

Figure 2. Profile sketch map of concentrate seepage path

in low-dip bedded structure of dam abutment.

the relative impermeable layer along the tangent stra-

tum crack, then discharges through the drainage gallery.
As a result, the concentrate water leakage path come
into being which consist of fracture network (Fig 2),
and that is confirmed by intercommunicate test.
However, the seepage from the other drainage holes is
smaller, which is supplied by the superficial layer leak-
age of reservoir water, tail water and water of Yellow
River.
Figure 4. Sketch map of arrangement of detection holes
and direction of flow.
4.2 Leakage survey of asphalt concrete core wall
of Majiagou reservoir
The dam of Majiagou reservoir is asphalt concrete core
wall rock-fill dam. The maximal height of the dam is
38 m and its crest is 267.6 m long. The thickness of
the core wall is 0.5 m. 2 m thick filter layers are set
against both sides of the core wall. The altitude of base
surface in the riverbed is 214 m. There is a 2 m deep
upside-down trapezium concrete foundation trench
under the base surface and the impervious curtain is
under the bottom of the trench. The concrete pedestal
is on the base surface (Fig 3). It began to leak along
the back slope of the dam in May of 2004 when the
reservoir water level reached 235.7 m. Along with the
water table ascended, the all back slope under the alti- Figure 5. Change of conduction after throwing salt.
tude of 226 m had leaked. The dam was in danger. In
order to ascertain the location of concentrate seepage and ZK8 in dam body is shown in Figure 4: flow
path, 13 detecting holes are disposed behind core wall direction of ZK7 and ZK7-2 appear in normal condi-
a distance of 3 m on the crest (ZK1
ZK13) , of which tion, but ZK7-1 and ZK8 appear abnormal condition,
distance is 30 m, depth plunging into bedrock is 30 m. which results in dorsad movement between ZK7 and
In addition, dispose 2 patching holes (ZK7-1, ZK7-2) ZK7-1, as well as ZK7-2 and ZK8. This phenomenon
between ZK7 and ZK8, 3 holes on the packway in is guessed that it is caused by leakage of core wall, so
front of dam (MK1
MK3) (Fig 4). leakage of core wall occurs between ZK7 and ZK7-1,
When the emergency occurred, there is strong bicker as well as ZK7-2 and ZK8.
in ZK6, fluid flow is in turbulent condition. Though
flow direction measurement can not be carried on, the
vertical flow test indicates that downcast vertical flow 5 EPILOGUE
is in existence. Peak value of conductivity in Figure 5
move down, accordingly, we can judge the leakage On the base of that long-term explore and practice of
near core wall. Flow direction of ZK7, ZK7-1, ZK7-2 Chinese science and technology workers and import

677
of advanced science and technology achievements in
world, theory and technology of leakage diagnosis of
dams in China develop quickly, methods are more all-
around. With these developments, a lot of problems of
leakage have been resolved successfully. However,
there are too many reservoirs in danger, and cause of
leakage is too complex. Some technology can not be
applied well. In future work, we will encounter new
problems. We should innovate and do summarize in
time, and strengthen international communicate and
cooperation.
REFERENCES
Wang ENzhi, Yang Gang, Li Ang, IMPACTS OF THE
KARSTIFICATION ON THE SEEPAGE FLOW IN
SECONDARY DAM BASE OF HUANGBIZHUANG
RESERVOIR, Geology-geochemistry,2005, (3)
Liu Jiangang, Chen Jiansheng, TWO TYPICAL EXAM-
PLES OF DYKES WITH DEFECTS OR IN DANGER
RESULTED FROM BED ROCK PERMEATION,
Chinese Journal of Rock Mechanics and Engineering,
2003, 22(4)
678
Liu Jiangang, Chen Jiansheng, Chen Liang, Yang Songtang,
STUDY OF SEEPAGE IN LOW-DIP BEDDED STRUC-
TURE OF XIAOLANGDI DAM ABUTMENT BY
TRACER METHOD, Chinese Journal of Rock Mechanics
and Engineering,2004, 23(8)
Leng Yuanbao, Zhu Wenzhong, Hejian, Liu Jianming, The
hidden trouble of dams and the present situation and
prospect of leakage acquisition technique, Advances In
Science and Technology of Water Resources,2002, 22(2)
Liu Zuming, Zhang Zhiming, Application of the ZDT-1
intellectual detecting instrument for dyke/dam hidden
trouble in the small sized earth dam’s HT detecting, Gx
Wateer Resources & Hydropower Engineering,2002, (2)
Fang Cungang,The Application of the Transient Electro-
magnetic Method in the Detection of dam leakage,
Nanchang,1999
Leng Yuanbao, Application of engeneering CT in Xiaolangdi
Project Geotichnical Investigation and Survey-
ing,1996, (5)
Liu Jiangang, Chen Jiansheng, Application of Plain Thermal
Source Method in analysis of dyke leakage in Shijiao sec-
tion of Beijiang levee, Hydro-Science and Engineering,
2002, 93(3)
Liu Jiangang, Wei Bingrong, Bao Mingwen, Zheng Kexun,
Tracer Analysis of Dam Leakage for Majiagou Reservior,
Hongshui River,2005, 24(2)
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Safety of cracked buttress dams – an example

T. Ekström
Carl Bro AB,Malmö, Sweden

ABSTRACT: The paper shows a currently performed study of one dam in Sweden. The study involves calcu-
lations in both the serviceability- and ultimate limit states. Loads as deadweight, pore pressure, ice pressure,
shrinkage, creeping, temperature changes, etc. are considered. The concrete is considered with an inelastic
Drucker-Prager model and the reinforcement with a von Mises plasticity model. The study shows that the cracks
may very well been caused by tensile stresses in the serviceability state and that the safety of the dam in a near
future is very low.

1 INTRODUCTION

1.1 Background
There are many existent buttress dams of concrete in
Sweden that are damaged by extensive cracking. Water
from the reservoir penetrating the cracks, leading to
leaching and, in case of no insulation wall on the down-
stream side, frost damages. In the origin static calcula-
tions, those dams were assumed free of cracks and
working as monoliths.

1.2 The dam

The studied dam is a high and thin-walled buttress dam,
see Figure 1. It is placed in north of Sweden. The dam
is cracked severely. Each front plate has a large number
of horizontal cracks, mostly in the lower part. Based
on under-water inspections and on observation of large
water leakage through the cracks, it can be said that
the cracks goes through the front plate. The dam pillars
are also cracked extensively. Typically a crack goes
from the foundation on the rock or from the inspection
gallery and upwards to the front plate where the crack
meets another crack in the front plate. Because of the
cracks, the buttresses most probably are no monoliths
anymore.
Old studies blame the cooling phase after the dam
was built as a cause of the cracking. However, indi-
cations as continuously creeping and enlargement of
cracks and result from simple calculations give that
cracks may very well have been caused by loads after
that the reservoir was filled up. Were cracks formed
during the cooling phase, they may have been enlarged
later.
Figure 1. A principal figure of three buttresses of about 60 in
the dam. Each buttress consists of a dam pillar and a front plate.
Along the dam, through each dam pillar goes an inspection
gallery. In the figure observed cracks are principally visualized.
1.3 Aim of the paper
The aim of the work is to:
• Explain the reason of the cracks.
• Estimate the today structural safety of the dam.
• Propose suitable actions if the safety is not enough
today or in a near future.
1.4 Methods
The methods are:
• A simple calculation based on handbook formulas
is performed of one buttress assumed as a solid body

679
 for calculation of the turnover and sliding and as a 3 GENERAL ABOUT FEM-CALCULATIONS
beam for calculation of the load resultant.
• To explain the reason of the cracks, FEM-calcu- Using the Finite Element Method (FEM) more realistic
lations of one buttress during its service life equilibrium equations, constitutive relations, geome-
are made: tries and boundary conditions according to continuum
– Just after the reservoir is filled. mechanics can often be used.
– After some years when seasonal temperature In continuum mechanics the basic relations for equi-
changes and ice loads have occurred. librium, constitution and kinematics is given for infin-
– After about 40 year, just before an insulation itesimal small elements. Structural mechanics is based
wall was built, and the shrinkage due to drying on the same relations but is assumed to be valid on bod-
have occurred. ies with finite extension in one, two or three directions.
• To estimate the structural safety today, a FEM-cal- Equilibrium and cinematic relations are basic mechani-
culation of one cracked buttress in the ultimate cal relations while the constitution depends on the
limit state is made. material properties in the body analyzed (Petersson &
Thelandersson 1983). Constitutive relations describe
the mechanic of deformable bodies. Constitutive rela-
tions are often based on experiments. Classical models
2 SIMPLE HANDBOOK-CALCULATIONS of constitution are models of elasticity, visco-elasticity
OF THE STABILITY (e.g. creep) and plasticity.
The model of elasticity has a unique relation
At the time when the dam was built in the beginning between strains and stresses and can be either linear or
of the decade of 1950, no sophisticated method of non-linear. For larger loads the material begin to plasti-
calculations by help of computer were available. The cize. The plasticizing depends on damages in the mate-
calculations were made by “hand”, assuming the dam rial. For concrete it depends on micro-cracks that
as rigid bodies and as beams. A simple calculation weakens the material. The stresses have not a unique
assuming the buttresses as rigid bodies loaded by self- relation to the strains. There are many possible stresses
weight, external water pressure and a ice load gives that for the same strain. The stresses depend on the strain-
the relation between the resistant and pushing moment history. For compressive stresses the damage is more
(safety of turn-over) is higher than 1.5 and the relation plastic than for tensile stresses where the material is
between vertical and horizontal loads (sliding) is lover more quickly damaged and the strain-stresses curve
then 0.75, which are the demands in today guidelines. goes more abruptly down as the material softens.
Also, calculations assuming the buttresses as beams Uni-, bi-, or triaxial elastic stresses are calculated
gives that there is no stresses in the upstream end of the with a generalized Hookes law. Models for estimating
buttresses, i.e. the resultant of forces lays in the middle the yielding point are for example von Mises, Tresca,
third of the base area. So, this simple calculations gives Mohr-Coulomb or Drucker-Prager. Hardening, per-
no indications that the buttresses should be not well fect plasticity or softening rules describes flow rules.
designed. A softening condition is very difficult to use with
standard continuum theory because there are more than
one unique solution to each strain and the numerical
G4
results are very sensitive to the size of the elements
IS (Jirásek 2004).
When a larger discontinuity in the material the com-
V5 V6
G7
mon continuum models cannot be used any more. Ins-
tead fracture damage mechanics may be used.
V7
Stresses Equilibrium Body forces
σ V% σ + b = 0 b
V3
G5 Constitutive
G6 G3 G1 Boundary
relations
V4 G8 conditions
G2 σ = Dε
v G8
G8 G8 A Stresses Kinematics Displacements
V1 ε ε = V% u u
Model V2
Figure 3. Illustrations of fundamental equation of solid
Figure 2. The calculation model. mechanics (Ottosen & Petersson 1992).

680
 In the below calculations stresses often becomes 4 LINEAR ELASTIC FEM-CALCULATIONS OF
larger than the yield limit and the material starts to THE SERVICE LIMIT STATE DURING
plasticize, however, depending on the confinement 1954–1994
stresses. If there are only compressive stresses in three
directions the yield limit is very high, but as soon as at 4.1 General
least one stress component is zero or tensile, the yield
The aim is to get indications if the observed real cracks
limit will decrease.
may have been formed in this state. Old document
The Drucker-Prager condition is used in this paper to
says that the dam shows cracks a very short time after it
calculate when the stresses reach the yield limit.
was built. The question is if the cracks were because of
Above the yielding point, the material (concrete) is in
stresses in the cooling phase or of stresses after the
this paper simplified as perfectly plastic, see Figure 4.
reservoir was filled up?
(3.1)
4.2 Just after the reservoir was filled
Present loads are self-weight of concrete and external
(3.2) water pressure against the front plate. Only the concrete
and not the reinforcement are regarded. The concrete
is assumed linear elastic and isotropic. The equilib-
(3.3) rium equation solved is
(3.7)
(3.4)
where   stress in the material (Pa); and b  body
forces (N/m3). The stress-strain relation assumed is
where j  stress based on a Drucker-Prager condition
(Pa); m  mean stress (Pa); J2  second deviatoric (3.8)
stress. The resulting effective stress j is compared to an
assumed yield limit K. The values of
and K are deter-
σ2
mined (Jirásek & Basžant 2001) as
ftu
fcu fcy
(3.5) σ1
ftu

(3.6) Tensile
fcy
failure
where
–
– and K are material parameters, (-) and (Pa);
f t and f t are statistically mean values of compressive fcu
and tensile stress (Pa). Compressive
failure

σ Figure 5. Bi-axial yield surface. fcy, fty  yield limit, fcu,

ftu  ultimate strength.
ftu 6
1
εcu εc0 εcy 2
ε σ2
σ3
εt0 εtu0
5
3
6
fcy
4
fcu

Figure 4. Uni-axial stress-strain relations. 1  linear elastic

tensile stress, 2  tensile cracking, 3  linear elastic com-
pressive stress, 4  plasticity (micro-cracks), 5  plasticity
(crushing), 6  perfect plasticity. Figure 6. Tri-axial yield surface.

681
where D  elasticity matrix (Pa); el  total elastic
strain (-);  elastic strain (-);  thermal elastic
strain (-); 0  elastic strain, here set to zero (-); and
0  initial stress, here set to zero (Pa).
The resulting effective stress j is compared to an
assumed yield limit K. The values of
and K are here
based on estimated characteristic values of the
strengths.

(3.9)

(3.10)
where  crack safety factor (-). The maximum prin-
cipal (tensile) stress s1  1.3 MPa, which is a little bit Figure 7. Stresses j due to self-weight and external water
lower than the uni-axial tensile strength 1.6 MPa. pressure.
However, considering multi-axial stresses, the Drucker-
Prager stress j is higher, 1.5 MPa, higher then the
concrete yield stress at K  1344 kPa. There is dan-
ger for yielding and cracks already in this load case.
There were observations of cracks early after the fill-
ing up of the reservoir.

4.3 Some years after the reservoir was filled up

In this case the reservoir has been filled for some
time. The front plate is water saturated due to leaking
water. Seasonal temperature changes and ice pressure
has occurred. The equilibrium equation used is
(3.11)
where   effective stress in the material (Pa); and
b  body forces (N/m3).
The water pressure is determined with a FEM-
calculation of Darcy’s law.
(3.12)
where kw  water permeability (m/s), pw  hydro-
static water pressure (m). The pore pressure is directly
used in the mechanical calculation as
(3.13)
Where   stress in the material (Pa). The thermal
stresses is determined with a FEM-calculation of
(3.14)
Figure 8. Directions of the maximum principal stresses
due to pore water pressure.
(W/m/°C); och Q  heat source, here set to zero
(J/m3/s).
Figure 8 shows the principal stresses caused by
pore water pressure. The maximum stress is increased
about 15% when the water pressure is applied as a
pore pressure instead of an external pressure as in
section 4. The directions of the stresses are perpendi-
cular to observed cracks.
The initial temperature of the dam when built is
assumed to 10°C. When summer temperature warms
the dam up, additional stresses occur according to
equation (3.8) and
(3.15)

where  density of concrete (kg/m3); Cp  specific
heat capacity of concrete (J/kg/°C); T  temperature
(°C); t  time (s); u  convective flow of heat (m/s),
this term is not included in the calculations except for
them described in section 4.7; k  heat conductivity
where E  elastic modulus (Pa);
c  thermal expan-
sion factor (1/°C); and Tc0  initial temperature (°C).
Figure 9 shows stresses only due to summer tem-
perature changes. Only stresses j greater than the
yield stress K are shown. There is obviously a risk for

682

Figure 9. Stresses j due to summer temperature
changes only.
Figure 10. Stresses j due to winter temperature
changes only.
formation of cracks in horizontal directions in the
upstream face of the front plate.
Figure 10 shows stresses j for the same loads as in
Figure 9 is shown except that there are now winter tem-
peratures. Only stresses j greater than the yield stress
K are shown. As in the summer case, there is a risk for
formation of cracks, but now in the downstream face of
the front plate and in the lower end of the pillar. Of
course has the value of the initial temperature impor-
tance. If the initial temperature is higher will the dam
shrink more in winter and the stresses increase.
Figure 11 shows stresses due to ice pressure only.
The ice pressure is located at the water surface. It can
be seen that large stresses appear at the upper end of
683
Figure 11. Stresses j due to ice pressure.
Figure 12. Directions of the maximum principal stress due
to drying shrinkage.
the buttress. In reality the dam have earlier been dam-
aged here but is nowadays repaired.
4.4 After shrinkage
During time the buttress will dry and water mixed in
the concrete when cast will leave the pore system.
When drying the buttress will shrink and because it is
fixed to the ground and that drying in not uniform dis-
tributed, stresses will occur. Figure 12 shows the direc-
tions of principal stresses due to drying shrinkage only.
The stresses are directed in the same direction as the
stresses due to pore pressure and temperature changes.
4.5 The total load combination
In figures below, the total stress j due to self-weight,
pore pressure, summer (Figure 13) or winter (Figure
14) temperatures, drying shrinkage and ice pressure
can be seen. In the colored area the stress is larger
than the yield limit K and cracks may appear. In real-
ity there are such cracks.
4.6 Influence of the underground
If the rock beneath the dam is included the boundary
between the dam and the rock will become deformable
Figure 13. Total stress j due to self-weight, pore pressure,
winter temperatures, drying shrinkage and ice pressure.
Figure 14. Total stress j due to self-weight, pore pressure,
winter temperatures, drying shrinkage and ice pressure.
and the maximum stresses decrease in the lower end
of the pillar from 24 to 15 MPa.
4.7 Influence of heat flow from the reservoir
In the above calculations only the conductive part of the
heat transport from the water in the reservoir is regarded.
Figure 16 shows result from calculations including also
the convective part of the heat transport (see equation
(3.14)). Only for very un-tight concrete with permeabil-
ity coefficients of 10
7 m/s or larger there is a signifi-
cant influence of the convective transport of heat.
684
Figure 15. Total stress j due to self-weight, pore pressure,
winter temperatures, drying shrinkage and ice pressure with
an assumed body of deformable rock.
Figure 16. Temperatures in the front plate due to of heat
flow from the reservoir.
4.8 Influence of creep
With time, the concrete creeps due to long-term loads.
When concrete creeps it will became softer. Creep in
concrete depends mostly on transportation of pore
water from parts with high stresses to parts with lower
stresses, but depends also on formation of micro cracks
where stresses are high. Creep is here simplified with a
lower modulus of elasticity, Ec. With a lower Ec there
will be a transformation of the load effects from parts
with high stress levels to other parts. As can be expected
the maximum stress will decrease compared to above
calculations, for example from 24 MPa in Figure 14
down to 15 MPa (Figure 18) for the winter case.
5 INELASTIC FEM-CALCULATIONS OF THE
SERVICE LIMIT STATE DURING 1954–1994
5.1 General
The aim with this calculation is to get indications
of areas where possible cracks might appear in the
Figure 17. The stress j with creep at long-term loads with
summer temperatures. Only stresses larger than the yield
limit K are shown. Figure 18. The stress j with creep at long-term loads with
winter temperatures. Only stresses larger than the yield limit
concrete. Due to the inelastic calculations, areas with K are shown.
stresses above the yield limit can be find.

5.2 A long time after the reservoir been filled up

The concrete is calculated using a Drucker-Prager
model for yield criteria, see equations (3.4) to (3.16).
When the stress j reaches the yield limit K, the con-
crete will start yield. The flow rule for concrete yield-
ing is simplified to perfectly plastic flow. For better
accordance with real concrete there are better models
that can capture real concrete softening behavior. Espe-
cially in tension, concrete is not at all ductile. Some
models can also capture fracture mechanics in cracks.
Anyhow, the aim with this section is only to get
some sort of information of how stresses are reduced
and transferred in the monolith to other parts and to
the reinforcement bars when concrete is plastized.
Figures 19 and 20 shows that stresses j are reduced
and transferred in the monolith to other parts and to
the reinforcement bars when concrete yields. As long
as the concrete not is cracked, the stresses in the rein- Figure 19. Stresses j due to long-term loads at summer
forcement are small due to its small area. But when temperatures. Only stresses larger than the yield limit K are
the concrete is cracked not much steel take up the loads shown. The concrete have crept and where j reach K it
and the stresses in the steel bars increases much. behave perfectly plastic.

more moderate. In the model two fictive cracks is used.

6 FEM-CALCULATION OF THE
STRUCTURAL SAFETY TODAY
6.1 General
To get a hint of the structural safety in ultimate limit
state of the dam at today condition, a calculation is made
below. A heat insulation wall was built 40 year and
this made the condition much better. The front plate
became no more exposed to freezing temperatures and
the temperature changes in the whole monolith became
Because it was not possible to calculate with fracture
mechanics in the model, these cracks are much sim-
pler modeled. In the areas symbolizing the cracks, the
modulus of elasticity was set 100 times lower than in
the rest of the concrete. This is not a perfect model.
On the other hand, in reality there are certain areas of
concrete, around real cracks, that are damaged by
micro-cracks. By setting lower Ec in these areas, a
proper model of transferring of load effects from con-
crete to reinforcement bars is received.

685
Figure 20. Stresses sy in vertical directions in the rein-
forcement.
Figure 21 shows strains in the reinforcement. The
reinforcement in the model is simplified as a layer of
steel subjected to plane stresses and fixed to the con-
crete. Unfortunately, there was numerical conver-
gence problems for this chose of the material
parameters
and K. The load factor reached for the
winter case only 0.54. At this load the strain was
0.0020, which is much smaller than the ultimate limit
0.080. With
 0.29 and K  1650 kPa the resulting
strain become 0.0027 at load factor 1.0.
Nowhere is the ultimate limit of strain of about 8%
reached. If that is the condition of safety the mono-
liths are safe in Ultimate limit state. However, the safety
margins regarding instability and durability feel as
too small.
7 DISCUSSION
The calculations in the serviceability state shows that
the observed cracks in the dam may very well have been
formed in the serviceability state. If, cracks were
formed in the cooling phase such cracks may have been
enlarged and also, make neighboring concrete parts
crack later on.
The stresses for long-term loads are so high that
large creep effects have occurred in the concrete. The
creep effects have softened the concrete whereupon it
has cracked even more. For each new crack a large part
of the section stresses have been transferred to the rein-
forcement. Because there are a relative little amount of
reinforcement bars in the vertical direction in the front
plate and in both directions in the pillar, the stresses and
strains in the bars are high, even for long-time loads.
686
Figure 21. Principal tensile strain 1 at winter conditions.
The load factor reached in the calculation is only 0.54 due to
numerical convergence problems.
The dam shall most probably be stabilized in a near
future.
The FEM calculations show that the structural safety
probably is low. However, the FEM-calculations shows
that the strain in the reinforcement bars is lower than
a maximum allowable strain of about 0.080.
8 CONCLUSION
The monolith has an insufficient safety of stability.
Continuous creeping and enlargement of cracks at high
long-term loads decrease the stability with time.
A permanent measurement system shall be fixed
on the cracks for reading in real-time any changes of
crack widths. The result shall be used as a warning sys-
tem but also to calibrate the above calculations.
Future calculations of these kinds should include
better models of creep, inelasticity and fracture mechan-
ics. The softening behavior and damage for especially
tensile stresses must be regarded better.
REFERENCES
Ottosen N., Petersson H. (1992), “Introduction to the Finite
Element Method”, Prentice Hall.
Petersson H., Thelandersson S. (1983), “Basics of structure
mechanics”, The Building handbook, general basics, (in
Swedish), LiberFörlag, Stockholm.
Jirásek M. (2004), “Non-local damage mechanics with appli-
cation to concrete”, Czech Technical University of Prague.
Jirásek M., Basžant P. (2001), “Inelastic analysis of struc-
tures”, Wiley.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Construction of pressure relief wells under flowing artesian conditions,

Karkheh storage dam – Iran

Mohammad Heidarzadeh & Ali A. Mirghasemi

School of Civil Eng., University of Tehran & Mahab Ghodss Consulting Engineers, Tehran, Iran

Faramarz Eslamian, Habib Niroomand & Seyed M. Etemadzadeh

Mahab Ghodss Consulting Engineers, Tehran, Iran

ABSTRACT: This article discusses experiences from construction of pressure relief wells under flowing arte-
sian conditions in the downstream of the Karkheh storage dam. Based on the information obtained from moni-
toring wells installed in the downstream of the Karkheh dam, indicating excess uplift pressure beneath the dam,
construction of relief wells was exploited to relieve part of these pressures. The mentioned excess water pressure
was produced in a confined conglomerate aquifer bounded above and below by relatively impervious mudstone
layers. Further, the water level in the confined aquifer was about 20 m above the ground surface, resulting in
artesian conditions. It is known that drilling and installation of relief wells in flowing artesian aquifers is sig-
nificantly more complex and difficult than that in unconfined aquifers. In addition, such process in large dam
sites having giant reservoirs like Karkheh storage dam would be associated with more complexities. In total, 23
relief wells were constructed in the downstream of Karkheh dam. Results showed that a successful process in
such conditions requires the following items: drilling fluid to protect excavated walls, surface and driven cas-
ing, and grouting. Results indicate that these wells so far (January 2006) could be able to decrease artesian pres-
sure about 25 m, improving the factor of safety by 40%.

1 INTRODUCTION constructed in the downstream of the dam. These well

Karkheh Dam, the largest one in Iran with the crest
length of 3030 m is located on Karkheh river, 200
kilometers northwest of Persian Gulf at southwest of
Iran. The mean annual discharge of the river is about
188 m3/s accounting for an annual yield of 5900 MCM.
The 127 m high earthfill dam has a reservoir capacity
of 5600 MCM at NWL and 7400 MCM on the occur-
rence of the design flood. The main objectives of the
dam are irrigation water supply, hydropower energy
generation as well as flood control.
The project includes the embankment placed across
the Karkheh River, a power house with total capacity
of 400 MW, at the left abutment and a gate-controlled
chute type spillway with a crest width of 110 m and
length of 955 m located at right abutment (Fig. 1). The
Karkheh Dam provides about 4 billion cubic meter of
regulated water to irrigate 320,000 hectares of down-
stream farmlands.
Regarding the existence of an artesian aquifer in the
foundation of Karkheh dam and associated probable
uplift pressure in the future, during the Karkheh dam
construction (1995–2001) some relief wells were
penetrated from 10 to 20 m into the artesian aquifer
with spacing about 20 m from each other. In total, 19
relief wells with the diameter of 2 or 3 inches were
constructed to relieve part of the excess uplift pressure
of the artesian aquifer and consequently to improve the
safety factor of the area against instability.
After the impounding of the dam reservoir in
February 2001, these wells started to discharge water
from the confined aquifer and relieve the existing
hydrostatic pressure. Unfortunately, due to some
shortcomings in the construction of these wells, and
improper estimation of the foundation permeability
(Mirghasemi, A. A. & Pakzad, M., 2005) they could
not effectively discharge water from the confined
aquifer so that in the highest reservoir level they only
could achieve a discharge of about 35 Lit/sec, the record
which was partly disappointing.
The main existing shortcomings in the construction
of these wells can be summarized as follows:
– Insufficient well nombers
– Inappropriate opening creation
– Irregular well screens

687
– Insufficient opening area (the ratio showing opening
area to the total are of the well was 4 to 5 percent)
Therefore, to monitor the performance of these relief
wells and to determine their precise effect on the reduc-
tion of the uplift pressure, some monitoring wells were
installed in the artesian aquifer. As it could be antici-
pated, the information from these monitoring wells was
indicating the existence of excess hydrostatic pressure
in the downstream. Such pressure along with insuffi-
cient overfills in the downstream of the dam might
reduce the safety factor of the Karkheh dam toe.
With regard to the above-mentioned situations and
in order to counteract part of the existing uplift pres-
sures (In can be noted the other exploited measure
was filling of the area to the appropriate elevation),
the construction of new relief wells was considered as
a remedy measure. As it was briefly explained above,
at the time of the construction of primary relief wells
since the reservoir was not impounded, there was no
artesian conditions in the downstream of the dam.
That is, to install these new wells, some special exe-
cution methods other than ones used before for con-
struction of primary wells, must be used due to the
existence of flowing artesian conditions at the dam
toe at the present time.
1.Dam crest 2. Spillway
4. Power tunnel 5. Diversion culvert
7. Spillway stilling basin 8. Power intake shaft
Figure 1. General plan of Karkheh dam project.
688
In addition, it may be noted that the installation of
observation wells in the downstream was a great success
in the control of artesian conditions and many lessons in
this field were learned. In the construction of the first
monitoring well artesian flow occurred. It was impera-
tive to stop flow quickly to prevent removal of soil
particles from dam foundation. This was accomplished
by re-drilling of the borehole, grouting of about 20
tones of cement and placing of 10 m3 sand (0–20 mm).
In this article experiences from construction of new
pressure relief wells under flowing artesian conditions
in the downstream of the Karkheh storage dam is dis-
cussed. During this process it was found that construc-
tion of relief wells in flowing artesian aquifer is more
difficult and complex than that in unconfined aquifers.
The experience shows that a successful process in such
conditions requires the following items: drilling fluid
to protect excavated walls, surface and driven casing,
and grouting.
The paper is divided into 6 sections. In the Section 2
a brief literature review is considered. Sections 3 and 4
mainly are focused on the geological aspects of the
dam site. Section 5 is devoted to the construction of
the new wells. At the end of the paper the effectiveness
of the newly constructed relief wells on the reduction
of the uplift pressure is presented.
3. Powerhouse
6. Diversion culvert stilling basin
9. Karkheh River
2 REVIEW OF THE RELATED WORKS
Kulbhushan L. Logani (1983) studied the piezometer
installation under artesian conditions. A unique proce-
dure and special equipment were developed and fabri-
cated in the field to facilitate the piezometer installation
in the abutments of an arch dam. The foundation pres-
sures were recorded during the reservoir filling. The
instruments responded accurately to the reservoir water
level fluctuations. The instruments were monitored for
three years [1].
Gary D. Rogers and Daniel R. Moore (1997)
reported the drilling, sampling and construction of
monitoring wells under flowing artesian conditions in a
dam site in the United States. They emphasized that a
major item for a successful drilling in flowing artesian
conditions is the selection of a properly weighted
drilling fluid. Based on their work, the density of
drilling fluid required to offset the artesian head in the
aquifer must be calculated prior to drilling. They per-
formed a series of calculations and at the end proposed
the following formula as the drilling fluid density
required to control artesian pressure:
(1)
where, Da is the depth below ground surface to top of
confined aquifer, Ha is the height of artesian head above
ground surface, Dc is the depth below top of drilling
fluid filled casing to top of confined aquifer, the ratio
of 1.1 is 10 percent safety factor, and C is a constant
depending on the different calculation systems [2].
Interim Water Well Drilling Advisory Committee for
the Province of British Columbia (1994) in the code of
practice which was prepared for construction, testing,
maintenance, alteration and closure of wells for the
Province of British Columbia, especially discussed the
flowing artesian conditions and some valuable advices
were presented. Among them are, at first to determine
the history of flowing wells or artesian conditions, to
Artesian Aquifer
Figure 2. Karkheh dam longitudinal section. Hatched area represents the extension of cutoff wall. To clarify, the figure is
exaggerated in the vertical direction.
689
take all reasonable precautions to prevent any well from
flowing out of control, no uncased holes shall be drilled
in a known area of flowing artesian conditions, Where
a drill hole encounters unexpected flowing artesian
conditions, the driller, or another qualified driller, shall
take control of the site and equipment shall not be
removed from the site until the artesian flow is con-
trolled, and other advices [3].
US Army Corps of Engineers (1992) in the manual
devoted to design, construction and maintenance of
relief wells has valuable comments to construct relief
wells in the artesian conditions [4].
As can be seen, a few works on the construction of
relief wells under artesian conditions are reported.
Further, Karkheh storage dam relief well construc-
tion, due to the reservoir volume, extent of the work,
and associated relative high artesian pressure for its part
is one of the most important experience in this field.
This article aims to share part of these experiences.
3 DAM GEOLOGY
The Karkheh dam is placed on poor to fair permeable
conglomerate beds, which are slightly-moderately
cemented. The overall permeability of the conglomer-
ate is estimated to be in the relatively high range of
about 4–9  10
4 m/s mainly caused by zones of dis-
continuity and open frame work gravels.
The impervious horizontal mudstone layers stratify
the conglomerate with 3 to 9 m thickness, estimated
permeability of about 10
7 to 10
10 m/s, which are
bedded horizontally in the area of the project (Fig. 2).
In the Fig. 2, it can be noted that the mudstone layers
are numbered due to the river bed level so that the lay-
ers located above and below the river bed level are
entitled with plus and minus numbers respectively.
Geotechnical investigations and observations were
indicated that these layers are enough continuous at the
location of Karkheh dam to provide different strata
for each conglomerate layer confined by mudstone lay-
ers (Mirghasemi, A. A. et al. 2004).
4 THE CONFINED AQUIFER
From the geological point of view, the karkheh dam
and its reservoir are located on an unsymmetrical syn-
clinal sloping toward northeast so that unfortunately all
of the underground geological layers of the dam have
crossed the dam reservoir (for example mud (
2)
crosses the reservoir at the distance of 4 Km from the
dam axis) causing their feeding from reservoir water.
As noted in the previous section, the permeability of
the conglomerate aquifer located between mudstones
(
3) and (
2) is relatively high while it is bounded
above and below by relatively impervious mudstone
layers. After the reservoir impounding in February 2001
the water became trapped between confining mudstone
layers and the pressure in this aquifer was increased
resulting the formation of an artesian aquifer. Stability
analysis approved by instrumentation of the dam toe
showed in some reservoir levels, the hydrostatic pres-
sure of the artesian layer would stand about 40 m above
the ground surface decreasing the safety factor to the
unsafe value of 0.95. The remedial measure discussed
in this paper is taken to relieve part of this excessive
created uplift pressure to assure the stability of the
dam toe.
5 CONSTRUCTION OF NEW RELIEF WELLS
Considering problems encountered during the instal-
lation of monitoring wells into the artesian aquifer,
the process of construction of new relief wells was
based on the water tightening and stabilization of the
upper aquifers using grouting applications and instal-
lation of casing. Having performed such a technique,
the artesian water was conducted out safely after cut-
ting the mudstone layer No. (
2) and consequently
washing of soil particles from the upper aquifers was
successfully prevented.

117
* * * * * * * * * * * * *
↓↓ ↓ ↓ ↓
Excavation
Diameter 22 ” Casing 20”

Conglomerate
Grouting Water
Tightening

15 m from ground
surface
Mud (-1)
Mud(-1)

19 m
Excavation Conglomerate
Diameter 18 ” Casing 14”

30 m
Mud (-2)
Blockage Mud (-2)
35 m

Excavation
Diameter 14 ” Pipe 6 ”

Conglomerate

Slotted Screen Filter

Figure 3. A schematic diagram of relief well construction details in Karkheh dam.

690
 In the taken technique, at first step using the direct
rotary method the well was advanced a few meters
below the top of the mudstone layer No. (
1) with the
diameter of 22 inches and then a 20-inche diameter
casing was installed to 1 m below the top of mudstone
layer No. (
1). Sand backfill having grade size rang-
ing between 0 and 5 mm was placed In the space
between the borehole wall and the casing. It can be
noted that during the installation of casing a one-inch
narrow pipe was attached to the casing. This narrow
pipe later was used to inject grouting materials to the
sand backfill using pressures in the range of 1 to
5 kg/cm2. The grouting materials were a combination
of water, cement (with the water/cement ratio of 1/2),
and conbex-100 (0.5 percent by volume of cement). To
guarantee the water tightening of the conglomerate
layer confined between mud (
1) and mud (2) and
also for strength gaining of the previously injected sand
backfill, the well development was stopped for about
3 days.
The next step in drilling was to install a 14-inch
diameter casing to 1 meter below the top of mud (
2).
The boring diameter for this casing was 18 inches.
Figure 4. To attach a 20 inches pipe to the top of 20-inch casing for stopping the artesian flow in the Karkheh dam.
691
Similar to the first step and using grouting application,
the conglomerate layer confined between mud (
1)
and mud (
2) was water proofed. Since, the aquifer
located in the bottom of mud (
2) was artesian, this
stage of water tightening was rather sensitive and spe-
cial considerations were taken.
The most difficult task of cutting mud (
2) and
penetrating into the artesian aquifer was the next step
which necessitate to control the existing artesian con-
ditions, and to stop water flow to could block the
aquifer and place the filter of the well.
Therefore, before proceeding this step it was neces-
sary to estimate the amount of uplift pressure in the
artesian aquifer and consequently to calculate the
potentiometric head of the water. For this, information
obtained from observation wells were used. Based on
these observation wells the water surface was estimated
up to 15 m above the ground surface. In each well
location due to the amount of existing water head, a
20 inches pipe having appropriate length was attached
to the 20-inche casing for stopping the artesian flow
(Fig. 4). After stopping the water flow, placing of fil-
ter and blockage of the mud (
2) were performed
Figure 5. A photograph taken from Karkheh dam relief well construction showing the process of placing filter.

Aftersain gtoinsalwe
20
210
20
190
ResrvoiWatLl
180
N - WA 21
170 N - AW 2
N - AW 23
160
150
140
WaterLvl(m.s)

130
120
10
10
28Mar.05 29Au g.205 24Jan.05 24Jun.05
Date

Figure 6. Variations of water levels in the reservoir and observing wells installed in the downstream between goelogical layers
of mud (
2) and mud (
3).

respectively (Fig. 5). More detail on the well construc-
tion can be seen in the (Fig. 3). Based on this tech-
nique, 23 relief wells were constructed.
It may be added that throughout the drilling process
to stabilize excavation walls a drilling fluid consisting
bentonite, barite, and water (25 kg bentonie  5 kg
barite  200Lit water) was exploited.
6 THE EFFECTIVENESS OF NEW RELIEF
WELLS
To evaluate the performance of new relief well con-
struction, the 3D seepage model of FEFLOW was used
dam foundation and its geological layers. For this, a
rectangular domain having dimension of 8 Km  8 Km

692
was modeled (as mentioned the dam length is 3030 m
and reservoir has the length of 60 Km) using 70876
nodes and 105516 6-noded triangular prismatic ele-
ments and the steady state seepage conditions was
assumed. The domain length of 8 Km was selected
because as it was pointed earlier the mudstone layer
(
2) crosses the reservoir at the distance of 4 Km
from dam axis.
Having run the 3D model, it was found that the
safety factor would reduce to the unsafe value of about
1 without relieving the uplift pressure exerting to the
bottom of mud (
2). This factor was improved 40%
after construction of 23 new relief wells (S.F.  1.4).
Fig. 6 presents the variations of water levels in the
reservoir and observing wells installed in the down-
stream between mud (
2) and mud (
3). As can be
seen, after installation of the new wells, despite the
increasing of reservoir water level, the water levels in
the observing wells permanently is decreasing. from
Fig. 6 indicates that these wells so far could be able to
decrease artesian pressure about 25 m.
7 CONCLUSION
The experiences of pressure relief wells construction
under flowing artesian conditions in the downstream
of the Karkheh storage dam was discussed in this
paper. Due to the existence of excess uplift pressure
beneath the dam, 23 relief wells were constructed to
relieve part of this pressure. Results showed that a
successful process in such conditions requires the fol-
lowing items: drilling fluid to protect excavated walls,
surface and driven casing, and grouting.
The factor of safety in the downstream was
improved 40% after construction of new relief wells
(S.F.  1.4). After installation of the new wells, despite
the increasing of reservoir water level, the water levels
693
in the observing wells permanently was decreasing.
Result indicates that these wells so far (January 2006)
could be able to decrease artesian pressure about 25 m.
ACKNOWLEDGMENT
The authors would like to gratefully acknowledge Iran
Water and Power Resources Development Company
(IWPDC) and Sepasad Engineering Company. Also the
authors are grateful to the colleagues in Karkheh dam
project in the Mahab Ghodss Consulting engineers.
REFERENCES
Interim Water Well Drilling Advisory Committee for the
Province of British Columbia 1994. Code of practice pre-
pared for construction, testing, maintenance, alteration
and closure of wells for the Province of British Columbia.
October 4, 1994
Logani, Kulbhushan L. 1983. Piezometer installation under
artesian conditions. Journal of Geotechnical Engineering,
Vol. 109, No. 8, August 1983, pp. 1121–1125
Mirghasemi, A. A. and Pakzad, M. 2005. Uncertainty in
Karkheh dam foundation permeability. 73rd Annual
Meeting of ICOLD, May 1–6, 2005, Tehran, Iran
Mirghasemi, A. A., Pakzad, M and Tarkeshdooz, N. 2004.
Rehabilitation of Karkheh dam after four years of
impounding. 72nd Annual Meeting of ICOLD, May 1–6,
2004, Seoul, South Korea
Rogers, Gary D. and Moore, Daniel R .1997. Drilling , sam-
pling and construction of monitoring wells under flowing
artesian conditions. Environmental and Engineering
Geoscience, Vol. 3, No. 3, Fall 1997, pp. 369–373
Us Army Corps of Engineers .1992. design, construction and
maintenance of relief wells. EngineerManual, No.1110-
2-1914, Department of the army, Washington, DC
20314-1000, 29 May 1992
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

The influence on drawdown in a water power station due to

eroded material in the outlet channel

F. Persson
Carl Bro AB, Malmö, Sweden

ABSTRACT: In the summer of year 2004, the flow of water was very large in the river Lagan. On the right
side of the downstream channel, at one of the waterpower stations in Lagan, there were erosion problems. Rocks
were transported from the riverbank to the channel bottom. This paper presents a study of whether the trans-
ported rocks, influences the drawdown in the waterpower plant. The study contains, measurements of the topogra-
phy of the bottom and water depth along a part of the river just downstream the power plant. The measurements
were carried out at different flows. The study also contains numerical calculations with and without the stones
laying on the bottom. These results are then compared to each other. After an economical calculation, could the
result tell us whether it is an economical advantage to pick up the stones from the bottom of the downstream
channel or not? The study shows that the influence on drawdown due to eroded material in the outlet channel is
low and it’s not an economical advantage to pick up the stones from the bottom of the downstream channel.

1 INTRODUCTION 1.3 Aim of the work

1.1 Background
In extreme high flooded periods the water act as a
powerful force to the riverbanks, especially to the river-
banks downstream of a weir. The downstream channels
need to manage the force of high velocity and turbu-
lence in the water. If the riverbank contains material
with granule smaller than calculated, the risk of sedi-
ment transport appears. The sediments are then trans-
ported to bottom of the channel and can then influence
the water power plants drawdown (French, 1994).
The aim of the study is to:
• Calculate the drawdown for today’s conditions.
• Calculate the drawdown for tomorrow’s conditions
(with the eroded material removed from the chan-
nel bottom).
• Calculate the loss in production and compare it to
the cost of picking up the stones from the bottom
(10-year production lost).
• Evaluate and decide if it’s possible to leave the
stones at to bottom of the channel.

1.2 The dam

The studied dam is a concrete gravity dam connected
to earthfill dams. It is placed in the south of Sweden
in the river Lagan. The maximum drawdown is 6,5 m.
The dam has a large storage. The outlet water goes
directly to next dams storage. The next dam is placed
3700 meter downstream (K3, 2005). The river has a
bottom level of 84,00 meter between the two water
power plants (K2, 1950). Near the right riverbank is a
wetland area placed. The wetland is regulated and
consists of an ecological complex system.
In the summer of year 2004, the right downstream
riverbank eroded and a large amount of material was
transported out in the outlet channel. The erosion was
appeared due to water with high velocity and to small
granule in the riverbank, see figure 1 (K3, 2005). Figure 1. Downstream channel.

695
1.4 Methods 2.2 Measuring the water level
The methods are: A number of water-level gauges were placed down-
stream of the water power plant. A levelling from a
• A field study to measure the bottom of the outlet
local fix-point was used to place the gauges in correct
channel.
height (Egeltoft, 1996). The gauges were then manu-
• A number of water-level gauges, placed in the out-
ally measured for different flows through the tur-
let channel to measure the water level for different
bines. The water level was measured for the mean and
flows through the turbines and measure the differ-
the maximum turbine outflow; 64 m3/s and 128 m3/s,
ence in drawdown.
see figure 4.
• Use the measurement above and old drawing mate-
Under the whole measurement period were the water
rials to form the basic of the numerical model in
power plants working as a unit. The downstream dam
MIKE 11 Enterprise.
loss the same amount of water as the study dam.
• Compare the drawdown for the water power plant
Because of that, was it really important to wait to meas-
in the model for today’s conditions to the condi-
ure until the storage have been stabilized (Persson,
tions if the stones were removed.
2005).

2 OUTLET CHANNEL 3 NUMERICAL CALCULATION

2.1 Renovation of the right riverbank 3.1 General

The riverbank was restored by building an erosion The program MIKE 11 Enterprise is used to simulate
shield with a rock granule size of 0.5–1.0 m3. A band the conditions of the problem. The MIKE 11 hydro-
of larger granules, 1.5–2.0 m3, was built at the bottom dynamic module uses an implicit, finite difference
of the riverbank to counteract sliding. The angle of
inclination was set to 1:2.5. The riverbank was built to Bottom of the outlet channel
8
manage a flow of 300 m3/s, see figure 2 and figure 4
Ri ghtcorne
(Wetterholt, 2005). 87
BetwnWirs
86
Bottom level [m]

85 Betwnlf
2.1 Measuring the bottom weirand
A lead was used to measure the bottom of the outlet 84 powerstain
channel. The measurements, to sound the bottom, were Inthemidlof
83
done by boat. A stretch of 100 meters was measured. thepowr
82 staion
The eroded material was discovered between 40–60
meters downstream of the water power station, see 81
figure 3. Between 0–20 meters the channel was deeper
than the old drawings had told us. That show us that
10

30

50

70
01-

the turbine outflow and weir outflow affects the bot- Length [m]
tom area and sediment transport appears (Persson,
2005). Figure 3. The bottom level of the outlet channel.

Figure 4. One of the water-level gauges in the outlet

Figure 2. Downstream channel after it was restored. channel.

696
scheme for computation of unsteady flows in rivers.
Advanced computational modules are included for
description of flows over hydraulic structures, includ-
ing possibilities to describe structure operation.
3.2 The model
The problem is set between the upstream storage of
the first water power plant and to the downstream end
of next water power plant, see figure 5. This because
of the simulation model, need to act as a unit.
The interesting part of the problem is to explain the
drawdown at the first water power plant. Because of
that, the model was built and simulated for turbine
Water power plant
for drawdown study
Downstream
water power Eroded riverbank
Figure 5. Model area.
Figure 6. The first 600-meter of the model (mean turbine
flow of 64 m3/s).
Figure 7. The first 600-meter of the model (maximum tur-
bine flow of 128 m3/s).
697
outflow and not weir outflow. The mean turbine out-
flow is the most interesting way of calculation, because
it best explains the loss of production.
The hydropower plants in the model are fixed to
rely the same amount of water. The water level are
time varying, but when the model is simulated in a long
time a stabilized condition appears and the drawdown
is possible to analyze.
3.3 Calibrate the model
The results from the measurement of the water-level
gauges were used to calibrate the model. The calibra-
tions were made for today’s conditions. The geometry at
the bottom of the river and in the riverbank was changed,
between the water power plants. The model was only
changed in variable of geometry conditions. Test for
both mean turbine outflow and maximum turbine out-
flow were done to see if the model works correctly.
3.4 Today’s conditions
The result of the simulation for today’s conditions
corresponds to the measured conditions. The calcula-
tions are made for the mean turbine flow and for the
maximum turbine flow, to compare with the measured
values, so that the model work correctly, see figures 6
and 7 (K1, 2004).
3.5 Conditions if the stones were removed from the
bottom of the channel
This chapter started with the calibrated model. The
model was then modified so that the eroded material
was gone from the bottom of the channel. The modi-
fied stretch is between 30–60 meters downstream of
the studied water power plant. This modified area
should be responded to the area where the eroded
material is placed. Other areas that could modifies for
better hydraulic conditions are not set in this study.
The water level in the outlet channel was then cal-
culated, see figures 8 and 9 (K1, 2004).
Figure 8. The first 600-meter of the modified model (mean
turbine flow of 64 m3/s).

Figure 9. The first 600-meter of the modified model (maxi-
mum turbine flow of 128 m3/s).
3.6 Conclusions
The models are then compared to each other. At the
mean turbine outflow of 64 m3/s, the difference is 4.2
centimeters in drawdown.
At the maximum turbine outflow of 128 m3/s, the
difference between the models in drawdown is 9.4
centimeters.
The margin of 4.2 centimeters needs to re-calculated
to energy lost. The water power plant is a small power
plant and gives revenue of €0.05/kWh to the year
2007. The years following will give revenue of
€0,03/kWh.
For the first two years the revenue loss will be
€10 000 and the years following, €6000 euro pro year
(K4, 2005).
4 DISCUSSION
The problem was to evaluate and decide if it’s possi-
ble to leave the stones at the bottom of the channel.
The calculation shows that the eroded material have
an influence in the waterpower plants drawdown. But
the influence seems proportionally small.
A ten-year calculation period was set, when the
lost in revenue was compared to the work of digging
698
the eroded material away from the outlet channel.
This calculation period was going to resolve in the
decision in which way the problem will be solved.
The work of digging away the eroded material is
complicated. Near the riverbank, a wetland area is
placed. Construction work or vehicles cannot affect
the wetland area. One way to avoid the wetland prob-
lem is to build a road of rocks from the left riverbank
out in the outlet channel. An excavator can then remove
the eroded material from the outlet channel. The work
would then cost more than €110 000.
The loss in production is calculated to €70 000 for
the first ten years, if the turbines produces a mean of
30 GWh/year. The cost is then 65 % of the cost of dig-
ging away the eroded material.
5 CONCLUSION
The cost of leaving the eroded material in the outlet
channel is near two third of the cost to take care of
them. The suggestion is then to leave the eroded
material in the channel.
REFERENCES
Egeltoft T.(1996), “Geodetisk mätningsteknik”, KTH,
Stockholm.
French R. (1994), “Open channel Hydraulics”, Mc Graw-
Hill Book Co, New York.
K1. (2004), “MIKE 11 User Guide: A modeling system for
Rivers and Channels”, DHI Software.
K2. (1950), “Downstream bottom sections in the outlet
channel, drawings”, Drawings archive AB, Malmö.
K3. (2005), “Dam register”, Water regulation company AB,
Östersund.
K4. (2005), “Oral talk with the owner of the water power
plant in the river Lagan”, Malmö.
Persson P. (2005), “Measuring the outlet channel”, Carl Bro
AB, Malmö.
Wetterholt L. (2005), “Suggestion for renovation of the right
riverbank”, Carl Bro AB, Malmö.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Contribution of the Lar Dam-Polur lineament in the Lar dam leakage

Kh. Feghhi
Tehran Regional Water Board, Tehran, Iran

ABSTRACT: The Lar dam is one of the largest dams in Iran with more than 100 m height from the base. From
the beginning of impoundment appeared that a heavy water volume (about 10 CM/S) leaks from the karstified
rocks of the dam right bank. This leaked water discharges two set of springs. During this research, for the first
time, a fault lineament (was unknown so far) investigated from the satellite images. It called Lar Dam-Polur lin-
eament because it is elongated from the dam reservoir, passing the right bank of the dam axis and then, to the
Polur springs (the second discharge area of the leaked water). It has more than 15 km length and as an active
fault, has caused about 2 meters displacement in the Quaternary lava. Other scales and field investigations also,
confirm the lineament and its important role on controlling karstification and finally, channeling the leaked
water. Because the lineament is sub-parallel to the Lar valley (the local hydraulic gradient), has been trans-
formed to the main underground channel, drains the other minor channels water and actively is producing sink-
holes at the base of the dam. In this paper tried to introduce the lineament and its role in the Lar dam leakage.

1 INTRODUCTION the Lar Dam-Polur lineament was discovered. The

The Lar dam is one of the largest dams in Iran and
about 1 MCM reservoir volume. It is an earth dam
located in the NE of Tehran. The dam crown elevation
is 2538 m above the sea level (with 100 m height from
the riverbed).
From the beginning of impoundment (1980), heavy
leakage was observed at two set downstream karstic
springs. Extensive exploratory and grouting works were
carried out since 1983 to 1993. Despite injection of
100,000 tones of materials and filling of a huge karstic
cavern discovered during drilling, no improvement was
obtained, and grouting works were stopped in 1989
(SETEC, 1993).
Serious problems related to the dam safety can raise
during the leakage. One of the problems is due to
unusual flow pattern trough the core and the founda-
tion of the dam, caused by the low water table in the
limestone foundation. This flow pattern induces high
vertical gradients, which can lead to piping of the
embankment materials through the cracks or the voids
of the foundation. Another major problem is develop-
ment of sinkholes in the lake deposits due to the ver-
tical flow in the alluvial foundation near the dam.
Since the previous works could not find the leakage
path, this study concentrated on finding the pattern of
karstification throughout the area. In the first step of
the research, when the satellite images were studied,
lineament is a fault having more than 15 km length and
straightly connects the dam reservoir to the two set
downstream springs. After making the new structural
map of the area, it was observable that apparently, tec-
tonic structures has vigorously affected karstification;
most of the sinkholes, caverns and springs has been
formed on or near to the faults (specially near the
crossing point of two faults). The control exerted by
faulting on fluid flow in rock mass is the key the prob-
lem. The leaking water is channeled along the faults.
By the fact, the most critical points are faults near to
the dam and it will be acceptable if we plug the fault
zone crossing the dam axis (Lar Dam-Polur linea-
ment), water tightening will be occur.
Among the faults near the dam, the Lar Dam-
Polur lineament has the best condition to act as a unique
underground channel for leaked water; it is sub-parallel
to the Lar valley (the local hydraulic gradient) and has
captured the slower developing branches and con-
tributed to the unification of the karst channel network.
2 GEOLOGICAL SETTING
2.1 Main formations
The Lar dam is located at SW Damvand volcano, in the
west part of Central Alborz mountain chain. The dam
has been built across the Lar valley.

699
Figure 1. The stratigraphy of the Lar dam area.
Stratigraphically, the main formations involved in
reservoir and the dam site are the following (Fig. 1):
– Shemshak formation (JSh, lower Jurassic),
– Dalichai formation (JD, middle Jurassic),
– Lar limestone (JL, upper Jurassic),
– Tiz Kuh formation (KT, lower Cretaceous),
– Karaj formation (E, Eocene),
– Lacustrine deposits (QU, Quaternary),
– Damavand volcano (QD, Quaternary).
The Shemshak formation consists of very thick (up
to 1,000 m) and strongly tectonised sequences of black
shales, sandstones, and dolomites. In the reservoir area,
this formation can be considered as impervious.
The Dalichai formation is composed of marls with
interbedded limestones in the upper part. Similarly to
the Shemshak formation, this formation can be consid-
ered as impervious in the reservoir.
The Lar limestone is a thin-bedded limestone,
deposited in a deep marine environment.
The Tiz Kuh formation overlies unconformably the
Lar limestone. It consists of fine-grained often massive
limestone. Contrary to lar limestone, this formation
deposited in a shallow environment.
700
The Karaj formation consists of volcanic and
sedimentary-bedded deposits. Its thickness can be
considerable (up to 3,300 m).
Quaternary formations involve fluvio-lacustrine
sediments and the Damavand volcanics. The sedimen-
tary series and the volcanics are closely related to the
paleovalley geohistory.
2.2 Main tectonic structures
Tectonically, the Lar dam area located in Central
Alborz, which is a part of the active Alp-Himalayan
orogenic belt. This structural zone has been experi-
enced different orogenesis stages since Jurassic to
Quaternary. Many of the structures are faults and they
can be seen in following trends (Fig. 2):
– Closing to E – W,
– NW – SE (sinisteral strike-slip faults),
– Closing to N – S,
– NE – SW (dextral strike-slip faults),
– WNW – ESE.
All of the faults pass through the right and left
banks of the dam and cut the recent sediments, hence,
Figure 2. The structural map of the Lar dam area.
they are active. With respect to the length of the faults
and their structurally controlling role, the WNW –
ESE trend is the most important one, consisting the
Lar Dam-Polur lineament.
The Lar Dam-Polur lineament, which is introduc-
ing for the first time in this paper, has a length
more than 15 km. The lineament has been recognized
on the satellite images (Fig. 3), then, studding the
aerial photos of more detail scale (1/50,000 and
1/20,000) and field investigations exactitude it. The
lineament can be followed from upstream of the Lar
dam until the two downstream springs (Galugah and
Haraz).
In the field works, due to being under the dam lake
water, the lineament could not be seen trough the lake.
However, in 5 key position as followings it is visible
(Fig. 1):
I) In the vicinity of the dam right bank, the linea-
ment appears as a shear zone changed the dip of
the (Tiz Kuh formation) limestone beds (Fig. 4).
In this location, the zone has a sub-vertical dip.
II) Where the Lar Dam-Polur lineament cross the Lar
valley (about 5 km downstream of the dam), the
Galugah springs has been formed (Fig. 5). In this
location, the lineament dip is sub-vertical.
701
III) The third location is near (over) to the Haraz
springs, where the Reyneh road crosses the
lineament (Fig. 6). It can be also seen that the lin-
eament activity caused about 2 m vertical dis-
placement in the Damavand lava. The dip of the
lineament in this section is about 70 degrees to
the north.
IV) At the outlet place of the Haraz springs (western
side of the Haraz valley, about 8 km downstream
of the dam), the lineament has a dip about 70
degree to the north (Fig. 7). Notably that, at the
limestone-basalt contact, the lineament has caused
a cavern and this can show the cavern building
capability of the lineament in this geological
setting.
V) The Lar Dam-Polur lineament can be traced in the
eastern side of the Haraz valley. In this location, it
has also dips close to 70 degree to the north (Fig. 8).
In addition to the above-mentioned field evidence,
it has been reported (during the building of dam gal-
leries) at the beginning of the R7 gallery, there was an
intensely fractured and breccitaed zone (Lar Consulting
Engineers, 1991). Correlation of recent data with the
reported data, confirm the location of the lineament
in dept.
Figure 3. Satellite image of the Lar dam area showing the lineament and locations of photographs.

Figure 4. The Lar Dam-Polur lineament (fault) in the vicinity (right bank) of the dam body.

702
Figure 5. The Lar Dam-Polur lineament (fault) in the Galugah springs location (crossing the Lar valley).

Figure 6. Cross section of the Lar Dam-Polur lineament (fault) at the Reineh road. The fault has displaced (about 2 m) the
Quaternary lava.

703
Figure 7. The Lar dam-Polur lineament in the Haraz springs location (crossing the Haraz valley).

3 THE EFFECT OF THE LAR DAM-POLUR

LINEAMENT ON THE KARSTIFICATION
AND PERMEABILITY

In the Lar dam area there are considerable evidences

Figure 8. The Lar Dam-Polur lineament (fault) in eastern
side of the Haraz valley.
indicating the effect of the faults on the hydrogeological
system. For instance, numerous sinkholes and caverns
formed very close to the faults, especially where two
faults intersect each other (Fig. 2). In addition, most
pizometers closing to the faults have a high amplifica-
tion ratio (ratio between level fluctuation in the pizome-
ters and lake) which shows that water flows in rather
restricted channels.
The Lar dam has been built at a locality of a previ-
ous natural dam (constructed by flowing the Damavand
lava in to the Lar valley) which produced a hydrostatic
head, even more than the present. This hydraulic head
could intense karstification trough the area.
According to the ideas of Kiraly (2003) and a num-
ber of authors, dissolution starts in non-karstified

704
fractured rocks where the heterogeneity of the perme-
ability field is not very important (1 to 50?). Ground-
water flow will enhance the dissolution particularly in
fractures which are sub-parallel to the local hydraulic
gradient and which are in the vicinity of the free
groundwater table. The heterogeneity of the hydraulic
conductivity field increases (up to 1 to 1 million!) and
the zones with higher permeability will represent dis-
charge regions with respect to the lower permeability
volumes. The competition for the drainage between
high conductivity zones will lead to the capture of the
slower developing branches and will contribute to the
unification of the karst channel network and the “con-
centration” of the discharge areas: the karst springs
will be less in number but more important as far as dis-
charge is concentrated. The hydrograph of the remain-
ing springs becomes more and more “karstic”, i.e.
reaction of the springs to input events will become
more and more “violent”, with rapidly increasing and
rapidly decreasing peak-flow.
As it can be seen (Fig. 2), with respect to the other
faults position, the Lar Dam-Polur lineament had
a proper opportunity to extend karstification, it is elon-
gated sub-parallel to the Lar valley (the local hydraulic
gradient) and during the long time, it has captured the
slower developing branches and transformed to the
unique karst channel. Other faults crossing the general
hydraulic gradient are blind. Hence, it seems all of the
other faults crossing the Lar-Polur lineament, dis-
charge their water to the lineament and via this devel-
oped path be tunneled into the springs.
Almost the whole of leaked water (Q  10 CM/S)
comes out from the two sets of springs, called Galugah
springs (about 5 km downstream, at the elevation 2150)
and Haraz springs (about 8 km downstream, at the ele-
vation 2050). Both set of the springs has been exactly
formed on the Lar Dam-Polur lineament, respectively
at the crossing place of the lineament to the Lar and
Haraz valleys (Figs. 3, 5 and 7). The largest spring of
the Haraz set was discharging before impounding
(about 500 lit/s). One month later impounding, how-
ever, the Haraz spring set had been excessively acti-
vated and their discharges became higher as well as the
dam lake water increased. The discharge of the Haraz
springs has recorded 7.5 CM/S when the lake level was
at 2475 m; beyond this level, the discharge increased
very slowly, so that it cannot exceeds from 9 CM/S.
The Galugah springs found after impounding. Their
discharge fluctuate in accordance with the lake water
level and it stops when the water level reduce to 2470 m.
4 EVIDENCES FOR WATER LEAKING VIA
THE LAR DAM-POLUR LINEAMENT
So far, many attempts carried out to find the water-
releasing paths in Lar dam area, such as hydrogeological
705
studies, tracing studies, geophysical and geotechnical
studies. From the results of these studies, numerous
evidences are considerable to confirm the lineament
importance; among them, the followings have more
importance:
• The hydrogeological evidence: in addition to the
presence of the springs on the lineament, there are
pizometric reasons indicate the effect of the faults
on channeling the leaked water.
To control the groundwater level, numerous pizome-
ters have been dug (Fig. 2). Most of the pizometers
near to the lineament follow the lake water level fluc-
tuation. The pizometric levels in BL25 and BL29,
despite being far from the dam, are affected from the
dam lake level. In the case of BL29, it is notable that
the pizometer is located very close to the fault cross-
ing the lineament and it can channel the water from
the lineament to the pizometer. The behavior of the P9
is also exiting. This pizometer is located on the linea-
ment and before impounding had minimum water level
throughout the dam area (indicates that is located on
the underground draining path). After impounding, the
water level was raised in P9; however, pizometers P7
and FPZ04 had the minimum level. With respect to
their vicinity to the P9, it is reasonable that the leaked
water transfer by the lineament.
In addition, pizometric profiles beneath the dam
axis, show an abrupt deflection closing to the northern
side of the lineament and after crossing the lineament
(to the south) they were be smooth (Fig. 9); so, it can be
deduced, the cavern no.2 is not really the leaking path.
• The tracing studies evidence: During a phase of trac-
ing studies, tracers injected into the five points of
the dam lake (Fig. 2) and the following results
earned (Lar Consulting Engineers, 1991).
– The whole of the tracer injected into point 1,
flew out from the Galugah an Haraz springs.
The arrival concentration-time curve of the test
shows that, there is a direct course from the lake
to the springs and the tracer did not pass trough
a large cavern. Also, tracers injected into points 3
and 4 had revealed from the springs; however,
the beginning of their concentration-time curves
showed that the tracers entered to the karstic
channel from another entry. Notably that, both
of the points be connected to the lineament by a
subsidiary fault.
– The tracer injected into point 2, had been found
at the floor of the lake after 6 days. Thus, it is
inferable, this part of the lake floor has not any
role in leaking process.
– The tracer injected into point 5, never arrived to
the springs.
With respect to the above-mentioned tests, it would
be acceptable, the water near to, or channeled to
Figure 9. The cross section of the Lar dam axis.
the lineament (via another subsidiary fault) can
rapidly transport to the springs.
• The geophysical evidences: The seismic investiga-
tions and other different methods had been applied
in three times. The result of seismic investigations
shown in Fig. 10. As it can be seen, the most shear-
ing and crushing is closing to the lineament.
• The geotechnical evidences: During the drilling and
grouting the borehole R1GPO7 (is located on the
lineament, Fig. 9), a hole containing gravels (having
diameters 35–40 mm) was discovered at the depth
235–238 m beneath the gallery R1. This phenome-
non can indicate the flow of river through the cavern.
A huge volume of grouting materials injected to fill
it, however, the materials was discharged from the
Galugah springs.
In the previous water tightening project, when the
cavern R2 was discovered at the depth of 200 m
beneath the gallery R1 (Fig. 9), grouting works con-
centrated on filling the cavern. The cavern was com-
pletely filled, but water leakage did not change at all.
On the other hand, the importance of the Lar Dam-
Polur lineament adjacent to the cavern 2 has been neg-
lected. It seems, there is a gap of grouting curtain in the
lineament zone, especially that, the grouting material
had been washed out from the relatively narrow zone.
Notably that, with respect to the elevation of the Haraz
springs (the minimum discharging level, 2050 m),
706
hydro dynamically, the leaked water can not penetrate
in to the depth much more than the level, because the
water loss its energy.
5 CONCLUSION
The Lar Dam-Polur lineament is a fault with more than
15 km length and the numerous evidences confirm its
existence and importance in water leaking of the Lar
dam. The lineament has captured slower developing
branches and accounts for the unification of the karst
channel network.
As the grouting curtain material washed out from
the lineament zone, it seems, there is a gap in this
location. With respect to the Haraz springs elevation,
the grouting curtain need to be repaired in the linea-
ment zone, not so deeper than the level.
REFERENCES
Kiraly L., 2003, Karstification and groundwater flow,
J. Speleogenesis and Evolution of Karst Aquifers 1 (3),
pp 1–26.
Lar Consulting Engineers, 1991, Structural map of Lar Dam
area), Tehran, Iran.
SETEC Consulting Engineering, March 1996, Lar Dam
Rehabilitation Studies – Stage1 (Preliminary report),
volume 1, Paris, France.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Comprehensive evaluation with variable fuzzy sets for global stability

of high-steep rock slope of Three Gorges Project permanent shiplock

Y. Guo & S.Y. Chen

Water Resources Research Group, School of Civil Engineering and Architecture,
Dalian University of Technology, Dalian, P.R. China

ABSTRACT: It is a controversial problem to comprehensively evaluate the global stability of high-steep rock
slope of the Three Gorges Project permanent shiplock. The information on slope stability includes geological
data, results of numerical analysis, measurement data, and experiential knowledge and so on. Therefore, under
global view of system and founded upon characteristics of high-steep rock slope that the variable fuzzy sets
method is presented to evaluate the global stability of high-steep rock slope. The method can scientifically and
reasonably determine membership degrees and relative membership functions of disquisitive objectives (or
indexes) at level interval that relating to engineering stability, also it can fully use one’s experience and knowl-
edge, qualitative and quantitative information of index system to obtain weights of objectives (or indexes) for
operating comprehensive evaluation for stability of high-steep rock slope of permanent shiplock. The numerical
example has shown that the proposed method is feasible and effective, and the evaluation results are reasonable.
In addition, the method can also be used to evaluate dam health, rock quality, and dam aging.

1 INTRODUCTION among the key issues in the design and construction

The permanent shiplock is the main navigation struc-
ture of the Three Gorges Project (TGP) on the Yangtze
River in Central China. It is designed to maintain and
enhance the waterway transportation capacity of the
Yangtze River following completion of the 175 m high
concrete gravity dam at the TGP site. The shiplock is
located on the right side (north shore) of the Yangtze
River and it is constructed along an azimuth direction
of 1110 as a double channel with five stages and a total
length of 1617 m. It consists of two continuous chan-
nels for two-way passage of fleets of up to 10,000 ton
capacity. Each channel has five stepped chambers con-
nected together with gates at the two ends and the four
interchange locations. Each chamber occupies a rec-
tangular open space of about 320 m length, 50–60 m
height and 38 m width. The base elevations of the five
rectangular chambers are 50.70, 71.45, 92.20, 112.75
and 124.50 m above the mean sea level, respectively.
The two channels are separated by 60 m wide rock
blocks. The separation blocks have the stepped base
levels, heights and lengths that correspond to those of
the rectangular chambers. The two channels will effect
an elevation change of 73.8 m to ships that pass through
the dam at the TGP site.
The stability and deformation of the permanent
shiplock slopes and the separating blocks have been
of the TGP. This is because the chambers and the gates
would have to maintain their designed geometric con-
figurations during the operation. Any rock failure or
excessive deformation in the four chamber vertical
walls and the upper cut slopes would imperil the nor-
mal function and operation of the permanent shiplock.
High standards and stringent requirements for quality
control have therefore been implemented during the
design and construction of the shiplock. A large amount
of slope stabilization measures were carried out to
reduce slope deformation and to enhance slope stabil-
ity. More than 4000 pre-stressed ground anchors and
110,000 rock dowels were installed in the cut slopes
and vertical walls. A number of underground drainage
tunnels were constructed in the adjacent mountain to
collect and discharge the groundwater seepage in the
cut slopes. The total volume of concrete placement is
in excess of 4.7 million m3.
The above rock works for the permanent shiplock
commenced in December 1995. Prior to construction,
a large number of research studies and investigation
were carried out to ensure construction safety and high
quality of the rock engineering works. Such studies
spanned across geological investigation, rock mechan-
ical testing, engineering design, performance moni-
toring, project supervision and management. Through
the joint efforts of many researchers and engineers,

707
practically all of the key technical issues have been
successfully tackled. New knowledge and experiences
have been continuously gained and accumulated dur-
ing construction, for optimization of design and con-
struction. As a result, the excavation and stabilization
works for the shiplock were smoothly completed in
April 1999. Yet high-steep slopes of TGP are exoteric
and complicated huge system (Zhang, 2001; Yao,
2003), its attribute of stability is combos of quality
and quantity. Following the completion of shiplock
construction and prior to handing the shiplock over to
operation, it has become necessary to carry out a com-
prehensive assessment to address certain issues asso-
ciated with the rock excavation and stabilization works.
These issues cover global rock stability, global quality
of works in rock and long-term safety of the slopes.
Nowadays there is a new thoughts to syncretize diver-
siform mathematic methods (Luo, 2003; Wang, 2003a)
with traditional methods (Peng et al, 2003) for solving
stability evaluation of rock-mass slopes; Jia (2003)
and Dodagoudar et al (2000) present fuzzy sets to get
reliability of slope; Shen et al (2003) uses compre-
hensive guideline model to analyze stability of slope;
and Wang et al (2003b) and Jiang (2003) introduce
gray theory into analysis of influential factors of slope
stability. These new theory and methods have great
effect in improving intelligent evaluation and uncer-
tainty analysis for global stability of rock slope (Zhang,
2003; Abdallah, 2000; Feng, 2000a).
Consequently, under global view of system and
founded upon characteristics of high-steep rock slope
of TGP that the variable fuzzy sets (VFS) method is
presented to evaluate the global stability of high-steep
rock slope (Chen, 2005). The method can scientifically
and reasonably determine membership degrees and
relative membership functions of disquisitive objec-
tives (or indexes) at level interval that relating to engi-
neering stability, also it can fully use one’s experience
and knowledge, qualitative and quantitative informa-
tion of index system to obtain weights of objectives
(or indexes) for operating comprehensive evaluation
for stability of high-steep rock slope of permanent
shiplock.
2 PRINCIPLE OF VFS
2.1 Definition of VFS
In defining the concept, let us suppose that U is a
fuzzy concept (alternative or phenomenon) A%, and to
any elements u (u  U), A%(u) and A%c(u) are relative
membership degree (RMD) function that express
degrees of attractability and repellency respectively
(Chen, 2002). Let
(1)
708
where DA(u) is defined as relative difference degree
of u~ to A%. Mapping
(2)
is defined as relative difference function of u to A%.
According to definition of complementary sets of fuzzy
sets we have
(3)
(4)
(5)
Where 0  A (u)  1,0  A c(u)  1. Let
% %
(6)
(7)
(8)
(9)
Here V is just defined as VFS of U; A, A
and A0 are
~
defined as attracting (as priority) sets, repelling (as
priority) sets and balance boundary or qualitative
change boundary of VFS V , respectively.
~
VFS models include fuzzy optimization model,
fuzzy pattern recognition model and fuzzy clustering
iteration model etc. (Chen, 2002). Variable parameters
sets of model include indexes weights, standard indexes
values and other important parameters. We will illus-
trate changeability of model and parameters in appli-
cation of stability evaluation.
2.2 Methods of relative difference function
We suppose that X0  [a,b] are attracting (as priority)
sets of VFS Von real axis, i.e. interval of A%(u) 
A%c(u), X ≅ [c,d] is a certain interval containing X0,
i.e. X0
X (see Figure 1).
According to definition of VFS we know that inter-
val [c,a] and [b,d] all are repelling (as priority) sets of
VFS, i.e. interval of A%(u)  A%c(u). Suppose that
M is point value of A%(u)  1 in attracting (as priority)
sets [a,b], and M can be determined by actual prob- A%(u)  1; (iii) x  c, x  d, A%(u)  0. Then
lem or selected as midpoint value of interval [a,b] x according to equations (10) or (11) we can obtain values
is value of random point in interval X, then if x locates of difference function A%(u) of disquisitive indexes.
at left side of M, its difference function is

3 EVALUATION OF GLOBAL STABILITY

FOR HIGH-STEEP SLOPE OF TGP
(10) PERMANENT SHIPLOCK

As an exoteric and complicated huge system that the

And if x locates at right side of M, its difference func-
tion is
(11)
Where  is index that bigger that 0, usually we take it
as   1, viz. equations (10) and (11) become linear
functions. Equations (10) and (11) satisfy:
(i) x  a, x  b, A%(u)  A%c(u)  0.5; (ii) x  M,
c a M b d indexes in evaluation system on their disquisitive
Figure 1. Relationship between points x, M and internals
[a, b], [c, d].
stability of high-steep rock slope can be expressed by
multi-indexes or groups (Su et al, 2005; Wang, 2001a),
generally, it can be divided into three groups, i.e.
rock conditions, engineering measures and engineer-
ing effectiveness, and each group can be described by
multi-indexes, for example, rock conditions can be
described by geological structure, quality parameter;
and that quality parameter can be described by mechan-
ical parameter, rock-mass quality, and so on. Sequen-
tially we set up comprehensive evaluating indexes
system for global stability of TGP slope engineering
(see Figure 2). Hence the comprehensive evaluation is
just a process of successive recurrence from below to
upper. During this process, different indexes have dif-
ferent influence degree on slope stability and pose
different contribute to comprehensive evaluation, and
then we can respectively determine importance of
objectives (viz. different weights values). At the same
time, for simplifying calculation that the indexes of
each evaluating objectives all take as five standards:

Comprehensive evaluation for global stability of high-steep rock slope

Rock conditions Engineering measures Engineering effectiveness

Geological structure Quality parameters Drainage Anchorage Deformation Stability

Tectonic Rock-mass Mechanical Rock-mass Displacement Time-dependent

setting structure parameter quality displacement

Stress- Block
Relief stability

Wet compressive strength Integrality modulus Structure property Dankness index

Figure 2. Indexes system of comprehensive evaluation for global stability of rock slope.

709
N  (N1, N2, N3, N4, N5)  (excellent, good,
Intermediate, worse, worst).
Therefore we apply above theory and methods to
operate comprehensive evaluation for global stability
of high-steep rock slope of TGP permanent shiplock.
Some initial data in instance excerpt from Wang
(2001a) and Xu (1997), limit to text length that the
analysis of relative information do not offer. The paper
takes rock-mass quality as example (disquisitive objec-
tive) to show calculating methods and steps of VFS,
takes wet compressive strength Rcw, integrality modu-
lus Kv structure property Js and dankness index wn as
evaluating indexes of rock-mass quality.
We divide rock-mass quality into five standards, and
through manners of criterion, analysis of rock mechan-
ics, engineering analogy, experience information and
expert assessment that we determine standards and
actual status (see Table1, Table 2).
According to Table 1 and Chen (2005) then we set
up values matrix of parameters (a, b, c, d, M) for cal-
culating difference function of VFS:
h  1,2,3,4,5; i is indexes number and i  1,2,3,4; j is
block number and j  1,2,3,4,5.
From Table 2, for wet compressive strength, when
h  1 its attracting(as priority) matrix [a,b], interval

matrix [c,d] and point values matrix M respectively are
[a,b]  ([110,90] [90,75]
 [75,50] [50,30] [30,0])
[c,d]  ([110,0]) M  (110 825 625 40 0)
When i  1, the value of wet compressive strength
is 105, and that c11  110, a11  110, b11  90,
d11  0, M11  110, then we can see that index value
(105) locates at right side of point M11 and belongs to
interval [M11,b11], so we select equation 1(u11) 
(x11
b11)/(M11
b11) in equation (11). Substitut-
ing   1 and other relevant parameters into this
equation then we obtain 1(u11)  0.75; analogously,
we get difference function h(uij) of each single index
under j  1,2,3,4,5, i  1,2,3,4 to degrees h 
1,2,3,4,5 as:

To get synthetic RMD of each index, we use variable

fuzzy recognition model presented by Chen (1998):


Based on matrixes [a,b],[c,d] and M , we judge that (12)
evaluating index x locates at left side or right side of
point M, and according these to select equation (10)
or (11) for calculating difference function h(uij) of
indexes to standards. Here h is grade number and

Table 1. Grades of rock quality.

Wet compressive Integrality Structure Dankness

Standards strength/MPa modulus property index/%

N1 (excellent) 90–110 0.75–1.00 25–30 80–100

N2 (good) 75–90 0.55–0.75 20–25 50–80
N3 ( Intermediate) 50–75 0.35–0.55 15–20 40–50
N4 (worse) 30–50 0.15–0.35 5–15 20–40
N5 (worst) 0–30 0–0.15 0–5 0–20

Table 2. Actual statues of evaluation index for rock quality.

Wet compressive Integrality

Method strength/MPa modulus Structure property Dankness index/%

Text 105 0.87 22 30

Wang (2001a) 100–110 0.75 Slightly coarse, non-stuff, Drip-drop
few crumbs

710
 Through it we obtain synthetic RMD of each index
for rock-mass quality by using equation (12), after
normalizing them that we get normalized synthetic
RMD of each index. Here wi is index weight; m is num-
ber of recognition indexes;
is rule parameter of model
optimization,
 1 is least single method and
 2
is least square method; p is distance parameter, p  1
is hamming distance and p  2 is Euclidean distance.
To determine weights of four indexes to five stan-
dards, we use consistency theorem of taxis on impor-
tance of determining indexes weights (Chen, 1998) and
get qualitative scribe of four indexes by their influ-
ence to comparison between elements:
We take wet compressive strength, whose ranking
is 1st, as comparison standard and get under consid-
eration: wet compressive strength is on the way from
“very” to “extra” important than integrality modulus,
so the weight is 0.212; wet compressive strength is on
the way from “obvious” to “remarkable” important
than structure property, so the weight is 0.379; wet
compressive strength is on the way from “somewhat” to
“rather” important than dankness index, so the weight
is 0.60, and according to relationships between lin-
guistic operator and RMD of quantitative scale (Chen,
1998) we obtain weights of four evaluating indexes as:
w  (1,0.212,0.379,0.60)  (w i)
Then normalized weights vector of indexes is:
w  (0.4564,0.0968,0.1730,0.2738)  (wi).
Therefore we may use variable fuzzy recognition
model (12) to calculate synthetic RMD of each index
of rock-mass quality. When taking rule parameter of
model optimization
 2, distance parameter p  1
and substituting relative data into model (12) we get
synthetic RMD as:
u  (0.3376,0.023,0.0131,0.0512,0.0002)
After normalized it is:
u  (0.7943,0.054,0.0307,0.1205,0.0005)
Using rank feature values (RFV) equation (Chen,
1998) and we get RFV of rock-mass quality as
For rock-mass quality (as disquisitive objective),
due to its standard is five grades, so we have
a. If 1.0  H  1.5, then quality belongs to excellent
(I grade);
b. If 1.5  H  2.5, then it belongs to good (II grade);
c. If 2.5  H  3.5, then it belongs to Intermediate
(III grade);
d. If 3.5  H  4.5, then it belongs to worse (IV
grade); and
e. If 4.5  H  5.0, it belongs to worst (V grade).
Hence we judge that comprehensive evaluation of
high-steep slope rock-mass quality of TGP belongs to
I grade (good, partial to excellent). Through applying
above-mentioned methods of VFS, corresponding
data (Sun, 2001; Xu et al, 2002; Chen, 2000; Feng,
2000b; Wang, 2001b) and Figure 2 then we obtain
normalized synthetic RMD, RFV and evaluating
results of rock conditions, engineering measures and
engineering effectiveness of TGP, analogously; and
that synthetically taking these disquisitive objectives
which have different weights into account and substi-
tuting them into VFS as evaluating indexes, accord-
ingly we get RFV and evaluating results of global
stability of high-steep slope and list part fruits in
Table 3. From Table 3 we see that, safety degree of
global stability of high-steep slope of TGP permanent
shiplock is quite high (II grade), its RFV of stability
is 1.9477 and belongs to quite stable (very well).
Comparing results with Wang (2001a) we find that
the conclusions of two methods are basically coinci-
dent, yet VFS use RFV to operate evaluation, so it can
intuitively reflect degree of global stability partial to
another rank, and the conclusion of VFS are more
reasonable and appropriate.
4 CONCLUSION
(i) The paper introduces elementary application of
VFS in stability evaluation and presents application,
calculating results show that VFS can be applied in
stability evaluation. VFS provides an abundant and
meaningful improvement or extension of conventional
logic, the mathematics generated by this theory is con-
sistent, and it may be generalization of classic fuzzy
sets. VFS not only can be used in rock-mass slope
analysis, but also be applied in other engineering field,
and that are our next work.
(ii) We can see that calculation of difference func-
tion is just arithmetic, so the method is simpler and
practical. Values scope of corresponding RMD function
H  (1,2,3,4,5)  can be adjusted neatly based on need of actual cases,
and the method has no limit on specimen modeling,
(0.7943,0.054,0.0307,0.1205,0.0005)T  1.4789 neither its precision influence by specimen number
modeling.

711
Table 3. Evaluation results of investigated objects with variable fuzzy sets.

Assessment of Wang
Synthetic RMD (2001a)

Objectives u1 u2 u3 u4 u5 RFV H Values Assessment Comments

Rock-mass 0.7943 0.0540 0.0307 0.1205 0.0005 1.4789 0.87 B I grade; high quality.
quality
Rock 0.0860 0.6387 0.1060 0.1681 0.0012 2.3598 0.86 B II grade; good pre-
conditions conditions.
Engineering 0.5424 0.1060 0.2120 0.0914 0.0482 1.9970 0.86 B II grade; measures
measures appropriately and
abundant repertory
of quantity.
Engineering 0.6968 0.0152 0.107 0.1056 0.0764 1.8427 0.85 B II grade; good and
effectiveness high stability.
Global 0.6581 0.0253 0.1579 0.0282 0.1305 1.9477 0.86 B II grade; well quality
stability and high safety.

(iii) The information on global stability of high-steep
rock slope of the TGP permanent shiplock includes so
much data and that the author advances VFS to evalu-
ate the global stability of high-steep rock slope. The
method can scientifically and reasonably determine
membership degrees and relative membership func-
tions of disquisitive objectives at level interval that
relating to engineering stability, also it can fully use
one’s experience and knowledge, qualitative and quan-
titative information of index system to obtain weights
of objectives (or indexes) for operating comprehen-
sive evaluation for stability of high-steep rock slope of
permanent shiplock. The numerical example has shown
that the proposed method is feasible and effective.
ACKNOWLEDGMENTS
The authors would like to express their appreciation
to the anonymous reviewers for their helpful com-
ments and amendment of this article. This research
was supported by National Natural Science Foundation
of P.R.C under Grant No. 59179376 and high school
special sustentation fund for doctoral students under
Grant No. 9014102.
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 ts
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The landslide event in left bank of Seymareh dam project: History,

geotechnical conditions and remedial works

M. Yazdani
Tarbiat Modares University, Tehran, Iran
Mahab Ghodss Consulting Engineering Co., Tehran, Iran

Kh. Solgi
Mahab Ghodss Consulting Engineering Co., Tehran, Iran

ABSTRACT: Seymareh dam and hydropower plant project is located in Ilam province, west of Iran. This con-
crete arch dam with 178 m height and 196 m crest length is to be placed on Seymareh River, which its axis is
located on the north wing of an anticline including Asmari limestone layers. The dramatic variation of dip angle
of beddings in this part of anticline has created many fractures and resulting slides. In October 1st 2003, when
excavation in the left bank was operating to construct an access road to the valley, a large landslide triggered on
the top of power tunnel intake. The landslide completed in November 10th 2003 hours after an intensive rain-
fall by leaving some 300000 m3 mass of debris. The sliding was a planar failure on a thin marly limestone of 26°
dip and 40 cm thick. Because of the future location of water intake structure at the entrance part of power tun-
nel, it was quite vital to save this structure from any further movements of the debris left by the landslide. This
paper contains a description to geotechnical conditions, the history of landslide, and remedy works to protect
water intake structure.

1 INTRODUCTION flow, supply and distribute water to the neighboring

Seymareh dam and hydropower plant project is nearly
located 25 km far from the northwest of Darreh Shahr
city in west province of Ilam, Iran (Fig. 1). The objec-
tives of the project are to control the upstream water
Figure 1. The location of Seymareh project.
agricultural lands and annually generate 835 GWH
hydroelectric energy. This concrete arch dam with
178 m height and 196 m crest length is to be placed
on Seymareh River. The construction work started
from 2003 and recently most of excavations have been
finished.
The dam is to be founded on the north wing of
Ravandi anticline, which geologically includes the Asm-
ari formations and Gachsaran formations containing
limestone layers and marl-gypsum masses, respectively.
In October 1st 2003, when in the left bank the excava-
tion for constructing an access road to the valley was
operating, a large landslide triggered on the top of power
tunnel intake. Figure 2 shows the landslide zone in the
project site.
The landslide completed in November 10th 2003
hours after an intensive rainfall. The event created a
huge mass of debris by 300000 m3, in which the size
of some rock pieces could exceed 10 m (Fig. 3). The
scope of area before and after final collapse is dis-
played in Figure 4. A tension crack of 20 m height and
200 m long in the above and a sliding planar surface
of 26° dip and 100 m length roughly determined the
landslide area. In the west of failure zone where the

715
Figure 2. Situation of landslide zone adjacent to the power
tunnel entrance.
Figure 3. The large blocks left by landslide.
power tunnel entrance is located in the bottom, many
large blocks were stopped unstably. Because of the
future location of water intake structure at the entrance
part of power tunnel, it was quite vital to save this
structure from any further movements of the debris
left by the landslide.
2 THE GEOLOGICAL CHARACTERISTICS
2.1 Regional geology
Based on the regional geological divisions of Iran, the
project area is located on the southwestern part of
folded Zagros. The mountains have a NW-SE trend in
this part of Zagros. Also, the morphology is markedly
influenced by the structural-geological arrangement
of the area. The trend of tectonic structures follows the
trend of folded Zagros zone. A succession of rocky
716
Figure 4. The view of landslide, a) before and b) after
occurrence.
ridges (anticlines) and low-lying areas (synclines) is
abundant in the region. The anticlines are composed
of competent calcareous rocks and synclines consist
of ductile and erodible rocks made up of marl and
anhydrite. The maximum and minimum elevation of
the region belongs to the great Kabir Kuh anticline by
2700 m.a.s.l. and the plains among the anticlines par-
alleled to the Seymareh River with 600 m.a.s.l, respec-
tively. The known faults in the area are generally parallel
with the axis of the anticlines and occur in their limbs,
but sometimes they are perpendicular to the axis of
these anticlines.
The stratigraphic sequence of the rock units in the
area includes the formations belonging to cretaceous
up to Polio-Pleistocene. This sequence consists of
limestone, dolomitic limestone, marly limestone, reef
limestone, calcareous marl, sandstone, siltstone and
conglomerate.
2.2 Dam site geology
The morphology of the site includes a U shaped
nearly symmetrical valley with steep and someplace
negative slopes at abutments, crossing the bedding
strike perpendicularly. At the gorge of dam site the
width of river varies from 40 to 50 m and its trend
varies from NW-SE to NE-SW. To the downstream
direction, beyond the anticline axis and its southern
limb, the river again adopts a NW-SE trend and flows
in to the Talkhab plain and finally joints the Karkheh
River (Fig. 5).

Figure 5. The morphology of Seymareh site, a) U shaped
valley, b) Ravandi anticline.
Figure 6. Dramatic variation of bedding dips at the north-
ern limb of Ravandi anticline.
The northern limb of Ravandi anticline, where the
dam will be constructed, consists of slopes with varying
dips, ranging from 45–50 degrees at the start of gorge,
to 10–15 degrees at the downstream of dam (Fig. 6).
At dam abutments there are small gullies with
steep walls formed along the bedding planes and frac-
tures. Lack of vegetation around the dam site has made
a rocky nature with a surface showing resistance against
erosive factors.
717
Figure 7. Geological section of Seymareh project along
the power tunnel.
The overburden materials in Seymareh dam site
include alluvial deposits, Lacustrine deposits, Talus
and Old alluvial deposits. The main part of the mate-
rials is Lacustrine deposits, which have a 35 m thick-
ness. This deposit consists of greenish gray silty clay
with high plasticity & sandy intercalations resulted
from the formation of natural lake due to the huge Kabir
Kuh landslide. The well-known Kabir Kuh landslide,
sometimes so called as Great Seymareh landslide is the
largest in the world located 50 km far from the dam site.
The rock units in the area consist of Bakhtiari Fm.
(Plio-Pleistocene age), Gachsaran Fm. (Miocene age)
And Asmari Fm. (Oligo-Miocene age). The October
2003 landslide in Seymareh dam project has been
occurred in Asmari formation on the top of power tun-
nel intake. Figure 7 illustrates the geological section
of this formation along the power tunnel and also the
location of landslide zone with respect to the power
tunnel intake. In the project area, Asmari formation
can be divided into 3 units as follows:
2.2.1 Upper Asmari unit
This unit has outcrops in the high elevations of Ravandi
Anticline and also at the entrance of canyon. The pre-
dominant lithology of this unit consists of medium
bedded bioclastic and crystalline limestone, which
turns into marly (dolomitic) limestone & porous lime-
stone at the upper parts of the unit. An intercalation of
indurated marl marks the boundary between the Upper
Asmari unit & the Middle Asmari unit. Also, there is
an intercalation of sedimentary breccia with a maxi-
mum thickness of 1.0 m at the bottom of upper unit.
At the parts without any erosion, this unit has 50–55 m
thickness. Several old landslides as well as the new
Seymareh dam landslide have taken place in this unit.
Power tunnel inlet & outlet, diversion tunnels inlet
and powerhouse are situated in this unit.
2.2.2 Middle Asmari unit
Most of the structures in Seymareh dam project are
situated in this unit. The predominant lithology of this
unit consists of crystalline limestone, bioclastic lime-
stone and porous dolomitic limestone. Generally the
Middle Asmari unit is 220 m thick and clearly dis-
plays epigenetic karstification throughout itself.

Figure 8. The extension of tension faults and major joints
in the left bank (view from the west).
2.2.3 Lower Asmari unit
This unit has a small outcrop in the outlets of diversion
tunnels and near the axis of Ravandi anticline. The unit
is composed of medium-bedded marly limestone and
crystalline limestone.
2.3 Structural geology
Ravandi anticline is the main geological structure in
this area. As it was mentioned before, the Seymareh
dam site lies in the northern limb of Ravandi anti-
cline. The axis of the anticline trends E-W and plunges
E at the dam site. In fact the Ravandi anticline is a
double plunge fold which its another plunge in the
reservoir area is NW. The axis of anticline in dam
downstream has been turned due to tectonic forces.
Because of this, the E-W trend of anticline has changed
to NW-SE as illustrated in Figure 5b. This situation has
caused more abundant fracturing & crushing relative
to that of the northern limb in which the dam body
will be situated. The emergence of a great number of
springs in the southern limb of the Ravandi anticline
can be attributed to this.
The dip of bedding layers increase gradually from
horizontal (near the axis of anticline) towards the north
(northern limb in which the dam axis will be situated)
and finally, reaches 40° at the entrance of the gorge
where the northern limb is buried by alluvium. The
Ravandi anticline is an asymmetrical anticline and has
an obtuse peak so that the beds are quite horizontal
within a length of about 150 m. The southern limb of the
Ravandi anticline is relatively more regular than the
northern one. After anticline axis the dips change from
horizontal to a maximum 25° at the intersection of the
southern limb with the Seymareh riverbed.
In northern limb which the layers are dipper, many
tension faults have been created due to the bending
action of anticline. Figure 8 shows the scope of such
faults in the left bank which extend to the east.
718
Table1. Geometry specification of Seymareh major
discontinuities.
Discontinuity Dip direction Dip
Major joint set J1 170–175 65–75
Major joint set J2 270–275 80–90
Major joint set J3 120–130 70–80
Bedding 010–020 25–40
Landslide event
The failure zone produced by 2003 landslide is seen
in the figure. The pre-existing fault F12 played the role
of main tension crack for the landslide of Seymareh
project. Several normal faults & main joints are rec-
ognized in Seymareh dam site, most of these fractures
are parallel with strike of bedding & anticline axis.
Two sets of major joints and one set of minor joints
excluding bedding planes constitute the discontinu-
ities of the rock mass. The attitude of these joint sets
is presented in Table 1.
In the Upper Asmari unit at a distance 200 m east
of the gorge and upstream of the dam axis there were
dislocated rock masses covered an area of about 250*
300 m at elevations 620 to 800 m.a.s.l. These have
been brought by old slides occurred along the bed-
ding planes. The event of landslide on October 1st
2003 has occurred in the top of this area.
2.4 Sliding process
The landslide commenced by appearing a 20 m high
vertical joint in the top of the region in October 1st
2003. Figure 9a illustrates the view of the vertical joint
on the western wall of mass, 2 days after it was revealed.
The sliding happened when the excavating opera-
tion of an access road to the valley was underway in
the left bank at level of 730 m.a.s.l.
In this excavation the toe of sliding mass was par-
tially cut. After creation of the main joint and move-
ment of the total mass some other joints were also
detected gradually on the lower elevations so that the
total area were subdivided into smaller pillars (Fig.
9b). Figure 10 shows how the main joint has opened
on ground surface during the progressive sliding. The
total displacement of sliding mass before the global
collapse happened reached approximately to 4 m on
the place of main joint. Figure 11 illustrates the trace
of main tension joint on the ground surface and the
resulting large scarp. On the night of November 9th
2003 an intensive rainfall caused the total mass to be
saturated. Finally, at the midday of November 10th
the whole mass collapsed totally and remained a huge
mass of debris estimated by 300000 m3 as shown in
Figures 3 and 4b. After this final failure, the fault F12
wall was clearly seen in a length of some 200 m with
variable elevation from 20 to 40 m (refer to Fig. 4b). It

Figure 9. The appearance of vertical joints in the southern
wall of affected area and on the ground surface.
Figure 10. The appearance of vertical joints in the south-
ern wall of affected area and on the ground surface.
719
Figure 11. Trace of main tension joint of the sliding mass
on ground surface and resulting scarp.
Figure 12. The view of power tunnel intake and unstable
rock blocks in the above after intensive rainfall leading to
final collapse.
was also observed that a clay filling material by 50 cm
thickness is pasted to the most parts of fault F12 face.
This indicated that the fault F12 was an old tension
crack filled during a long history.
After the total collapse of sliding zone some of the
big dislocated blocks moved towards the power tunnel
intake and stopped unstably on the above of this area
as illustrated in Figure 12.
2.5 Monitoring
A few days after the sliding initiated a program of
monitoring was conducted by mapping the displace-
ment of 10 benchmark points established at different
locations of affected area (Fig. 13). As illustrated in
Figure 14 most displacements occurred at points 2
and 7 indicating an approximate area of 200*100 m
Figure 13. Plan of monitoring points on the ground surface
with respect to the power tunnel axis and sliding area.

TheLandsliSymrDPojct Figure 15. Air picture of left bank displaying the old and
3.50 new sliding zones Remedial works.
3.00
Displacement (m)

point 7
2.50
point 2
2.00 landslide is a part of a larger old landslide in the left
1.50 bank area. Figure 15 presents an air picture from the
1.00 left bank in which the old and new sliding zones and
0.50 main faults and joints are displayed.
0.00
The important factors, which caused the October
2003 landslide in Seymareh project, can be summa-
03/10/11

03/10/13

03/10/15

03/10/17

03/10/19

03/10/21

03/10/23

03/10/25

03/10/27

03/10/29

03/10/31

03/11/02

03/11/04

03/11/06

03/11/08

rized as:
Date
point1 point 2 point3 point4 point 5 point 6 point7 point 8 point9 point10 • pre-existing fault F12 as the main tension crack;
• thin marly limestone layer as the sliding surface
with low shear resistance under wet condition;
Figure 14. The results of monitoring.
• marginal stability of area (sliding safety factor close
to unity) before sliding happened;
influenced by the landslide. The monitoring was • toe excavation which decreased the shear resistance
stopped on November 1st when most of the bench- of sliding surface;
mark points were removed due to the large deforma- • probable intensive explosion for excavation of access
tion and tilting of separated rock mass pillars. road to the valley.

2.6 Landslide reasons 2.7 Remedial works

The field study indicated that the affected mass was As it was illustrated in Figure 11, during the left bank
in the upper Asmari, which slipped on a marly lime- landslide, the dislocated mass moved towards the
stone layer with 40 cm thickness. As shown in Figure 7 power tunnel intake and left many large rock blocks on
this thin layer separates the upper Asmari and lower the top of tunnel portal after final collapse. This situ-
Asmari. In addition, it was concluded that the main ation was dangerous for the next construction works
tension joint in Figure 9 was a part of pre-existing fault of water intake structure and the access road 730.
F12 (see Fig. 8). The thick clay filling in this joint as Moreover, in the service time of power tunnel after
seen in Figure 10 confirmed that the main vertical the project construction completed, it would not be
joint was not a new crack caused by tension force. It acceptable to keep such unstable rock blocks on the top
is also important to note that before the sliding detected, due to the possibility of further motion. Consequently
there was an excavating operation in the toe of sliding it was quite necessary to protect power tunnel intake
mass. This was considered as the main factor for slid- and the access road 730 in temporary construction
ing initiation. However, the small dimension of exca- time as well as service lifetime of the project. In order
vated mass compared to the total mass indicated the to accommodate these aims some design methods
safety factor before excavation was close to unity. In were suggested. In practice, the design process of rock
other words, the stability of area was previously mar- slopes is a balance between stability and other factors
ginal and excavating toe only triggered the sliding. A such as constructability, economics, potential envi-
more investigation indicated that the above-mentioned ronmental impacts, and the accepted level of risk. In

720
the case of Seymareh landslide the factors to be con-
sidered are:
• The large volume of dislocated mass (300000 m3)
to be stabilized or removed which can apply a
high cost;
• possibility of rock falling during the project life-
time which may endanger water intake structure;
• the existence of marly limestone layer below the
mass allowing further motion in wet condition;
• the role of intake structure in providing hydro-
power generation as the principal function of proj-
ect and therefore a conservative factor of safety to
be applied;
• the function of access road 730 during construction
and service time.
According to the above factors it was finally decided
to carry out the following steps:
1. build up some access roads to the landslide area at
different levels in order to carry out improvement Figure. 16 Construction activities in the landslide area of
Seymareh project, 2005.
activities with reasonable speed and safety;
2. stabilize the F12 rock wall using cut slopes as
shown in Figure16 and application of shotcrete and which may govern the rock slope stabilities in such
rockbolts; natural grounds are:
3. keep dislocated materials in place by stabilization
instead of removing. Thus, the remained soft mate- • marginal stability in natural condition;
rials may damp the impact of any probable rock • previous movements during older landslides;
falls and prevent to reach water intake structure; • possible low shear resistance of discontinuities such
4. break the big blocks to smaller rock pieces using as those filled by marly and clayey materials;
drilling and controlled explosion; • existing tension cracks;
5. flatten the broken rock-fill materials using cut slope • excavation in region of slope toe;
method as shown in Figure 16; • ground water due to the precipitation;
6. monitor the future motion of landslide area by • uncontrolled explosions in excavation activities.
installing an inclinometer in the above and some The landslide in Seymareh dam and hydropower
surveying points on the improved ground surface plant project which triggered in 1st October 2003 and
to study the landslide behavior during intensive completed in 10th November was a result of almost
rainfalls and earthquakes. all above factors. During the landslide a large mass of
Figures 16 and 17 present the cut slope design debris by 300000 m3 left unstably in the place. Finally,
section of landslide area and the construction activi- a cut slope and flattening method with reasonable cost
ties in this part of Seymareh project, respectively. was adopted to supply adequate safety for water intake
structure below and the access road to valley in static
and seismic conditions.
3 CONCLUSION

During civil engineering activities on mountain areas, REFERENCES

it is very important to recognize the most key factors
affecting the slope stabilities. In the case of arch
dams which usually placed on rocky foundations with
considerable resistance and rigidity, the planar and
wedge failure is a common problem. The factors
Engineering geological report 2003, Seymareh and hydro-
power plant project, phase 2 design studies.
Rock mechanics report 2003, Seymareh and hydropower
plant project, phase 2 design studies.

721
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Mass movement and risk assessment in Komani hydropower area, Albania

Y. Muceku
Civil Geology Center of Tirana, Geological Survey of Albania, Tirana, Albania

H. Reçi
Geophysical Center of Tirana, Geological Survey of Albania, Tirana, Albania

ABSTRACT: This paper briefly describes the soils and rocks mass movement phenomenon and risk assess-
ment occurred in Komani Hydropower area, Albania. Komani Hydropower plant is the main plant for the energy
production in Albania. It’s located in north-eastern part of Albania. During 1990 – 2000 several projects are car-
ried out in this area, from which have concluded that Komani Hydropower plant is in danger. In those circum-
stances, a project for this problem from Geological Survey of Albania was required to be accomplished by the
Ministry of Industry and Energy – of Albanian Government. So, on year 2004, the engineering geological
mapping is carried out, results of it are presented in this article. Several drillings are carried out and many rocks
samples are taken on studied area and examined in laboratory. Also, the geophysical methods have been
applied. Several factors affect the soils and rocks stability among which are manmade works, rainstorms, steep
slope, failures of bedrocks and geostructural factors as well.

1 INTRODUCTION economy, against geodynamic phenomena, and sec-

The present research is referred to the engineering
geological and geophysical investigations carried
out in the Komani Hydropower plant area during the
year 2004. It aimed to examining the serious slopes
failures, which were manifested in several sites of
the slopes that risk some technical structures of the
hydropower system. The hydropower plant of Komani
is constructed in 1986 on the Drini River valley of
Albania. It is located in northern part of Albania. The
Komani dam is composed of a body filled with stones
and in the frontal side from a reinforced concrete face.
In order to secure the works from water infiltration
in the basement on the gravel is constructed the sys-
tem of cementing tunnels and concrete walls. It has a
maximum height of 133 m and the crest is 275 m long
with the total reservoir capacity of 450 million m3. As
it is shown the Komani hydropower plant is a huge
object from which the Albanian economy provides
much current energy. But on the other hand, a serious
risk for the Albanian life is present. The previous
studies have showed the presence some dangers site,
according to the slope mass movement on this area.
Therefore the Ministry of Industry and Energy
(Albanian Government) was very interested to study
this area for two reasons. Firs, to protect the Komani
hydro plant, as very important object for Albanian
ondary to save the human life in extraordinary event
of dam failure.
2 FIELD INVESTIGATIONS AND
LABORATORY TESTS
In addition to previous studies a detailed engineering
geological mapping on scale 1:1000 is carried out
(Fig.1). First, on the oriented profiles in scale 1:1000
were made surface engineering geological observa-
tions. There are taken many measurements related to
element structures (geological structures, extension
and dip angle of geological elements), tectonic fea-
tures, fractures, cracks, and fissures (extending and
dip angle), karstic phenomenon as well as the deter-
mination of the risk site-landslide and their types. For
the compilation of this work, 3 boreholes and 6 pits
where drilled and opened with depth ranging from 10
to 15 m of boreholes, and 3–5 m of pits. The purpose
of these works, were to determine the sliding surface
depth as well to observe the lithological profile. The
samples obtained from boreholes, pits and excavated
sites were examined in laboratory for geotechnical
parameters. Besides above mentioned works, geo-
physical techniques have been used. For the first time
were used Electrical Resistance Tomography (ERT)

723
 N

c
6 g
2 I
8
1

b
4
2 2 Photo 1. View of Komani hydropower plant.
a
4
I
3

4
3
1
3

105
125

9
1

0 50 m 01

1 Powerhus, 2 Waterbin gin gtunelforbi, 3 Balnceshft,

4 Waterinkpl, 5 Concretfa 6 Damcrest, 7 Dischar gin gtunel

8 Dambody 9 Driln g a b d Rockslide c Rockfals e Erosin g Scarp

sdna , lev rG uiv l oC m ehcsylF s semiL senot

Crosectin

Figure 1. Engineering map of Komani hydropower plant Photo 2. Limestone stones and blocks fallen from moun-
area. tain slope, behind of the “Power house”.

technique in Albania, on some profiles (4 profiles)

especially close to the shaft tower, where it is believed
that the geological risk and landslide phenomenon is
more present. With the use of this method a depth
until 12 m has been studied, giving the electrical prop-
erties of the geological formations. On those profiles
with very high contrasts, the higher resistively values
from the lower ones have been clearly separated. The
scope of this geophysical method was the separation
of colluvium from limestone formations and the detec-
tion of cracks and fissures zones.

3 MORPHOLOGY

The morphology of the studied area is closely related Photo 3. Limestone rock fissures upon of the “Balance
to the geology. It represents a mountainous zone, shafts”.
which is built by anticlines and syncline folds that lie
from west to east (Fig. 1 and photo 1, 7). The moun-
tain slopes range 30–40 up to 70–80° and above sea up to 50–70 m in the upper part. The slope angle of
level varies from 100–300 m up to 700 m. Cross-wise this valley ranges from 55°–70° up to 80–90°. It’s
of this structure has established its valley the Drini important to mention that the dam site lies on the axis
river (Photo 7). It is a narrow valley like “V” shape of Gushta asymmetric anticline, which consists of
with width from 20–30 m in the lower part (river bed) thin bedded limestone formations (Photo 7).

724
Photo 4. Slope scarp at Balance shafts.
Photo 5. Limestone rock fissures upon the dam crest.
Photo 6. View of an unstable limestone rock above the
concrete dam face.
725
Photo 7. View of erosion, at the dam foot.
4 GEOLOGICAL SETTINGS
4.1 Quarternary deposit
These deposits are widespread in southern part of the
studies area. Deposits of terrace alluvium and recent
alluvium river bed gravels and sands are most com-
mon on flysch formations flat. The alluvium terrace
forms the banks of the Drini River with a thickness
3–5 m up to 7–8 m.
Colluvium and elluvial deposits are generally
accumulated on limestone flats and slopes, which are
created by rocks mass sliding (Fig. 5 and photo 2).
They consist of accumulations of large and small
boulders mixed with silts. Most of these deposits have
been transported by landslides that frequently occur
during heavy rain periods.
4.2 Flysch formations
Flysch formations are found in southern part of inves-
tigated area (Fig. 1). They are a combination of the
thin claystones, siltstones and sandstones layers with
greyish and greyish-brownish colour. They are situ-
ated on limestone formations in southern limb of the
Gushta anticline, dipping toward south with an angle
45° up to 75°.
4.3 Limestone formations
The most part of the studied area is occupied by the
limestone formations (Fig. 1). They built an asymmetric
Figure 2. Cross-Section of rockslide (a) site, which extend
in north of the “Balance shafts”.
Figure 3. Cross-section of rockslide site, which extend in
north of the “Balance shafts”, a – after the previous studies,
b – after Y. Muceku and H. Reçi 2004.
Gushta anticline extending west to east (Figs. 2, 3, 4, 5
and photos 4, 7). This structure has a broad crested
region, with one gentle dip of north limb and the other
one is very steep up to inverted limb. They consist of
thin strata 3–5 cm up to 20–30 -cm (Fig. 5 and photo
2). These limestones are mainly light beige and less
726
Figure 4. Geophysical (ERT) and geological cross – section
in rockslide (b) site, which extend in east of the “Balance
shafts”.
reddish in color, compact, dense and with low porosity
as well. They are the micrite’s and biomicrite’s lime-
stones, having micro fissures randomly oriented and
cemented with calcite. According to discontinuities,
the rocks mass are generally affected by two system
joints (cleavage), which are vertical joints sets and
stratification joints with horizontal sets, as well as some
random joints-particular places (Fig. 3 and photo 3, 5
and 7). The joints of vertical sets have a moderate
spacing (0.25–0.8 m). In these rocks, it is worth to men-
tion the presence of the karstic phenomenon. According
to this phenomenon the limestones rocks are extremely
affected not only in shallow level, but it goes up to
10–20 m deep. It’s appeared in forms of drained hole,
gully, sink hole and channels.
5 RESULTS AND DISCUSSION
5.1 Geotechnical data
A number of 38 rocks specimens of sedimentary for-
mation taken from field works have been tested in
 Table 1.1. The mean results of physical and mechanical
properties of limestones.

Rock types

Symbol Unit S-1 S-2 S-3

W % 0.5 0.17 0.11

 gr/cm3 2.54 2.65 2.71
s gr/cm3 2.75 2.64 2.70
o gr/cm3 2.82 2.80 2.88
n % 0.07 5.6 5.4
kg/cm2 1217 802 1154
- kg/cm2 159 68 102.7
t kg/cm2 105 17.4 48.2
w kg/cm2 574 670 779
c kg/cm2 164 58.6 102.7
 o 43 65 64
E kg/cm2 2.11  105 2.35  104 1.6  105
Ed kg/cm2 7.04  104 1.17  104 9.6  104

Table 1.2. The mean results of physical and mechanical

properties of limestones.

Rock types

Symbol Unit S-4 S-5

W % 0.41 –
Figure 5. Geophysical (ERT) and geological cross — sec-  gr/cm3 2.71 –
tion in south of the rockslide (b) site – upon of the “Power s gr/cm3 2.70 2.3
house”. o gr/cm3 2.89 –
n % 6.3 8.9
kg/cm2 340 40.3
- kg/cm2 30 –
laboratory to determine physical and mechanical t kg/cm2 9 3.1
properties. The following determined physical prop- w kg/cm2 158 –
erties of these rocks were natural water content, bulk c kg/cm2 30 0.35
unit weight, dried weight, specific weight and poros-  o 61 18
ity. The uniaxial compressive strength tested regularly E kg/cm2 4.9  104 –
shaped specimens (cubic 50 mm). The tensile strength Ed kg/cm2 1.6  104 –
was determined by uniaxial tension, whereas the
shear strength by using of shear compression test. The 5.2 Rock mass failures
mean results of physical and mechanical properties of
Rock falls, toppling, wedge failure and rocksliding are
5 type rocks are shown in Tables 1.1 & 1.2, where S-1
widly distributed throughout studied area. The studied
are limestone rocks, S-2 are biomicrite’s lime-stones
zone is formed by scarps of failured bedded limestones
intersected of calcite vain, S-3 are dolomite lime-
with intercalated argillecous limestones and argille-
stones with calcite vain and intersected by thin joints,
cous siliceous limestones layers. The presence of the
S-4 argillaceous siliceous shale and S-5 argillaceous
soft to medium rocks into limestones mass, helped from
shale. As it shown mostly of these rocks built the stud-
others factors (natural and man made), have caused
ied area included in the medium to high strength
the breakage of the limestone rocks along its joints with
(Bieniawski 1973) and some of them as argillaceous
consequent displacement of the blocks on the slope
siliceous shale take place in the low to very low
surface. This feature is categorized as block type slope
strength.
movement by Nemcok et al (1972). From engineering
Where: w-natural water content, -bulk unit weight,
geological mapping, in several places are found a very
s-dried weight, o-specific weight, n-porosity, -uni-
dense fissures and joints (photo.3). The occurrence
axial compressive strength, -shear stress, t-tensile
systems of structural plane groups are as following:
strength, w-uniaxial compressive strength of wet sam-
ple, c-cohesion, -internal friction angle, E-elasticity 1-SW to NE and dip to SE with angle 22°.
modul, Ed-deformation modul. 2-W to E and dip to N with angle 70–85°.

727
 3-W to E and dip to N with angle 80–85°.
4 SW to NE and dip to SE with angle 80°.
The joints spacings are generally 0.8 up to 1.2 and 1.3
up to 2.0 m, besides some sites where they are very
dense. The apertura of joints range from 0.4 –1.0 cm up
to 1.2–1.8 cm (gapped to open). Mostly of older jonts
are filled by calcite and others are empty. Active
development of this process is caused by natural man-
made factors. In recent years the dangerous processes
have become a real hazard to not only for hydropower
plants objects, but to people as well. Landslides are the
most dangerous among them. Both active and inac-
tive landslides are common on this area. The studied
area represents a mountain zone, where steep slopes
varies from 50–65° up to cliff. They are affected by
active landslides. There are two types of mass move-
ments occurred on investigated area, as rock fall and
rockslide. According to mass movement hazard related
to engineering objects of hydropower plant, two rep-
resentative sites in studied area have been considered
in this study.
5.2.1 Site I
It’s mountain’s slope upon “Power house”. In this site
are evidenced two types of mass movement. They are
as following (Fig.1):
5.2.2 Rock fall
The engineering objects of Komani hydropower plant
as “Power house” and “Balance shaft” are encroach-
ing upon mountain’s slope, where rock fall hazards
are created by steep cliff and talus slopes (Photo.1).
It’s located in northern part of the “Power house” on
upper part of mountain slope, which is very steep to
cliff. The limestone’s rocks that built this part of the
slope are intensively fractured by many deep open fis-
sures, which have created blocks in different sizes
from some cm3 up to 10–20 m3. Large blocks some-
times (during rainstorm events and after the seismo-
logical) fall and roll or bounce beyond the foot of the
talus slopes. So, this phenomenon is a real risk to
“Power house” (Fig. 5) and “Balance shaft” (Photo. 2).
Also, it is very dangers to employers are working
in hydropower plant, travelers and cars etc. It’s very
important to be underline the “Balance shafts” as well
as “Power house” are threatened in any case when
rock falls phenomenon occur from upper part of slope.
5.2.3 Rockslide
From engineering mapping, two rockslide are evi-
denced, in north of “Balance shaft” (a) and other in
north “Power house” (b), (Fig. 1).
5.2.4 Rockslide (a)
The rockslide occurred between 205 m and 255 m of
above sea level. It has occurred after the “Power house”
was constructed (Fig.1, 2, 3 and photo 3, 4).
728
Excavation of bench about 10–12 m deep into moun-
tain face has exposed the argillaceous shale layers,
seams within the dipping limestone layers. The move-
ment took place along bedding planes that dip 32–35°
into soft rocks—red argillaceous shale (Photo.4). From
beginning of 1990’s up to now a days, the monitoring
system has indicated a new progressive failure of slid-
ing limestone mass. The slide surface depth varies
from 3–4 m up to 7–8 m and 35–40 m wide, with total
volume of 3500–3600 m3. The limestone rocks mass,
presently active, is moving slowly down oriented
along stratum face. The slide movement reacts from
water infiltration that comes from rainfalls in the fail-
ure system and temperature’s fluctuation (hot-freeze)
as well. The slope failure zone is shown in plan and
cross sections (Fig. 1, 2 and 3b). The previous studies
have shown that this failure took place very deep into
limestones, cutting the “Balance shaft” (Fig. 3).
They have indicated that together with sliding mass,
will remove this very important object of the hydro-
power plant. That’s why, we undertook during 2004
year, an engineering geology project in this area. So,
from completion of it are obtained results, which
showed the slide plane of this mass movement is no
deep (Fig. 2 and 3b). The rock mass is sliding slowly
and will fall and accumulate on excavated foot in talus
form (Photo. 4). Failure took place in several stages,
reaching a total mass movement about 1.5–1.7 m
(Photo.3). The geophysical and engineering geology
obsevations have identified the opened failure is
7–8 m deep (Fig.2 and 3b).
5.2.5 Rockslide (b)
It’s found in north of the “Power house” or in east of
the “Balance shafts” on the middle part of mountains
slope and it’s a typical old landslide (Fig.1, 4).
The slide mass is comprised by bedded limestone
rocks. Also, this landslide, from previous studies is
indicated, that it has a volume 300 thousands m3 and
safety factor Fs  1.0. As it is seen by these studies,
this landslide was in a critical state doing real risk for
“Power house”. Therefore additional geophysical and
engineering geology works carried out during the year
2004 to identify the sliding plane depth, type of slid-
ing plane and where is it situated (Fig.1, 4 and 5). So,
from this investigation is showed the average width of
landslide is about 190 m and thickness 3–8 m with vol-
ume 60 thousands m3. The mass movement occurred
along bedding plane dipping 20–25 of soft rocks (red
argillaceous shale) and stopped on jagged plane, which
it was formed from micro folds (Fig. 4). From our cal-
culations, the factory safety parameter of this rock-
slide is Fs  2.65, which means it’s a stabilized state.
The landslide partially is covered from colluviums
(northern and southern part) consists of the limestone
blocks (0.1–0.5 to 4–6 m3) filled by cobbles, pebbles
and silts soils (Fig. 4, 5).
 These soils have a thickness 2–3 m. On the moved
mass body, some failures (0.5–1.2 m wide and 5–8 m
deep) took place during of slope cutting (landslide
foot) for a new road construction.
5.2.6 Site II
It’s the Drini River valley slopes upon “Dam”. The
engineering geological mapping has indicated that
among the mass movement in this site occurred rock
fall type and erosion as well. Both of the Drini River
valley slopes upon dam site are built from limestone
rocks that formed asymmetric Gushta anticline.
Engineering geological investigations of the dam site
has shown that bedrock in some places on left and
right slopes are intensively intersected by deep open
fissures and failures (Photo.5), which have con-
tributed to final blocks toppling and falling to dam.
Typically, these rock falls consist of individuals rocks
whose diameter are in range 5–10 cm up to 2.0–3.0 m
or in volume range from 0.1–05 m3 up to 4–6 m3, that
risks to damage the concrete face of the dam and lock
one of the discharged tunnel as well. It’s very impor-
tant to underline that on the right (east) bank slopes
are particularly characterized by failures extend par-
allel to bank slope (Photo.6). These failures have influ-
enced to geodynamics phenomena development, from
which a lot of scarps are formed on bank slopes. As
are showed on Fig.1 and Photo. 6, a limestone’s rocks
mass about 800–1000 m3, is separated from bedrocks
by very deep open failure. Currently this rock mass
is an inactive situation or in limited of stable state,
but with a possibility to reactivate from the change of
environmental conditions. So, if it occurred like rock-
slide, then will damages concrete face of the dam and
lock one of discharged tunnel.
5.2.7 Erosion processes
Among of the mass movement’s phenomena, the ero-
sion processes are present in the investigated area. It’s
a geologic hazard troublesome related to engineering
objects constructed in this area. The water discharges
from reservoir through tunnels have caused a problem
to the dam stabilization. In this site as results of inad-
equate drainage and protection against erosion, there
has been severe problem in foot of the dam (photo. 7).
729
So, year by year on this part of the dam the discharged
waters come from tunnels has eroded about 2–3 m of
the dam (photo. 7). This problem is very serious for
dam stabilization.
6 CONCLUSIONS
Natural landslides-rockslide and rock fall are a com-
mon occurrence in Komani Hydropower plant area.
Some sites are highly affected by the presence of slope
movements. The results showed that, there are lots of
different slope failures types and the movement mech-
anism. Also, this study has shown the most hazardous
sites from the viewpoint of mass movement caused by
manmade works favored from morphological, struc-
tural and lithological conditions. The hazards from
rapid failure of unstable natural slopes caused by above
mentioned factors are difficult to be predicted and are
much more dangerous for the engineering objects,
which are present there. Further, more detailed research
works is required to carry out on the whole Komani
Hydropower plant area on such features, for the assess-
ment of the remediation works against hazard, which
it can be present.
REFERENCES
Bieniawski, Z.TT. 1973. Engineering classification of joint
rock masses. Trans S Afr Ins Civ Eng 15: 355–344.
Muceku, Y., Reci H. 2004. Report of mass movement and
risk assessment in Komani Hydropower Plant area,
Geological Survey of Albania: p. 12–63, Tirana, Albania.
Nemcok A., etc. 1972. Classification of landslides and other
mass movement. Rock mechanic 4: p. 71–78.
Bichler, A. & Bobrowsky, P., et al. Al. 2004. Three dimen-
sional mapping of a landslide using a multi geophysical
approach: the Quesnel Forks landslide. Landslides 1
2004, Springer-Verlag 2004.
Johansson, S. 1997. Seepage monitoring in embankment
dams. Doctoral Thesis Division of Hydraulic Engineering
Department of Civil and Environmental Engineering
Royal Institute of Technology. S-100 44 Stockholm,
Sweden.
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Evaluation of rock mass modulus by Ramamurthy equivalent

media – a case study of Masjed Soleyman Cavern

M. Bagheri
Iran water and Power Development Co., Tehran, Iran

N. Shafiezadeh
Lar Consulting Engineers Co., Tehran, Iran

ABSTRACT: In situ rock mass modulus is one of the most important parameters for designing the underground
excavations. Rock Mass modulus can be determined by rock mass classification, equivalent media approach or by
performing of in-situ tests. Ramamurthy equation has been applied to the numerical code, Flac, to evaluate rock
mass modulus surrounding Masjed Soleyman Power House Cavern. The results have been compared to those
obtained from back analysis and equations based on rock mass classification. This comparison indicates that the
rock mass modulus obtained from Ramamurthy equations is more reliable than those obtained from equations
based on rock mass classification. Another advantage of the Ramamurthy equivalent media is the possibility of
distinguishing the variations of modulus due to the excavating. It is suggested that by helping of a numerical code
and Ramamurthy equivalent media the variation of modulus can be observed during different stages of excavation.

1 INTRODUCTION Where as “Jn” is the number of joints per meter, “r” is

The rock mass modulus is obtainable by performing
in situ tests which are time consuming and expensive.
The empirical equivalent media methods and rock mass
classification approaches could be used for evaluating
of rock mass modulus of small projects or at early
stages of the design. In this paper the applicability of
Ramamurthy (1994) empirical equations and rock mass
classification approaches for the estimation of the rock
mass modulus is assessed.
Masjed Soleyman dam, 40 Km north east of Masjed
Soleyman city, is constructed on the Karun River. The
Masjed Soleyman powerhouse cavern’s dimensions are
30 meter width, 51 meter height and 154.5 meter length.
Masjed Soleyman Power House Cavern was modeled
by the equivalent media proposed by Ramamurthy as a
fish function in the Flac software. The moduli obtained
from the numerical analysis were compared with those
obtained from the back analysis and equations based
on rock mass classification.
the shear strength parameter of joints, and “n”: is the
parameter which is a function of the joint dip.
Table 1 provides values of “r” which are related to
the intact rock uniaxial compression strengths.
Ramamurthy states that the shear strength parameter
“r” is a function of intact rock uniaxial compressive
strength, for the case where the joints are not filled. The
advantage of the application of joint factor is the simul-
taneous consideration of joint number per meter, joint
dips, and the joint shear strength. Although in reality
there may be cases where the joints are unfilled, but
weathered. In such cases the shear strength can not be
a function of the intact rock uniaxial compression
strength, and the weathering effect has to be taken into
consideration. The weathering can be defined by JCS/c
(Where JCS is the joint compressive strength).
Table1. The values of parameter “r” for unfilled joints.
Uniaxial compressive strength (MPa) “r”

2.5 0.3
2 JOINT FACTOR 5 0.45
15 0.6
“Ramamurthy (1993)”, defined the joint factor as per 25 0.7
following: 45 0.8
65 0.9
100 1
(1)

731
3 EQUIVALENT MEDIA OF RAMAMURTHY Table 2. The physical-mechanical parameters the intact
rocks, around the underground powerhouse complex.
Equation 2 has been proposed by Ramamurthy to esti-
mate rock mass strength. Equation 3 and 4 has been pro- Conglome Siltstone Siltstone
Rock type rate Sandstone (wall) (roof)
posed by him to evaluate rock mass modulus at zero
and given confining pressure. “Ramamurthy (1993)”. c(MPa) 83.5 53.5 39 25
E(GPa) 28 14 9 7
v 0.17 0.19 0.22 0.22
(2) t(MPa) 4 5 2.5 2
c(Mpa) 5.1 4.1 3 3
(o) 52 50 40 40
(kg/m3) 2.62 2.42 2.36 2.36

(3)
Table 3. The geometrical specifications of discontinuities.

Discontinuity Dip/Dip direction Spacing (m)

(4) Bedding 70/28 –

Joint set1 237/50 4
Joint set 2 126/84 2
Joint set 3 206/61 2
Furthermore, “Ramamurthy (2004)” proposed the Joint set 4 336/82 2
relationship between the Jf, RMR, and Q as presented
in Equation 5 and Equation 6. These equations can be
used to evaluate Jf. Table 4. The geomechanical specifications of
discontinuities.
(5)
Joint Joint Joint Joint
Rock type set 1 set 2 set 3 set 4
(6)
Conglomerate 43* 41 43 41
2.89** 2.89 2.89 2.89
4 ESTIMATION OF THE MASJED SOLEYMAN Sandstone 37 36 37 37
ROCK MASS MODULUS 1.67 0.71 1.67 1.67
Clay stone roof 21 19 21 19
Masjed Soleyman dam, 40 Km north east of Masjed 0.47 0.15 0.47 0.15
Soleyman city, is constructed on the Karun River. This Clay stone wall 30 28 30 28
plan consists of twin headrace tunnels, shafts and two 0.76 0.24 0.76 0.24
caverns including powerhouse and transformer, with
the full capacity of 4  250 MW. The Masjed Soleyman *Friction angle (0), ** Cohesion (MPa).
powerhouse cavern’s dimensions are 30 meter width,
51 meter height and 154.5 meter length. units, excluding units II, IV and VI start with conglom-
erates in lower portion and ends with a 5 to 10 m think
4.1 Regional geology of Masjed Soleyman site beds of siltstones on the top most portions.
The Masjed Soleyman powerhouse cavern is located
The dam site contains the upper most portion of the in Unit V of the Bakhtiyari formation. Its longitudinal
Aghajari and also outcrops of Bakhtiyari Formations axis is parallel to the strike of strata of the rock. Dip
which ranges in age from Pliocene to late Pliocene of the strata is approximately 260 to 300 towards
respectively. upstream. Most of the rocks above the cavern roof are
Aghajari Formation is composed of interbeds of composed of massive conglomerate, sandstone and
moderately strong sandstones and low strength imper- siltstone with RMR values ranging between 42 and 73.
meable clay stones, marlstones and siltstones.
Bakhtiyari Formation dominantly consist coarse
4.2 Geomechanical parameters
grain conglomerates with sandstones, clay stones and
some lenses of clay in the upper portion. The geomechanical parameters of the intact rocks
At the dam site, the Bakhtiyari Formation is subdi- around the powerhouse and transformer caverns
vided into several units. Each unit can be representative obtained from laboratory tests are presented in Table 2
of a distinct period of sedimentation. Most of the rock (Stabel, 1994).

732
Table 5. The rating of the rock mass classification and joint
factor for different lithologies around underground complex.

Rock type RMR Q Jf

Conglomerate 69–77 16–38 135

Sandstone 55–66 3.4–12 197
Siltstone (Wall) 47–42 0.8–1.4 277.5
Siltstone (Roof) 40–43 0.6–0.9 292.5

4.3 The discontinuities geomechanical

specification
The orientation of the beddings and interbeddings is
almost 28/067. The jointing system, their orientations
and their geometrical and geomechanical characteris- Figure 1. The modulus evaluated by the equivalent media
tics are given in Table 3 and 4 respectively. method of analysis.
The ratings of the rock mass classification and the
joint factors evaluated for the lithologies present around
the underground excavation are presented in table 5. Table 6. A comparison of the modulus obtained by method
of equivalent media and back analysis.

5 MODELLING BASED ON EQUIVALENT Layer *1 2 3 4 5

MEDIA
Siltstone (WALL) 6 6.528 8.31 7.54 7.28
Sandstone 7 7.62 18.1 16 21
The Ramamurthy equivalent media was applied in Siltstone (WALL) 6 6.33 8.31 7.54 7.28
numerical modeling simulation as a fish function using Conglomerate 15 14.76 29.9 28.25 46
FLAC code. The dimensions of the constructed model Sandstone 7 7.22 18.1 16 21
were 160 m  160 m. Figure 1 depicts the simulated Siltstone (ROFF) 6 6.23 7.13 5.72 6.13
model for change 87.75 of the powerhouse cavern. Conglomerate 15 14.9 29.9 28.25 46
A fish function was developed to introduce the Sandstone 7 7.05 18.1 16 21
Equivalent media represented the joint factor of Rama- Conglomerate 15 14.76 29.9 28.25 46
murthy, the RMR and respective characteristics of Sandstone 7 6.95 18.1 16 21
each lithology to evaluate the rock mass modulus. In
*(1) modulus obtained by Back Analysis, (2) modulus
this process the overburden pressure was introduced obtained by Equivalent Analysis, (3) Equation Proposed by
in 20 steps of 0.236 MPa each. At every stage a mod- Palmstorm, (4) Equation Proposed by Barton, (5) RMR
ulus was evaluated which was a base for the evalua- Approach.
tion of the stresses and modulus for the next stage.
The measured data from the instrumentations were
used to perform the back analysis in order to establish
the rock mass parameters. 6 EQUIVALENT MEDIA BASED ON ROCK
The estimated values of the rock mass modulus by MASS CLASSIFICATIONS
equivalent media method were in close proximity with
the results/parameters obtained by the back analysis. Another and common approach to estimate the
Therefore the application of Ramamurthy’s empirical rock mass modulus is the rock mass classification
equations for estimation of modulus is justified, espe- approaches. Rock mass modulus can be estimated by
cially for an early stage of the project or for cases where rock mass classification, RMR and Q system.
the in-situ tests could not be performed.
In table 6 a comparison of the estimated modulus of
elasticity obtained by the Ramamurthy method and the 6.1 Estimation of rock mass modulus by RMR
back analysis is presented. The rock mass modulus
Bieniawski introduced rock mass rating in 1973. There
given in table 6 is for the positions located at the middle
are two equations for evaluating rock mass modulus
of the simulated layers thickness. The referred layers in
using the RMR classification. Bieniawski proposed the
the table are form bottom to top. As it can be observed
first relationship and Serafim and Periera developed
in the table the elasticity modulus is not a constant
the other models.
value and is a function of the in-situ principal stresses.
This infers that the equivalent media or in other words
the continuum media method could be more reliable. (7)

733
 (8)
6.2 Estimation of rock mass modulus
using the Q system
Q system is another method based on rock mass clas-
sification, which was introduced by Barton. Among all
parameters used in the Q system, RQD and Joint set
number represent number of joints, Joint roughness and
joint alteration represent sliding friction angel along
the joint. Water existing in joints and SRF factor are
the most critical parameters in designing underground
structures. To consider the effect of intact rock uniaxial
compressive strength, Barton presented Eq. (9) “Barton
2002”.
(9)
Also he suggested using the values obtained from
Eq. (9) substitute in Eq. (10) to evaluate rock mass
modulus. He also modified the relationship between
RMR and Q as in the Eq 10.
(10)
(11)
Palmstorm’s correction of rock mass modulus is
given in Eq. (12) (Palmstorm, 2002).
(12)
The Q system does not consider the dip angel of
joint systems. It is clear that the angel between Joint
and maximum principal stress,1, has an important
effect on rock mass modulus.
Neither RMR, nor Q system do not consider the
effect of confining pressure on rock mass deformation
modulus as well. The values of rock mass deformation
modulus can be estimated by the above-mentioned
equations and equation proposed by Ramamurthy.
Table 6 shows modulus obtained from different
approaches.
As it can be understand (see Figure 2), when the
RMR is lower than 50, the estimated rock mass mod-
ulus from different types of approaches is very close,
while the RMR exceeds from 50, Periera and Serafim
equation overestimate the rock mass modulus.
734
Figure 2. Depicts the rock mass modulus versus RMR
when RMR is grater than 40 and lower than 80.
7 CONCLUSIONS
Ramamurthy empirical equation was used in FLAC
Code to analyze the phase 1 powerhouse of the Masjed
Soleyman HEPP, at change 80.75. The modulus esti-
mated by Ramamurthy’s equivalent media, which was
at initial equilibrium of Flac Code, was compared with
those obtained from the back analysis and rock mass
classification approaches. The comparison indicates
that the moduli obtained by Ramamurthy equations
are closer to the modulus obtained from back analysis
than those of rock mass classification.
The comparison indicates to the capability of the
equivalent media proposed by Ramamurthy towards the
estimation of the in-situ modulus. This could be used at
an early stage of the projects or at these sites were the
provisions of the in-situ tests have not been considered.
Furthermore this method can suggest the relative
in-situ modulus based on the stages of excavation and
as a function of the prevailing induced stresses while
the rock mass classification approaches suggest a con-
stant value for rock mass modulus at different stage of
excavation.
REFERENCES
Barton, N., 2002, “Some New Q-value Correlations to Assist
in Site Characterization and Tunnel Design”, Int. J. Rock
Mech Min Sci Geomech Abstr; 39(2):185–216.
Bieniawski, Z.T., 1993, “Classification of rock masses for
Engineering: the RMR system and future trends”, in:
Hudson, editor. Comprehensive rock engineering, vol.3.
UK: Pergamon Press; P. 553–73.
Hoek, E., Brown, E.T., 1997, “Practical Estimate of Rock
Mass”, Int.J.Rock Mech.Min.sci & Geomech Abstr; VOl
34; No 8; PP 1165–1186.
Itasca consulting Group, Inc., “FLAC, Fast Lagrange Analysis
of Continua”, version 4, User’s Manual.
Ramamurthy, 1994, “Strength & Modulus Response of
Anisotropic Rocks”, in: Hudson J.A editor; Comprehensive
rock engineering, VOl 1; No 13; PP 313–29.
Ramamurthy, 2004, “A geo-Engineering Classification For
Rocks and Rock Masses” Int.J.Rock Mech.Min.sci &
Geomech Abstr; VOl 41; pp 81–101.
Palmstorm, A. & Singh, R., 2002, “The tangent modulus of
rock masses – comparisons between in situ tests and
735
Indirect estimates” Tunneling and Underground Space
Tech; VOl 16; PP 115–131.
Sitharam, T.G. et al, 2001, “Practical Equivalent Continuum
Characterization of Jointed Rock Masses”, Int.J.Rock
Mech.Min.sci & Geomech Abstr; VOl 38; pp 437–48.
Stabel, B., 1994, “Memo on Geotechnical Parameters
For Stress-Strain & Stability Analysis of Godar-E-
Landar DAM”.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Analytical and comparative study on Karst problems and

treatments in world’s dams

N. Talebbeydokhti
Prof. of Civil Engineering, Shiraz University, Iran

M.H. Fattahi
PhD student of Civil Engineering, Marvdasht Islamic Azad University, Iran

A. Shamsai
Prof. of Civil Engineering, Sharif University, Iran

ABSTRACT: Dams have always been the most outstanding and prestigious activities of Civil Engineers. A great
part of Civil Engineering discipline and many other sciences is needed to develop a dam. The necessity of dams is
proved with an increased number of dams during last century. Although dams are knowledgeably designed and
made but nature is more powerful than human knowledge. Incidents and accidents are always involved in dam’s
failures. Human error plays its own role too, but the main threatening factor is nature itself, we can not stop floods
or earthquakes but afford to study the problems and finding ways to decrease the damage. One of these natural
problems that encounter dams is the Karst problems. Karst problems in hydraulic projects are so vast and compli-
cated that no one can present a final remedy for them. The problems are as various as the geologic features in karst
and their functions are complex and this makes each research a unique case of study. In this paper, we are after an
analytical research about Karst problems in dams and also the suggested treatments in each case. More than 100
dams and reservoirs have been chosen for this research and all results have been monitoring in accurate tables that
can be used as a quick reference of Karst problems and remedies for engineers and designers. At last for a closer
approach to the karst problems, Salman Farsi dam in Iran is chosen as a special case of study.

1 INTRODUCTION adopting a contrived approach would allow a hazard

Karst processes and various geomorphologic features
in karst terrains can cause numerous problems while
constructing the hydraulic structures like dams and
reservoirs and even during the operation. Huge struc-
tures like dams and reservoirs made to retain and keep
water for different purposes would never work suffi-
ciently enough due to karstic foundations. According
to Ford (1989) billions of dollars are wasted each year
because of karst problems in hydraulic structures which
shows the importance of this research domain. The most
troublesome encountering has been dams and reser-
voirs seepage which makes the great necessary quan-
tities of water lost. Other main problems conclude
subsidence and water breaching into excavations dur-
ing construction. As much as those efforts turned out
to be troublesome, they provided invaluable experience
in meeting the challenges presented by construction
activities in Karst (Millanovic, 2002). We can not afford
the failure totally but from the potential risk stage to
the stage of accidents, monitoring the behavior and
management programmed to be implemented and loss
of lives and properties to be minimized, apart from
the true lessons that can be learnt (Saxena & Sharma,
2004). In this research, we are after a full study on Karst
problems in the world’s dams and an analytic analogy.
Different curing have been discussed and tabled. Finally
a table has been presented which compares the prob-
lems and the technical remedies in some dams and
reservoirs out of more than 100 troublesome cases we
had studied. Comparing each case problem with geo-
logical and technical conditions and also the treatment
activities following gives us a realistic and scrutinizing
point of view and helps to reduce the risk factor down
to minimum.
2 KARST PROBLEMS
The karst geological condition and variation is so vast
and intricate which makes each research a unique
case. Every dam and reservoir or tunnel boring in karst

737
and so on is not assumed a routine process. The long
lasting time of projects done in world’s karst regions
shows this fact. Especially that the numerous failures in
these projects have made caution unavoidable encoun-
tering them.
The karst characteristic complications for each
hydraulic project is a multidisciplinary approach. Great
hydraulic project need an accurate technical, econom-
ical, social, ecologic point of view. Despite of heavy
exploration programs and vast initial researches, the
reservoir carbonate dissolution and the former karst
features like hung caverns and deep shafts and the com-
plicated fractured rock systems could not be exactly
known to prevent the unavoidable risk.
The most common problems in karst engineering
are: Seepage from dams and reservoirs, subsidence
round the tunnel reaches, water breaching into exca-
vations during Construction, Salt water penetration
along the coastal line, Induced vibration due to artifi-
cial storage, Floods because of changes in surface
water regime and excavating wells with no efficiency.
Troublesome mechanisms in karstic formations:
Briefly the problems in karst terrains are catego-
rized into four mechanisms:
1. Differential compaction due to disorganized sur-
faces on karst.
2. Soil piping and becoming void underneath locally
in karst.
3. Underground karst caves collapsing.
4. Growing solutions cavity in reservoirs and dams
foundation due to hydrostatic head after priming.
If the structure subsidence were uniform and during a
long time it wouldn’t be dangerous but the karst cones
(pinnacles) which hold the main pressure of the struc-
ture in karst regions make the void spaces (Cutters) with
no pressure transmitted to them and this causes the
differential compaction.
Soil piping is also of great importance. Increasing
hydraulic gradient and water flow velocity cause the
soil erosion and finally makes cavity. In this situation,
the structure subsides.
Cave collapsing under the ground is a part of natural
developing of a karst region. In fact, it’s the last stage
in a karst cave’s history.
The solution functioning is so slow that rarely possi-
ble to see a cave or doline while collapsing but man –
made structures like dams induces the cave collapse
specially when cave is near the surface.
The key concept of this collapse refers to the ten-
sion dome which develops over the karstic holes. The
boundaries of this tension dome have the maximum
shear. Any pressure changes on the summit of this dome
distributes on the cavities walls .If this dome reaches
the surface the additional load cause extended shear
along the walls which would cause the dome collaps-
ing and the foundation subsidence.
738
After the dam construction finishes and priming
starts 100 meters of hydrostatic pressure force the
reservoir bed and walls. The main karst problem is the
deep solution cavity especially when a part of dam or
reservoir is directly located on Soluble carbonate
rocks. This cavity is mostly made under the river path
line although it can be happen wherever that the solu-
tion works in the reservoir (Soderberg, 1979). Besides,
the dry caves in the valley’s wall from old times, are
submerged and because underground sub paths round
the dam foundation. The same accident happened to
Gathrisht dam in Virginia in the U.S (Roberge, 1977).
In this situation the carbonate rock bed might be dis-
solved deep to 100 meters (Grantand schmitis, 1958).
These conduits cause a great deal of seepage from
reservoir and dam site and the main problem now are
to clog them somehow.
Grout curtains are so expensive. Other remedial
technologies are also expensive and technical.
3 DAMS AND RESERVOIRS FAILURE
Failure has been always considered as a stepping stone
to success. In other words, success is always enjoyed in
absolute terms in the background of failure. But failure
of one dam wipes out the successful achievements of
civil engineering. One individual killed cannot be toler-
ated against thousands saved (Saxena & Sharma, 2004).
Constructing any structure on karst regions is a
potential risk. Terzaghi has mentioned the calculated
risk when imperfect knowledge and experience which
leads to engineering judgments. It can bring failure in
some cases but when an unavoidable risk factor like
karst exists there would be no doubt about the coming
problems. Besides human errors, remains one of the
prime reasons of dam failure and cannot be ignored in
study of failures, irrespective of sophisticated analy-
ses adopted for design or automated and computer-
ized techniques used in instrumentation or the most
important inadequate studies of the first phase.
However it is implied that great dams and reservoirs
need special attention in initial studies and design
which consists a part of unavoidable risk. The verity
and design which consists a part of unavoidable risk.
The verity of problems and failures in dam engineer-
ing particularly in karst regions confirm this claim.
The data presented here are special examples of
built dams and reservoirs or some are now been build-
ing around the world.
Apart from long construction period and expensive
researches and sealing activities of the reservoir when
and after the priming great seepages have occurred in
these cases, (table 1)
In addition to the above cases, there are numerous
other dams and reservoirs to have the seepage prob-
lem and are mentioned in dam geology references.
Table 1. Seepage problem in some dams & reservoirs.
3
Keban dam – Turkey 26 m /s
Camarasa dam – Spain 11.2 m3/s
Mavrovo Reservoir – Macedonia 9.5 m3/s
El cajon – Hoduras 1.65 m3/s
Lar dam – Iran 10.8 m3/s
Visegrad dam – Bosnia 6.5 m3/s
Vertak dam – Yugoslavia 25 m3/s
Great Fall – USA 9.5 m3/s
Fouda – Moroco 3.5 m3/s
Dokan dam – Iraq 6 m3/s
Canelles dam – Spain 8 m3/s
Treatments need a close cooperation between geolo-
gists, civil engineers and also a high technology for
sealing and clogging the water path. In some cases the
remedies have been successful, like:
Canelles – Spain from 8 m3/s to acceptable seepage
rate
Keban – Turkey from 26 m3/s to 10 m3/s
3
Dokan – Iraq from 6 m /s to no seepage
Camarasa – Spain from 11.2 m3/s to 2.6 m3/s
But in some cases the treatment operation has not been
such successful (Vertak – Yugoslavia, Lar – Iran, May –
Turkey).
Watertightning in dams and reservoirs has various
methods. For some methods may be functional and
some others vice versa. For example in Slano reser-
voir hundreds of new holes appeared on the reservoirs
bed after grouting operations and plugging the old
cavities. The same problem happened for Lar dam in
Iran and new troubles were reported after vast water-
tightening procedures. Each watertightening in karst
could not be accepted as the final protection. While the
reservoir acts, the permanent fluctuation stops some
destruction processes.
– Scouring the cave fillers
– Worsen the grout curtain
– Water hammer and Air hammer effects
– Induced Seismisity
– Subsidence due to the reservoirs fluctuation
– Long and deep cracks due to the reservoir filling
Subsequently the reservoir safety can be threatened.
In some cases the reservoir seepage from concentrated
points increases suddenly after 20 to 30 years of oper-
ation (Movrovo-Mocedonia).
The seepage magnitude problem in deep concen-
trated infiltration is considerable (Lar dam – Iran,
Visegrad – Bosnia, Spilje-acedonia). If the foundation
rocks are soluble, water head in reservoir intensify the
permanent karstification. This problem needs a fixed
grouting using the mix grout method (Masul dam-Iraq).
739
As said before the karst problems variety has made
each case a unique one and demands its own treatments.
Also said that karst characteristic complications for
each case is a multidisciplinary approach according
to each, our remedial maneuver might change. In this
research, we have studied more than 100 dams and
reservoirs of the most importance in the world. Our
main case of study and test function for different karst
problems and different remedial treatments according
to things got from the other examples, have been Salman
Farsi dam in Iran which has a lot of karst problems.
Various watertightening methods have been suggested
for sealing its coming up seepage problem. The dam has
severely karstic abutments that contain great caves.
One cave in the right abutment (Golshan cave) has the
capacity of more than 150000 m3 that has encountered
engineers with a tremendous threat of seepage. In the
following table a full list of dams, their karst problems
and the remedies worked for each one is presented.
4 SALMAN FARSI DAM (SPECIAL CASE
STUDY)
4.1 General geological conditions
The dam site is located in the northern flank of anti-
cline in the Asmari limestone formation. The core of
changal anticline consists of the Paleocene/Oligocene
Pabdeh formation. Lithologically, this formation is a
cherty, fossiliferous and conglomeratic limestone, pass-
ing into shale, interbedded with thinly bedded marly
limestone. This formation is not prone to karstification.
From the hydrogeological point of view, this formation
is watertight and can be declared as a regional hydro-
geological barrier. The middle Asmari (dam founda-
tion area) is composed of marly limestone intensively
karstified with vuggy porous crystalline nummulitic
limestone. Large karst features are developed in this
sequence. The structural and hydrogeological homo-
geneity of the northern flank of the changal anticline
is tectonically distributed with a few rupture systems.
Five of those systems were detected in the field, but
most important are the J1 and J2 systems. The inten-
sity of crushing along those systems and the aperture
of openings varies from only a few centimeters to a
few meters in wide mylonite zones. The subvertical
deep favors the ground water circulation by gravity,
provoking the karstification process. J-systems are
frequently close to the gorge (dam site) area. Because
of presence of shally and marly interceding in the anti-
cline core those ruptures, when crossing the core, are
compressed and impervious.
On the right landscape of dam abutment a valley
fault is observable. The extension of this fault grows
down to the dam foundation and encounters the grout
galleries in three different elevations. It is supposed
Table 2.

Country
Dam/Reserv. Karst problems Treatments

Iran
Marun • Seepage up to 10 m3/s • Plugging karst channels using concrete
• Karst channels activities after priming • Grout Curtain
Karun I • Cavities and karst features • Foundation treatment
• Two ponors, 10.3 m3/s &16 m3/s • High pressure grouting
• Cavity filled with clay right side of anticline • Trench cut-off wall
Karun III • Seepage due to fractures in abutment and foundation • Grouting
• Cavity filled with clay • Watertightening of dam, power plant,
• Three faults galleries
Lar • Seepage • Asphalt grouting
• Ponor in reservoir • Concrete grouting
• Caverns 250–430 m deep • Filling Caverns
• Cave of 90000 m3 under the dam • Mix grout
kowsar • karst conduit in right abutment • Deep grout curtain
• Fractured matrix system • Lining the grout galleries
• Multi faults in dam site • Drain Curtain
• Seepage • Combination of grout curtain and drain
curtain
Turkey
Kavasac • Great Faults in dam zone • Grout curtain was not economy due deep
• Deep karstification impervious layer
• Pulling karst channels
Berke • Vertical fault • Mix grout
• Karst conduit and fractured zone • High pressure grout
• Hydrothermal spring
Keban • Numerous caves and caverns • Grouting through a shaft
• Seepage • Filling Petek & Crab
• Crab cave 240000 m3 • Cement grout
• Petek cave 1000000 m3 • Mix grout
Oymapinar • Severely karstified foundation • Plugging all the karst cavities
• Karstic springs • grout curtain through grout galleries
• Seepage 25 m3/s
Ataturk • Seepage 14 m3/s • Amount of seepage 14 m3/s compared
• Karst conduit in right abutment with the river seepage (Fuorat),800 m3/s
• Karst chimney is not considerable “no treatment”
• Karst spring
once • Seepage through a great ponors • Cylindrical dam round the ponor
Bosnia
Grancarevo • Severely karstified zone • Increasing the grout curtain area
• Seepage • Remedial grouting
• Low absorption rate
Hutovo • 75 ponors ,10 m3/s • Shutcrete
• A great water drain due to karstic region • Plugging the known ponors with concrete
• PVC foils
• Smoke tracing
• High pressure grout
Busko • Numerous ponors, springs and caves and estavelles • Ponor plugging
• Seepage 40 m3/s • Shaft grouting
• Vast grout curtain
Grabovica • Long Caverns filled with clay • Flushing
• Great karst channels • Arch reinforced concrete structure above
the power plant cave
• Grout galleries
(Continued)

740
Table 2. (continued)

Visegard • Severely Karstified site • 110(m) deep grouting

• Great Cavities and channels filled with fillers • Polyurethane foam mix with gravels
Salakovac • See page through karst spring 15 m3/s • Unsuccessful shutcrete
• Faults and karst fractures • Grout galleries
• Caves filled with clay
China
• Great clay filled caves • Use if hydraulic fracture
• Cement grouting
• Chemical
Wojiangde
Huoshipo • High hydraulic gradient • Two phase grout curtain
• Due to inverse karst basis between • Clay blanket
reservoir and down stream • Plastic foils
• Vibration in bed
• Karst conduits
Iraq
• Seepage after priming • Mix grout
• Deep Seepage zone • Bentonite, diesel oil
• Cotton flock
Dokan
Mosul • Vertical fractures • Deep grout curtain is not economy
• Great Caverns
• Seepage after priming
Croatia
slope • Cave in right abutment • Filling the cave
• Not ordinary absorption • Running a fan curtain
• Grouting between the concrete and cave
wall
Triland
Khao leam • Caves & caverns 50 m deep under the dam • Overlapping Piles cut-off
• Deep karstification • Flushing
• Seepage from right abutment • Concrete grouting
• Filling caves & caverns
Morocco
Elagharess • Karst cavities filled with clay • Flushing
• Matrix Fractured system • Cement grout into cavities
• Seepage
Elcajon • Caves & caverns 200 m deep under the dam • Flushing
• Seepage after priming • Filling caves
• 4 active Fault zones • Grouting
• Mix grout
• Mortae balls, wooden balls polypropylene
bags.
Yugoslavia
Piva • Deep karstified site • Filling 700 caves
• Numerous Caves filled with limestone & clay • Mix grout
• A huge cave clay filled
Niksic • The great Silivje ponor 100 m3/s • Cylindrical dam round Silivje ponor
• Numerous ponors 150 m3/s • Ponor blockage
• New ponors after 3 lockage • Only treatment is to work a vast grout
curtain
Slano • Long estavelles zone 4.5 km • Grouting with thick grout
• Karst active channels • Continuing the grout curtain
• Caverns 60 m deep • Plugging ponors
(Continued)

741
Table 2. (Continued)

Country
Dam/Reserv. Karst problems Treatments

Perdica • Numerous ponors appeared after priming • Clay- sand blanket

• Sinkhole • No remedies useful
• See page
Spain
Camarasa • See page after priming • Remedial grouting
• New springs • Mix grout with dry material
• Ponors
• Karst conduit under reservoir
Conellas • Seepage after priming • Remedial grouting
• Grout curtain scouring due to high water velocity • Use of polyurethane foam in balloon
• Use of acrylic asphalt resin mixes
U.S.A.
Haig mill • Solution conduit along the curtain • Triple grout curtain
• Karstic abutments • Drain system downstream
• Piping • Impervious blanket
Great Falls • Seepage up to 9.5 m3/s • Seepage tracing
• Reservoir surface dropped down 8.1 m • Clogging the conduits
• With asphalt
• Grouting
Wolf Creek • Karst conduits and fractured systems • Grout curtain
• Cavities filled with clay • Cut-off wall
• Ponors • Concrete diaphragm wall
Lone pine • Ponors developing and seepage increasing from • No remedies useful
reservoir
• Deep karst conduits
Douglas • Karst caves filled with clay in dam foundation • Flushing the caves
• Grout curtain
• Plugging caves with concrete
Mc Millan • Grout curtain erosion • Remedial grouting
• Ponors • Cement grout in left abutment
• Various caves in left
• Abutment
Arnprior • Fault zone upstream • Flushing
• Caves filled with clay under dam foundation • Surface treatment
• Carbonate rocks solution • Grout curtain
• Karst Conduit and fractured matrix
Grand Rapids • Numerous Sinkholes in dam site • Sinkholes blockage
• Numerous karst Channels • Cut-off wall
• Piping
Stewart Ville • Seepage from fractured rocks • Shutcrete the abutment
• A huge Cave in Southern Levee • Fill the fractures
• Cement grouting
• Use of cinder for Blockage
• Plugging with pneumatic packers
Normandy • Karst Conduits activities • Grout curtain
• Deep solution along the Syncline • Cement grout in cavities
• Increasing Cracks Shear resistance.
Special Case
Salman Farsi • Deep karstification in both abutments • Grout Curtain
Dam (Iran) • Great Golshan Cave in the right abutment 150000 m3 • Grouting through gallery
• Numerous Shafts , Cavern and caves in left abutment • Consolidation grating in abutments
• Several Spring in the reservoir • Changing the grout curtain extension to
• Hydrothermal Spring in the abutments by pass Golshan karst cave from upstream
• 3 Fault Zones on the dam Site. • Filling small caverns with concrete.

742

Figure (1). Lateral cross-section of Golshen cave in Salman
Farsi Dam.
that the great karstic Golshan cave with the cavity
over 150000 m3 is made due to penetrating water and
dissolving the carbonate rocks of this flank, of course
a lot more karst features like caverns and shafts and
the fractured matrix zone is also reported.
4.2 General aspects about karst features in
Salman Farsi Dam
General characteristics of investigated karst channel
at the Salman Farsi dam site are:
– Karst channels are developed along the dominat-
ing fractures (interbedding J1 and J2) channels are
very poor with speleothems.
– The caverns and all channels are very dry.
– Hot microclimate on the base of investigated and
observed karst features, the following groups of
caverns are distinguished.
– Large caves filled with piles of huge limestone
rocks. In the lower section of those caverns, the
blocks are surrounded by clayey matrix.
– Caverns filled with well stratified, compressed and
plastic clay are present at both sides. Some of them
are almost fossilized. The volume of those caverns
from a few cubic decimeters till a few hundreds of
cubic meters. The clay color is different: gray, red-
dish, dark, brown and beige.
– Karstic channels, mostly horizontal blanketed with
dry clay deposits along the bottom.
– Vertical or subvertical karst channels, circular or
lenticular, are without any deposits or speleothems.
Other karst features like ponors, sinkholes … were
not found in the dam site. But Salman Farsi great
karst problem returns to Golshan cave system.
A severely karstified zone on the right abutment
with a major cavity of 150000 m3 and thousands of
smaller cavities and a very complex fractured matrix
system. The extent of karst calls for a systematic
decision making process about its treatment, with
the result of the speleological investigations avail-
able; such a procedure is now possible. It was there-
fore found meaningful to screen reasonable options
for treating this karstic zone. In a systematic manner,
compares the different basic options selected for this
743
screening. More than 15 remedial options are sug-
gested among to the present alignment or bypassing
the cave either upstream or downstream the cave sys-
tem. And one choice is to continue the alignment
through the 15th lithological unit.
The five selected options are as below:
1. Filling a part of karsts and having a deep cut-off
wall using the same grout curtain.
2. Filling all karst and keeping the same grout curtain.
3. upstream bypass.
4. Downstream bypass.
5. Continuing the grout curtain to 15th lithological unit.
An economical and technical research has been done
about all these options. The problem has been studied
from different points of view and out of all according to
the technical limitation and economical optimization
the third option (Upstream bypass) has been chosen as
the best remedy encountering Golshan cave problem. In
order to confirm this selection a numerical approach is
developed based on CPE (Double Continuum Porosity
Equivalent) to check the validity. The model is devel-
oped to compute the seepage amount through the
karstic zone on the right abutment of the dam.
Different options have been tested with the numeric
model and fortunately the third option(selected option
from economy and technical point of view), Upstream
bypass, showed the lowest seepage. So it put no doubts
that this is the right treatment about this karst problem.
5 CONCLUSION
Karst problems are as vast and complicated as karst
phenomena and its features are complex. Dams’ fail-
ure is unavoidable risk in some cases, especially when
the karst factor is also involved. Studying and investi-
gating old examples helps us to minimize the risk and
damage factor for new cases.
REFERENCES
Altug S. 1976. Leakage Study of the West side of the oymap-
inar Reservoir, Turkey. Bulletin of the International
Association of Engineering Geology, No. 14.paris.
Bergado T.D., Areepitak C., Prinzl F. 1984. Foundation prob-
lems on karstic limestone formation in western Thailand-A
cases of Khoao Leam Dam. Florida, USA.
Bozovic A., Budanur H., Nonveiller E., Pavlin B. 1981. The
keban dam foundation on karstified limestone – A case
History. Bulletin of the International Association of
Engineering Geology. No. 24.
Briznik M. 1982. Exploration, design and construction of
Cut-offs in karst regions. Commission International Des
grandees brands barrages, swifter land.
Breznik M. 1985. Water and karst. Scientific conference.
Mostar, Bosnia and Herzegovina.
Beznik M. 1993. Exploration of Underground water reser-
voirs in karst. Int. symp. On water Res. In karst, Shiraz,
Iran.
Breznik M. 1998. Storage reservoirs and deep wells in karst
regions. A. A. Balkema publishers, Netherlands.
Cvijic J. 1918. Under ground Hydrology and Morphological
evolution of karst. Society, Vol. 35, Belgrad, Yogoslavia
Djalay H. 1988. Remedial and water tightening of Lar
dam. Seismic congress has Grandees Barrages, Sam
Francisco. USA.
Ewert F.K. 1985. Rock Grouting with Emphasis on dam sites.
Springer verlag.
Ewert F.K. 1992. The individual grouting of rocks. Water
power & dam construction.
Ford D., Williams P. 1989. Karst geomorphology and
hydrology. Unwin Hyman, London, UK.
Herak M. 1976. Geological approach to classification of ter-
rains for consolidation treatments. Proceeding, I JUSIK
76, Zagreb, Yugoslavia.
Jennings J.N. 1971. Karst. Australian notional university press,
Canberra, Australia.
744
Milanovic P. 1977. Reservoirs in karst-common water tight-
ening problems. Karst waters & environmental impacts,
Balkema.
Milanovic P. 1981. Karst Hydrogeology. Water resources
publications. Littleton, Colorado, USA.
Milanovic P.L, Aghili B. 1990. Hydrological Characteristics
and ground water mismanagement of Kazerun Karstic
aquiver, Zagros, Iran. IAHS publication No. 207.
Milanovic P. 2000. Geological Engineering in Karst: dams,
reservoirs, grouting, ground water protection, water tap-
ping pummeling. Zebra publication, Belgrade, Yugoslavia.
Milanovic P., Keruzer H. 2002. Salman Farsi (Ghir) dam
drilling and Grout curtain investigation report mission
report, Mahab Ghods Co. Publication Tehran, Iran.
Milanovic P., Kreuzer H. 2003. Salman Farsi (Ghir) dam
serological investigations, mission report, pancake klub,
Beograd, Yugoslavia.
Nonveiller E. 1989. Grouting, theory and practice. Elsevier,
Amsterdam, Nether land.
Saxena K.R., Sharama V.M., Dams Incidents and Accidents,
Oxford & IBH Publication co.pvt.Ltd. New Delhi.2004.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Effective modeling of sedimentation system in the Himalayan region

Karcham Wangtoo Hydroelectric Project (1000 MW) – a case study

Satish Kr. Sharma & R.C. Gupta

Jaypee Ventures Limited, India

J.A. House & Vasant Vihar

New Delhi, India

ABSTRACT: To minimize the damage to runner blades and water conductor system, planning for sediment
management becomes inevitable in Hydropower Projects. This is even more so, considering the presence of
angular quartz particles in rivers of the Himalayan region. Despite the functional importance and the capital
cost, understanding of principles involved in economical and effective design of sediment tanks has progressed
little. The design of Sedimentation Tanks is generally based on the criteria of reducing sediment concentration
in the water entering to turbines. Where as, the quantum of damage to turbine parts and water conductor system
is based on other factors, mainly abrasive strength of silt particles present in the water, which again depend on
their geometrical properties and its velocity with which it strikes with the turbine blades. In case of 1000 MW
capacity Karcham Wangtoo HEP on river Satluj, an effort is being made to study the effectiveness of sedimen-
tation tank in reducing sediment concentration and its abrasive capacity.

1 INTRODUCTION some of these are passed through the spillway or the

Soil erosion, its transportation and subsequent
deposition in reservoir, is a universal phenomenon.
Uncontrolled deforestation, forest-fires, over-grazing,
improper method of tillage, unwise agriculture prac-
tices and other human activities are mainly responsible
for accelerated soil erosion. Erosion is a process in
which detachment of rock or soil particles takes place
under the forces of the eroding agents like, water and
wind. These agents of erosion also carry the sediment
load away. During transportation, further erosion takes
place due to the collision of the particles and friction
between the earth surface and moving particles. In addi-
tion to erosion, considerable sediment is generated due
to landslides. The nature of sediment, thus generated, is
coarser and also contains large boulders and the effect
of such sediment is similar to that of impact load.
Sediment is loose non-cohesive fragmented mate-
rial transported by, suspended in, or deposited by water
or air, or accumulated in the riverbeds by other natu-
ral agents. In the case of storage projects, the sedi-
ment brought by the stream into the reservoir starts
settling down and gets deposited on the bed of the
reservoir at all levels. The coarser particles settle first
and the finer particles are carried in suspension and
may finally settle down on the reservoir bed while
outlets to the downstream of a dam or carried to gen-
erating plants through water conductor system.
In case of Run-of-River projects, the total sedi-
ment is carried away by river water. The concentration
of finest material, usually called the wash load, depends
on the stream velocity. Coarser material, sand and
gravel may be lifted into suspension from the riverbed
by turbulent eddies and transported further down-
stream. The amount of these particles depends on the
stream velocity. All the particles that are lifted into
suspension have different grain sizes and characteristics.
Most rivers in India, especially rivers originating
from Himalayas, carry heavy sediment load during
monsoons. The sediments get multiplied due to,
– Younger geological formations – Immature, soft
and loose,
– Glacial silt in snow melt season,
– Land slides,
– Uncontrolled human activity.
A large number of Hydropower Stations in India
are trapped in silting problems and face regular dam-
age due to excessive suspended load, especially sharp
edged fine sand (Quartz) transported by rivers in
mountainous reach. These Power Stations face number
of “Operation and Maintenance” problems such as;

745
– Damage to runner vanes of the turbines, Particles with Moh’s hardness above 5 are considered
– Wear of penstock, harmful. Incidentally, Himalayan silt in India is 90%
– Frequent choking of strainers, Quartz which is 7 on Moh’s scale against 10 that of
– Choking and puncturing of coolers tubes, diamond.
– Damage to cooling water pumps, valves etc,
– Frequent damage of turbine shaft seal,
2.1.3 Concentration
– Damage to drainage and dewatering system besides
siltation of sumps, The silt concentration is the most dominating factor
– Higher leakage through runner labyrinths resulting influencing erosion intensity linearly. It is generally
in high top cover pressure, expressed in PPM i.e. parts per million. Its cut off
– Damage to guide vane bushes and their cup seals, values for damage to remain insignificant, even with
– Damage to seals of intake valve and main inlet valve, particles above 0.2–0.25 mm size & Moh’s hardness
– Seating/Sealing problems in hydro-mechanical above 5, are;
gates (intake as-well-as draft tube gates).
Low and medium High head
Though the problem of hydro-abrasion has emerged Parameters head machines machines
from “Alpine and Himalayas”, what has added to it
further is the recent “cost saving trend” towards smaller Head 150 m 150 m
size faster machinery, designed to operate at higher Cutoff silt 200 PPM 150 PPM
heads. Such, a damage is accentuated if the metal- concentration
lurgy of the runner blades is questionable and if the
metal composition is less hard compared to sediment However, in practical situations, the silt load exceeds
particles, when they are of quartz and feldspar. 200 PPM more than 50% of the time during the year,
Abrasion of the runner caused by sediment laden water surpassing 10,000 PPM (at times 20,000 PPM even)
may in a very short operating period assume propor- during monsoons. A typical average silt concentration
tions seriously affecting the efficiency of the wheel distribution for an yearly cycle in case of Baira Suil
and may even lead to eventual failure. (198 MW) Hydroelectric Project, which is located in
district Chamba of the Himachal Pradesh is given in
Table-1.
2 FACTORS INFLUENCING EROSION During monsoon, the Machines of this project han-
dle silt to the tune of 10,000 tones/day/machine. It
The rate of wear of turbine parts due to sediment shall be necessary to mention that this is the normal
abrasion is related to the following factors; pattern in almost all the projects in the Himalayan
– Silt characteristics, region.
– Resistance of turbine Material,
– Net Head on turbines. 2.1.4 Velocity of water carrying silt
The intensity of erosion is normally proportional to
The inter-relationship of the factors is complex. the cube of the velocity of water, carrying silt parti-
Brief details of characteristics are given below; cles in suspended condition. This seems particularly
true of Francis runners. Any decrease in velocity,
2.1 Silt characteristics therefore, would substantially reduce the erosion
2.1.1 Size and shape of particles damage. For instance, 10% decrease in water velocity
The intensity of erosion is directly proportional to the would reduce erosion by about 27%.
size of particles. Particle size above 0.2 to 0.25 mm is Laboratory experiments conducted at Corporate
extremely harmful. It has been found that large size R&D, BHEL, Hyderabad (India), utilizing rotating
silt particles (above 0.25 mm) even with hardness disc apparatus with silt concentration of 75,000 PPM
lesser than 5 on Moh’s scale cause wear. Similarly, on an AISI-304 steel test piece proved that the silt
fine silt even with size less than 0.05–0.1 mm, con- Table 1.
taining quartz wears out the underwater parts. The
fine silt can also be dangerous if the turbine is operat- Silt concentration Operating
ing under high heads, say several hundreds of metres. (PPM) time (%) Generation (%)
Sharp and angular particles cause more erosion in
comparison to rounded ones. 0–300 68 55
300–1000 25 36
1000–2000 4 4
2.1.2 Hardness of particles
Above 2000 3 5
The intensity of erosion is also directly proportional Total 100 100
to the hardness of particles (irrespective of size).

746
erosion rate increased in proportion to V1.75 to 2.4. The Based on experience of some hydropower stations
same experiment also revealed that the reduction in in Latin America, following values of exponent x
sediment erosion rate was 200 to 280 percent on reduc- have been suggested.
ing the particle size by half. X  3, for Francis Runners,
X  2.5, for Guide Vanes and Pivot Ring Liners,
2.2 Resistance of turbine material X  2.5, for Pelton Nozzle,
X  1.5, for Pelton Runner Buckets,
A relationship between type of turbine to be used and In the above formula, the four qualitative behavior
corresponding maximum permissible size of sedi- of silt i.e. concentration, hardness, particle size and
ment is proposed by numerous authors and is rede- particle shape can be defined by a term “Abrasion
fined in Table-2. Index” such as;
However, electromechanical machine supplier will
adjudge final permissible value.
(1)
2.3 Net head on turbines
As discussed in section 2.1.4 above, higher heads where,
result in more abrasion in comparison to lower heads A  Abrasion Index,
because of presence of more kinetic energy. Based on C  Total sediment concentration in Kg/m3
experience gained on several projects, it is recom- pi  Percentage of ith mineral/material in total sedi-
mended to avoid larger particles especially in high ment load,
heads. A tentative detail is given in Table-3. hi  Hardness number of ith minerals as per Moh’s
Scale,
(For diamond  10, Corundum  9, Topaz  8,
3 ABRASION INDEX Quartz  7, Orthoclase  6, Apatite  5,
Fluorite  4, Calcite  3, Gypsum  2,
As explained in para 2.0 above, sediment abrasion Talc  1),
rate (w) can generally be governed by the formula: gi  Geometry of grains (varies from 1 to 3 for gran-
ular to angular type),
w  C1 C2 C3 C4 W Vx n  Types of constituents of sediment load,

where, Thus, sediment abrasion rate (w)  A W Vx.

C1  Coefficient of silt concentration
C2  Coefficient of silt hardness
4 EFFICIENCY OF SEDIMENTATION
C3  Coefficient of silt particle size
SYSTEM
C4  Coefficient of silt particle shape
W  Coefficient of wear resistance of base material
Wherever, run-of-river schemes are located on rivers,
(To be defined by turbine manufacturer)
which transport appreciable amount of silt, the provi-
V  Relative velocity of water
sion of a sedimentation system is, generally, envis-
x  Index.
aged to trap and exclude sediment particles in excess
of a selected size, so as to minimize damage to the
Table 2. turbine runner, wicket gates and related components.
As explained earlier, the quantum of damage to tur-
Type of turbine Maximum size of particles bine parts and water conductor system is also based
on abrasive strength of sediment particles present in
Kaplan 1.00 mm to 3.00 mm the water. A large quantity of clay will be less damag-
Francis 0.40 mm to 1.00 mm
ing than lower quantity of angular quartz particles.
Pelton 0.20 mm to 0.40 mm
Thus, for any hydropower projects, efficiency of sed-
imentation system should also be adjudged on the
Table 3. basis of Abrasion Efficiency.
Abrasion Efficiency (s) of sedimentation
Head (M) Maximum size of particles system  1
Ao/Ai
where,
100 – 200 0.60 mm to 1.00 mm Ai  Abrasion Index at Inlet of Sedimentation
200 – 300 0.50 mm to 0.60 mm
300–500 0.30 mm to 0.50 mm
System,
>500 0.10 mm to 0.30 mm Ao  Abrasion Index at Outlet of Sedimentation
System .

747
 It shall be clearly understood and explained here
that the above index is only a suggestive guideline
and influence of other factors might be evaluated and
detailed investigation shall be taken up to understand
specific sediment problem in the Himalayan region.
5 KARCHAM-WANGTOO HEP
The 1000 MW capacity Karcham-Wangtoo Hydro-
electric Project is proposed to be constructed on river
Satluj in Kinnaur district of Himachal Pradesh along
National Highway no. 22 (Hindustan-Tibet Road), at
about 220 km from state capital Shimla. The project
shall comprise construction of a 98.0 m high concrete
gravity dam, a Power Intake Structure (500.4 cumec
capacity), 4 nos. of 16.0 m (W)  27.4 m (H) 
410.0 m (L) sedimentation chambers, about 17.2 km
long Head Race Tunnel (10.48 m dia circular), 27.0 m
diameter restricted orifice type upstream surge tank,
4 nos. pressure shafts, an underground powerhouse
(4  250 MW installed capacity), a transformer hall
cavity with GIS (gas insulated switch gear), down-
stream Surge Chamber and around 1100 m long tail
race tunnel (TRT).
River Satluj carries heavy sediment, comprising
boulders, gravel and sand as bed load and suspended
load during monsoon months. The Karcham Wangtoo
Figure 1. Typ. C/S Of sedimentation tank.
748
HEP is located about 23 km upstream of another
1500 MW hydroelectric project named Nathpa Jhakri
HEP, which was commissioned in April 2004. All the
six units of Nathpa Jhakri Project have been badly dam-
aged during its operation in first six month itself. On
investigation, it has been found that the Runner Blades,
Guide Vanes and top and bottom rings of the turbine
have suffered due to heavy erosion caused by heavy
concentration of silt in the water. This is inspite of the
fact that 92% of the particles down to 0.2 mm are being
removed through elaborate desilting arrangement pro-
vided. However, finer silt particles, which constitute
more than 50% of the total PPM of silt in the river
passes through the generating units. This phenomenon
further aggravates to rethink the whole concept of
sediment removal practices for the project.
Since, coarser sediments cause excessive abrasion
and aggravate cavitational affects on turbine parts, it
is proposed that all the sediments coarser than 0.2 mm
size be extracted from the water before it enters the
headrace tunnel. To arrest the entry of larger size par-
ticles, 80 mm size trash-rack is provided at the power
intake. To exclude smaller particles, from 80 mm to
0.2 mm, from the water entering the power tunnel,
4 nos. sedimentation chambers have been envisaged.
The sectional details of proposed sedimentation tanks
are shown in the Fig.1.
5.1 Gradation curve
The gradation curve of the sediment sample taken at
site is shown in Fig.-2 and particle distribution is
given in Table-4. It can be seen from the curve that
more than 83% particles are smaller than 0.2 mm. As
per available data, water during October to March is
clear from all practical considerations. The silt load con-
siderations are required only from April to September.
Typical mineral content in bed load at Dam site is
given in Table-5.
10
COARSE SED. 17%
90
80
MEDIUM SED. 25%
PERCENTAGE FINER
70
60
50
40
FINE SED. 58%
30
20
10
0
0.1 0.1 0.1 1 1 0 10
PARTICLE SIZE IN mm
Figure 2. Grain size distribution curve.
 Assuming that the machine will be operative for
sediment load at intake limited to 5000 PPM. On put-
ting the values in equation (1) above,
Abrasion Index of system at intake
Abrasion efficiency (s) of sedimentation system
shall be calculated after computation of abrasion
index at outlet after the completion of model studies.
5.2 Model studies
Sedimentation chamber is a very critical component
of the water conductor system in a hydropower proj-
ects. The design of Karcham-Wangtoo HEP, based on
mathematical model studies, is proposed to get veri-
fied by Irrigation Research Institute, Roorkee on
hydraulic model on a scale of 1:40.
Hydraulic model of a sedimentation tank has its own
limitations. Initially, it was a practice to generate the
model on the basis of Reynolds numbers (Re), which is
Table 4. Particle distribution on gradation curve.
0–13 13– 40 40–58 58–83
Mean dia 0.005 0.020 0.058 0.138
(mm)
ratio of inertia forces to viscous forces. Scale of model
was such proportioned that “Re” of model was same as
of prototype. But, many a times depth of flow obtained
on this basis is so low that viscous forces become pre-
dominant, whereas, in prototype the type of flow is gen-
erally turbulent. Apart from scale effect, hydraulic
models generally have low Reynolds numbers, which is
likely to distort the results. Therefore, models for sedi-
mentation tanks are based on “Froude Number” (Fr),
which is the ratio of inertia forces to gravity forces. It
has been observed from experiments, that if the
model is based on Froude Number and Reynolds
number is more than critical Reynolds Number, then
good results are obtained. In case of K&WHEP sedi-
mentation tank model, Re28,000 whereas, critical
Reynolds number is only 850. As such, good simula-
tion of flow condition in sedimentation chamber is
expected. It is proposed to study the reduction in sed-
iment concentration at outlet of sedimentation tank.
In addition, it is proposed to analyze the various min-
eral contents in the water at outlet. This will help the
manufacturer of turbines in deciding the type of coat-
ing to be done on parts susceptible to erosion.
6 CONCLUSION AND RECOMMENDATIONS
Sediment removal capacity of sediment system shall
not be seen only in quantitative terms. A detailed
83–100
qualitative understanding has to be developed to deal
0.20 with sedimentation problem in Himalayan region.
To start with philosophy encapsulated in the form of
abrasion index could be further studied.

Table 5. Typical mineral contents of sediment at Karcham dam site.

Constituent (1) Hardness (2) % of the sample (3) Shape of grains (4) gi (5)

Quartz 7.0 38.2% Smaller grains are 2.50 6.69

angular and larger
grains are sub-rounded
Biotite 2.5 13.8% Flakes 1.50 0.52
Muscovite 2.0 9.1% Flakes and Specks 1.60 0.29
Tourmatine 7.0 0.6% Sub-rounded 1.25 0.05
Zircon 7.5 2.7% Sub-rounded 1.25 0.25
Epidate 6.5 0.7% Sub-rounded to rounded 1.20 0.05
Horniblende 5.5 1.8% Prismatic 1.40 0.14
Augite Garnet 7.0 4.4% Sub-rounded 1.25 0.39
Felspars 6.0 5.4% Sub-rounded 1.25 0.41
Chlorite 2.0 3.6% Flakes and Specks 1.60 0.12
Apatite 5.0 0.7% Sub-rounded 1.25 0.04
Sphene 5.3 0.9% Sub-rounded 1.25 0.06
Magnetite & other 6.0 14.9% Sub-rounded 1.25 1.12
dark minerals
Clay minerals 1.1 3.2% Mixed 1.50 0.05
TOTAL  10.18

749
REFERENCES
IS-12182:1987, “Guidelines For Determination of Effects of
Sedimentation in Planning And Performance of
Reservoirs”.
IS-13665-1993, “Sedimentation in Reservoirs – Method of
Measurement”.
Paris ICOLD-1999, “Dealing With Reservoir Sedimentation”.
“High-head Power Plants”, Volume Two/A & Two/B, by Emil
Mosonyi, 1991.
“Hydraulic Design Handbook”, by Larry W. Mays
(McGraw-hill Publications).
“Design of Hydraulic Structures”, by Varshney (Nem Chand
Publishers, Roorkee-1990).
“Developments in Hydraulic Engineering-I”, by P. Novak
(Applied Science Publisher’s, London).
“Sedimentation Problems at Low Dams in the Himalyas”, by
D. N. Bhargava et.al (WPDC, January 1987).

750
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Abrasion of dam surface by high-velocity sediment-laden flow and

effect of aeration on abrasion resistance

X.B. Huang
College of Water Conservancy and Hydropower Engineering, Hohai University, Nanjing, China

ABSTRACT: The objective of this study is to study on the effect of main hydraulic factor on dam abrasion,
to develop an active method for preventing material abrasion. In a special circulating device of high-velocity
sediment flow, the abrasion rates of different material are measured for different hydraulic conditions, and some
effects of significant flow factors on material abrasion are analyzed. It is indicated that the abrasion rate is
related to flow velocity, sediment content, air concentration and material strength. The method of preventing
dam surface abrasion with aeration is presented. It is shown that abrasion rate can be reduced with the help of
flow aeration. Based on test data and regression analysis, an empirical formula is proposed to estimate the abra-
sion rate of concrete material dam surface for high-velocity sediment-laden and aerated flow.

1 INTRODUCTION the abrasion rate of concrete material wall surface in

The wall surface of dam is liable to silt abrasion by
high-velocity sediment-laden flow. Silt abrasion is
different form cavitation erosion. How to predict and
decrease the silt abrasion damage to the concrete sur-
face in heavy sediment laden rivers is one of the
important topics to be solved in water conservancy
and hydropower engineering. In order to prevent and
estimate abrasion damage to the wall surface, previ-
ous works concentrated on study of wear process and
effect of material (Shook & Roco 1991), wear of pipes
for hydraulic transport of solid (Kawashima 1978)
boundary layer and wall erosion (Liu & Cheng 1996,
Lin et al. 1991), different material abrasion character-
istics and material resistance against abrasion (Tabakoff
& Korwar 1987, He 1996). In the past, the measures
like increasing material strength or adding new pro-
tective cover on the wall surface were taken to avoid
abrasion damage. But just increase material abrasion
resistance, not only the cost of project construction is
high but also the effectiveness on preventing abrasion
is limited.
In view of this, the present brief works are to study
on the effect of main hydraulic factor on abrasion, to
develop an active method for preventing material abra-
sion and to propose a formula for predicting the abra-
sion rate in aerated flow. On the basis of experiment,
the possibility of preventing wall abrasion with aera-
tion is put forward. Applied dimensional and regressive
analysis, an empirical formula is proposed to estimate
high-velocity sediment-laden and aerated flow.
2 EFFECTS OF MAIN HYDRAULIC FACTORS
ON ABRASION
There are many influencing factors on abrasion in high-
velocity sediment-laden flow. The main factors can be
generalized to three kinds: hydraulic character, sedi-
ment character and material character. Sediment char-
acter mainly refers to size, shape, hardness and relative
density of solid particles. Material character refers to
resistance against abrasion of different materials. For
abrasion is a very complicated process, the paper only
focuses on the effects of hydraulic factors, such as
flow velocity, flow pattern, abrasion duration and sed-
iment content.
a. Flow velocity is the decisive factor affecting mate-
rial abrasion. In fact, the extent of abrasion damage
to material surface depends on the kinetic energy
of sediment particles, namely the loss amount by
abrasion should mainly be in direct proportion to
sediment particles velocity’s square. In high-velocity
sediment-laden flow, particles (diameter less than
0.5mm) basically move along the water flow, and
the magnitude and direction of particle velocity is
consistent with water flow. So the abrasion rate of
material increases with the flow velocity to a
power m. The exponent m averages about 2.0.

751
b. Flow pattern is also an important influencing factor
on material abrasion. If the conformation is not
properly designed, flow pattern is terrible and big
solid particles will deviate from the stream lines. If
the material wall surface is roughness, turbulent
flow will generates a lot of vortices whose form
and collapse will increase the particles impacting
and striking force on the surface. Especially in the
local region of turbulent field, the vortices cavita-
tion will take place; it will cause cavitation erosion
under certain pressure. Under both action of sedi-
ment abrasion and cavitation erosion, the damage
to the wall surface becomes more terrible.
c. When the sediment content, flow velocity, material
character and other conditions keep consistent, the
loss amount of abrasion increase in linear relation
to the flow duration, but the abrasion rate does not
change, which can make the forecasting of the loss
amount of abrasion conveniently.
d. The effect of the sediment content on abrasion
depends on the probability of sediment grain impact-
ing and striking the wall surface. Generally, the more
sediment content, the more the sediment grain
which join in impacting and striking the wall sur-
face. At the moment, the rate of abrasion is linearly
direct proportional to the sediment content. But
with the further increasing of sediment content, it
will increase the probability of impacting among
the sediment grains and decrease the percent of
sediment grains effectively impacting and striking
the wall. So, the power exponent should be equal to
or less than 1.0.
3 POSSIBILITIES OF PREVENTING
ABRASION WITH AERATION
In order to solve the abrasion problem of dam mate-
rial that was caused by high-velocity sediment-laden
flow, good abrasion resistance material or new face-
protected measures can be taken. But generally these
methods and measures increase cost of project con-
struction, moreover they are passive. So it is very nec-
essary to develop other economical and effective
measures for preventing abrasion.
It is known that artificial aeration is valid for pre-
venting cavitation erosion. The measure using aeration
to decrease cavitation erosion in high-velocity flow
has been widely used (Qian 1996, Quintela 1980, Zhou
et al. 2000). Does aeration have the effect on prevent-
ing silt abrasion yet? We got an affirmative answer in
the model test of the free flow tunnel at Xiaolangdi
project in Yellow River. The scale of the model is 1:40.
The velocity in the model is about 6 m/s. The sedi-
ment content in the model can reach 200 kg/m3. Before
discharging water, printing glue is wiped over the wall
surface, and after discharging, it is be discovered that
752
printing glue keep integrity in high aeration area. But
the less the air concentration is, the more serious the
printing glue is worn.
In order to explore and demonstrate the observed
trend further, we have conducted a series of experi-
mental research in a special circulating device with
high-velocity flow. It is confirmed that aeration has
obvious effect on preventing silt abrasion. Once the
air concentration is more than 6%, the abrasion rate
of material surface can be reduced sharply. Figure 1
shows that abrasion rates decrease with air concentra-
tion increasing.
André et al. (2004) demonstrated that flow has a
complex behavior characterized by aeration. It is
reported by Wood (1991) that air can reduce friction
along the slope. It is proved also by Huang et al. (1998)
that boundary shear stress can be reduced with aeration,
and the coefficient of friction resistance decrease as
the air concentration increases. When the air concen-
tration is more than 6
7%, the fluctuations of bound-
ary shear stress will decrease sharply. This is consistent
with the relation of abrasion rate and air concentration
showed in Figure 1. The mechanism of preventing
abrasion with aeration can be comprehended as fol-
lows: when the sediment-laden flow is aerated, the
probability of sediment particles striking the wall sur-
face will be reduced, and the friction and impact effect
of sediment-laden flow to wall will be decreased, thus
they will play a part in reducing abrasion degree of dam
material. The effect of aeration on abrasion resistance
has practical meaning in project. Taking the measure
of increasing air concentration to preventing silt abra-
sion to material is rather simple and easy to carry out.
But just increase material abrasion resistance, not only
the cost is high but also the effectiveness is limited.
40.
S=10k g/m3
S=92k g/m3
30.
S=24.7k g/m3
[(w/V)/(ρSV2)/R]×1010
S=17.8k g/m3
20.
10.
0.
0. 0.2 0.4 0.6 0.8
Air concentration C
Figure 1. Relation between abrasion rates and air
concentration.
4 ANALYSES OF ABRASION TEST DATA FOR Multivariate linear regression analysis can be carried
SEDIMENT-LADEN AND AERATED FLOW by taking logarithms in both sides of Eq. (3). Using
test datum in table 1, we can get   5.31  10-9,
Abrasion tests are conducted in a special circulating n1  0.476, n2  0.754, n3 
0.355. The partial
device of high-velocity sediment flow. The sediment correlation coefficients of sV2/R,S/ s,C are 0.995,
is obtained from Huayuankou in Yellow River China. 0.999, 0.990 respectively. It indicates that sV2/R,S/ s,C
The distribution of sediment grain size is shown in have obvious effects on abrasion rate. The regression
Figure 2. In tests, the range of sediment content S is multiple correlation coefficient of Eq. (3) is 0.996,
17
100 kg/m3, and the ranges of other parameters are which shows that regression result is excellent.
as follow: Substituting n1, n2, n3 in Eq. (3),
flow velocity V: 15
30 m/s;
material strength R: 2.2
26 Mpa ;
air concentration C: 0. 01
0.65; (4)
abrasion rate w: 0.00046
0.00701 m/s .
Based on the analysis of the effects of main factors
on abrasion, the relationship between abrasion loss where Cs is sediment concentration (by volume).
thickness and other parameters can be expressed as Figure 3 shows that the values calculated by expres-
sion (4) are agreement with the measured values. So
(1)
Table 1. Experimental conditions and abrasion rates.
where,  is abrasion loss thickness (m), V is flow veloc-
ity (m/s), R is material strength (Pa), S is sediment Material Flow Sediment Air Abrasion
content (kg/m3), C is air concentration; S is sediment strength velocity content concentration rate
density (kg/m3), is water density (kg/m3) and t is R/(MPa) V/(m/s) S/(kg/m3) C w/(m/s)
abrasion duration (s).
25.872 29.38 24.67 0.010 0.007879
Applying dimensional analysis and
theorem, 25.872 27.12 24.67 0.050 0.003382
Eq. (1) can be transformed as 25.872 25.16 24.67 0.285 0.001652
25.872 23.43 24.67 0.425 0.001268
25.872 21.99 24.67 0.590 0.001024
(2) 25.872 20.68 24.67 0.625 0.000862
25.872 19.54 24.67 0.650 0.000585
27.832 26.82 21.85 0.010 0.004945
27.832 24.74 21.85 0.050 0.002005
where w is the loss in wall thickness per unit time, 27.832 22.95 21.85 0.245 0.001469
namely abrasion rate (m/s). In the test / S is con- 27.832 21.37 21.85 0.435 0.001250
stant, thus can be omitted. In order to solve functional 27.832 20.03 21.85 0.545 0.000927
expression, Eq. (10) may be assumed as 27.832 18.83 21.85 0.600 0.000730
27.832 17.78 21.85 0.620 0.000628
17.150 23.23 17.85 0.010 0.004438
(3) 17.150 21.40 17.85 0.050 0.001931
17.150 19.86 17.85 0.210 0.001269
17.150 18.50 17.85 0.350 0.000799
where, , n1, n2, n3 are undetermined numerical indices. 17.150 17.32 17.85 0.470 0.000627
17.150 16.25 17.85 0.540 0.000500
17.150 15.35 17.85 0.565 0.000461
10 2.200 22.85 100.00 0.010 0.047012
Weight proportion of grains

2.200 21.10 100.00 0.050 0.021552

80
less than diameter/%

2.200 19.60 100.00 0.210 0.011368

2.200 18.20 100.00 0.360 0.007862
60
2.200 17.10 100.00 0.470 0.005468
2.200 16.05 100.00 0.540 0.004976
40
2.200 15.10 100.00 0.565 0.004545
20 2.300 23.15 92.71 0.010 0.045027
2.300 21.35 92.71 0.050 0.020165
0 2.300 19.80 92.71 0.220 0.009927
0.1 0.1 0.1 2.300 18.40 92.71 0.378 0.006903
Diameter of grain/mm
2.300 17.25 92.71 0.475 0.005219
2.300 16.20 92.71 0.545 0.004560
2.300 15.20 92.71 0.570 0.003900
Figure 2. Distribution of sediment grain size.

753
 0.1
0.8
Value measured w/(µms-1)
0.6
0.4
0.2
0.
0. 0.2 0.4
Value calculated by Eq.(4) w/(µms-1)
Figure 3. Comparison of abrasion rates between measured
and calculated values in aerated flow.
expression (4) can be used to evaluate the abrasion
rate of material for high-velocity sediment-laden and
aerated flow. From expression (4), it can be seen that
the abrasion rate of material is proportional to V to a
power of 1.952 and Cs to a power of 0.754. The power
exponent is consistent with the analysis results about
effects of flow velocity and sediment concentration on
abrasion. The abrasion rate decreases with materials
strength and aeration concentration increase.
5 CONCLUSIONS
In this paper, the effects of main hydraulic factors on
abrasion are discussed. The abrasion rate of material
surface depends upon flow velocity, sediment content,
flow pattern, abrasion duration and material strength.
In a special circulating device of high-velocity sedi-
ment flow, a lot of abrasion tests of material are con-
ducted and 35 sets of data are measured. It is discovered
in the research that abrasion can be reduced with aer-
ation for high-velocity sediment-laden flow. Once the
air concentration reaches up to 6%, it will have obvi-
ous effect of preventing silt abrasion. Based on the
dimensional and regression analysis for test data,
expression (4) is given, which can be used to estimate
material abrasion extent by high-velocity sediment-
laden and aerated flow. If we use Ra  1/w as abra-
sion resistance of material, Ra can increase to 2 times
as large as original value when aeration concentration
C increases from 1~7%. The effect of aeration on
abrasion resistance has practical meaning in project.
Taking aeration measure to avoid abrasion damage to
the material surface is easy to carry out, while increas-
ing material strength not only cost is high but also its
effect on preventing material abrasion is limited.
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(in Chinese)
754
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Appropriate application of artificial neural networks for flow

forecasting

Xiaohua Dong
China Three Gorges Project Corporation (Yichang, China) and Wuhan University (Wuhan, China)

Yunfa Zhao, Jie Yuan & Qiyou Peng

China Three Gorges Project Corporation, Yichang, China

Shenglian Guo
Wuhan University, Wuhan, China

ABSTRACT: The research presented in this paper is to determine the appropriate complexity and appropriate
training of an Artificial Neural Network (ANN). For an ANN, ‘complexity’ refers to the network structure and thus
to the number of neurons in the network. The ANN is used for one-day ahead forecasting of the discharge in the river
Meuse (western Europe) at Borgharen (in the south of the Netherlands), based on the recorded precipitation
upstream of Borgharen. The forecasting performance is measured with the Nash-Sutcliffe coefficient R2 and the
Relative Mean Absolute Error RMAE, the applied training algorithm is the Levenberg-Marquardt (LM) algorithm
and the applied performance function is the Mean Square Error (MSE). All networks are trained multiple times, so
that not only the mean of the R2 and the RMAE values are calculated, but also the standard deviations to evaluate
their uncertainties. First, the numbers of input and hidden neurons are varied to determine the effect of network com-
plexity on the forecasting performance. Secondly, the influence of weight decay on the forecasting performance is
determined for different network complexities. Weight decay is a method used to train an ANN with a modified
performance function, which normally is MSE. For weight decay, a penalty term is added to the performance func-
tion to prevent the values of the weights and biases becoming too large during the training to enable a smoother
network response. Different degrees of weight decay influence are introduced by varying the value of the ‘decay
coefficient’ from 0.1 to 1, with higher values corresponding to a smaller influence of weight decay. Network com-
plexity is now expressed in terms of the total number of neurons in the network. Thirdly, the effect of the number
of training epochs (or iterations) on the forecasting performance is determined, again for different network com-
plexities in terms of total number of neurons in the network. The network structure (or complexity) has the largest
influence on the flow forecasting performance. The influence of the number of training epochs is somewhat
smaller, and weight decay has the smallest influence on the flow forecasting performance. An 8-4-1 network (8
neurons in the input layer, 4 in the hidden layer and 1 in the output layer) trained for 11 epochs with no weight
decaying being applied was identified as an appropriate network. Networks simpler than an 8-4-1 network should
be trained more than 13 epochs. For networks more complex than an 8-4-1 network, the appropriate training epochs
range between 8 and 11. For a simple network, weight decay is not a useful method to improve the network’s gen-
eralization ability. For a complex network, weight decay can help to prevent overfitting, by compensating for the
negative influence of a greater network complexity on network performance provided.

1 GENERAL INSTRUCTIONS
1.1 The principle of artificial neural networks
The Artificial Neural Network (ANN) is ‘a massively
parallel distributed processor made up of simple pro-
cessing units, which has a natural propensity for stor-
ing experimental knowledge and making it available
for use’ (Haykin, 1999).
ANNs consist of a number of hierarchical layers.
Each layer consists of a number of simple artificial pro-
cessing units, artificial neurons; in this study, the artifi-
cial neurons will simply be termed neurons. They are
placed parallel to each other, and are connected by links
in which knowledge is stored. Obtaining and updating
knowledge are accomplished by a process called train-
ing (or learning). Training can strengthen the links

755
among neurons, similar to how human brains strengthen added to the performance function to prevent the val-
their memories: the more times the learning process is ues of the weights and biases becoming too large dur-
repeated, the stronger linkages will be established ing the training to enable a smoother network response.
among the neurons that are responsible for storing this Although it is called ‘weight’ decay, the biases are also
knowledge. Strong links will lead to a quick recall of considered. The usual penalty term is the sum of
the knowledge when information similar to what has squared weights and biases times a decay coefficient.
been used in training is fed into the network as input. The penalty term forces the weights and biases to
converge to smaller absolute values than they other-
1.2 Overfitting and generalization wise would. This way, the network response can be
If an ANN is very complex and trained too much, the expected to be smooth (Foresee and Hagan, 1997).
error (difference between the network output and the ANN practitioners are likely to train the networks
observed output) may be driven to a too small value. far too many times, which can easily lead to overfitting.
Then, in the testing phase, when new data are pre- The technique ‘early stopping’ (Nelson and Illingworth,
sented to the network, the error may be much larger 1991) stops the training when generalization of the
than the error in the training process. This implies that network to new data is reached. In this technique, the
the network fits the training data so closely, that it has available data are divided into three subsets. The first
not learned to generalize to new situations. This phe- subset is the training set, which is used for updating
nomenon is called overfitting. The studied data set the network weights. The second subset is the valid-
may also be underfitted, if the ANN is not sufficiently ation set. The error on the validation set is monitored
complex and has not been trained enough to detect the during the training process. Both training and valid-
signals within the data set fully. ation errors will normally decrease during the initial
Figure 1 shows the response of a 1-20-1 ANN to a phase of training. However, when the network begins
noisy sine function as input. The ANN has been trained to overfit the data, the error on the validation set will
1000 times to approximate the underlying sine func- typically begin to rise. When the validation error
tion. It is seen from the figure that the ANN is trying starts to increase, the training is stopped. The so-
to catch all the details of the input data, but misses the derived weights and biases will be used for testing.
more important, general information. In other words, it The testing set error is not used during the training,
shows a lack of generalization. For comparison, Figure 1 but used to compare different models.
also displays the output of a 1-5-1 network trained 10 There are other techniques to help and improve the
times with the same input data set. It matches the under- generalization of ANNs, like jittering (training net-
lying sine function much better than the output from work with noise) (Holmströn and Koistinen, 1992;
the overfitted network. Koistinen and Holmströn, 1992; An, 1996), Bayesian
Two approaches are used here to avoid overfitting learning (an efficient way to estimate the value of the
and underfitting, and hence obtaining good general- constant to adjust the penalty strength when perform-
ization: weight decay (Bartlett, 1997; Krogh and Hertz, ance function modification is used to prevent overfit-
1992) and early stopping (Coulibaly et al., 2000). ting) (Foresee and Hagan, 1997), and combining
Weight decay (Krogh and Hertz, 1992; MacKay, networks (Sharkey, 1996; Sharkey, 1999). They will
1992) is a method used to train an ANN with a modi- not be considered in detail in this study. Only weight
fication of the performance function, which normally decay and early stopping are taken as examples to
is the sum of squares of the network errors on the study the effects of these two measures on improving
training data set. For weight decay, a penalty term is the network performance.

1.5
noisydat
underlyi gsinefucto
1.3 Appropriate modelling in the context of
1
overfitdnwkup
generalizdtwokup
applying ANNs in flow forecasting
In the above-mentioned three methods, model structure
0.5
is important, in the sense that it has to be appropriate for
0
the modelled system, for the available data, and for the
objective of modelling. Weight decay and early stopping
outp

-0.5 are related to the training of the model (that is, the
process of adjusting model parameters). Note that in
-1 case of physics-based models, this is called calibration.
Both the structure and the training of ANN models
-1.5
-1 -0.5 0 0.5 1
should be appropriate: the structure has to be appropri-
input ately complex and the strength of the training of the net-
work has to be appropriate. Losing control on both
Figure 1. Phenomenon of overfitting. issues will lead to overfitting or underfitting to the data.

756
 For the research carried out in applying ANNs in
flow forecasting, the following two research gaps are
identified: (1) So far, most research into applying ANNs
in flow forecasting has been performed in a single-
training way (Govindaraju and Ramachandra Rao,
2000; Dong and Vreugdenhil, 2002). That means the
ANN is trained once, and one flow forecasting per-
formance value is obtained. The disadvantage of this
method is that each time the network is re-trained, the
forecasting performance will be different (no matter
how slightly). This is because before each training, all
parameters are re-initialized randomly. For different
trainings, the final values of parameters are different
each time. So what is the uncertainty of the obtained
forecasting performance? (2) The methods used to
prevent overfitting are applied individually. However,
they are actually correlated, so what is their collective
effect on flow forecasting performance? More specif-
ically, how do the appropriate model structure and
training process influence model performance?
are evaluated. In all of these sections, the methodolo-
gies will be presented first, followed by the results.
The conclusions are drawn in the last Section 7.
2 CASE STUDY AREA AND DATA
The Meuse River in Western Europe is taken as case
study in this paper. The Meuse River originates in
France, flows to the north, through Belgium and
joins the North Sea in The Netherlands. The river is
878 km long and has a catchment of about 33,000 km2
(Figure 2). For this research, only the part of the
Meuse upstream of Borgharen (in the south-east of
the Netherlands, near Maastricht) is taken into account.
In total, there are 30 years of daily discharges meas-
ured at Borgharen, and daily area-averaged rainfall in
the area upstream of Borgharen. From these 30 years
of data, 6 years of rainfall and discharge data were

1.4 Research questions

The following research questions are addressed in
this paper: (1) Because of the stochastic nature of the
initialization and training process, how should the
forecasting performance be evaluated statistically? (2)
What is the appropriate structure of an ANN-based
model for flow forecasting? (3) As a remedy to over-
fitting, how can weight decay improve the generaliza-
tion capability of ANNs for flow forecasting? (4) For
a certain training algorithm, how many training epochs
are appropriate, beyond which further training is dele-
terious? (5) Which one is more influential on improv-
ing flow forecasting performance: an appropriate
model structure, applying weight decay or early stop-
ping in training?

1.5 Research approach and outline of this paper

The remainder of this paper is arranged according to
the logic of applying an ANN model. In Section 2, the
physical conditions of the studied area are introduced;
followed by a description of the data that are selected
for training, validation and testing purposes and a
description of how this selection is made. In Section 3,
a prototype ANN model is constructed, and applied
for flow forecasting. In Section 4, the appropriate
model complexity is studied with regard to its influence
on the flow forecasting performance. After determining
the appropriate model structure, the appropriate train-
ing method is investigated in Section 5 and 6. Here,
two methods to prevent overfitting are considered:
weight decay (in Section 5) and training the network
with an appropriate number of epochs (in Section 6).
For all the methods used, the networks are trained mul-
tiple times, so that not only the mean values but also
the standard deviations of the network performances Figure 2. The Meuse River basin (Berger, 1992).

757

Figure 3. The selection of data for training, validation and
testing. The 6 years labelled ‘wet’, ‘normal’ and ‘dry’ are used
for training.
used to train the network. The selected 6 years are
representative for wet (1988, 1995), normal (1989,
1997) and dry (1976, 1996) years. They were selected
based on the 30 years’ Annual Mean Discharge
(AMD) shown in Figure 3. Two years with a high AMD
were selected to be representative for wet years. Two
years with the lowest AMD were selected as represen-
tative for dry years, and two years with an AMD in
between these values were selected as normal years.
Data from the year 1998 were used for validation;
data from 1999 were used for testing.
When selecting training data sets, years close to the
validation and test years are preferred. This is because
the physical conditions of the basin may have been
changed between training, validation and test years, and
this change may influence the training, validation and
test results. The idea behind this data selection scheme
is to try and include all possible input-output situations
in as few as possible data for training. All selected data
are pre-processed by normalizing the inputs and outputs
so that they fall in the interval [
1, 1] before they are
used for training, validation or testing purposes.
3 PROTOTYPE MODEL
There are three fundamentally different classes of
ANN architecture: single-layer feed-forward networks,
multi-layer feed-forward (MLFF), and recurrent net-
works (Haykin, 1999). The network architecture of
the ANNs used in this study is MLFF. MLFF was
chosen because theoretically, it is capable of approxi-
mating complicated nonlinear (differential and
bounded) functions to arbitrary accuracy (Funahashi,
1989; Hornik et al., 1989; Hornik, 1991). In practice,
a three-layer MLFF network that contains one input
layer (with no transfer function), one hidden layer with
nonlinear transfer functions, and one output layer with
linear transfer functions is usually sophisticated
enough to approximate any nonlinear function as long
758
as sufficient neurons in the hidden layer are available
(Haykin, 1999). The input layer does not change the
input information, but receives it and passes it to all
hidden neurons. Therefore, the basic configuration of
the model used is a three-layer MLFF network.
In this research, the modelling goal of ANNs is to
use daily rainfall and discharge data to forecast dis-
charges with a lead time of one day. So the type of out-
put variable is discharge, and correspondingly, there is
only one neuron in the output layer. There are two types
of input variables: rainfall and discharge. The number of
neurons in the input layer depends on how many days of
data prior to the forecasting will be used. This is checked
in Section 4, when the effect of the model complexity
on forecasting performance is investigated.
The transfer functions used in the hidden and output
neurons are different. The transfer function in the hid-
den neurons is a nonlinear function, i.e. a hyperbolic
tangent sigmoid function. The transfer function in the
output neurons is a linear function.
Before training the network, the parameters inside
the network have to be initialized. The initialization
process sets weights and biases to random values
between
1 and 1. Once the network weights and
biases have been initialized, the network is ready for
training. Training is the process of adjusting the
network parameters (weights and biases) in order to
enable the network to have its output match the observed
output (of the physical system) up to a degree deter-
mined by a certain error criterion. The training process
requires a set of inputs and outputs. During training,
the weights and biases of the network are iteratively
adjusted to minimize the network performance func-
tion, which is normally the Mean Square Error (MSE).
The training algorithm has to determine how to use
the gradient of the performance function to adjust the
weights and biases. The best-known method is the
back-propagation (BP) algorithm.
The simplest implementation of back-propagation
training updates the network weights and biases in the
direction in which the performance function decreases
most rapidly (that is, at the greatest negative gradient).
The disadvantage of the original version of the BP
algorithm is that its convergence process is very slow. In
order to increase the efficiency of the training process,
many new training algorithms have been developed. The
one used in this research is the so-called Levenberg-
Marquardt (LM) algorithm (Hagan et al., 1996).
4 APPROPRIATE NUMBER OF NEURONS
IN INPUT AND HIDDEN LAYERS
In this research, an MLFF with 3 layers was set up for
one-day-ahead flow forecasting. This one-day-ahead
flow forecasting was accomplished under the assump-
tion that the flow observed at time t
Q(t)
can be
forecasted by using observed rainfall P(t
i) and
discharge Q(t
i) data from preceding days, accord-
ing to the general relationship:
(1)
where f is the assumed input-output function (or rela-
tionship), iq and ip are the number of past inputs and
outputs, respectively, contributing to the present out-
put, and e(t) is the unknown forecasting error.
The aim of this section is to determine the appro-
priate combinations of number of neurons in the input
and the hidden layers.
Two types of input, rainfall and discharge, are con-
sidered here, therefore, the minimum number of input
neurons is 2. The number of data from the past used
as input determines the total number of input neurons.
For example, if 5 days of rainfall and discharge data are
used as input, there will be 2  5  10 input neurons.
In this research, the number of input neurons is varied
from 2 to 20. The number of hidden neurons ranges
from 1 to 10. More tests showed that further increase
of the input (and hidden) neurons was not necessary,
because it would lead to a decrease in the forecasting
performance (measured with the Nash-Sutcliffe coef-
ficient (R2) and the Relative Mean Absolute Error
(RMAE)), which implied that the network was too
complex to generalize to the testing data set. The def-
initions of R2 and RMAE are given in Appendix.
For each number of input neurons and number of
hidden neurons, the network is trained and tested 40
times, so that not only the mean, but also the variations
of the forecasting performance indices (R2 and RMAE)
are obtained. Further research might be necessary to
determine how many times of this training and testing
process are necessary to reach a certain confidence
level of the results.
Each time, the training stops when the performance
function (MSE, the Mean Square Error between net-
work output and observed output) reaches 0.001. The
stop training criterion (MSE  0.001) was obtained by
trial and error, when the trained network generalizes
well to the testing data set. Then, the mean values of the
40 forecasting performance indices (R2 and RMAE)
are calculated to determine the effect of the network
complexity (the number of input and hidden neurons)
on the forecasting performance. Also, the standard
deviations of the 40 R2 and RMAE values are calcu-
lated to measure the uncertainty behind this relation-
ship. Figure 4 gives an overview of these results.
In general, most network structures perform well
in the sense that most R2 values are higher than 0.94,
and most RMAE values are lower than 0.15. There
is only one exception, i.e. the network with 6 input

Figure 4. Relationship between model complexity (numbers of input neurons and hidden neurons) and forecasting per-
formances (R2 and RMAE). N-input: number of neurons in input layer; N-hidden: number of neurons in hidden layer; Mean
R2: mean of R2 values (40 for each model structure); Mean RMAE: mean of RMAE values (40 for each model structure).

759
neurons and 9 hidden neurons, whose R2 value is as
low as 0.49. This is probably caused by the random
nature of the initialization and training processes of
the network.
Since so many network structures perform almost
equally well, it is difficult (if not impossible) to deter-
mine the optimal (or the best) one. In fact, a number
of network structures may be equally suitable for the
modelling objective. Therefore we choose to identify
the appropriate network structures based on the fol-
lowing procedure: (1) networks whose flow forecast-
ing performances are higher than a certain threshold
are chosen preliminarily, For now, we assume that an
R2 value of 0.98 is the determined threshold value;
(2) based on the preliminary choice, the one(s) with
simple structures are preferred.

Figure 5. Effects of training epochs and model complexity on forecasting performance. ‘N-neuron’ is the total number of
neurons in the network. ‘Mean-R2’ and ‘mean RMAE’ are the mean values of the two performance indices: Nash-Sutcliffe
coefficient R2 and Relative Mean Absolute Error RMAE. ‘Mean R2-train’ is the mean R2 value calculated from the training data
set; ‘mean R2-validation’ is the mean R2 value calculated from the validation data set; ‘mean R2-test’ is the mean R2 value cal-
culated from the testing data set. The same idea applies to ‘mean RMAE-train’, ‘mean RMAE-validation’ and ‘mean RMAE-test’.

760
 Based on the above mentioned first threshold, there During the initial stage, the error on the validation data
are 5 network structures whose R2 values are higher set will decrease too. When overfitting occurs, the
than 0.98. They are networks with 4, 6 and 8 input training error will continue to decrease, but the valida-
neurons combined with 2 or 3 hidden neurons. By tion error will start to increase. This point of change is
applying the second threshold, the network with a struc- a signal that the network starts to overfit. Therefore, as
ture of 4-2-1 is selected as the appropriate network. soon as the validation error starts to increase, the train-
Note that the appropriate training method has not yet ing of the network should stop. The aim of this section
been considered so far in determining the appropriate is to determine the effect of the number of training
network. epochs on the forecasting performance. In addition to
the training and validation data sets, a testing data set
is used to test the final performance of the network.
5 APPROPRIATE NUMBER OF TRAINING Searching for an appropriate number of training
EPOCHS epochs has to be done in combination with consider-
ation of the network complexity. Therefore, the effect
Training a network for an appropriate number of epochs of varying training epochs on forecasting performance
is another way to improve generalization of the network. is investigated in conjunction with varying model
The idea is to stop training just before the network starts complexity, in terms of varying the total number of
to overfit the training data set. In order to find the appro- neurons. The number of training epochs ranges from
priate point at which to stop training, in addition to the 1 to 25. The network complexity is changed in a same
training data set, another data set is used to monitor the way as that in the previous section (Section 4). Here,
network’s generalization ability to unknown data: the no weight decay is applied. Therefore, the perform-
validation data set. During the training process, the error ance function is MSE (or the value of  is set to be 1)
on the training data set generally decreases continuously. For each network structure, the training is repeated 10

4neuros

7neuros

10neuros

13neuros

16neuros

19neuros

2neuros

25neuros

28neuros
1 1 1
31neuros
0.6 0.6 0.6
1 5 9 13 17 21 25 1 5 9 13 17 21 25 1 5 9 13 17 21 25
trainepoch trainepoch trainepoch
meanR2-ts
meanR2-tri

meanR2-vlidto

Figure 6. Two-dimensional plots obtained from Figure 5. R2 values vs. number of training epochs for different network com-
plexities. (a) mean R2 values for the training data set; (b) mean R2 values for the validation data set; (c) mean R2 values for the
testing data set.

761
times so as to obtain the mean of the model perform- R2 values on the training set (Figure 6(a)) continue to
ance (mean R2 and mean RMAE). The effects of the increase, while they show a dip on the validation set
training epochs and the model complexity on the (Figure 6(b)). The dips in the mean R2 values can also
forecasting performance are shown in Figure 5. be observed in Figure 6(c), where the performance of
In Figure 5, there are abnormally large (absolute) the networks for the testing data set is presented.
values of R2 and RMAE created from too simple net- There are exceptions to these mean R2 value ‘dips’.
work structures (with too few neurons). In order to For example, for the network with 13 neurons (an
exclude the influence of these large (absolute) values, 8-4-1 network), there is no mean R2 value dip in the
two-dimensional plots are drawn from Figure 5 and validation data set (Figure 6(b)), and hardly any in
shown in Figures 6 and 7. The R2 values shown are in testing data set (Figure 6(c)). Similar phenomena can
the range from 0.6 to 1 and RMAE values in the range be observed for the networks with 10 neurons. In gen-
0.1 to 0.3. eral, the more complex the networks are, the more dips
Figure 6 shows that for an increasing number of appear in their performance plots. Too simple net-
training epochs, the mean R2 values for the training works do not perform well (e.g. 2-1-1 network). This
data set increase continuously for almost all network implies that networks with ‘moderate’ complexity are
structures. The only exception is the first one, which is complex enough to be able to generalize and much
a 2-1-1 network. This network is too simple, leading less vulnerable to be overfitted (than more complex
to underfitting. For the validation data set, the mean ones). For networks that are more complex than the
R2 values increase at the initial stage of the training 8-4-1 network holds that the more complex they are,
for all model structures, a being shown in Figure 6(b). the easier it is for them to be over-trained, resulting in
After a while, the mean R2 values of most model overfitting and smaller generalization capabilities.
structures show one (or more) ‘dips’. These dips indi- Figure 7 reveals the effect of the number of training
cate the occurrence of overfitting because the mean epochs on the mean RMAE values of the training, the

4n eu ro n s

7n eu ro n s

10n eu ro n s

13n eu ro n s

16n eu ro n s

19n eu ro n s

2n eu ro n s

25n eu ro n s
io n

28n eu ro n s
M A E - t r ai n

M A E - t e st
i dat

0. 3 31n eu ro n s 0. 3 0. 3
M A E - val

0. 1 0. 1 0. 1
1 5 9 13 17 21 25 1 5 9 13 17 21 25 1 5 9 13 17 21 25
t r a i n epoch t r a i n epoch t r ia e n p o c h
m e a nR
m e a nR

m e a nR

Figure 7. Two-dimensional plots obtained from Figure 5. RMAE values vs. number of training epochs for different model
complexities. (a) Mean RMAE values for the training data set; (b) mean RMAE values for the validation data set; (c) mean
RMAE values for the testing data set.

762
validation and the testing data sets. Similar to the
mean R2 values, the mean RMAE values for the
training data set decrease continuously for an increas-
ing number of training epochs. There are some distur-
bances on the mean RMAE values in the testing data
set (Figure 7(c)) when the model becomes more and
more complex (for a total number of neurons equal to
22, 25, 28 and 31).
According to the results shown in Figures 6 and 7, an
8-4-1 network (total number of neurons equal to 13) is
selected as the appropriate network structure. The num-
ber of training epochs should be equal to or higher than
11 with MSE as its training performance function.
Networks simpler than an 8-4-1network will lead to
underfitting. The simpler the structure, the more likely
underfitting is to happen. For the 4-2-1 network
(7 neurons) and the 6-3-1 network (10 neurons), the
number of training epochs should be equal to or higher
than 13 to obtain a good forecasting performance. A too
simple network (2-1-1) should not be used for its bad
performance shown in Figures 6 and 7. Networks more
complex than 8-4-1 will gradually lead to overfitting.
More complex network will be overfitted earlier. For
networks more complex than 8-4-1, a good perform-
ance can still be obtained if the number of training
epochs is chosen carefully. According to Figures 6 and
7, a number of training epochs ranging from 8 to 11
results in good forecasting performance for these com-
plex networks.
In Section 4, the 4-2-1 network was selected as the
appropriate network structure under the condition that
the effect of the training method on the network
performance was not yet considered. Here, the 8-4-1
network is selected as the final appropriate network
structure after an investigation of the combined effect of
both network structure and training method on the net-
work performance. According to the results presented in
this section, both network structure and training method
influence the network performance and they are mutu-
ally related. Therefore, they should be considered in
combination with each other.
6 CONCLUSIONS
– Because of the random nature of the initialization, the
network performance should be evaluated statisti-
cally. This can be done by training and testing the
networks multiple times. This yields not only the
means, but also the standard deviations of the per-
formance indices (R2 and RMAE). The latter gives
an indication of the uncertainties in the perform-
ance indices.
– Networks with moderate complexity (e.g. a network
with an 8-4-1 structure) are robust in the sense that
they are much less vulnerable to being overfitted
(than both too complex ones and too simple ones).
763
– The values of parameters can compensate for the
network complexity. For a simple network, weight
decay is not a useful method to improve the net-
work’s generalization ability. For a complex net-
work, weight decay can help to prevent overfitting, by
compensating the negative influence of a greater
network complexity on the network performance.
– The appropriate number of training epochs is closely
related to the network complexity. For the case
studied here an 8-4-1 network trained for at least
11 epochs was identified as an appropriate net-
work (with LM training algorithm, and no weight
decaying being applied). Networks simpler than
8-4-1 should be trained more than 13 epochs. For
networks more complex than 8-4-1, the appropriate
number of training epochs ranges between 8 and 11.
– The network structure (or complexity) has the
largest influence on the flow forecasting perform-
ance. The influence of the number of training
epochs is somewhat smaller, and weight decay has
the smallest influence on the flow forecasting per-
formance.
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 ts
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Contribution of the space imagery in the study of the receiving

mediums of urban worn water. Catchment area of Wadi El Maleh

Bentekhici Nadjla
National Center of Spaces Technices, Algeria

ABSTRACT: The space imagery present of the strategic mines information that is for the decision makers or the
researchers. The control of processing and interpretation of these data offer considerable possibilities in the
exploitation of knowledge of the physical environment. This work was elaborate in order to include understand and
to give an analysis on these methods of treatment making it possible to characterize the surface water run-off in a
catchment area. It is a question during this study of giving and of making a whole characterization of the hydro-
graphic network of an area catchment by the use of a GIS. This characterization was carried out in an entirely auto-
matic way, in order to carry a new technology to delimit the drained surfaces. So the principal objective of the use
of these new applications is the actualization of the hydrographic network as well as a delimitation of the surfaces
to drain to expose to a contamination by worn water. In the area of Ain Témouchent, among the basins slopes exist-
ing we chose that of wadi el maleh, this for the following reasons: It under catchment area is a receiving medium
of urban worn water, waste water of the economic units social established in the industrial park of Ain Témouchent.

1 INTRODUCTION It should be noted also that this study is based on

the planimetric characteristics of the catchment area
During these last years, the use of the GIS took a great of interest, of which they are obtained starting from a
importance in all the fields, this new technology to geographical request. This work has a second shutter
date became a tool of information of decision-making including/understanding the positioning of the point
aid, it will give powerful results. of the waste water discharges as well as the generated
Space characterizations of a catchment area to be impact.
automatic with an aim of obtaining drained correct
results for the determination of the surfaces on the
one hand and the space localization of the outlets of
3 METHODOLOGY OF WORK
worn water on the other hand.
The latter became principal causes of contamina-
The method used in the present study was based on the
tion and surface water pollution, as well as the harm-
actualization of the hydrographic network as well as
ful effects which can be generated, especially that the
the automatic extraction of the parameters characteriz-
problem of the water pollution starts to be posed in
ing the catchment area from the point of view forms.
our country, owing to the fact that many communes
This methodology comprises a whole exposed flow
are deprived of stations of purification of used water,
chart appears in Figure 1.
thus involving the excessive contamination of surface
and underground waters.
To this end, the use of this data base became as
being a bottom for the cartography because of interest 4 CHOICE OF THE CATCHMENT AREA OF
which it carries, it is very considerable for the actual- WADI EL MALEH
ization of the hydrographic network.
With an aim of applying this approach, we chose the
area of the wadi El Maleh, several points us in led to
2 OBJECTIVE OF WORK
choose this area the following:
It generally consists in working out an update of the 1. It is a tourist area by its moderate climate and its
hydrographic network knowing that this last presents the balneal center,
receiving medium of urban and industrial worn water. 2. Zone at the strong seismic risk,

765

Figure 1. Method of the study.
Figure 2. Localisation of the catchment area of Wadi El
Maleh.
3. Région at the risk of rising,
4. Industrial and agricultural région,
5. Région with strong density of population,
The studied catchment area is in the Algérien(figure
North-West 1), that is to say roughly between (1°9 chart de1960, on the Landsat image taken in 2002.
24 and 1°26 17 W) of longitude and between
35°17 22 and 35°16 37 N) of latitude.
It is delimited by the Mediterranean in North, the
Mountains of the Tellian Atlas (Mounts of Berkeches)
in the south, the mountains of the Tellian Atlas
(Mounts of Sbaa el Chiokh) in the western South,
Monts of Tessala in the South East, the plain of Mlata
in the East and the basin of ouled el kihel in the West.
On the administrative level, the basin of the wadi
El Maleh extends mainly on the area from Ain
Témouchent; It thus gathers the wilaya of Ain
Témouchent containing 14 communes.
766
Figure 3. Localization administrative of the catchment
area of wadi El Maleh.
5 DATA USED
The cartographic data hold a great place with each
stage of this study. So we used the following data:
• Topographic Charts with 1/25.000
• The image Landsat ETM  of May 19, 2002
• The image Landsat ETM  of the 12-02-2002
These data are treated and corrected geometrically
according to projection UTM 30 N Datum (WGS 84).
6 RESULTS
6.1 Digitalization of the hydrographic network
starting from the topographic charts
The classification of the rivers starting from the
image raises difficulties for orders 1 and 2, for that we
were brought to digitized the hairy hydrographic one
starting from a topographic chart (1/25.000) which
will be useful to us besides with his actualization.
6.2 Actualization of the hydrographic network
starting from the images
Actualization was done by superimposing the hairy
hydrographic one, traced starting from the topographic
This will enable us to determine in a quasi auto-
matic way a whole series of planimetric and morpho-
metric criteria characterizing the catchment area.
6.3 Determination of the planimetric parameters of
the catchment area
The new techniques of geographical information
facilitated the clothes industry of this study to us and
where the automatic extraction of all the planimetric
parameters became thereafter an operation of fol-
lowed and of analysis of a catchment area.

Figure 4. Extraction of the hydrographic network starting
from the space imagery Landsat, 2002.
Table 1. Automatic extraction of the parameters of the
shape of the catchment area of wadi El Maleh.
Table 2. Automatic extraction of the density of drainage of
the catchment area of wadi El Maleh.
The purpose of the use of the various parameters
morphometric is the evaluation of the characteristics
of the physical environment of a catchment area.
6.3.1 The perimeter and surface
From a geographical request by the use of language
SQL, the perimeter and the surface of the catchment
area of wadi el maleh were given according to table 1.
6.3.2 Density of drainage
It makes it possible to determine the hairy hydro-
graphic one, and is used primarily within the frame-
work of the studies of the risings.
The density of drainage is obtained by the relation-
ship between the length of the rivers and surface of
the catchment area.
The density of drainage increases with the imper-
meability of the ground, and the charge of the relief.
The values of the density of drainage of under
areas catchment of the zone of study are low, which
767
Table 3. Automatic extraction of the parameter of form,
and coefficient of torrentiality.
Figure 5. Density of drainage of under catchment area of
the wadi El Maleh.
translates that the catchment whole of the areas have
a permeable geological formation.
So we noted the possibility of infiltration of the
water used in the aquifers, as well as an easy contam-
ination of the latter.
6.4 Interest of the characteristics of the Area
catchment in the study of the outlet of
worn water
The catchment area of the wadi El Maleh represents
the receiving medium of urban worn water of 10 city
of a population of 158709 inhabitants as well as waste
water of the industrial park of Ain Témouchent, and
more exactly of the manufacturing unit of Enad-henkel
detergents.
This wadi whose rejection is forwarded to the sea,
is one of the factors degrading of the marine environ-
ment, its mouth is done with the beach of Terga.
We have to identify10 outlet, whose among the lat-
ter only the rejections of the town of Ain Témouchent
which are the subject of a treatment by language.
Three outlet on the level of under area catchment
of the Sennane wadi, 1 point on the level of under
catchment area of Chaabet el Ham, 5 on the level of
under catchment area of Berkeche wadi and one on
the level of under catchment area of the Tonnit wadi.
The use of the actualization of the hydrographic
network enabled us to position the 10 outlets of urban
and industrial worn water on the basin in question.
Figure 6. Index of vegetation (NDVI) de l’image Landsat
ETM.
Figure 7. Delimitation of the surfaces drained contami-
nated by urban worn water in the catchment area of wadi El
Maleh.
From the index of the density of drainage (Dd), one
specifies that under basin of the wadi Berkeche is of the
highest density, one can say that more the density is
high plus the basin is well drained, which thus increases
its contamination by urban and industrial water.
This contamination leads to harmful consequences
on the environment in particular the vegetation, this is
quite visible on the image of Landsat Etm  by apply-
ing the standardized index of vegetation (NDVI).
We noted a vegetation of very low density or a
flora almost died in the site of the receiving medium
of worn water of the commune of Ain Témouchent and
the agglomeration of Sidi Ben Adda to see figure 6.
From the positioning of the outlet and the impact
generated on the environment it is possible to identify
the surfaces drained exposed with a contamination by
the daily discharge of worn water and to possibly cure
consequently it (see figure 7).
We considered the overall length of the rivers con-
taminated by urban worn water which is of 107,9 km
over an overall length of the river of the catchment
768
Figure 8. Analyses physicochemical on some taking away
close to the outlets in the wadi El Maleh.
Figure 9. Analyses detailed of the parameters polluting:
Nitrate, Chloride and dry residue in the taking away of wadi
El Maleh.
area of wadi El Maleh which is of 1162 km, which
gives a percentage of 9.2%.
We took some analyses made by laboratory AFAG,
on the level of various taking away, these results pre-
sented in the figure 8, show high percentages of dry
residue, chloride and sodium exceeding the standard,
indeed, these quantity high comes primarily from the
urban worn water discharges.
We noted 47 mg/l nitrate on the level of the item
X:162970, Y:228350 according to co-ordinates’lambert.
Contents exceeding the standards 250 mg/l chlo-
ride in all sampling of analysis.
7 CONCLUSION
In this study we could determine the contribution of
the satellite imagery as bases cartographic in the
update of the hydrographic network as well as the
positioning of the outlet of urban and industrial worn
water on under basin in question.
This leads us to determine the drained surfaces
likely to be to contaminate by the daily rejection of
the water used without any treatment the precondition
and of a rather significant volume.
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diffuse pollution of the rivers and the lakes 19th worms Is
of Canada of the ACQE.
Karim Traoré 2004: remote sensing like means of support to
the resource requirements planning out of water case of
the South–West of Burkina Faso Ministry for water,
regional Direction of hydraulics Burkina Faso.
769
Nadjla Bentekhici 2005: Pollution and environmental pro-
tection in the area of Ain Témouchent, Thesis of
Magistère University of Oran Es Senia, Algeria.
Chaponniere Anne 2005: Hydrological operation of a moun-
tainous area catchment semi arid case of the catchment
area of Rehraya (High Moroccan Atlas) Thesis of
Doctorate centers space study of the biosphere bets
grinon France.
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Itaipú Binacional Hydrometeorologic Control System

R.M. Almirón, A.P. do Nascimento, A. Garcete & J.M. Rivarola

Itaipú Binacional, Hernandarias, Paraguay

ABSTRACT: Hydrology and Meteorology are essential for hydropower generation, because water inflow to
reservoirs is the main resource. An inflow forecast for the next days is absolutly necessary so the power genera-
tion could be efficent and real time supervision directly support to obtain a maximun benefit from water resources.
With this two main goals, the Itaipú Binacional has decided to develop his Hydrometeorologic Control System.

1 INTRODUCTION 2 FORECAST AND SUPERVISION

Itaipú Binacional is a Paraguay and Brazil enterprise
created for the construction and operation of the Itaipú
Hydroelectric Power dam, actually the biggest in the
world with 18 turbines reaching 12.600 Mw of installed
capacity. With two newer ones, now being installed, its
capacity will grow up to 14.000 Mw.
Itaipú dam is located over the Paraná river, in the
reach between Paraguay and Brazil, near Hernandarias
(Paraguay) and Foz de Iguazú (Brazil). Its drainage area
have 820.000 km2, 70% belongs to its upper basin
strongly developed with more than 30 hydrolectric
power dams of the South East Brazilian Energy
System and the 30% rest, between Jupiá, Rosana and
Itaipú dams, in the middle basin, in natural condition,
named as incremental basin.
The area for hydrometeorological supervision is
exactly this incremental area, with an area between
Itaipú and a measure station named R11 downstream
from the dam, measuring together 235.000 km2.
The rivers Ivaí, Piquirí and Iguazú in Brazil and
Acaray Monday in Paraguay belong to this Itaipú
interest area.
Is evident that a precise forecast and suitable supervi-
sion are essential for hydropower generation efficiency
and benefits maximizing. The Hydrology and Energy
Studies Division (OPSH.DT) is responsible for the
definition of the metodologies to be used to forecast
flows and levels and to supervise the natural events
influencing the operation of the Itaipú dam.
3 HYDROMETEOROLOGIC CONTROL
SYSTEM
The named División is dedicated to develop of a new
Hydometeorologic Control System (HCS). This new
system is based in comercial softwares and other ones
internally developed in Itaipú. The HCS is composed
essentialy by the following modules:

Figure 1. Itaipú hydroelectric power dam. Figure 2. Geografic location of Itaipú dam.

771
3.1 Collect data system Processing Station. This system is in normal use since
2003.
All the process begins with the collect data from
hydrology stations, rivers level measure stations and
3.1.2 Data formatting
meteorological stations, to obtain rainfall, level, tem-
Data will be treated with a formatting process by a pro-
perature, wind and other data.
gram called Conversor, that hourly transform the orig-
This data are collected by remote sensors and
inal format data received from other organizations or
transmited automatically by satellite communication
systems to the format established for the data bases used
system to a Gateway Earth Station (GES) and Internet
by Itaipú.
from a Operation and Control Station (GCC) at Rio
de Janeiro, Brazil. Also by Internet are collected data
3.1.3 Data bases
from other providers as SIMEPAR, DINAC, COPEL,
In the last step of the collect data procedure this data
ANA, CNOS. Itaipú had signed formal agreement
is stored in a data base called HYMOS.
with those organizations to receive data regularly
In the actual stage of development, two data bases
from them. Other additional data are received by tele-
are always being updated: GDH (Hydrolgic Data
phone and radio directly connected with the stations
Managment) developed by Itaipú in DOS enviroment
operators. Data about meteorologic systems are col-
and the HYMOS data base, purchased from WLDELFT
lected too like satellite images, rainfall radar and
HYDRAULICS, by its characteristics: network and
storm lightning data. (Figure 3).
multiuser capabilities, graphic enviroment, georefer-
ence and a lot of processing algorithms to treat hydro-
3.1.1 Hydrologic telemetric system
meteorologic data (Figure 6).
Developed by Itaipú, based in a detailed study where
were analyzed every aspects of the components sys-
tems: sensors, remote processing, energy supply, trans-
mition and central processing system. Among this
systems an important one is the satellite transmition
system based on ORBCOMM system, with a Gateway
Earth Station on Itaboraí, Brazil, where the data is
received from a constalation of low earth orbite satel-
lites and then sended by Internet to the Itaipú Central

Figure 5. Data automaticaly imported.

Figure 3. Meteorological products.

Figure 4. STH general layout. Figure 6. HYMOS data base.

772
3.1.4 Checking data
Data, during the automatized process, are checked by
verifying maximum accepted limits, maximum varia-
tions by time unit and comparisons with same kind of
variables from neighbor stations. Data will be used only
after this cheking process is over.
The advices from the Itaipú Alert System are truly
important to prevent effects of high flows over the
nearby lands.
5 HYDROLOGIC FORECAST

The weather forecast from various specialized organi-

4 HYDROMETEOROLOGIC SUPERVISION zations defined the actual hidrologic and meteorologic
situation and a estimation of this situation in a near
The just passed hydrologic and actual meteorologic future. With such data, the available hydrologic models,
situations are analyzed jointly, so all the received infor- could forecast the flow each river will contribute to the
mation could be validated by the Supervision process, Itaipú reservoir. There are the following calibrated mod-
by making possible to follow the meteorologic and els available for the interest area in between the Porto
hydrologic processes being developed in such a way Primavera, Rosana and Itaipú Hydropower Dams, in
that corrective measure could be assumed to maintain the upper reach, and the Carlos Antonio López station
the daily and future operation inside practical limits. on the Paraná river, located 120 km downstream from
Itaipú. Over the Iguazú river the interest reach begins
4.1 Meteorologic supervision with the Salto Caxías Dam. (Figure 9).
This process is acomplished using products elaborated
by Simepar and Dinac. The Sistema Meteorológico de
Paraná (Simepar), Brazilian institution, produces mete-
orologic informations publicized in a Web page made to
assist Itaipú Binacional in its data necessities. Numeric
forecast are visualized by the system named METVIS,
software developed by Simepar (Figure 7)
The Dirección Nacional de Aeronáutica Civil
(Dinac) paraguayan institution, provides every data
about its surface network stations and Meteorologic
World Organization (MWO) network.

4.2 Hydrologic supervision

This task consists in review (Figure 8) the state of
flows and levels of every one of the hydrology sta-
tions order by branch river of the Paraná and Iguazú
rivers. So, it is possible, for instance, to know the
moment when the flow waves begins in anyone of the Figure 8. Hydrologic supervision.
five branches of our influence area and in the Paraná
and Iguazú rivers, permiting to forecast the arrive of
such water volumes to the Itaipú reservoir and down-
stream too so can be taken the proper actions to pre-
vent its effects on people and properties.

Figure 7. Meteorologic supervision. Figure 9. Interest area model topology.

773
5.1 Sacramento model
This model simulates a basin considering its storages
and other components such as is illustrated in (Figure
10). This model could run with hourly and daily steps.
It runs inside the HYMOS environment.
5.2 Simpreva
This is an environment where various models resides
making feasible to calculate flows from observed and
forecast precipitation data. The hydrologic models
available are: Preca based on Soil Conservation
Service metodology that use the Curve Number to
defining surface characteristics and the relationship
between rainfall and runoff. This model permits to
compute the surface and groundwater flows compo-
nents of the total flow in an exit section of a drainage
area. Such a model was calibrated for all the interest
area (Figure 9). SMAP is very similar to that already
described whit the advantage of less parameters
needed to calculate flows from rainfall input. Avoids
the use of the CN. Stochastic models that take into
account the characteristics of the time series being
studied permiting to forecast based on observed past
Figure 10. Sacramento model representation.
Figure 11. Upstream flow network.
774
values of the variable being computed. So the fore-
casted flows consider the trend of this variable. The
models used are the ARIMA type, Autoregressive
Integrated Moving Average.
6 HYDRAULIC FORECAST
Defined the flow contribution from the drainage area,
water translation movement must be computed calcu-
lating the time water will spend to reach the Itaipú
reservoir and to be available to energy generation.
Downstream from Itaipú the influence of the Iguazú
river is important affecting the Itaipú tailwater and the
head available to generate energy. These computations
are accomplished by using the following models:
6.1 Sobek model
Hydrodynamic unidimensional, model from WL/-
DELFT HYDRAULICS, calibrated to operate in the
two following reaches of the Paraná river: upstream
reach from Porto Primavera and Rosana Dams to Itaipú
Dam including the main five branches: Ivaí, Piquirí,
Ivinhema, Amambaí and Iguatemí rivers and the down-
stream reach from Itaipú Dam, on the Paraná river and
the Salto Caxias Dam on the Iguazú river to Carlos
Antonio López station (Figure 11). This model could
work with a daily or hourly step.
6.2 Cliv model
Cliv stands for “Conductos libres” (free pipes) and is
hydrodynamic model develop by the Centro Tecno-
lógico de Hidráulica of the Universidad de Sao Paulo,
Brazil. It runs in Windows and can be configured to a
specific river network. Recently have been updated and
adapted to run in an automatic mode for both uprelated
reaches (Figure 12).
Figure 12. Cliv.
6.3 Simpreva
This is a computational environment where are avail-
able two propagation models: Simplified kinematic
wave calibrated for the interest area as is indicated in
Figure 9. Coupled with PreCa, was used to design the
minimum operational stations network of the Hydro-
meteorology Telemetric System (HTS) of Itaipú and the
Muskingum method model, working and operational
to simulate as well as forecast with daily step.
7 PRESENTATION OF OUTPUTS
The results of all these computing tools produce a
great volume of information data to be analyzed by
the users so they need an interface to order the infor-
mation to make right operational decisions consider-
ing the economic importance of such determinations.
Due to this, two types of presentation systems were
developed.
7.1 Integrator
It makes available a comparative analysis and a deci-
sion make with the final computation decided by the
Figure 13. Integrador display.
Figure 14. Outputs in spreadsheets and graphics.
775
user. As the system presents the computations results
by reach, the user could define with his feeling the
values to be used in each case. This software presents
the Simpreva System results (Figure 13).
7.2 Output management
It makes available by means of spreadsheets and
graphics means all the related information about the
outputs making easy to analyze them in a contextual
detailed aspect (Figure 14).
8 INTERACTIONS
8.1 Energetic program
Once defined the future water availabilty, this is com-
pared with the energy markets needs and other energy
production sources to define finally the Itaipú gener-
ation schedule.
9 CONCLUSIONS
This system will give a great improve to Itaipú hydro-
electric energy production operation by means of the
efficiency and confidence the reliable data will be
available to the users, flexibleness and easy of use of
this data to obtain reliable information to make certain
decisions obtaining maximum benefits of the energy
production. The same system still permits to supervise
hydrology and meteorology phenomena so dam security
could be assure as well as the neighborhood safety.
REFERENCES
GCAP & THEMAG, 1998. Red mínima operacional.
GCAP & THEMAG, 1997. Sistema de Telemetría Hidrome-
teorológica.
GCAP & THEMAG, 1998. Modelo Hidrodinámico aplicado
al rio Paraná.
Itaipú Binacional, 2000. Calibración de los modelos Sacra-
mento y Sobek en la zona de interés de Itaipú.
CTH/Itaipú, 1995. Calibración del modelo CLIV en la zona
de Itaipú.
Itaipú Binacional, 2002. Definición de redes y carga de datos
en el HYMOS.
WL/Delft Hydraulics, 2002. Algoritmos de lectura y grabación
en el HYMOS.
GCAP & THEMAG, 1999. Curvas de descarga del área de
influencia de Itaipú.
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Soil water balance model of a grass-covered clay slope in England

Li Gang
Yangtze River Scientific Research Institute, Wuhan, Hubei, China

Derek Clarke
University of Southampton, Southampton, UK

ABSTRACT: To study the influence of vegetation on soil moisture, a grass-covered cutting slope at Newbury,
England was chosen as research site. Meteorological stations were installed to measure climate data. A large
number of instruments were installed to measure soil suction, pore pressure and soil moisture.Climate data was
used to calculate potential evapotranspiration with FAO Penman-Monteith Equation and the soil water balance
model was developed and calibrated. Annual moisture change was 14.1%, and soil moisture was below readily
available water in July 2004. The maximum capillary velocity is 0.038 mm/day. The model with root depth 800 mm,
depletion 0.6, crop factor 1.08 and porosity 18% can simulate actual situation accurately and the result is consistent
with Time Domain Reflectrometry. The climate impact under 2080s’ climate scenarios was simulated with the
model. Daily average potential evapotranspiration will increase by 10.7% and soil moisture deficit will increase
by 16.8 mm in 2080.

1 INTRODUCTION
Vegetation affects soil slope stability significantly. On
the one hand, the roots of plants serve as slope soil rein-
forcement directly because of its mechanical proper-
ties; on the other hand, vegetation also influences slope
stability indirectly through its effect to soil moisture
regime (Morgan et al. 1995).
To study vegetation’s effects on soil moisture, many
studies have been carried out, including site tests, num-
erical models and physical models, such as Penman
Equation, Penman-Monteith Equation, Thornthwaite
model, evaporation pan, energy budget method and soil
water balance model etc. Soil water balance models are
especially important in hydrological analysis. They can
be used in the prediction of flood, simulation of the
effect of climate changes and irrigation management.
Although soil water balance model has been studied
for a long time, but most studies of water exchange
between the unsaturated zone and the atmosphere
focused on understanding soil moisture variations and
their effects on atmosphere boundary layer processes
affecting weather and climate.
In this paper, the principle and process of construct-
ing a full water balance model on a grass-covered clay
slope in England was introduced. The authors also give
a brief introduction about the application of the model.
2 CONSTRUCTING THE WATER BALANCE
MODEL
2.1 Main components of the water balance model
2.1.1 Evapotranspiration
Evapotranspiration is the most important element in the
water balance model. Evapotranspiration is the com-
bination of evaporation and transpiration. Evaporation
describes the process that liquid water is converted to
water vapour and removed from the evaporating sur-
face. Transpiration consists of the vaporization of liquid
water contained in plant tissues and the vapour removal
to the atmosphere.
Measurements of actual evapotranspiration (AE) can
only be achieved by time and labor-consuming meth-
ods. Hence the concept of potential evapotranspiration
(PE) is introduced. It is used to express the evapotran-
spiration of plants that are not short of water. For a given
site and plant at the same stage, PE is determined only
by climate condition. To facilitate the calculation of PE
of different plants, a standard plant was defined as ref-
erence. PE of this reference plant is called Reference
Crop Evapotranspiration, noted as ET0. It refers to the
evapotranspiration of a short green grass (like alfalfa)
totally covering the surface of the ground and it is not
short of water.

777
 There are many models to estimate ET0, such as
purely empirical model, the Blaney-Criddle, radiation,
modified Penman, pan evaporation methods and
Penman- Monteith Equation. In 1990, the Food and
Agriculture Organization (FAO) compared different
models and developed Penman-Monteith Equation to
FAO Penman-Monteith Equation by defining a “hypo-
thetical reference crop” (Allen et al. 1998). This equa-
tion is found giving more accurate results in worldwide
conditions than others and was recommended by FAO
as the only equation to calculate ET0.
FAO Penman-Monteith Equation can be written as:
(1)
where ET0  reference evapotranspiration in mm/day;
Rn  net radiation at the crop surface in MJ/m2 day;
G  soil heat flux density in MJ/m2 day; T  mean
daily air temperature at 2 m height in °C; U2  wind
speed at 2 m height in m/s; es  saturation vapour pres-
sure in kPa; ea  actual vapour pressure in kPa;
 rated soil, k depends on soil moisture, which in turn is
slope vapour pressure curve in kPa/°C;   psychro-
metric constant in kPa/°C.
In this equation, it assumes the reference crop as a
hypothetical crop with height of 0.12 m having a sur-
face resistance of 70 m/s and an albedo of 0.23, closely
resembling the evaporation of an extension surface of
green grass of uniform height, actively growing and
adequately watered (Allen et al. 1998).
PE is then calculated from:
(2)
where Kc is crop factor. Different plants have different
Kc and the same plant may have different Kc in differ-
ent growth stages.
AE is a function of PE depending on soil moisture
is above readily available water (RAW) or not. If soil
moisture is above RAW, AE equals to PE. Otherwise,
AE falls below the potential rate in proportion to the
ratio of non-readily available water.
2.1.2 Infiltration and percolation
Water recharging the saturated zone must first traverse
the unsaturated zone as infiltration and percolation.
Infiltration rate is the sum of percolation and water
entering storage above the groundwater table. It is
dependent on soil type and duration of rain. Vegetation
has significant effect on infiltration rate. The dense root
systems which provide ingress to the subsoil, the layer
of organic debris which forms a sponge-like surface,
opening up ways by burrowing animals and insects and
the cover that can prevent being compacted, tend to help
the infiltration process (Wilson 1990). Decayed roots
and tension cracks provide rapid passage for infiltration.
778
2.1.3 Capillary
Capillary is the process that upper layer soil achieves
water from deep saturated zone. Capillary rise may
occur over a large vertical range of the unsaturated
zone, so it is necessary to consider the effect of water
table, pore pressure and suction gradient generated by
evapotranspiration of vegetation.
Unfortunately, capillary is quite difficult to quantify
by monitoring directly because of the spatial variation
of soil. Some indirect approaches to measure the influ-
ence of capillary include measurements of soil-water
pressure head by tensiometer and electrical resistance
blocks.
In unsaturated soil, the flow of water can be
described by the Darcy’ Law similar to saturated soil
(Charles et al. 2000):
(3)
where  is velocity,  is the moisture potential and z is
the direction. k is capillary conductivity. For unsatu-
related by the soil moisture characteristic to the suction.
2.1.4 Rainfall
Rainfall is the most important input in the water balance
model. Data are readily available but may have signif-
icant variations in adjacent areas. To establish a water
balance model in field-scale, the best approach is to set
rain gauge locally rather than borrow it from meteor-
ological stations especially for maritime climate, like
England.
2.1.5 Runoff
When intensity of rainfall exceeds the rate of infiltra-
tion or accumulative water exceeds the capacity of
depression storage and surface detention, runoff will
happen. Slopes have different behavior in infiltration
and overland runoff after heavy rain. The amount of
water infiltrated into soil in slope is less than that of
flat ground. Runoff is thus necessary to be deducted.
2.2 Process of constructing water balance model
To establish a water balance model, the main steps are
listed below.
(1) Calculate total available water (TAW) and readily
available water (RAW). TAW and RAW indicate
the upper limit and lower limit of soil moisture,
within which plants’ growth is not stressed.
(4)
(5)
 Porosity can be obtained from laboratory test
of soil core. It stands for the capacity that soil can
hold water against gravity. Depletion of various
crops is determined by crop types and different
stages.
(2) Set a start value of soil moisture deficit (SMD).
SMD is defined as the positive down from field
capacity. The start SMD can be determined accord-
ing to site observed data, such as neutron probe or
TDR sensors. In rain season, it is safe to assume
soil is at field capacity, or SMD is zero two days
after a heavy rain.
(3) Compute ET0, PE and AE with FAO Penman-
Monteith Equation.
(4) Compute SMD with the following function:
(6)
where R is rainfall, Ca is capillary, Ru is runoff and In
is infiltration.
3 CALIBRATION OF THE MODEL
The water balance model is not always accurate because
there are mistakes in the measurement of runoff, infil-
tration and the inaccurate assumption of crop coeffi-
cient. So it is necessary to calibrate the model. Measured
soil moisture data are employed to compare with calcu-
lated data of the model. Then adjust crop coefficient and
soil parameters so that calculated data is consistent with
real situation.
4 THE WATER BALANCE MODEL OF A
CLAY SLOPE IN ENGLAND
4.1 Site description and instrumentation
In England, the peak water demand of vegetation is
usually out of phrase with the greatest rainfall. This will
cause seasonal fluctuation of soil moisture and can
induce slope failure eventually. To study the influence
of vegetation on soil moisture, a grass-covered cutting
slope at Newbury, England was chosen as the research
site. Newbury is situated on the River Kennet valley,
located at West Berkshire (OS Grid Reference: SU
SU455652), latitude 51°33 N and longitude 1°37 W.
The site elevation is about 105 m.
The slope is east facing, 8 m high and 28 m long with
slope angle about 16°. The slope is covered by rough
grass and herbs with a few small shrubs less than 0.5 m
high. At the top of the slope is forest consists of mature
beech, oak and silver birch trees. At the toe of the slope
is a 600 mm deep drainage, located 4 m away from the
toe to collect surface runoff (Figure 1). The slope is con-
sisted of London Clay and weathered London Clay.
779
10m
ZonefWathrd
LondClay
Slopean gle 5m
A34 Gravelfid
aproximtely16
findra
GreyLondCla 0m
- 5m
Elevationfrmhsp()
- 5m 0m 5m 10m 15m 20m 25m 30m
Distancefromhlp()
Figure 1. Cross section of the cutting slope (Smethurst et al.
unpubl).
A large number of instruments were installed in the
slope since 2002. Items to be monitored include soil
moisture content, pore pressure, suction, soil tempera-
ture, free water surface, rainfall, runoff, humidity, air
temperature, wind speed, wind direction, barometer,
solar radiation etc.
Soil water content is measured with two types of
instruments: Time Domain Reflectrometry (TDR) and
neutron probe. Seven TDR sensors were installed at
depth 0.3 m to 1.5 m. Four aluminium neutron probe
access tubes were installed in hand auger hole, with
maximum depth of 2.5 m. It is measured every 25 cm
from orifice to the bottom so the profile of moisture
content against depth can be obtained.
Pore pressure is measured with flushable piezome-
ters. Sixteen piezometers were installed at depth of
0.5
3.5 m, separated with each other to avoid the pos-
sibility of imperfect seal.
Suction is measured with tensiometers and equiten-
siometers. Ten tensiometers were installed in the soil at
depth of 0.3 m, 0.6 m and 0.9 m. Three equitensiometers
were installed at depth of 0.3 m.
Two climate stations were installed on the slope to
measure atmosphere temperature, relative humidity,
wind speed two meters above ground, wind direction
and solar radiation.
Two rain gauges were installed to measure rainfall.
A sensor was installed in soil at 30 cm depth to measure
soil temperature.
Surface runoff together with interflow (i.e., flow of
water through the topsoil) was measured using an inter-
ceptor drain cut across the face of the slope. A tipping
bucket flow gauge records flow intercept by the drain.
All these instruments except neutron probe were
connected with a Campbell Scientific CR10X data
logger with a GSM modem connection. The logger
records data every 10 minutes and transmits data to
University of Southampton hourly via the modem.
4.2 ET0 and soil moisture deficit (SMD)
A software was designed to help establishing the water
balance model. It is written with Visual Basic for
 0 (TDR%)
20
40
SMD(mm)
60
80
100
TAW(mm)
120 RAW(mm)
SMD(mm)
140
160
28-04-2003 27-10-2003 27-04-2004 26-10-2004 27-04-2005
Figure 2. Calculated SMD for grass at Newbury 2003– 2005.
Application (VBA) for Excel. Crop parameters (Clarke
et al. 1998) are integrated in the database and new crops
can be created by users.
The calculated ET0 based on FAO Penman-Monteith
Equation indicates that during the observed year (from
2003
2005), the maximum ET0 always occurs in June
and July. The maximum of ET0 is 4.2 mm/day, 3.3 mm/-
day and 4.1 mm/day in the three years respectively.
Minimum of ET0 appears in December close to zero.
Annual ET0 is 435.8 mm.
Soil moisture suction is measured to estimate capil-
lary water. Taking the largest measured suction gradi-
ent (from 50 kPa at 1 m depth to 0 kPa at 4.5 m depth;
in mid September 2003) and a high permeability for the
London Clay (1  10
9 m/s), gives an upward recharge
rate of 0.038 mm/day by capillary according to the
Darcy’s Law. The result implicates that the capillary can
be neglected comparing with evapotranspiration – the
largest suction happened in summer when evapotran-
spiration is around 4.2 mm/day, which is much higher
than capillary movement.
At Newbury, because water table is usually 2 m
below ground while the thickness of root zone is only
0.8 m, no horizontal pressure head exists in this zone.
According to Darcy’s Law, taking slope gradient 16°,
actual lateral flow velocity is smaller than 0.073 mm/
day. It can be ignored with respect to the high evapo-
transpiration and rainfall.
Basing on these simplifications, calculated SMD
is shown in Figure 2. Maximum of SMD occurs
on 21st September 2003 (115.6 mm), 4th August
2004 (107.2 mm) and 23rd July 2005 (118.0 mm)
respectively.
SMD exceeded RAW from the middle of August to
the end of October in 2003, and reached a maximum of
115.6 mm on 21st September. This is consistent with
the behaviour of the vegetation on the slope which by
early August had begun to turn brown owing to a lack
of water (Smethurst et al. unpubl). In 2004, SMD also
exceeded RAW from 25th July, but the duration was
relatively short. After 9th August, SMD recovered
below RAW due to five days of continuous rainfall
(total 29.5 mm). 2005 is a drought year, so that SMD
exceeded RAW 1
2 months earlier than the previous
two years.
TDR:0-0.8m Model (Model%)
55 36
45 26
35 16
25 6
15 -4
26-10-2005
18-03-2003 16-09-2003 17-03-2004 15-09-2004 17-03-2005 15-09-2005
Figure 3. Comparing measured and calculated soil moisture.
Each year from late November to late April, SMD is
close to zero owing to low PE and high precipitation.
Runoff happens frequently during this period and soil
water content is always close to field capacity. On the
contrary, runoff rarely happened from June to August,
because soil water content is far below field capacity,
so that soil infiltration rate increased.
Soil water storage in mm takes the form of Blight
(2003), and is written as:
(7)
where S is water storage in soil, “Losses” refer to
inaccuracies in the measurements and the effects of lack
of definition of boundary conditions in the water bal-
ance or soil system.
From 2003 to 2005, total rainfall is 1580.4 mm,
total runoff is 302.9 mm and calculated actual evapo-
transpiration is 1042.8 mm. Change of water storage
is
88.8 mm, so losses amount to 323.0 mm. It is the
proportion of water when soil water content is above
field capacity.
In this model, soil porosity is taken as 18%, root
depth is taken as 0.8 m, crop factor is taken as 1.0 and
depletion is taken as 0.6. All these parameters are based
on site test and experience. But the accuracy should
be test so that the result is more consistent with real
situation.
4.3 Testing the model
To test the model, TDR sensor and neutron probe are
employed to make a comparison between model and
measured moisture. The result shows that if taken crop
factor as 1.08, the model is more consistent with real
situation. So in the final model, the parameters are
adjusted as below:
Porosity  18%, root depth  800 mm (basing on
site test), crop factor  1.08, depletion  0.6.
Soil moisture measured with TDR and calculated
from the model is shown in Figure 3.
Obviously soil is frequently saturated in the wet sea-
son. This means that soil moisture sometimes exceeds
field capacity. But under effect of gravity surplus water
will drain out slowly. Usually it takes 3
5 days to drain
780
 Moisture Table 1. Climate changes at Newbury under high emission.
0.0 0.2 0.4 0.6
0.0 Year Period Temperature (°C) Rainfall (%)

2020 Winter 0.5
1.0 0
10

14.1% 12-Dec-2004 Spring 0.5
1.0
10
0
0.3 Summer 1.0
1.5
20
–10
Autumn 1.0
1.5
10
0
2050 Winter 1.5
2.0 15
20
0.6 Spring 1.5
2.0
10
0
Summer 3.0
3.5
40
–30
0.8m Autumn 2.5
3.0
10
0
0.9 2080 Winter 3.0
3.5 25
30
Spring 3.0
3.5
20
–10
Summer 4.5
5.0
60
–50
04-Aug-2004
Autumn 4.5
5.0
20
–10
1.2

0 2004 2020s
1.5 20
2050s 2080s

40
Figure 4. Moisture profile in root zone.
SMD/mm
60
80 RAW
100
120
surplus water until the soil moisture is at or below field
140
capacity. Hence there are a lot of “serrations” above the 160
T AW

“platform”. The difference between the top of “serra- 01-01-2004 02-03-2004 02-05-2004 02-07-2004 01-09-2004 01-11-2004 01-01-2005

tions” and the platform is around 7%. That represents

for gravitational water which cannot be used by plants.
It can be seen that annual moisture change is 14.1%,
from the driest 24.16 mm to the highest 143.99 mm
within root depth. It is shown in Figure 4.
5 THE APPLICATION OF THE MODEL
5.1 Prediction of runoff
Runoff has close relationship with soil moisture and
precipitation intensity so it is possible to predict runoff
with the model. According to the model, when soil
water content is below 13.6%, rainfall seldom causes
runoff. While soil water content is between 13.6% and
17.45%, about 18% of rainfall will form runoff. While
soil water content is near field capacity, about 70%
of rainfall will form runoff. The result can be used to
predict runoff under certain precipitation pattern.
5.2 Simulation of water balance for climate
changes in the future
In the world, it has been widely agreed that global
temperature will increase by 0.3°C per decade due to
greenhouse gas concentration. In the 20th century tem-
peratures were generally higher than in the 19th century
in the UK. The report for the UK Climate Impacts Pro-
gramme (UKCIP 2002) gave the climate change sce-
narios under different emissions. The climate changes
at Newbury are listed in Table 1.
Figure 5. SMD under different scenarios at Newbury.
A significant feature is that rainfall will be reduced
by up to 50
60% in the summer of 2080 at Newbury.
At the same time, temperature will increase by 4.5

5.0 °C. This will cause a competing demand of irriga-
tion for crops. Under this climate condition, in the
summer, the average ET0 will increase by 10.7%
(0.14 mm/day) and the maximum of ET0 will increase
by 11.4% (0.38 mm/day) in 2080. Annual ET0 for
2020s, 2050s and 2080s are 467.9 mm, 484.4 mm and
503.4 mm respectively.
The total rainfall has slight changes under different
scenarios, but winter will become wetter while summer
will become drier. Together with increase of ET0, there
is a higher soil water shortage in the future. The calcu-
lated maximum of SMD in 2004 is 115.5 mm, but it
will rise to 132.3 mm by 2080s, with an increase of
16.8 mm. This will cause a higher requirement of irri-
gation. SMD under different scenarios is shown in
Figure 5.
5.3 Design and management of irrigation system
The water balance model is easy to extend for irrigation
management. By defining different crops, the water
storage and requirement can be computed with the
model.
Figure 6 shows SMD of maize and irrigation sched-
ule. In 2003, no irrigation was required, but in 2004

781
 0 daily average potential evapotranspiration will increase
20
40
60
SMD(mm)
80 18-06-2004
100
120
140 TAW(mm)
160 RAW(mm)
SMD(mm)
180
200
28-04-2003 27-10-2003 27-04-2004 26-10-2004
Figure 6. SMD of maize and irrigation requirement.
and 2005, SMD exceeded RAW so irrigation should
be applied. On 18th June 2004 and 26th June 2005, to
recover soil to field capacity, irrigation of 89.21 mm
and 89.60 mm respectively is required. This data can be
converted to flow in l/s if planting area provided, and
can be used to help the design of canal and reservoir.
In addition, by adjusting planting date, the requirement
of irrigation can be minimized.
6 CONCLUSION
The principle and process of developing a full water
balance model are introduced. Taking a grass-covered
soil slope at Newbury, Southern England as example,
a water balance model was constructed and calibrated.
The result shows that the maximum of ET0 is 4.2 mm/
day, 3.3 mm/day and 4.1 mm/day in 2003, 2004
and 2005 respectively. Minimum of ET0 appears in
December close to zero and annual ET0 is 435.8 mm.
Soil moisture changes from 24.16 mm to 143.99 mm
within root depth. Annual soil moisture change is
14.1%.
The application of the model, including the predic-
tion of runoff and management of irrigation system,
was also introduced in this paper. It can also be used
in the field of simulation of climate changes’ impact.
Under 2080s’ climate scenarios in southern England,
by 10.7% and soil moisture deficit will increase by
16.8 mm in 2080. High SMD requires more irrigation
26-06-2005
in order not to affect crop yield.
ACKNOWLEDGEMENTS
27-04-2005 26-10-2005 The authors are grateful to Dr. Joel Andrew Smethurst,
Prof. William Powrie and all those people who gave the
authors supports as well as providing information in
this research project.
REFERENCES
Allen R.G., Pereira L.S., Raes D., Smith M. 1998. Crop
evapotranspiration – Guidelines for computing crop
water requirements – FAO Irrigation and drainage paper
56, Rome: FAO – Food and Agriculture Organization of
the United Nations.
Blight G.E. 2003. The Vadose Zone Soil-Water Balance and
Transpiration Rates of Vegetation, Geotechnique, 53, No.
1, 55–64.
Clarke D., Smith M., El-Askari K. 1998. CropWat 4 Windows
Version 4.3. New software for water requirements and
irrigation scheduling. JICID, 47, No. 2.
Charles W.W.Ng, Member, ASCE, Pang Y.W. 2000.
Influence of stress state on soil-water characteristic and
slope stability, Journal of Geotechnical and Geoenviron-
mental Engineering, February 2000 / 157.
Morgan R.P.C., Rickson R.J. 1995. Slope Stabilization and
Erosion Control: A Bioengineering Approach, London:
Chapman & Hall.
Smethurst J.A., Clarke D., Powrie W. 2005. Seasonal changes
in pore water pressure in a grass covered cut slope in
London Clay, unpublished.
UKCIP (UK Climate Impact Programme). 2002. Climate
Changes Scenarios for the United Kingdom, London:
The UKCIP02 Scientific Report.
Wilson E.M. 1990. Engineering Hydrology (Fourth Edition),
London: Macmillan Press Ltd.
782
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Simulation of rainfall-runoff process by ANNs and HEC-HMS model

M. Akbarpour
Khuzestan water and power authority (KWPA), Ahwaz, Iran

M.B. Rahnama
Shahid Bahonar University of Kerman, Kerman, Iran

ABSTRACT: The rainfall-runoff relation is nonlinear process and it is not possible to adequately represent the
response of the catchment’s system with the simple models. In the present research, simulation of the rainfall-
runoff process was carried out by Artificial Neural Networks (ANNs) and HEC-HMS model. The ANN models of
Multi Layer Perceptron (MLP) with two structures of one and two hidden layer, and Radial Basis Function
(RBF), was used for simulation of this process. It has been applied to the Zard river basin in Khuzestan province
using daily rainfall and runoff data, during the period of 1991–2000. In this period, 14 flood events were selected
for simulation of the HEC-HMS model. The obtained results of the above models were compared with the
observed data from Zard river basin. This comparison shows that RBF model has much more power than MLP
and HEC-HMS models for simulating of the rainfall-runoff process in Zard river basin.

1 INTRODUCTION of any system. This network is training with present data

Simulation of rainfall-runoff process is very impor-
tant in water resources management, river engineer-
ing, flood control and surface water and groundwater
utilization. Due to existence of various hydrologic
factors basin’s response is very complex to the rain-
fall. Runoff depends on geomorphologic properties
of a basin such as geometry, vegetative covering, soil
type and climate characteristics such as rainfall, tem-
perature, etc. The effects of these factors are not uni-
form in runoff generation. Up to now many physically
used models have been suggested to simulate this
process such as HEC-HMS model. These models
have required many catchments’ characteristics for
simulation such as rainfall depth, evapotranspiration,
infiltration, initial losses, time of concentration, etc.
Recently with new advancement many world sci-
entific communities become interested in different
branches of artificial intelligence, such as neural net-
works. With the same logic hydrologists also were per-
suaded to simulate the hydrologic involute processes
by these techniques.
2 ARTIFICIAL NEURAL NETWORKS (ANNs)
Artificial neural networks (ANNs) are simple model of
human’s brain. An ANN is nonlinear mathematical
structure that has ability to show the nonlinearity
process for communicating between inputs and outputs
in learning process and can be used for future prediction.
Generally, each ANN is formed with a number of
layers which built-up some neurons. Neurons are the
smallest unit of ANN constructor and are like human
brain cells. Each network has been formed from one
input layer, one output layer and one or more hidden
layer. Neurons of each layer are connected to next layer
by weights. During the network training process,
weights and values called bias are frequently changing
until objective functions reach the desire values. For
transferring outputs of each layer to the others, activa-
tion functions are used for nonlinear amplifier to neu-
rons. The technique is adopted for access of weights
and biases to ideal values called “Learning Rule”. It is
a complex mathematical algorithm. Each ANN needs
two data sets for to create and to verify: training set and
testing set. About 80% of data are used for training
set and remainder for testing set. During the training
process, network learning rate is regularly measured by
objective functions and finally a network with the
least error and maximal correlation coefficient will be
accepted. The objective functions that are more used
than others include the root mean squared error
(RMSE), the sum of square of error (SSE) and the cor-
relation coefficient (R2). The equations are as follow:
(1)

783
 (2)

(3)

^
where Qi  observed data; Qi  forecasting data; and
—
Qi  average of observed data.

2.1 Multi layer perceptron (MLP)

Figure 1. Multi layer perceptron neural network.
The MLP neural network structure is shown in Figure 1.
In this network, neurons outputs of each layer enter the
next layer neurons and it is continued to import the net-
work’s output. Learning algorithms of MLP neural net-
work are based on back propagation algorithm (BP).
Learning process in MLP neural networks were
done in three steps: forward pass, backward pass and
computation entrance pass. The input value to the
each neuron is given by:

(4)

where netin  input value of ith neuron in nth layer;

w jin  connection weights between ith neuron in nth
layer and jth neuron in the (n
1)th layer; on
1
j  out-
put of jth neuron in the (n
1)th layer; and m  num-
ber of neurons in the (n
1)th layer.
The output of each neuron will be obtained after to
apply the activation function. The common activation
function for use in back propagation algorithm is sig-
moid function. The output value of each neuron was
calculated by:
Figure 2. Radial basis function neural network.
They have been used to improve the processing rate
and to prevent falling into the local minimums. This
is specific to the RBF and can not be observed in
MLP network.
Output of jth hidden neuron is given by:

(6)
(5)

where Uj  center of Gussian function; j  spread of

2.2 Radial basis function (RBF)
The RBF network structure is shown in Figure 2. The
main differences between this network and MLP net-
work are as follows:
– The RBF network has one hidden layer and activa-
tion functions of neurons are Gussian function with
particular center and spread.
– There are no weights between input layer and hid-
den layer and the distance between each pattern and
center vector of each neuron in hidden layer is used
as an input of Gussian activation function.
– In this network, activation functions of output neu-
rons are simple linear functions and because of this
reason we can use linear optimization algorithms.
Gussian function; and X i  ith input vector.
3 HEC-HMS MODEL
The HEC-HMS model was developed at the
Hydrologic Engineering Center (HEC) of the US Army
corps of engineers. One of the advantages of this pro-
gram is the ability to optimize the parameters. It used
for simulation of rainfall-runoff process including
losses, direct runoff and base flow. Each of which cal-
culated by different methods. In this research, SCS
curve number to losses calculation, SCS unit hydro-
graph for runoff and exponential recession model for
base flow.

784
 Table 1. The correlation coefficient through training and
testing of MLP and RBF networks.

Network Train Test

MLP 1 layer 0.973 0.903

MLP 2 layer 0.985 0.923
RBF 0.923 0.972

180
Observdat
160 MLP 1 Layer
140
120

ge
10
80

CMS
Dischar
60
Figure 3. Zard river basin.
40
20
4 CASE STUDY 0
1 5 9 1 3 1 7 2 1 2 5 2 9 3 3 3 7 4 1 4 5 4 9 5 3 5 7 6 1 6 5

Case study in this research is Zard river basin in

Khuzestan province in southwest of Iran. The area of Figure 4. Comparison between observed data and MLP
one hidden layer estimation data.
the basin is 875 km2, the length of main channel is
about 70 km and average slope is about 3%. There are
six precipitation gages and one hydrometric station in
the basin, and their locations are shown in Figure 3. 180 Observdat
160 MLP 2 Layer

140
5 RESULTS AND DISCUSSION 120
ge

10
The target of this research was estimation of river dis- 80
CMS

charge in a number of events. Rainfall and runoff data 60

Dischar

were used for period of 1990–2000. For training of 40

MLP and RBF networks, rainfall data were used for 20
input and discharge data for the target. Also two dif- 0
ferent structures; one and two hidden layers were con- 1 4 7 1 0 13 16 1 9 2 25 28 31 34 37 40 43 46 49 52 5 58 61 64

sidered for MLP network. All of the simulation stages

of the networks were done in MATLAB software. Figure 5. Comparison between observed data and MLP
Out of a total of 329 pairs, 236 pairs were used for two hidden layer estimation data.
training and other 66 randomly selected were applied
for the test. Various tests were carried out to the MLP
180
Network with changes of the neurons in the interme- Observdat
160
diate layers. Then MLP 1 layer with 9 neurons in the RBF
intermediate layer and MLP 2 layer with 10 neurons in 140
the intermediate layer and 8 neurons in the second 120
intermediate layer were selected. SSE errors and the
ge

10
correlation coefficient through training stage and tests 80
of MLP and RBF networks are represented in Table 1.
CMS

60
Dischar

Figures 4 to 6 show the results of the networks’ tests.

The values represented in the table are visibly in con- 40
trast to the figures. For this reason, the Table 2 was pre- 20
pared using data obtained from the tests in order to 0
make reasonable comparisons between the networks. 1 5 9 1 3 1 7 2 1 2 5 2 9 3 3 3 7 4 1 4 5 4 9 5 3 5 7 6 1 6 5
It was observed that the MPL 1 layer showed a bet-
ter performance rather than MPL 2 layer network. Figure 6. Comparison between observed data and RBF
Also, the results confirmed that RBF network is more estimation data.

785
Table 2. The RMSE between observed and calculated data data, and if the data is not sufficient the results will be
in test series. inaccurate consequently.
Both ANN and HEC-HMS models have their own
Discharge MLP 1 MLP 2 advantages. The HEC-HMS model if calibrated for a
ranges Frequency layer layer RBF
basin then can be used to estimate the flood discharges
0–20 42 7.06 8.52 5.45 in similar ungaged catchments. The advantage of
20–40 13 11.15 21.74 9.78 ANN model is that the predictions are based upon
40–60 1 1.64 4.2 0.08 data obtained through historic time intervals.
60–80 5 47.8 41.98 12.38
80 5 23.37 27.55 7.02
ACKNOWLEDGEMENT

The authors wish to thanks the water engineering

researches department of Khuzestan Water and Power
Authority (KWPA) for to support of this research and
also the author is greatly indebted to Dr. Lawal from
ACRES for his critical review of this article.

REFERENCES

Dawson, C.W. & Wilby, R.L. 2001. Hydrological modeling

Figure 7. Comparison between MLP, RBF and HEC-HMS.
capable in estimating the values in comparison to the
MLP network.
In order to perform the HEC-HMS model, 14 flood
events were selected and the related parameters were
optimized. To compare the HEC-HMS model with
MLP and RBF model, a flood event was chose so that
it would be first in within the range of the data gained
from network testing and, second, it was not used in
the pervious simulations of HEC-HMS model. The
results are shown in Figure 7.
6 CONCLUSION
In general ANN is a technique, which captures the non-
linear and complex nature of catchment’s system. It
requires long and accurate series of input and output
using artificial neural networks. Progress in Physical
Geography 25(1): 80–108
Hsu, K. & Gupta, H.V. & Sorooshian, S. 1995. Artificial
neural network modeling of the rainfall-runoff process.
Water Resources Research 10(31): 2517–2530
Imrie, C.E. & Durucan, S. & Korre, A. 2000. River flow pre-
diction using artificial neural networks: generalization
beyond the calibration range. Journal of Hydrology 233:
138–153
Jayawardena, A.W. & Achela, D. & Fernando, K. 1998. Use
of radial basis function type artificial neural networks for
runoff simulation. Computer-Aided Civil and Infrastruc-
ture Engineering 13: 91–99
Maier, H.R. & Dandy, G.C. 1997. Determining inputs for
neural network models of multivariate time series.
Microcomputers in Civil Engineering 12: 353–368
Sajikumar, N. & Thandaveswara, B.S. 1999. A non-linear
rainfall-runoff model using an artificial neural network.
Journal of Hydrology 216: 32–55
Shamseldin, A.Y. & O’Connor, K.M. & Liang, G.C. 1997.
Methods for combining the outputs of different rainfall-
runoff models. Journal of Hydrology 197: 203–229
Tarassenko, L. 1998. A guide to neural computing applica-
tions. Arnold Publishers, UK
US Army corps of engineers. 2000. Hydrologic Modeling
System (HEC-HMS), Technical Reference Manual

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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Application of Kalman filter to multisite annual discharge prediction

K. Boukharouba & A. Kettab

Laboratoire de Recherche des Sciences de l’Eau-LRS-EAU
Ecole Nationale Polytechnique (E.N.P)-Alger, Av.Hacène-badi BP, El-Harrach-Alger

ABSTRACT: The objective of this paper is the application of Kalman filter approach to multisite prediction
of annual centred discharges and the assessment of the associated estimation errors. The required result is the
obtention of an online operation, where the prediction estimator will not be fixed neither by time nor by space.
It will adapt recursively it self to weather conditions changement in the studied area. Data of the present study
are the annual incoming discharges of five great dams in northern Algeria. First, we take the stationary natural
processes of five annual discharges series to be a linear first autoregressive model AR(1) and we proceed to
their identification, exactly as it’s done in real time. This operation gives us the temporal variations of the model
parameter which is a manner to take into account the non linear response of the process. In a second time, we
adapt and use the Kalman filter algorithm to do a real time multisite short term prediction of the annual centred
discharges. As the procedure is the same one for both of the five time series, we prefer to present detailed results
only for Béni Bahdel time serie; only final predictions of the five time series will be presented. Prediction
results are satisfactory and the associated errors are optimal.

1 INTRODUCTION 1983 about determination of satellite orbital, Brammer

The Kalman filter is one of the most powerful tools in
the modern control theory. It was proposed by Kalman
in 1961 (Kalman & Bucy 1961) and based upon the
least squares concept.
The new method of filtering proposed here, has the
important property of sequential optimization. This
direct consequence of the feedback structure of the fil-
ter means that the model is identified as soon as the
out put arrives. This is a great advantage because it
allows taking into account the temporal model parame-
tres variations and this is very important especially in
those cases where the model is not perfectly stationary.
The Kalman filter may be used for different aims.
It’s fundamental role is to give estimation of the cur-
rent state of the system, but can also give either previ-
sion of the future values of the described variable or
improvement of it’s previous estimations.
Since it was introduced by Kalman in it’s initial
applications several other authors in different fields
were interested and the problems encountered then
pushed to do more theoretical developments especially
those done by Jaswinsky in 1969 (Jazwinski 1969),
Sorenson in 1971 and then the explosion of it’s appli-
cation to many other different problems.
The most recent publications of the Kalman filter
were done by Sorenson (Sorenson 1985), by Russel in
and et al. in 1983 in oceanography problems, Menahem
1983 in planes and ships dynamic, Bialkovsky and
Guy 1983 in industrial processes and Wallace and
Clarke 1983 in energetic systems witch present the
majority of those applications.
Between all those applications, in spite of their dif-
ferences and their specificity it’s interesting to identify
the common problems encountered so as noise of the
model, modelisation, description of the state variable
and to compare the different ways their solution was
approached and estimated. In this paper we propose
to adapte and to apply the Kalman filter to hydrology.
2 DATA OF THE STUDY
Data of the present case study, are the annual centred
discharges of Béni-Bahdel, Bouhnifia, Mefrouch,
Remchi and keddara dams in the north of Algeria. We
selected a time serie of twenty five years from 1968 to
1992 to be the studied period, as all of the five sites
were observed in the same period. In a previous study,
Boukharouba & Kettab (2003) found that the stochastic
modeling, in the stationarity hypotheisis, of those data
load to an autoregressive AR(1) model identification
and selection, with a stationary parameters. This is true
for all of the five time series considered here. This

787
parametre will be formulated in the state space. We
suppose the temporal variations of the model parame-
tre to be the state variations of the system. In a first
time and in order to know the temporal variations of
the state, we propose to do the identification of the
system. In a second time, we propose to do the pre-
diction of the state, which will be utilised to the meas-
ure prediction.
autoregressive AR(1) model with residuals with
zero mean and known variances for the five time
series. Particularly for Béni-bahdel one, residuals
t(mean  0, variance R  777)
In this case, the 2nd equation can be formu-
lated as:
(4)

3 PROBLEMATIC FORMULATION
– We must determinate the initial conditions of the
The following formulations are the two fundamental algorithm. In our case study, we take:
equations (Mendel 1971) of the Kalman filter.
X0  0,
(1)
and we have:
(2)
P0  1000
The first one gives the system state dynamic. It Hk  Zk
1 Vk  t
allows to transit from the state Xk
1 at time t  k
1 Q  0 R is known for every dam time serie, for
to the state Xk at t  k by mean of the k,k
1 matrix. Béni-Bahdel R  777
The second one gives the out puts of the system or the – We follow the recursive algorithm
measure Zk at t  k. wk and vk are white gaussian 1 Initialize P0, X0, Q0 then t  t1
noises with mean zero and variances respectively Q 2 Estimate the quadratic error covariance of the
and R known. estimation P’1
Then the problematic can be exposed as follows: 3 Calculate the gain K1
– Can us estimate the state Xk at time t  k such as a 4 Estimate the state at t1 and take into account the
linear combination of the state Xk
1 at time measure Z1
t  k
1 and the measure Zk at t  k. this estima- 5 Calculate prevision quadratic error covariance P1
tion must be optimal in the sense that the variance 6 At t  t2, go to (2) increment all indices by one
of the quadratic errors must be minimal. and repeat.
– Can us find an optimal prediction of the state and
the measure? (in the same sense) This is done according to the following recursive
equations:
(actualization of the state vector)
4 KALMAN FILTER ALGORITHM
(5)
Under some hypothesis (Box & Jenkins 1970), the (registred measure)
response of the previous questions is affirmative. It’s
procured by the following kalman mechanism: (6)
– First, we must fix the objective of its use. (prediction of the state estimation error covariance
Identification of state and/or prediction. matrix)
– We must choose the state variable according to the
previous objective, such as seen in equation num-
(7)
ber (1). In our case study, we choose the state to be
the autoregressive parameter (Société hydrotech- (Gain estimation)
nique de France 1987). Equation (1) becomes:
(8)
(3) (correction of the estimation error covariance matrix)

– We must determinate the model of the studied (9)

processes. In our case, we have identified an

788
5 KALMAN FILTER HYPOTHEISIS

This algorithm operates under the following hypoth-

esis (Schelee and et al 1967) and (Wood 1980)
– The system must be linear
– The filter must be stable via divergence
– Innovations of the filter must be a gaussian white
noise (Wood and et al.1978) and (Mendel 1971).

6 OBTAINED RESULTS AND DISCUSSION

After adaptation, the kalman filter is applied to the

liquid annual centred discharges time series from 1968
to 1992. the natural processes are supposed to be sto-
chastic and stationary with a known average measured
in Hm3. In the following paragraphs we consider only Figure 1. Predictions of annual centred discharges at Béni
results of Béni-Bahdel Dam; since the procedure is Bahdel dam 1968–92.
the same for the five other time series.
So, For Béni-Bahdel dam; first we worked on the
period between 1968 and 1985. As we have adjusted
the AR(1) model to the same period, in a first side we
can test the obtained predictions done one year before
(at k  1) in comparision with the observed data, in a
second side, we can have details about the temporal
variability of the state which is the first autoregressive
parameter.We can also have an idea on the precision
of the least scares estimator,used in the AR(1) identi-
fication, in comparison with Kalman filer estimator.
In a second time, we worked on the period from
1986 to 1993. Here we have calculated real time pre-
dictions estimated one year before. The value of the
measure at t  k is used to correct the future estima-
tion at t  k  1 and so on.
In a third time, predictions were done on the same
last period supposing that we did not have any infor-
mation about the measure. The quality of those results
Figure 2. Prediction error covariance 1968–92.
gives us an approximated idea about horizon of pre-
diction in the total absence of measure data. So the
obtained results are presented as follows only in a
graphic shape.
In the prediction part, the predictions obtained are
showed in (Fig. 1) for Béni-Bahdel dam for example.
They are satisfactory, the main shape of the graphic
confirms that. Anyway, the small differences in tops
and lows of the graphic, between observed data and
calculated predictions, are due to the adaptation of the
filter. So during the first iterations the gain vector Kk
(Fig. 3) takes important values so the estimation is
automatically bed. Here data are more faithful than
the model, but after such number of calculations, the
confidence assigned to the model is greater, then the
value of model parameter is near the true one that is
why the gain value Kk is smaller.
The optimality of those results is proved by the
convergence of the prevision error covariance matrix
presented in (Fig. 2). This regular convergence to zero Figure 3. Variations of the filter gain 1968–92.

789
Figure 4. Model parametre variations 1968–92. Figure 5. Predictions of annual centred discharges at
Bouhnifia dam 1968–92.
becomes evident just after the first three iterations
and stay always positive. We note here that this regu-
larity of convergence might be interrupted especially
at k  25, 40 and 42 which correspond respectively to
years where important values of flows were observed.
But it did not happen. That is the expected behaviour
of the algorithm and that means the adequacy of the
adjusted model to the real process.
In the identification part, the results illustrated in
(fig. 4), show the temporal variability of the autore-
gressive parametre 1(k) of the AR(1) model. All val-
ues are less than one then the model is stationary and
1(k) must be constant. The non constancy of model
parametre here means that the system is not perfectly
linear, as we supposed before, and this is a manner to
take the no linearity of the system into account.

7 HYPOTHEISIS VERIFICATION Figure 6. Predictions of annual centred discharges at

Keddara dam 1968–92.
The innovations analysis allow us to test the filter per-
formance and to verify its application hypotheisis.
Sorenson H.W., (1985), Kalman R.E., Bucy R.S.,
(1961).
Innovations normality is confirmed by 2 test at
95% confidence level for all of data; and the autocor-
relation functions show the independence of the innova-
tions. We can say they are white gaussian noise. Since
the system is linear, one can consider full all of the
filter hypotheisis.
In practical terms, this means that no information
still remains in the measure sequences, since its glob-
ality has been extracted during the estimation proce-
dure. This means that no better estimations could be
obtained by the used model. The optimality of those
results is very well proved by the convergence of the
prediction error covariance matrices.
Results of prediction for the other dams, are pre- Figure 7. Predictions of annual centred discharges at
sented in (Fig. 5), (Fig. 6), (Fig. 7) and (Fig. 8). All of Mefrouche dam 1968–92.

790

Figure 8. Predictions of annual centred discharges at
Remchi dam 1968–92.
them can be obtained in space and time. They are sat-
isfactory and prediction errors are optimum.
8 CONCLUSION
In this paper, a Short term prediction model in real
time, has first been adapted and then applied to the
annual liquid discharges of Béni-Bahdel, Bouhnifia,
Remchi, Keddara and Mefrouche dams in North of
Algeria. All those data has been centred.
This adaptation has the particularity to formulate
the parametres of the model in the state equation and
the process dynamic in the measure one. This sequen-
tial formulation allows temporal variations of the model
parametres, which is a manner to take into account
the nonlinear hydrologic system response due to any
variation in infiltration, ground humidity or any other
variable able to affect the natural process studied here.
Such formulation has been used in the Kalman
recursive Algorithm in order to predict states first,
791
then to filter them optimally and finally to use them
in a short term prediction of the out puts (measure) of
the system.
Predictions of annual or monthly discharges of any
dam river are of great interest to establish dam annual
or monthly operating plans. Short term predictions
obtained here are optimal but their precision may be
improved by doing combinations with other system
information such as precipitations or other variable
that can influence the out puts of the physical system.
REFERENCES
Boukharouba K. & Kettab A.2003. Contribution à la gestion
des cours d’eau par simulation Stochastique (Etude de
cas), 7ième Conférence Internationale des Limnologues
d’Expression Française, CILEF-2003, Montréal, 27juil-
1eraoût 2003, Canada.
Box G.E.P. & Jenkins G.M. 1970. Time Series Analysis fore-
casting and Control. Holden day. San Francisco. Californie.
500 p.
Jazwinski A.H.1969. Adaptive Filtering. Automatica: 475–485.
Kalman R.E. & Bucy R.S.1961. New Results in Linear
Filtering and Prediction Theory. Trans. ASME, J.Basic
Eng. Series, 830: 95–108.
Mendel J.M.1971. Computational Requirements for a
Discrete Kalman Filter. IEEE, A-C, 16: 748–758.
Schlee F.H. et al. 1967. Divergence in the Kalman Filter.
AIAAJ, 5: 114–1120.
Société Hydro technique de France. 1987. Guide de Prévision
des Crues Tome II: 407–424.
Sorenson H.W.1985. Kalman Filtering Theory and
Applications. IEEE: 90–126.
Wood E.F.1980. Recent Development in Real Time
Forecasting, Control of Water Resources Systems.
Oxford, Pergamon.
Wood E.F. & Andras Szollosi-Nagy.1978. An adaptive algo-
rithm for analyzing short term structural and parameter
changes in hydrologic prediction models. Water Resources
Research, 14.
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Forecast of behaviour and operation the maximum flood on the

middle watershed that located between two large dams

R. Bashoul
Mahab Ghodss Consulting Engineers, Iran

ABSTRACT: Prediction of operation and behavior the maximum flood that occurred between two large dams
and how to composite it with the outflow from upper dam and finally effect on the lower dam is difficult prob-
lem in hydrology sciences. Unpredictability of design floods can be no assurance either of security or economy
in planning protection at great cost against flood especially floods ejector gates and the sizes of which are con-
jecture. Actually, the goal on this method is an overview of flood potential on the middle basin between two
large dams. There is provided one method to forecast and predict operation maximum flood with ten thousands
years return period and how composing it with out flow from upper dam and finally effect on the lower dam.
There is a Karkhea river that’s the largest watershed and one of the most famous river in Iran. And the middle
watershed is selected between two large dams, which are constructed on the same river. They are called Karkhea
and Seymarea dams. Flood of middle watershed is result of Kashkan river that join to Karkhea river in a point
between two dams.

1 INTRODUCTION 2. Time of concentration for prediction the peak time

The problem of safe design for large dams would call
forth an estimate of the probable maximum flow, which
would occur during a special period of time. It’s pretty
hard for the hydrologist to bring out a specific assess-
ment. But it’s only possible to frame an estimate of the
maximum flow, which can reasonably be expected with
a particular probability.
Occasionally, flood behavior on middle basins
(between two large dams) are among discussable top-
ics in hydrology studies. Unreal predictions can cause
problem for flood spreading planning and flood gate,
Main purpose of this study is to show flood potential
of middle watershed, prepare a manual for prediction
of maximum flood for ten thousand years return period
and method of combination this flood with upper dams
flood.
2 CALCULATION AND PREDICTION
METHODS
Some of current methods for prediction of middle
watershed flood are as below:
at different dams.
3. Dimension less hydrograph and special discharge
of Kashkan River for a hydrometer station located
at Kashkan river (Poldokhtar) and its prediction for
Karkhea dam site.
All these methods are useable but their results show
abnormal values.
1. Because of coincident peak time of two flood at first
method and subtract of them, resulted peak flood of
this method for middle basin is generally less than
real value.
2. Experimental methods that are used for time of con-
centration are different because of different needed
characteristics and then their results for prediction
of peak time are different.
3. In third method, special discharge of flood in
Kashkan River will be used in Karkhea dam site
using area relation (with same rain relation). Middle
basin flood is predicted more than real because of
circle shape of Kashkan basin that will have more
length in Karkhea dam site; then maximum flood of
basin will decrease.

1. Subtract Hydrograph from floods hydrograph of The main point for hydrograph of middle basin flood
same return periods at dam sites of Karkhea dam is prediction of flood peak and hydrograph character-
and Seymarea dam. istics (shape).

793
Table 1. Creager index (C) for some dams in Iran.
Dam’s
name Karkhea Dez Karaj Seymarea Manjil Latyan
Creager 46 45 38 31 32 30
coefficient
Figure 1. Ten thousand hydrograph of Seymarea basin,
Middle basin and Karkhea basin for natural situation.
Creager method is generally used for determination
maximum flood in basins with different area. For this
method information of different basins and rivers
around the world were used. This method was used
successfully for flood prediction in Iran, Iraq, India,
Pakistan, etc.
Creager formula is as below:
A: Area (km2), C: Creager index, Q: Peak Flood (Cms)
C index can calculate by frequency analyze of observed
maximum flood. Table 1 shows its value for some dams
in Iran.
Regarding to ten thousands maximum flood (resulted
from frequency analyze of observed maximum flood)
of Kashkan River in Poldokhtar hydrometer gauge,
Creager index of this station was calculated and then
middle basin flood estimated. Table 2 shows basins
characteristics and maximum floods of study area.
3 ENTERED FLOODS TO KARKHEA DAM
WITH EFFECT OF SEYMAREA DAM
Flood routing in Seymarea reservoir have to be done
for estimation of entered floods to Karkhea dam for
operation situation of both dams and then output flood
have to combine with natural flood of middle basin.
Figure 2 shows ten thousands entered and output flood
hydrograph of Seymarea dam.
794
Table 2. Characteristics, maximum floods and Creager
index of basins in study area.
1000 Return
period flood
Hydrometer Area Creager
River gauge (km2) Value coefficient
Karkhea Paypol 42239.3 13959 46
Seymarea Nazarabad 28454.9 8288 31
Kashkan Poldokhtar 9312.5 6383 35
Middle Basin Middle Basin 13784.4 7340 35
Figure 2. Ten thousands entered and output flood hydro-
graph of Seymarea dam.
The main point is effect of occurred delay in peak
of two mentioned hydrograph. Lag time between peak
of middle basin flood and natural flood of in Seymarea
dam site was estimated twenty hours that this value
has to be added to difference time of entered and outlet
peak flood of Seymarea. Then total difference time
between peak of middle basin and outlet peak of
Seymarea dam will be estimated. As it is shown in
Figure 3, combination of these hydrographs will result
entered flood to Karkhea dam for ten thousands years
return period.
Different time of outlet hydrograph of Seymarea
dam and middle basin can be from zero to calculated
value. It means regarding to topography of basin and
direction of rain storm to the basin we can predict
different scenarios for simultaneous or consecutive of
these two hydrographs. Then figure 4 shows the thou-
sands entered flood hydrograph to Karkhea dam in
the situation of coincident between hydrographs.
4 RESULTS
This method is a very successful to adjustment and
correct design floods. Actually, this procedure can be
helped for the engineering structures to best and eco-
nomically design of large dams and water reservoirs.
 Figure 4. Ten thousands flood hydrograph of Karkhea dam
Figure 3. Ten thousands years return period flood hydro-
for maximum situation.
graph of Karkhea dam with Seymarea dam effects.

REFERENCES Najmaei, Mohammad (1989) Engineering Hydrology.

Publication of Iran Polytechnics University.
Mahdavi, Mohammad (1995) Applied Hydrology, publica- Varshney, R.S. (1979) Engineering Hydrology, Nem Chand
tion of Tehran University. and Bros., Roorkee.
Mutreja, K.N. (1986) ‘Applied Hydrology”. Tata Mc Graw-hill

795
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Seismic pore pressure changes of the Karkheh Dam with mixed clay core

S.M. MIR Mohammad Hosseini

Assoc. Prof. of Amirkabir University of Technology, Tehran, Iran

F. Nasrollahi
M.Sc. in Soil Mechanics & Foundation Eng., Tehran, Iran

ABSTRACT: Pore pressure within the core of the embankment dams play a decisive role in performance of
the earth dams. Although it may be very high during the construction stage, but, may be dissipated to a reason-
able level as the consolidation process of the core is progressing in the long term. However, if these dams expe-
rience heavy earthquakes in the short time, the rapid increase of the pore pressure may put the dam at risk in
some critical conditions. In this paper the pore pressure development of the Karkheh large embankment
dam, newly constructed in the south-west of Iran, has been investigated during the earthquake loading. The
FLAC finite difference Package was used and the pore pressure at different levels of the core were estimated
and evaluated.

1 INTRODUCTION
The Karkheh Dam is the largest storage dam in Iran
that has been recently constructed in the south-west of
the country. This is an earth dam by a mixed clay core.
The length of the dam crest is 3030 m. and its maximum
height at the river section is 127 m. The width of the dam
is 12 m. at the crest and 1100 m. at the widest point at the
foundation level. The Karkheh dam has been built on an
alluvium consisting of alternative layers of conglomer-
ates and mudstones. To monitor the performance and
behavior of the dam during construction and also in
long term utilization, a comprehensive instrumentation
system consisting of more than 1000 different devices
has been designed and performed [1], [2], & [3]
It is of great importance to control and monitor the
stability of the dam at different loading conditions
[4], & [5]. One of the most critical conditions is when
the dam experiences the earthquake loading. This kind
of loadings due to uncertainties in magnitude and its
occurrence time may cause some serious problems for
dams. The exact response of an earth dam during an
earthquake loading is not clear. Many factors such as
dam characteristics, site conditions, and earthquake
loading specifications highly affect the dynamic
responses of the dams. The non-elastic and non-linear
behavior of the soil materials, extensively influence
the dam responses. While the dam usually behaves
elastic during small dynamic waves, they may totally
move to the plastic ranges when are subjected to heavy
earthquake loadings.
In this study the pore pressure development within
the core of the Karkheh dam during the earthquake
loading is investigated and evaluated. To verify the
analyses results, the dam first has been analyzed under
static conditions using the field data measured from
different instruments in the site. Then, taking into
account the seismicity studies of the region, an appro-
priate accelerogram has been selected and applied to
the model to do the dynamic analyses and to estimate
the pore pressure development within the core of the
dam during the earthquake loading.
2 THE ANALYSIS METHOD
In the analyses carried out in this study, the FLAC-2D
was used. It is a finite difference computer software
capable of modeling many soil phenomena such as
seepage, consolidation, and analyzing different dynamic
responses of geotechnical structures under plane-
strain conditions. In this model, the motion equations
are derived in a continuum media. In this program the
motion equations are used to obtain the new veloci-
ties and displacements from existing stresses and
forces. The strain rates are then calculated according
to the new nodal velocities in each element.

797
 To solve a problem, the strain rate, having the veloc-
ity gradient, can be calculated from the following
equation:
(1)
where;
eij  components of the strain rate
. axis. To model the dam a mesh of 23  80 has been
ui  component of the velocity
To obtain the stress tensor, the specific mechanical
relationships are used which in general are as below:
(2)
where;
M  the specific rule of behavior
K  the history parameters (which based on the spe-
cific rules may or may not exist)
In this program all equations mentioned so far are
solved by means of finite deference.
the depth of the river, the induced settlements, and the
pore pressure developments in them, the section 5-5 of
the dam which is located at the station 1  230 km.
would be the dam critical section. Therefore, this sec-
tion has been concentrated upon in this study which is
shown in figure (1).
The modeling zone covers dam body and cofferdam
together with a part of the dam foundation down to
70 m. depth and 250 m. length on both sides of the dam
used. To model the stage construction, the dam body
has been divided into 5 m. layers . Due to concentration
of this study on the pore pressure developments within
the dam core, and also the sensitivity of this zone, the
selected mesh in the core had smaller grids, so that 20
elements were put in the core width. The general view
of the body and foundation is shown in figure (2).
4 THE STATIC ANALYSIS
To prepare the initial requirements for doing the
dynamic analyses, the dam was modeled from the

3 DYNAMIC ANALYSIS OF THE

KARKHEH DAM

To do the analysis of the dam, it is required to select a

typical or a critical section of the dam. In this study
the critical section has been selected in a way that if the
dam stability is met in this section, no other section will
be unstable in the same condition. Taking into account
all sections of the Karkheh dam from different aspects Figure 2. The general view of the selected zone and the
such as their base elevations, the height of the filling, finite difference mesh.

Figure 1. The critical section of the Karkheh Earth Dam with the ground profile and position of the installed instruments
(Sec. 5-5 at station 1  230 km.).

798
beginning of the construction. Considering the layer
construction of the dam and consequent changes hap-
pen in the material properties as the filling of the dam
increases, the Duncan-Chang non-linear model with
Mohr-Coulomb yielding surface was used to model
the shell and core materials. The foundation materials
were modeled using Mohr-Coulomb criterion.
Different construction stages and also the impound-
ing stages of the dam were modeled by 32 stages from
the beginning of the dam construction up to Dec.2004.
Doing some back analyses and comparing the numer-
ical results with field data obtained from the instru-
mentation system, the input parameters of the dam
were verified and the numerical model was calibrated
as an important procedure prior to dynamic analyses.
5 THE DYNAMIC PROPERTIES OF THE
MATERIALS
The results of the static analyses were used to provide
the initial requirements of the dynamic analyses. In this
regard, the Masing model, with the Mohr-Coulomb
yielding surface was used to model the behavior of the
core and shell materials of the dam. The foundation
materials were considered to behave linear that seems
to be true due to their different nature and stiffness
compared with the dam body materials. To estimate
the maximum shear modulus, the suggested equation
[8] for granular soils was used since in the Karkheh
dam the core material is mixed clay with 40% sands
and gravels. The different parameters used in the
dynamic analyses are shown in tables 1 and 2.
Table 1. The dynamic parameters and equations used for
the filter and foundation materials.
Table 2. The dynamic parameters and equations used for
the core and shell materials.
799
6 THE INPUT ACCELERATION
To evaluate the seismic parameters of the Karkheh
site, the seismic risk analyses have been carried out.
According to the performed seismic studies on the
basis of probabilistic seismic hazard analysis (PSHA),
the specifications of the design based earthquake
(DBE), for the Karkheh Dam site are recommended
as below [9],
• Maximum design acceleration: 251 cm/sec.2 
0.256 g
• Maximum design velocity: 23 cm/sec.
• Maximum design displacement : 15 cm
Comparing the above parameters with those
belong to different recorded earthquake occurred in
Iran, the Deyhook accelerogram by the record No.
1082-1 was found to be the most similar to the Karkheh
site seismic parameters, thus it was selected for the
dynamic analyses in this study. To optimize the analyz-
ing time and prevent the divergence of the numerical
results, the first 15 sec. of the accelerogram was used
and the frequencies more than 5 Hz. Were omitted. The
acceleration was applied to the base of the model which
was considered at the depth of 70 m. from the ground
surface.
7 THE EVALUATIONS OF THE PORE
PRESSURE WITHIN THE CORE OF
THE KARKHEH DAM DURING
EARTHQUAKE
After application of the selected accelerogram to the
model and doing the dynamic analysis, even for the case
when there is no seepage flow in the core and the flow
analysis mode of the model is off, considerable changes
happen both in values and in the pattern of the pore
pressure developments (figures 4 and 5). The maxi-
mum pore pressure value in this case reaches to
1043 kPa. Which is 26% greater than that of exist in
the core before earthquake. It can be seen in figure 7
that the more we move towards the high levels, the
more influences of the earthquake loading happen
within the core.
Figure 3. The input accelerogram used in the dynamic
analyses.
Figure 4. The pattern of pore pressure development before
earthquake.

Figure 6. Variation of the pore pressure at the position of

the EP5-3 (elevation of 106), in the core due to earthquake
loading estimated from numerical analyses.

Figure 5. The pattern of pore pressure development after

earthquake.

Also it is quite evident that at the same level in the

core, the more we move towards the sides and filter
zones, the more decrease occur in the pore pressure. Figure 7. Variation of the pore pressure at the position of
This may be attributed to the lateral expansion of the the EP5-12 (elevation of 135), in the core due to earthquake
core under constant volume and undrained condition loading estimated from numerical analyses.
due to the vertical displacement and settlement of the
core during the earthquake loading. Thus, the pore pres-
sure dissipation happens considerably near the core
investigated and evaluated numerically. The input
boundary zones.
parameters were justified and the model was calibrated
The trend of the pore pressure variations during the
using the field data obtained from the regular measure-
earthquake loading in the central zones of the core at
ments of more than 1000 instruments installed in the
different levels have been shown in figure 6 & 7. The
dam. The Deyhook accelerogram which is the most
selected points are so that they can show the amount
similar to the DBE motions of the Karkheh dam was
of the pore pressure developed at the position of the
selected and applied to the model. According to the
electrical piezometers EP5-3, and EP5-12 installed at
obtained results, the main following points can be
different levels of the sec. 5-5 of the dam.
concluded:
• The pore pressure developments move towards the
8 SUMMARY AND CONCLUSIONS higher levels of the core in comparison with those
developed in the lower levels under static conditions.
The response of the Karkheh large embankment dam The maximum value of the pore pressure happens
with mixed clay core, under earthquake loading was at the middle level of the core.

800

• At the same level within the core, the pore pressure
decreases as moving towards the filter zones in the
sides of the core.
• The maximum increase in the pore pressure during
the earthquake loading is about 26% of the one that
developed before the earthquake.
• The pore pressure ratio, Ru, increases to about 72%
at the point which the maximum pore pressure
induces during the earthquake loading. It means that
the mixed clay core of the Karkheh large embank-
ment dam shows satisfactory behavior if an earth-
quake similar to Deyhook occurs in the site.
REFERENCES
Mahab-Ghods Consulting Engineers, “Technical reports
(Phase I, II, & III) of KARKHEH project” (in Persian),
Tehran, Iran.
Mahab-Ghods Consulting Engineers, 1997 to 2003,
“Technical reports of instrumentation of Karkheh Dam”
(in Persian), Tehran, Iran.
801
Mahab-Ghods Consulting Engineers, “Trial embankments
of Karkheh Dam” (in Persian), Technical report, Tehran,
Iran.
ASCE, 2000, “Guidelines for instrumentation and measure-
ments for monitoring dam performance”, Publication,
ASCE.
US Army Corps of Engineers, 1995, “Instrumentation of
Embankment Dams and Levees”, Engineering manual,
Publication, US Army Corps of Engineers.
Fakhimi, A.A., 1998, “Continuum Analysis 2-dimensional,
Theory and User’s Manual” (in Persian), Building &
Housing Research Center publication, Tehran, Iran.
Detournay, C. and Hart, R., 1999, “FLAC and Numerical
Modeling in Geomechanics”, Proc. Of Int. FLAC Symp.
On Numerical modeling in Geomechanics, Minneapolis,
Minne Sota, 1999.
Krammer, S., “Geotechnical earthquake engineering”,
Prentice-Hall Inc.1996.
Iran water and power resources development company
(I.W.P.C.), 2001, “The Abstract of the first phase studies
of the Karkheh project” (in Persian).
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Numerical analysis of concrete face rockfill dam under three-dimensional

conditions

A. Frutuoso, A.P. Assis, M.M. Farias & P. Falcão

University of Brasilia, Brasilia, Brazil

ABSTRACT: Concrete face rockfill dams (CFRD) have been built in many parts of the world, due to their
practicability, flexibility and economic competitiveness. In Brazil, this solution has been successful applied for
high embankments constructed in narrow valleys. In spite of this widespread use, the design criteria for CFRD
are still rather empirical, based on accumulated experience with previous projects. Numerical analyses are not yet
used as a regular tool for the analyses of such dams. Therefore, this paper presents a three-dimensional numeri-
cal study of a hypothetical CFRD, in order to verify the influence of the valley shape on the embankment behav-
ior. The finite element code ALLFINE was used for the numerical analysis. The linear elastic constitutive model
was adopted to describe the behavior of the foundation and of the concrete slab in the upstream face of the dam.
The Cam clay elasto-plastic constitutive model was adopted for the rockfill materials and interface between the
rockfill embankment and the slope of the valley. The numerical results show the development of tension zones
in the abutment region, which may compromise the impermeability of the system. Therefore, special attention
should be paid to the design of the perimetrical joint and the joints of the concrete slab in this region. Although
the results presented here are just qualitative, due to the lack of field parameters, the numerical tool is very help-
ful for designers to gain further insight and better understanding of the behavior of this kind of dam.

1 INTRODUCTION kind of dam, mainly due to the difficulty of obtaining

When there is a shortage of conventional materials
generally used in clay core dams, the construction of
concrete face rockfill dams (CFRD) has shown to be
an effective and competitive solution. It has been used
in all kind of dams, ranging from small irrigation proj-
ects to very large reservoirs of hydroelectric power
plants.
In Brazil, this technical solution has been applied
for very high embankment dams, as for example: Foz
do Areia (160 m), Segredo (145 m), Itá (125 m),
Xingó (140 m), Machadinho (126 m) and Itapebi (112
m), all of them in operation. Also CFRD are under
construction in Campos Novos (196 m), Barra Grande
(185 m) and Quebra-Queixo (74 m). All these dams
are constructed in narrow valleys with complex geol-
ogy in their foundations. This characterizes a typical
three-dimensional (3D) situation, which requests a
3D analysis to verify the influence of the shape of the
valley on the mechanical behavior of the dam.
In spite of this widespread use of this kind of dam
all over the world, the design criteria for CFRD are
still predominantly empirical and based on the practical
experience acquired from previous projects. Numerical
analyses are not yet widely used in the design of this
experimental parameters for the rockfill materials.
Recently, some designers have used numerical
analyses basically to predict displacements of the dam
during the first impounding and to monitor its behavior
along the time. However, mostly elastic-linear analyses
have been adopted and the numerical models are rarely
used in the design of the project (Pacheco et al. 2003).
Some non-linear models are already available, but
their use has been restricted mainly to research and
academic works. The difficulty of obtaining constitu-
tive parameters is the main barrier for the practical
utilization of some of these models.
The combined analysis of the mechanical behavior
of the concrete slab and the rockfill embankment is
very important to obtain the stress field acting in the
concrete slab. Therefore, 3D finite element programs
provide a powerful tool to make this analysis possible,
considering the effect of the valley geometry on the
mechanical behavior of a concrete face rockfill dam.
In this context, this paper presents the results of 3D
numerical simulations of hypothetical concrete face
rockfill dams in a narrow valley. The rockfill embank-
ments are considered to be elastic-plastic materials,
and the foundation and the concrete slab are consid-
ered to have linear-elastic behavior.

803
2 RECENT THREE-DIMENSIONAL
NUMERICAL STUDIES
Some applications of numerical methods have been
reported in the specialized literature aiming to reduce
the empiricism of the CFRD designs. Martin in 1978
used a 3D finite elements analysis to design a concrete
face rockfill dam, although, no concrete slab was sim-
ulated, assuming that its deformation would be the same
as that of the rockfill embankment.
Saura (1979) reinforces the need for 3D analyses to
study the mechanical behavior of a concrete slab on the
upstream face of a dam, since the maximum tensile
strains in the concrete slab are developed close to the
abutments. Justo & Saura (1981) used a 3D finite ele-
ment numerical analysis to simulate a concrete face
rockfill dam and found a good correlation between the
predicted and measured displacements values.
Saboya Jr. (1993) verified the need for 3D analysis
for dams located in steep valleys and in the cases where
it is necessary to predict the deformations of the whole
concrete slab. Frahia Neto (1995) emphasizes the
importance of 3D analysis for concrete face dams, inas-
much as the most relevant displacements related to the
structural performance of the concrete slab may occur
in the longitudinal direction or close to the contact with
the valley.
Xia et al. (2001) used a 3D numerical analysis to
evaluate the mechanical performance of the concrete
slab, rockfill embankment and the perimetrical joint of
the Yutiao Dam in China. They found good correlation
between the predicted and measured values. The authors
also emphasize the importance of the 3D analysis for
this kind of dam, because load transfer can not be taken
into account when 2D analyses are used.
Albertoni et al. (2003) carried out a 3D parametric
study of the concrete face rockfill dams of Campos
Novos and Barra Grande, in Brazil, finding coherent
results. However, the authors stress the need for more
data from the in situ instrumentation in order to support
this type of analyses.
3 NUMERICAL ANALYSIS
3.1 Computational model and procedure
For the sake of simplicity, a hypothetical three dimen-
sional concrete face rockfill dam was analyzed numer-
ically in this paper. The embankment was assumed to
be 100 high, with symmetrical slopes of 1.0V:1.3H, and
constructed in a “V” shaped valley. The computational
program used to carry on the numerical analysis was
the ALLFINE (Farias, 1993) finite element code.
Figure 1 shows the three dimensional mesh used during
the numerical analysis. The mesh has 1750 elements
and 2292 nodal points. The finite elements used were
hexahedrons of 8 nodes and wedges of 6 nodes. Very
804
downstream
y
z
x
upstream
Figure 1. Finite element mesh for the numerical analysis.
(Embankment inclination  IV:1.3H & Valley inclination 
1V:1H).
Table 1. Elasto-plastic parameters used in the analysis.
Material /(1  e0) /(1  e0)  (°)
Rockfill 0.0174 0.0021 0.30 32
Interface 0.0150 0.0017 0.30 38
thin elasto-plastic finite elements were used to simu-
late the contacts between the valley and the embank-
ment, and the concrete slab and the embankment.
The construction of the dam was initially simulated
in five layers, to which the unit weights of the materials
are assigned as the layers were successively activated.
Then it was simulated the impounding of the reservoir
considering the water load on the upstream face of the
dam. All loads were applied in small increments in
order to keep the equilibrium error within a given tol-
erance, since the analysis is non-linear. The simulations
were considered the integrated behavior of the foun-
dation, rockfill embankment and the concrete slab.
3.2 Constitutive models for the materials
It was used an elastic linear constitutive model to sim-
ulate the behavior of the foundation and the concrete
slab. The Cam clay elasto-plastic constitutive model was
used to simulate the rockfill and the interface between
it, the valley slope and the concrete face. The values of
the elastic linear parameters (E, ) used were obtained
from the international literature. The elasto-plastic
parameters of the constitutive model used are:  – the
inclination of the loading segment of the void ratio
versus mean pressure curve (semi-log scale);  – the
inclination of the unloading segment of the same
curve;  – Poisson ratio; e0 – initial void index;  – the
friction angle ate critical state. These parameters were
obtained from laboratorial experiments. Tables 1 and 2
show the values of the adopted parameters.
Table 2. Elastic parameters used on the numerical analysis.

Materials E(Pa) 

Foundation 20.000.000 0.30

Concrete Slab 10.000.000 0.20

Figure 4. Contours of displacements in the Z direction (m).

Displacements
Nodes (x10-3 m)
x y z
727 3.2 6.0 -5.5
733 9.8 -20.5 21.0
Figure 2. Contours of displacements in the X direction (m). 739 11.2 -48.3 46.2
745 7.5 -58.6 57.5
751 0.6 -33.5 42.0
181 -1.4 9.6 2.8

Figure 3. Contours of displacements in the Y direction (m).

y
x
4 RESULTS
z

Only the results of the reservoir impounding stage are

presented in this paper, since it the most critical load
for the concrete slab. The interpretations of the results
are only qualitative in order to show the different pos-
sibilities of mechanical behavior of the dam under
three dimensional conditions.
4.1 Displacements
Figures 2, 3 and 4 present the displacements contours
in the x, y and z directions, respectively. The displace-
ments obtained in the x direction are symmetrical in
relation to the central axis of the dam. The magnitude
of the displacements increases from the abutments
towards the center with a maximum value (0.005 m)
localized in the middle of each half of the concrete face.
The displacements in the y and z directions have a sim-
ilar pattern, with maximum values (0.10 and 0.09 m,
respectively) localized in the top of the central section
x component). It illustrates the
of the dam.
Figure 5 shows an isometric view of the deformed
finite element mesh detailing the displacements on
Figure 5. Deformed mesh.
the contact of the left shoulder of the dam and the
valley. The correct identification of these displace-
ments is of great importance to safety project peri-
metrical joint and to avoid leakage in the system. The
perimetrical joint is placed between the concrete slab
and the plinth along the whole valley and a bad per-
formance of this component may induce high water
seepage, thus affecting the stability and safety of the
construction.
4.2 Stresses
Figure 6 shows the distribution of stress along the lon-
gitudinal direction (
influence of the valley on the mechanical perform-
ance of the dam, inducing tensile zones in the concrete
slab close to the abutments and also compression zones

805

y
x
z
Figure 6. Contours of stress on slab in the direction along
the dam (MPa).
y e Barra Grande. Anais XXV Seminário Nacional de
x Grandes Barragens, Vol. 1, pp. 201, Salvador, Bahia, 2003.
z Farias, M.M. 1993. Numerical analysis of clay core dams.
Figure 7. Contours of stress on slab in the direction along
the dam axial (MPa).
in the central zone of the dam with maximum values
of 3.0 MPa. Figure 7 presents the stress distribution
developed on the axial direction of the dam (
z com-
ponent). It presents a similar pattern as that of the
x Pacheco, D., Rovere, L., Loriggio, D.D., Watzko, A. &
component with a maximum value of 1.2 MPa. The
identification of the tensile and compressive zones in
the upstream face of the dam is very important to a
safe project of the joints in the concrete face.
5 CONCLUSIONS
The numerical tool used to carry out the numerical
analyses provide a good alternative to evaluate the
mechanical behavior of concrete face rockfill dams,
allowing a complete simulation of the interaction
between foundation, embankment and concrete slab.
806
The present results show the importance of verify-
ing the influence of the shape of the valley on the
mechanical behavior of the dam. The longitudinal
displacements (x) were symmetrical to the axis of the
dam with maximum values in the center of each half
of the concrete slab. Vertical (y) and axial (z) dis-
placements are maximum in the top of the central sec-
tion and decrease towards the downstream slope. The
interface element used to simulate the relative dis-
placement between the embankment and the shoul-
ders showed good performance.
Stress distribution showed the development of ten-
sile zones close to the shoulders and compression zones
on the central section of the dam, with the maximum
values situated by mid height of the dam.
Finally, the continuous work on 3D modeling
together with the instrumentation of real dams will
enable engineers to gain further insight about the
behavior of concrete face rockfill dams.
ACKNOWLEDGEMENTS
The authors acknowledge the financial support of the
Brazilian National Research Council (CNPq).
REFERENCES
Albertoni, S.C., Xavier, L.V., Silva, L.B., Antunes, J.
Teixeura, K.L. & Pereira, R.F. 2003. Análises Paramétricas
em modelos Matemáticos 3D das BEFC Campos Novos
PhD Thesis, University College of Swansea, Swansea,
UK, 159p.
Frahia Neto, S.H. 1995. Estudo do comportamento da
Barragem de Xingo através de instrumentação de campo
e de análises numéricas. Exame de Proposta de Tese de
Doutorado, DEC/PUC/Rio de Janeiro, RJ, 1–201p.
Justo, J.L. & Saura, J. 1981. Behaviour of Veneno Dam by
Three-dimensional FE, Proc. 10th Int. Conf. Soil Mech.,
Vol.3, pp. 449–452.
Martin, H.L. 1978. Three-dimensional Analyses of the
Storvass Dam. Int. J. Numer. Anal. Methods Geomech.,
2, pp. 3–17.
Stramandinoli, J.S.B. 2003. Modelagem de Barragens de
Enrocamento com Face de Concreto, V Simpósio EPUSP
sobre Estruturas de Concreto, São Paulo, SP.
Saboya Júnior, F. 1993. Análise de Barragens de Enrocamento
com Face de Concreto Durante o Período de Construção
e enchimento. Tese de Doutorado, DEC/PUC/Rio de
Janeiro, RJ, 261p.
Saura, J. 1979. Estudio Tridimensional de Tensiones y
Deformaciones en Presas de Matheriales Suelos. Ph.D.
Thesis, Polytechinical University of Madrid.
Xia, L., Xingzheng, W., Junxia, X. & Hangong, T. 2001.
Three-dimensional stress and displacement analysis of
Yutiao concrete faced rockfill dam. Second International
Symposium on Flood Defence, Beijing, China.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Study of admissible exit gradient values with respect to the piping

phenomenon using physical and numerical modeling

B.G.S. Mansour
Assistant Director of Works, Reservoirs and Grand Barrages Sector,
Ministry of Water Resources and Irrigation, Egypt

ABSTRACT: Geotechnical physical models are useful when direct analysis for the groundwater flow is com-
plicated. Groundwater models are grouped into four types: sand, electrical, viscous, and membrane models. Of
these, only sand models represent a true model in which water flow happens like in the nature. For better under-
standing of the piping phenomenon and in order to further assess the level of safety with respect to piping, a two
dimensional (2-D) sand model was constructed for Old Assiut Barrage. It was aimed to investigate physically
the critical exit gradient values to justify the use of the permissible exit gradients’ limits as firstly introduced by
Khosla (1936). These limits can be then used to design similar hydraulic structures by means of the 2-D Finite
Element Method (FEM). A parametric study was done to investigate the effect of the two sheet piles (SP) and
the location effect of the bottom boundary impermeable layer.

1 INTRODUCTION values together with the corresponding factor of

In this paper, the state of the art with respect to the
theory of the sand type physical model is presented
together with the history of the physical modelling
investigations, which were used to study the piping
phenomenon. A geotechnical physical 2-D sand
model was constructed for Old Assiut Barrage, which
is located in the River Nile in Egypt, using a 1:100
scale and several cases as described above were inves-
tigated. The cross section of the Old Assiut Barrage
together with the geotechnical properties of the soil at
the Assiut site is described in previous paper by the
author (Achmus 2003). The soil consists mainly from
fine sand and the cross section of the barrage before
the rehabilitation was used in this research for sim-
plicity as it contains 2 SP only, each is 3.1 m deep and
the foundation length is 30 m. In order to simulate the
3-D effect and the water discharge downstream (D/S)
the barrage that normally causes D/S scour holes, a
disturbance was considered for all the models. To
simulate this case, a thin needle was used to disturb
the sand just D/S the barrage with depths range
between 3 to 7 cm. Also after the start of the piping
phenomenon, the produced excess D/S sand was
removed mechanically to simulate the effect of the
D/S water discharge. The results and the methodology
of the models are presented together with a compari-
son to the FEM analysis for all the different investi-
gated cases from which, the admissible exit gradients
safety (F.O.S) could be estimated.
2 BACKGROUND
2.1 Scaling rules of sand models
A sand model is a model of an aquifer with the bound-
aries scaled down and can be constructed in water-
tight boxes of various shapes. Because the flow in both
model and prototype is occurring in porous media
with the same grain size, kinematic and dynamic sim-
ilarities are obtained. Geometric similarity is defined
by model-prototype length ratio as shown in equation 1
below:
(1)
where: L  length, r  length ratio between model
and prototype  0.01 in these investigations, m 
model, p  prototype.
As in both the model and the prototype, the same
sand particles are used and Darcy’s law is applied for
both of them because the flow is laminar with small
Reynolds number, so the velocities and the permeabil-
ities are the same in both the model and the prototype.
Therefore, the exit gradient (i) is of the same value and
nature for both the model and the prototype.

807
2.2 History of sand tank models
Terzaghi (1922) carried out a physical model to study H
the piping phenomenon. With it he studied the internal
washing of sand under shallow foundation. By con-
tinual increase of the water head he first recognized l
the vertical movement of the sand particles before the D
building of small sand hill due to the transportation of L
sand material. Finally the complete failure succeeded
through the building of wide erosion canal with hollow
shaped cross-section. From this experiment, Terzaghi Figure 1. Geometry of Sellmeyer’s model.
noticed that the failure of the foundation occurred at
(CB) value much lower than the recommended one by
Bligh for similar sand, which means that Bligh’s method D=1.0m sandA
includes a high F.O.S value (Davidenkoff 1970). sandB
2.5
Davidenkoff (1937), cited in Davidenkof (1970), 5.0 10
made model studies in which he considered like 25
1.0
Terzaghi, a shallow foundation on sand. However, he
2.5 oo
inserted a glass tube into the foundation bed in order H 5.0 10
crit. 25
to produce an artificial weak point. With this he real-
oo
ized that the critical water head was halved compared
to the study without glass tubes. 0.5 1 5 10 50
Antipov (1957), cited in Davidenkof (1970), accom- l(m)
plished different studies in a glass flume. He used a
model of transparent glass which also offered the pos- Figure 2. The results of Sellmeyer’s model.
sibility of measurement of water pressure at different
points. He also had attached a semicircular deepening
As shown in Figure 2, it is clear that the depth
at the D/S side in order to create the more sensitive
of the sand layer in the model has an effect on the
condition for the erosion process. The model repre-
results. It appears that the higher the thickness of
sented a flat foundation construction work and was
the sand, i.e., the deeper the boundary clay layer is,
also founded on sand. Within the series of tests he var-
the lower is the admissible water head difference act-
ied the length of the weak points and he set them
ing on the model. This finding is in accordance with
selectively on the upstream (U/S) and D/S sides.
the finding of this research as explained later.
Hanses et al. (1985) carried out investigations on
Müller-Kirchenbauer (1992) continued the investi-
the progressive erosion (piping) under a cohesive sur-
gations which were done by Hanses et al. (1985) and
face layer. The tests were accomplished in one of the
he studied in his model the exact shape of the piping
hydraulic channels in which the underground soil
channel. Also Müller-Kirchenbauer (2000) carried
body and the barrier body were constructed in a small
out a physical model study to investigate the effect of
scale. In addition one of them was used as erosion
different layers of sand foundation under the D/S
pipe designated apparatus, with which the cohesive
impermeable layer.
soil layer was replaced by a transparent glass plate
Hüttl et al. (1992) carried out physical sand model
and the spring channel by a glass tube. On the basis of
tests using fine, medium and coarse sand as shown in
these model tests, the different erosion processes
Figure 3. They carried out these tests without any
could be described and investigated.
means of disturbance at the D/S side and for each test
Sellmeijer (1988) carried out a physical model study
they observed the water head which led to the start of
to simulate the piping process in order to develop ana-
the piping process. The corresponding critical gradi-
lytically a mathematical formula to represent Bligh’s
ents to each case that caused the start of the piping
method.
were calculated by the following simple equation 2.
Weijers and Sellmeijer (1992) carried out a phys-
ical model tests to develop a mathematical relation (2)
between the length of the piping channel and the dif-
ference in water head. The geometry of the model is in which: H  the head required to force the water
presented in Figure 1. through the sand, l  the total depth of the sand col-
This mathematical relation takes into consideration umn through which the water is forced to filter.
the thickness of the permeable soil underneath the foun- The main and important results from these investi-
dation, i.e., taking the lower low permeability boundary gations were the values of the hydraulic critical gradi-
condition into account but only for the case without SP. ents for each type of sand as in Table 1. Also through

808
 I teln exit gradients by the FEM. Also all the models do not
/U S include the actual situation D/S the existing barrages
/D S (the scour holes, the D/S erosion and the local 3-D
uO lt e t
weak points in the soil). Also the previous models did
not consider the actual case of the River Nile Barrages
G r av el F o tadnu noi with SP. That is why it was highly required to carry
.0 20
out new physical model tests to obtain values for the

0.35m
L e . 0= m0 6 Sa n d
critical exit gradients, which could be used to com-

.0 04
.0 70 .0 1 1
. 0 m8 7
Figure 3. Description of Hüttl physical model (Hüttl et al.
1992).
Table 1. Critical hydraulic gradients which led to the start
of piping (Hüttl et al. 1992).
Dry Density
( d)
Type of Sand [kN/m3]
Fine sand 14.0
Fine sand 15.6
Medium sand 14.3
Medium sand 15.8
Medium coarse 16.9
Medium coarse 17.5
the investigations of Hüttl et al. (1992), the water
seepage from the model was measured and the results
as expected showed a sudden increase of the discharge
after the start of the piping till the complete failure.
By studying the results shown in Table 1, it is found
that the critical gradients are higher than 1 in these
cases without D/S disturbance. Also the corresponding
hydraulic gradients were calculated using the simple
equation 2 not using the FEM which means that these
critical gradients represent average gradients not exit
gradients.
In order to obtain an idea about the correspon-
ding values of the exit gradients, an FEM model was
designed for Hüttl model according to the dimensions
as in Figure 3. For an assumed case of 10 cm water head
difference, the exit gradient value is around 0.26. The
average gradient using equation 1 for the same case of
10 cm head difference is 10/60  0.17. This means that
the ratio between the exit gradient using the FEM
and the average gradient according to Hüttl is 0.26/
0.17  1.53. Using this ratio the corresponding exit
gradients values calculated by FEM could be estimated
for each case as shown in the same Table 1.
From Hüttl model and also as discovered from the
literature review as shown above, there are many model
investigations without giving values for the critical
0.1
pare with the FEM analysis. The case with the actual
.0 02 situation D/S the existing River Barrages which nor-
mally include scour holes had to be considered as
done in this research.
3 PHYSICAL MODELING
3.1 Model construction
The Sand-Tank Model was constructed of artificial
Average ic by transparent plastic material at a hydraulic flume made
ic FEM of glass. The clear internal size of the flume box was
100 cm  10 cm  50 cm and it was supplied by
[
] [
]
water using an inflow pipe at the U/S and an outflow
1.67 2.55 pipe at the D/S. Two main models were constructed;
1.83 2.80 the first one simulates the barrage without the exist-
1.75 2.68 ence of the two SP.
1.83 2.80 In this model, as shown in Figure 4, three piez-
2.30 3.52 ometers were installed at the middle axis of the model
2.50 3.83 to measure the piezometric head just underneath the
model during the tests. The piezometers were stood
on filter stones, which were installed at the lower sur-
face of the foundation block. The width of the model
was adjusted in such a way that its width is tightly
equal to the inner width of the flume (around 10 cm)
and to avoid leakage of water from the surroundings
it was tightly isolated by means of silicone material.
The second model simulates the barrage with the
two SP in which two metal plates of 3.1 cm length and
3 mm thickness were installed each at a distance of
1.5 cm from the ends of the foundation to lengthen the
creep length. Therefore, two additional piezometers
were also installed to measure the water pressure U/S
and D/S the piezometers.
The sand used for both models was fine sand and
the tests were carried out with two states of sand;
firstly loose state and secondly dense state. The loose
state was achieved just by filling the sand gently into
the water and the dense state was achieved by vibrat-
ing the flume during casting the sand into the water
with the help of plate vibrator. The sand was poured
into the already filled water inside the box to ensure
that nearly no air voids remain and thus to make the
sand fully saturated.
In order to investigate the effect of the location of
the bottom boundary impermeable layer, different
tests were carried out with different model depths (B)
as shown in Figure 4 and as will be described later.

809
 PlasticBre P1 P 2 P 3
Table 2. Properties of the used sand for physical modeling.
U/S
Piezomtr Characteristic Unit Value ic
Readin g
Acm

H
Transpet D/S
s [kN/m3] 26.2
8

50cm
PlasticBed D15 [mm] 0.1
Boiln g D85 [mm] 0.22
FineSad
Pipn g U [
] 1.4
Bcm

emin [
] 0.67

35cm 30cm 35cm Sepa ge
Dischar ge
emax [
] 1.09
10cm

Figure 4. Layout of the main elements of the physical Clay Silt Sand Gravel
Fine- Medium- Coarse- Fine- Medium- Coarse- Fine- Medium- Coarse-
model of Old Assiut Barrage for the case of no SP (scale 10
1:100). 90
80

ght
70
60
50
After filling the sand to the required depth (B), the 40

water level was again decreased to the level of the sand 30

20
PercntFibyW
layer surface and the model was kept gently and very 10
carefully. At the meantime, it was ensured that there 0
D=0.26m
was a direct contact between the model bed and the
sand surface and no air space exists in between, which
Figure 5. Grain size distribution of the used sand.
was practically realised to be a very difficult task for
the loose state of sand due to the possibility of the com-
pression of loose sand body. The construction was Piping tests
practically even more difficult when the model was
associated with SP walls and therefore, several trials
were done until the optimum case was achieved. WithouSPwals WithSPwals

Finally, the contact surfaces between the model and the

glass channel box were sealed using silicon and the Loseand Densad Loseand Densad
model was left for 24 hours to make the isolation effec-
tive before carrying out the tests. B=10 B=15 B=20 B=25 B=10 B=15 B=20 B=25

Figure 6. Phases of the piping physical modelling for Old

3.2 Properties of the used sand Assiut Barrage.
The sand that was used for the model study is charac-
terized as middle sandy fine sand. Some properties of
the used sand are given in Table 2 and the grain size a thin needle to simulate the actual disturbance of
distribution is shown in Figure 5. scouring and water turbulence as in the reality at the
D/S and to make favourable condition for the starting
of piping as described before. The disturbance was
done at the middle and at both sides just D/S the solid
3.3 Modeling methodology
floor with depth ranges between 3 to 7 cm. It was
Figure 6 describes the different study phases of the aimed by this disturbance also to create a 3-D weak
piping physical models. After the construction of point at the D/S side, which may happen at nature by
each model, the test was proceeded by stepwise erosion from the D/S water discharge or by scour
increase of the water head at the U/S side. Each test holes or by the local change of the soil properties. For
was initiated with a water head difference of 4 cm and the following steps the water head was increased with
was continued with the stepwise increase of 2 cm only 1 cm for each step, and keep carrying the disturb-
water head each 20 min time interval up to a total ance as described above just before further increase in
head of 10 cm for the case without SP and up to a total water head, until the start of boiling phenomenon is
head of 14 cm for the case with SP. observed at the D/S side. After the start of the boiling,
The readings of the seepage discharge and the cor- the time interval was increased to around 40 min
responding piezometers were recorded for each case before any further increase in the water head to give
before increasing the head for the following step. time to observe the piping process from the D/S to the
Then, the D/S sand bed was disturbed with the help of U/S sides until the complete failure occurred.

810
3.4 Piping phenomenology for the case without SP
After reaching a certain critical water head at the U/S
side, the boiling of sand started with the movement of
sand particles in vertical direction at the D/S side as
shown in Figure 7. This boiling sometimes stopped,
may be due to the blockage caused by deposition of
the ejected sand, but after another disturbance using
the needle at the D/S side, it was proceeded again. The
ejected sand was continuously removed during the test
Figure 7. Boiling and piping canal development for the
to simulate the water flow at the D/S side and to avoid case without SP.
the blockage of the boiling process. After boiling and
with the further increase of the water head, the move-
ment of sand particles was forwarded to the backward
direction forming a small canal (piping canal) in
between the contact surface of the model bed and the
upper surface of the sand body as in Figure 7. The so
formed canal permitted the flow of water accompa-
nied with the sand particles from the U/S side to the
D/S side. With the passing of time and the increase of
head, the piping canal was moving towards the U/S
edge of the model. This canal allowed the continuous
flow of water with sand particles towards D/S.
Due to the continuous transportation of sand par-
ticles from U/S to the D/S, a small depression was
Figure 8. Failure process for the case without SP.
noticed at the U/S at the upper part of the sand body
between model and sand surface. During the test, it
was also observed that the depth and size of the U/S
depression were increasing causing an increase of the
flow of the sand particles inside the piping canal.
Ultimately, the system failed with drastic flow of
water with sand towards the D/S through the piping
canal forming an about 2 cm thick canal just beneath
the model as in Figure 8.

3.5 Piping phenomenology for the case with SP

At a certain critical water head difference and with the
help of disturbance at D/S, boiling and piping started
at the D/S side of the foundation in a vertical direction
attached to the D/S SP and the D/S vertical part of the Figure 9. Depression U/S the two SPS and boiling at D/S
foundation as shown in Figure 9. With the increase of (model for Old Assiut Barrage with SP, scale 1:100).
time intervals and the further increase in water head
difference, a small depression in front of the D/S SP
(facing to the U/S side) was observed together with which means that the SP are of great importance to
the increase of boiling process at the D/S edge of the stabilize the foundation under the hydraulic structures
foundation as in Figure 9. Due to the depression, the especially the D/S SP which increases the time required
upper layer of sand between the two SP walls was to have a complete failure.
transported to the D/S side forming the piping canal.
This led to the vertical movement of sand at the U/S
SP (surface facing to the D/S side) resulting in the
4 COMPARISON BETWEEN PHYSICAL AND
depression at the U/S edge of the foundation. Finally
NUMERICAL MODELLING
the system failed completely as shown in Figure 10.
It was noticed for the case of the existence of the SP
4.1 Case of dense sand
walls that, after the beginning of piping phenomenon, a
continuous disturbance using the needle at the D/S side The numerical modelling was performed using the
is required to bring the system into complete failure same previous model as for old Assiut Barrage

811
 28
PhysicalMode(Strfpn g)
26
PhysicalMode(Fur)
24 FEMwith=0.84 c

2
20
18
16
14
12

WaterhdDifnc[m]
10
51023
DepthofSand[cm]

Figure 10. After complete failure (model for Old Assiut Figure 12. Water head via depth of sand (dense sand,
Barrage with SP, scale 1:100). with SP).

32
30 PhysicalMode(Strfpn g) 28
PhysicalMode(Fur) PhysicalMode(Strfpn g)
28 FEMwith=0.94 26
c PhysicalMode(Fur)
26 24 FEMwith=0.84 c
24 2
2 20
20 18
18 16
16 14
WaterhdDifnc[m]

14 12
51023
WaterhdDifnc[m]

10
DepthofSand[cm] 51023
DepthofSand[cm]
Figure 11. Water head via depth of sand (dense sand, no SP).
Figure 13. Water head via depth of sand (loose sand, no SP).

(Achmus 2003). Some modifications were done for

the FEM model dimensions to be similar to the flume 36
(Physical model), i.e., length of 100 m and depths P h isy ac l M o d e l( S at r t o f P i p i n g)
32 P h isy ac M l o d e l ( F a i l u r e )
of 10 to 25 m as described for the different locations F E M w i t h i c = .0 48
of the bottom boundary clay layer. Also the case of 28
Kx  Ky is considered as this is the closest case to the 24
physical model tests. The average saturated density of
20
the used dense sand is about 19.4 kN/m3 which means
that the critical exit gradient is around 0.94 according 16
to Terzaghi’s equation of the critical exit gradient. The
WaterhdDifnc[m]

12
FEM calculations were done to obtain the correspond- 5 10 15 20 25 3 0
ing water head differences for this case of ic  0.94. D epth of S and [cm ]
Several runs were carried out for the different depths
of sand to compare with the results of the physical Figure 14. Water head via depth of sand (loose sand, with SP).
model for the cases of the start of piping and the fail-
ure case as shown in Figure 11 (case without SP).
Other comparison was obtained as described above
4.2 Case of loose sand
but for the case with SP as in Figure 12.
As shown from the results of Figure 11 and Figure Same comparisons, as were done above for the case of
12, the physical model and the FEM are compatible Dense Sand, were also performed for the case of loose
with reference to include the impact of the depth of sand as shown in Figure 13 and Figure 14. The average
the sand on the results. The FEM shows high differ- saturated density of the used loose sand was about
ence according to the depth of the sand and therefore 18.4 kN/m3 which means that the critical exit gradient is
it is recommended when applying this method to around 0.84. The FEM calculations were done to obtain
obtain good soil investigations to locate the position the corresponding water head differences for this case
of the impermeable layer in the reality. The critical of ic  0.84 for the different depths of sand and com-
water heads found in the model tests are usually lower pare them with the results of the physical model for the
than the values calculated with ic  0.94. cases of the start of piping and the failure.

812
 NoSP(tarfipn g) WithSP(arofpn g) these factors were included by making the D/S distur-
NoSP(Failure) x WithSP(Falure) bance by the needle for depths varies between 3 to
0.85 x
x
0.8
7 cm. Therefore, a reasonable F.O.S ranges between 3
0.75
to 4 can be used depending on the results of the Physical
x
0.7
model. If using an admissible exit gradient of 0.17
0.65
then the F.O.S lies between 3.7 to 4.9 for the failure
x
0.6
case with SP and between 3.2 to 3.8 for the failure
0.5 case without SP for the dense state of sand.
ExitGraden[-]

0.5
In the design, the begin of piping must be avoided
0.45 by introduction of a suitable F.O.S. From Figure 15,
51023 the exit gradients which induced the start of piping
DepthofSand[cm] obtained from the model tests ranges between 0.52 to
0.67 for the case with SP and between 0.47 to 0.52 for
Figure 15. Corresponding exit gradients by FEM for the case of no SP. Using an admissible exit gradient of
the physical model results of Old Assiut Barrage (case of 0.17 then the corresponding F.O.S ranges between 3
dense sand).
to 3.9 for the case with SP and 2.8 to 3.4 for the case
without SP of dense sand.
From all the above-investigated cases the closest
In the physical modelling, the case of loose sand case to the River Nile Barrages is when having higher
led to an earlier piping and also to less water head dif- depths of the sand layer, with SP and having a dense
ference, which caused the failure state. This was sand state. This means that the nearest F.O.S to the
expected, however, a case of loose sand is not often reality is 3.9 if considering admissible i  0.17. There-
found in the reality, especially at the River Nile vicin- fore, it is recommended to use iadm.  0.17 for further
ity. As shown from the results for the loose sand case, design procedures as it includes the effect of the
it is also confirmed that the depth of the sand layer boundary conditions like the SP and the D/S distur-
plays a big role on the results of the physical model as bance which simulate the 3-D effect and the erosion
well as for the FEM analysis methods. For the two at the D/S side. Further researches are required to
methods, the higher the sand layer thickness is the investigate higher depths of sand boundary layer and
lower the critical or the allowable water head is. different processes for the D/S disturbance and the
case without D/S disturbance.
The same comparison was done for the case of
5 ANALYSIS OF THE RESULTS loose sand but the results are not presented in this
paper due to the fact that it is rarely to find a barrage
Using the results of the physical model tests for the built above loose sand.
failure and the boiling (start of piping) cases of the
dense sand state, the corresponding values of the exit
gradients were back calculated using the FEM method 6 CONCLUSION
as shown in Figure 15.
By studying Figure 15 for the failure case, it is The physical modelling test using the sand tank
found that the critical exit gradient value ranges method is very useful to understand the piping phe-
between 0.64 to 0.84, for the failure case with SP, and nomenon and its process and development. As observed
between 0.55 to 0.65, for the failure case without SP. from the tests done for Old Assiut Barrage, the boiling
With that and using the actual critical exit gradient of of sand started with the movement of sand particles in
around 0.94, the F.O.S with the usually used admissible vertical direction at the D/S side after reaching a cer-
exit gradient of 0.14 (Khosla 1936) lies between 4.6 to tain critical water head at the U/S side. After boiling
the failure case without SP for the dense sand state. and with the further increase of the water head and
Theoretically, the value of 0.14 was calculated using time, the movement of sand particles was forwarded
F.O.S  7 for the average saturated unit weight of fine to the backward direction forming a small canal (pip-
sand of around 10 kN/m3. It is noticed that for the low ing canal) in between the contact surface of the model
depth of sand the F.O.S is much lower than 7 and for bed and the upper surface of the sand body. This canal
the higher depth of sand it is approaching 6 which is allowed the continuous flow of water with sand parti-
almost the same as suggested by Khosla (1936). cles towards D/S. Ultimately, the system failed when
The use of high F.O.S  7 as by Khosla was sug- the piping canal reached the U/S side causing drastic
gested to cover some unforeseen factors like the ero- flow of water with sand towards the D/S through it
sion and the scour holes at the D/S and the effect of forming about 2 cm thick canal just beneath the model.
the 3-D local weak points and the local changes in the As observed, the foundation system when having SP
soil properties. As seen in these physical investigations, requires much more time and disturbance to cause the

813
failure process than the system without SP. This justi-
fies the previous experience that gives high value to the
SP especially the D/S one. Also these physical model-
ling tests carried out in this research justify the effect of
the depth of the sand layer under the foundation. The
results of the physical tests are in accordance with the
results of the FEM models (the deeper the sand depth
layer is the less the water head difference is).
From previous experience and as found from dif-
ferent modelling tests, it is needed to disturb the sand
at the D/S in order to cause a favourable environment
for boiling process. In this research, the disturbance
was done using a thin needle at the D/S side with
depths between 3 and 7 cm. The disturbance was done
three times (in the middle and at both sides just D/S
the solid floor) before increasing the water head. If
not using such disturbance, the boiling and piping
process required much higher head and the critical
exit gradients reaches values more than 1. This head
was not examined due to the limited height of the
flume, which was used for the physical models. In
previous research work done by Hüttl et al. (1992),
the critical exit gradient without disturbance reached
values between 2.55 to 2.8 for the fine sand case.
A limit of 0.17 for the allowable exit gradient is rec-
ommended if designing the barrages using the FEM
for the case of fine sand soil. This limit introduces a
reasonable F.O.S of around 3 knowing that this value is
obtained when investigating the D/S erosion; scour
holes and the 3-D effect by D/S disturbance. It is nor-
mally not possible to include physical modelling tests
for the existing River Nile Barrages, due to the limited
dimensions of the normal used flumes, as their founda-
tion systems are much longer and complicated than the
Old Assiut Barrage section. The FEM is capable to
include all the difficult geometry and boundary condi-
tions of these cases and as described from the compari-
son with the physical models, the results of the FEM
are reasonable and are enough to judge on the design.
814
It is then recommended to use always the FEM with
allowable exit gradient value of 0.17 to design the
foundation of the hydraulic structures against piping
for the case of fine sand soil.
REFERENCES
Achmus, M., Mansour, B. G. S. (2003). Comparing Finite
Element and Empirical Analysis Methods for Assiut
Barrage Apron, International Journal of Hydropower and
Dams, Issue 3, Aqua
Media International Ltd, Surry, UK.
Davidenkoff, R. (1970). Unterläufigkeit von Stauwerken,
Werner – verlag, Düsseldorf.
Hüttl, T., Herrmann, R., Hilmer, K. (1992). Modellversuche
zur Rückschreitenden Erosion in gleichkörnigen rolligen
Böden unter bindiger Deckschicht, Eigenverlag LGA,
Nürnberg.
Hanses, U., Müller-Kirchenbauer, H., Savidis, S. (1985). Zur
Mechanik der rückschreitenden Erosion unter Deichen
und Dämmen, Bautechnik, 5/1985, Verlag Ernst & Sohn,
Germany.
Khosla, A. N., Bose, N. K., Mckenzie, E. T. (1936). Design
of Weirs on Permeable foundations, India Central Board
of Irrigation, September 1, n 12, page 178, India.
Müller-Kirchenbauer, H., Müller, M., Schlötzer, C. (2000).
Neuere Erkenntnisse zur Mechanik der rückschreitenden
Erosion, 2. Kolloquium Bauen in Boden und Fels,
Technische Akademie Esslingen, 18, 19 January 2000,
Germany.
Müller-Kirchenbauer, H., Rankl, M., Schlötzer, C. (1992).
Mechanism for Regressive Erosion Beneath Dams and
Barrages, Proceedings of the First International
Conference “Geo-Filters”, 20–22 October 1992,
Karlsrue, Germany, 1993 Balkema, Rotterdam.
Sellmeyeijer, J., B. (1988). On the Mechanism of Piping
Under Impervious Structures, Technical University of
Delft, the Netherland.
Weijers, J., B., A., Sellmeijer, J., B. (1992). A New Model to
Deal with the Piping Mechanism, Proceedings of the First
International Conference “Geo-Filters”, 20–22 October
1992, Karlsrue, Germany, 1993 Balkema, Rotterdam.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Hydraulic characteristics of stepped spillway in

Haraat earth-fill dam

F. Golzari Rahatabad
Dep. of Hydraulic Structures, Water Research Institute, Tehran, Iran

ABSTRACT: Haraat project, is a 50 m high zoned earth-fill dam under construction in southeast of Yazd
province in central part of Iran. The spillway is separately located on the right abutment consists of: a free ogee
crest connected to a flat prismatic stepped chute with a constant width of 65 m and a longitudinal slope of 10.5o.
The spillway was designed based on 550 m3/s spilling discharge and was checked with 1050 m3/s. The step
height and step length were originally designed to be 1.3 m and 6.75 m respectively. A 21 m long horizontal slab
was initially considered as a stilling basin located at the terminal of stepped chute to dissipate the residual kinetic
energy of the spilling flow. The exit flow from the slab is conveyed to downstream river channel by means of a
500 m long steep natural channel. In order to measure the hydraulic characteristics of the flow on the initial
design of stepped spillway and to control its convenient performance during the operation time, a 1:20 scale par-
tial physical model of the stepped spillway was constructed in hydraulic laboratory of Water Research Institute.
This paper presents the investigation of hydraulic performance of stepped spillway in Haraat dam and its mod-
ifications by means of physical modeling. Based on the results gained from the model study of the initial
stepped chute, the variation of nappe, transition and skimming flow regimes as well as flow parameters such as:
water depth, velocity and hydrodynamic pressure distributions were obtained and analyzed. Accordingly, the
rate of energy dissipation along the steps and the residual energy after the last step were evaluated. The primary
tests showed that transition flow regime occurs in a wide range of operating discharges and the residual energy
after the last step is large enough to cause erosion potential at the end of the horizontal basin. Thereafter, sec-
ond variant of stepped chute with 23 steps was suggested in which step dimensions (length and height) have
been reduced to half of the initial values. The second series of model tests showed a more convenient situation
in which the zone of transition flow regime was reduced to a thin range of lower operating discharges. However
the maximum rate of energy dissipation on the steps have not been reduced, which caused to suggest a second
energy dissipator to reduce the erosion potential of exit flow. Analysis of flow regimes and pressure fields in
both alternatives of stepped spillway, confirmed the observations of previous scientists.

1 PROJECT SPECIFICATIONS
1.1 Prototype
Haraat project, consists of a 50 m high zoned earth-fill
dam under construction in southeast of Yazd province
on Azam river. The spillway is separately located on
the right abutment consists of: a free ogee crest con-
nected to a flat prismatic stepped chute with a con-
stant width of 65 m and a longitudinal slope of 10.5o.
According to the project layout and spillway align-
ment, stepped chute type has been preferred instead
of a conventional chute spillway and its longitudi-
nal slope was selected based on existing natural
ground line. The profile of spillway crest was designed
according to U.S. Bureau of Reclamation standard
with equation: y 
0.1835x1.772. Stepped spillway
was designed based on 1000-yr return period flood,
which is equivalent to 550 m3/s spilling discharge and
was checked with 10000-yr return period flood which
is equivalent to 1050 m3/s spilling discharge.
Initial design of stepped chute consisted of 12 equal
steps each had 1.3 m height and 6.75 m length respec-
tively. Therefore the ratio of step height (hs) and step
length (Ls) for initial design has been 0.193. A 21 m
long horizontal apron was considered as a stilling basin
located at the terminal of stepped chute to dissipate
the residual kinetic energy of the spilling flow.
The exit flow from the slab is conveyed to down-
stream river channel by means of a 500 m long steep
natural channel.

815
 The specifications of stepped chute at initial design
are shown on Figure 1.
1.2 Model
In order to measure the hydraulic characteristics of the
flow field on the initial design of stepped chute, to con-
trol its convenient performance during the operation
time, and to find the domain of occurrence of flow
regimes, a 1:20 scale sectional (physical) model of the
stepped chute was constructed in hydraulic laboratory
of Water Research Institute. According to the labora-
tory limitations, only 11 m of the prototype chute width
was simulated in the model. According to some of the
researchers (Kobus 1984, Chanson 2004, Andre 2004),
the model scale is in the range of 1:5 to 1:30, which may
guarantee for overcoming scale effects in the air-water
mixture flow. Whole of the chute steps and its sidewalls
was constructed in model from plexi-glass. Upstream
inflow disturbances were reduced by using a relatively
large rectangular reservoir and installing several
screens by which a parallel flow developed in the spill-
way approach channel. A 6 m long rectangular flume
was connected to the end of the horizontal apron for
simulation the terminal flow through the inclined nat-
ural channel.
2 INVESTIGATION OF INITIAL DESIGN OF
STEPPED CHUTE
2.1 Flow patterns and flow regimes
The main purpose of this section of tests was to find the
probable domain of occurrence of flow regimes over the
steps during spillway operation. By passing a sequence
of flows over the spillway from 50 to 1050 m3/s, flow
patterns of Nappe flow, Transition flow and Skimming
flow regimes, were observed over the steps. Upper
and lower bounds of these flow regimes were found by
observation of their visual characteristics and were
compared with the latest experimental relationships
(Chinnarasri 2002, Chanson 2004), although in some of
recognitions, such as for Transition flow regime, there
is not yet a universal criterion (Elviro & Mateos 1995,
Ohtsu & Yasuda 1997, Chanson & Toombes 2004).

Figure 2. A view of NA3 regime (Q  100 m3/s).

Figure 1. Specifications of stepped chute at initial design.

Table 1. Classification of observed flow regimes over initial design of stepped chute.

Q(m3/s) q(m2/s) dc(m) dc/h Flow Regime (Exp.) Flow Regime (Comp.)*

100 1.54 0.62 0.48 NAPPE (NA3) NAPPE (NA1)

150 2.31 0.82 0.63 NAPPE (NA3) NAPPE (NA1)
200 3.08 0.99 0.76 NAPPE (NA3) NAPPE (NA3)
264 4.06 1.19 0.91 TRANSITION (TRA)** TRANSITION (TRA)
300 4.62 1.29 1.00 TRANSITION (TRA) TRANSITION (TRA)
400 6.15 1.57 1.21 TRANSITION (TRA) SKIMMING (SK1)
500 7.69 1.82 1.40 TRANSITION (TRA) SKIMMING (SK1)
550 8.46 1.94 1.49 TRANSITION (TRA) SKIMMING (SK1)
600 9.23 2.06 1.58 TRA-SKI*** SKIMMING (SK1)
700 10.77 2.28 1.75 TRA-SKI SKIMMING (SK1)
800 12.31 2.49 1.92 TRA-SKI SKIMMING (SK1)
900 13.85 2.69 2.07 SKI SKIMMING (SK1)
1000 15.38 2.89 2.22 SKI SKIMMING (SK1)
1050 16.15 2.99 2.30 SKI SKIMMING (SK1)
1457 22.42 3.71 2.86 SKI-GVF SKIMMING (SK1)

816
 The classification of observed flow regimes in the
model for initial design of stepped chute is shown in
Table 1. The author, preferred to apply Chanson nota-
tions used for definition of flow regimes and sub-
regimes over steps.
It was found that for lower discharges (less than
300 m3/s), the observed flow regimes are the same as
those estimated by experimental formula but for larger
discharges, the observations showed different flow
regimes.
For discharges less than 264 m3/s, A Nappe flow
regime without formation of hydraulic jump (NA3)
was observed over the steps. Figure 3, shows a two
dimentional view of NA3 regime, over typical steps in
100 m3/s. A gradually varied flow (solid flow) passes
over the ogee crest of spillway and step-1. At the edge of
step-2, water depth is lower than critical depth (y 
0.35 m  yc  0.62 m) and a decelerating supercritical
flow develops downstream of impacted free nappe.
The Transition flow regime (TRA) extends from
lower discharges up to design discharge (550 m3/s).
This flow regime is characterized by a chaotic flow
behavior and severe water splashing on each step
except for the first few steps in which the free surface
is undular in phase with the stepped geometry. At low
Q =264m
10
RE-CIULATNGBS
Figure 3. A view of TRA flow regime (Q  264 m3/s,
steps-1,2).
Figure 4. A view of TRA regime (Q  264 m3/s, D/S steps).
flow rates (i.e. 264 m3/s or dc/hs  0.91), the existing
air cavity shapes alternate from step to step. Further-
more, onset of free surface aeration can be clearly
recognized by direct observation of high-speed pho-
tographs (Figure 3). Re-circulating vortices with hor-
izontal axis were found in the corner of primary steps
between solid flow and nappe shaped flow. In the aer-
ated flow region, the nappe impact, stagnation point
and the spray and water droplet ejection are notable
(Figure 4).
At design discharge (550 m3/s or dc/hs  1.49), the
flow over the first four steps may be considered as
gradually varied flow (solid flow) with regular and
smooth free surface undulations in phase with the
stepped geometry. Free surface aeration, starts from
step-5, together with severe water splashing. The flow
characteristics of downstream steps are fluctuating
nappes with filled cavities and re-circulating bubbly
flow in their corner (Figure 5). Those characteristics
3 /S
VARIBLECTS
Figure 5. A view of TRA flow regime (Q  550 m3/s).
817

Figure 6. A view of Skimming flow regime (Q 
1050 m3/s).
Figure 7. A view of horizontal extension of re-circulating
vortices under the pseudo-bottom line (Q  1050 m3/s,
steps-10).
refer to a Transition flow regime (TRA), which can-
not be estimated by existing onset criteria. As the water
does not seem to form a coherent stream, which skims
over pseudo-bottom, it cannot be considered as Skim-
ming flow regime.
For larger discharges (dc/hs  1.92), the signs of
Skimming flow regime on flat steps (SK1) showed
that the flow has been surely passed from Transition
regime, i.e., the flow skimmed over the pseudo-bot-
tom from by step edges. For 1050 m3/s (dc/hs  2.30),
from ogee up to step-7, the flow was non-aerated and
the free surface exhibited an undular profile in phase
with the stepped invert profile (Figure 6). Free surface
aeration was observed from step-7 and intense cavity
re-circulation was found in the corner of all remained
steps. However, injecting dyes showed that the hori-
zontal extension of re-circulating vortices in side view
is less than half-length of each step (Figure 7). For
818
higher discharges, the flow tends to a conventional
chute flow.
2.2 Water surface profile and pressure
distribution on steps
The main hydraulic parameters were measured on the
steps during model studies include: water depth (d),
average pressure head (hp), dynamic (fluctuating) pres-
sure head and average velocity (V ).
2.2.1 Water surface profile
Water depths were measured by a point gauge on the
steps upstream of inception point of free surface aer-
ation. For downstream steps under aeration zone, high-
speed photographs have been used. In aerated flow
region with high degree of turbulence intensity, meas-
urement of water depths with conventional methods is
impossible. The results showed that existing chute
side walls in primary design are high enough to pass
all probable spilling discharge, even though, some free
board should be added to the measured values of water
depths, due to flow bulking of aerated flow in the pro-
totype as well as severe water splashing in Transition
flow regime.
2.2.2 Pressure head distribution on steps
In order to measure pressure head distribution on the
steps, numerous piezometers have been installed on the
centerline of the steps and connected to manometer
board individually. Pressure head distribution on the
steps at minimum to maximum flow rates (50 to
1050 m3/s); show some regular pattern for each flow
regime. In Nappe flow regime, on each step, except for
step-1, a bell-mouth shaped pressure distribution was
obtained which is similar to the pressure distribution at
the impact zone of a plunging nappe. The maximum
pressure on each step was found to occur in the middle
point of the step, which is the impact point of the falling
nappe. The similar bell-mouth pattern was also found
for pressure distribution on the steps under Transition
and Skimming flow regimes. Again, the maximum
values of pressure distributions were found to occur in
the middle point of each step near the impact point of
submerged nappes. Figure 8, shows pressure distribu-
tions on typical steps for 260, 550 and 1050 m3/s.
2.2.3 Dynamic pressure head fluctuations
In order to measure and record pressure fluctuations
on the steps, selected piezometers were connected to
a data acquisition system by proportional 75 m bar
pressure transducers. The resulted time series of pres-
sure fluctuations were recorded at a rate of 200 sam-
ples per second. The statistical analysis of pressure
fluctuations, showed that in Transition flow regime
which has been surely occurred in Q  260 m3/s, the
maximum values of root mean square of pressure
 Figure 9. Distribution of the maximum RMS-values along
the steps.

Figure 10. Variation of statistical specifications of pres-

sure fluctuations along stepped chute (Q  1050 m3/s).

Figure 8. Pressure head distrib. on typical steps (Q  264,

550 and 1050 m3/s).

fluctuations ( ), was found to occur near the section

of inception point of surface aeration and its variation
trend has some alternate changes on downstream steps.
This behavior may be described based on chaotic and
rapid variations of the flow properties on the step
faces as was previously found by Chanson (2004). For
Skimming flow regime, which was observed in Q 
1050 m3/s, the root mean square of pressure fluctua-
tions increases along the steps up to onset of surface
aeration and after that varies slowly in fully aerated
flow region. Comparing standard deviation, represen-
tative of the pressure fluctuation reveals that the
Transition flow regime has the highest pressure fluc-
tuations measured, especially for few steps downstream
of inception point of surface aeration. For Skimming
flow regime, the pressure fluctuations were found to
be lower (Figure 9).
Figure 10, shows the pattern of a non-dimensional
pressure index along stepped chute. Investigation of
recorded pressure fluctuations on steps that can be
Figure 11. Schematic drawing of the location of maximum
pressure fluctuation on typical steps.
represented by scatter diagram of time series showed
that the maximum fluctuation occurs near the middle
of the horizontal step face. This may be observed from
the recorded high pressure fluctuations associated with
the jet impact (Nappe or Transition flow regimes) or the
boundary region between the jet impact on the hori-
zontal face and the re-circulating vortex (Transition
or Skimming flow regime). Location of maximum
recorded pressure fluctuations on typical steps, is
shown in Figure 11. It is interesting to mention that no

819
significant negative pressure peaks have been recorded
on the steps. These findings are similar to previous
works of Andre (2004).
3 INVESTIGATION OF SECOND VARIANT
OF STEPPED CHUTE
In second variant of stepped chute, the number of steps
on the initial slope was increased up to 23 steps, each
one has 3.375 m length and 0.65 m height, which is half
of the initial step dimensions. Geometric specifications
of second variant of stepped chute can be expressed
as follows:
(1)
where Ns  number of steps; hs  step height;
Ls  step length and indexes 1 and 2 refer to initial
and second variants of stepped chute respectively.
In the new variant of stepped spillway, the upper
limit of Nappe flow regime (NA3) was observed to be
limited up to 80 m3/s. The flow regime passed over
the ogee crest up to steps-2, is a form of gradually
varied flow without any chaotic appearance. At the
edge of the second step, supercritical flow (y-0.23 m
 yc  0.39 m), drops in form of a Nappe on the bot-
tom of the next step which is the threshold of develop-
ing Nappe flow regime without formation of hydraulic
jump (NA3) on the remained steps. In downstream
steps, the longitudinal section of air cavities under
nappes, seems to be unsteady due to increasing velocity
and turbulence intensity. Figure 12, shows a two dimen-
sional view of NA3 regime, over typical upstream steps
for 50 m3/s. For larger discharges up to 264 m3/s,
unsteady form of falling nappes as well as severe
water splashing, shows the most famous specifications
of Transition flow regime (TRA) on steps. Fluctuating
nappes with filled cavities and re-circulating bubbly
flow (vortices with horizontal axis) in their corner.

3.1 Flow patterns and flow regimes

The sequence of spilling discharges from 50 to
1050 m3/s was passed over the spillway and occur-
rence of flow regimes was investigated. The classifica-
tion of observed flow regimes in the model for second Figure 12. A view of NA3 regime (Q  50 m3/s).
variant of stepped chute is shown in Table 2.

Table 2. Classification of observed flow regimes over second variant of stepped chute.

Q(m3/s) q(m2/s) dc(m) dc/h Flow Regime (Exp.) Flow Regime (Comp.)

50 0.77 0.39 0.60 NAPPE (NA3) NAPPE (NA1)

100 1.54 0.62 0.96 NAE-TRA TRANSITION (TRA)
150 2.31 0.82 1.26 TRANSITION (TRA) SKIMMING (SK1)
200 3.08 0.99 1.52 TRANSITION (TRA) SKIMMING (SK1)
250 3.85 1.15 1.76 TRANSITION (TRA) SKIMMING (SK1)
264 4.06 1.19 1.83 TRANSITION (TRA) SKIMMING (SK1)
300 4.62 1.29 1.99 TRA-SKI SKIMMING (SK1)
350 5.38 1.44 2.21 TRA-SKI SKIMMING (SK1)
400 6.15 1.57 2.41 SKIMMING (SK1) SKIMMING (SK1)
450 6.92 1.70 2.61 SKIMMING (SK1) SKIMMING (SK1)
500 7.69 1.82 2.80 SKIMMING (SK1) SKIMMING (SK1)
550 8.46 1.94 2.98 SKIMMING (SK1) SKIMMING (SK1)
600 9.23 2.06 3.16 SKIMMING (SK1) SKIMMING (SK1)
650 10.00 2.17 3.34 SKIMMING (SK1) SKIMMING (SK1)
700 10.77 2.28 3.50 SKIMMING (SK1) SKIMMING (SK1)
750 11.54 2.39 3.67 SKIMMING (SK1) SKIMMING (SK1)
800 12.31 2.49 3.83 SKIMMING (SK1) SKIMMING (SK1)
850 13.08 2.59 3.99 SKIMMING (SK1) SKIMMING (SK1)
900 13.85 2.69 4.14 SKIMMING (SK1) SKIMMING (SK1)
950 14.62 2.79 4.30 SKIMMING (SK1) SKIMMING (SK1)
1000 15.38 2.89 4.45 SKIMMING (SK1) SKIMMING (SK1)
1050 16.15 2.99 4.59 SKIMMING (SK1) SKIMMING (SK1)

820
In this aerated flow zone, the nappe impact, stagna-
tion point and the spray of water droplets are notable.
Figure 13, shows a two dimensional view of TRA
regime, over typical upstream steps for 264 m3/s. As
can be seen from table 2, recognizing TRA flow regime,
in model is different from that estimated by existing
onset criteria.
For Discharges larger than 300 m3/s (dc/hs  2.0),
the signs of Skimming flow regime on flat steps (SK1)
showed that the flow has been surely passed from
Transition flow regime, i.e., the flow skimmed over
the pseudo-bottom from by step edges. For 550 m3/s
(dc/hs  2.98), from ogee up to step-12, the flow was
non-aerated and the free surface exhibited an undular
profile in phase with the stepped invert profile. In
remained steps, skimming flow specifications can be
observed (Figure 14).
Again flow over a few of upstream steps before
inception point of free surface aeration, may be consid-
ered as gradually varied flow (solid flow) with smooth
free surface undulations in phase with the stepped
geometry. Observations in the model showed that, in
the second variant of stepped chute, the occurrence of
Figure 13. A view of TRA regime (Q  264 m3/s).
, root mean square) values of instanta-
Figure 14. A View of SK regime on typical steps (Q 
550 m3/s)
821
Transition flow regime is limited to discharges between
100 to 264 m3/s, which is considerably lower than
that was found in original design. In 264 m3/s, at the
edge of the step-4, supercritical flow (y  0.62 m 
yc  1.19 m), drops in form of a Nappe on the bottom
of the next step. Re-circulating vortices with horizon-
tal axis may be observed in the corner of step-5, after
which a rapidly varied flow with a fluctuating surface
develops. The specifications of flow field in down-
stream steps are:
3.2 Pressure head distribution on steps
Static pressure head distribution along second variant
of stepped chute was simply measured by manome-
ters connected to several piezometers installed on the
centerline of the steps.
A bell-mouth shaped pressure distribution was
observed on the steps of second variant similar to the
pattern found in the original design. Although this bell-
mouth pattern of pressure distribution is symmetric
along each step under Nappe flow regime (Q 
50 m3/s), but in Transition and Skimming flow regimes
the bell-mouth shape pressure distribution on each step,
gradually loses its symmetry and tends to have a skew
ness towards downstream step edge. This asymmetry
in pressure distribution on the steps increases with dis-
charge. Figure 15, shows a 2-dimensional pattern
of pressure distribution on typical upstream steps for
selected discharges. In addition, Figure 16 shows
variation of non-dimensional maximum piezometric
head along the centerline of horizontal faces of second
stepped chute and its comparison with the original
design. It seems, upstream of inception point of
free surface aeration, the pressures undergo a greater
variability than downstream, where the flow is fully
developed.
Measured pressures exhibit a wavy pattern on steps
down the chute, which is clear in Skimming flow
regime on the second variant of stepped chute. Ohtsu
& Yasuda (1997) have already found similar behavior,
in a 19-degree slope stepped chute.
3.3 Dynamic pressure head fluctuations
Recording pressure fluctuations on the second variant
of stepped chute was performed with similar config-
urations used for original design.
Statistical analysis of recorded time series of pres-
sure fluctuations on the steps showed that the variation
of RMS (
neous pressures along the centerline of the steps have
a typical behavior. The variation curve of RMS values
shows a steep slope for primary steps (i.e. upstream
of onset of free surface aeration) and a mild slope for
remained downstream steps. This behavior is clearly
shown in Figure 17.
 Q=10m 3 /s

Q=264m 3 /s

Q=50m 3 /s

Figure 16. Variation of non-dimensional maximum piezo-

metric head along stepped chute (comparing variant-1 and 2).

Q=105m 3 /s

Figure 17. Variation of maximum values of RMS of pres-

sure fluctuations ( ) along second variant of stepped chute.

those mentioned by Sanchez-Juny & Dolz (2003) who

investigated the relationship between flow patterns in
Figure 15. Pressure head distrib. on typical steps (Q  100, Skimming flow regime and the pressure field along a
264, 550 and 1050 m3/s). Few published pressure measure- 51-degree slope stepped chute.
ments over stepped chutes are available (Chanson, 2004).

In addition, it was found that, mean pressure heads 4 ENERGY DISSIPATION RATE ON STEPS
are always positive along the spillway and only mini-
mum pressure heads exhibit negative values, although The amount of residual energy at downstream end of
far from cavitation risk. These results are similar to stepped chute is of special interest for the design of an

822
Figure 18. The comparison of energy dissipation rate in
the two investigated stepped chute.
extra energy dissipator. The energy dissipation on the
stepped chute can be evaluated from the decrease in
the total energy head along the channel. Global energy
dissipation can be estimated by the so called: “indirect
method”. It consists in measuring the sequent depths
of the hydraulic jump formed at the toe of the chute to
estimate upstream sequent depth. This method already
applied by several researchers, is an adequate alterna-
tive for estimating the residual energy without encoun-
tering the difficulty of defining a representative depth
for the aerated wavy flow (Boes 2000, Andre 2004).
The residual energy head, HRes at the toe of stepped
chute is given by:
(2)
The correction factors due to non-uniform velocity
distribution and air entrainment were assumed unit.
The chute was wide enough to achieve two-dimensional
flow pattern.
Where d, is the clear water depth at the toe of stepped
chute and , is longitudinal slope angle. The energy
dissipation rate, is given by:
(3)
where Hmax is the total energy head at the dam crest.
Figure 18, shows the comparison of the relative energy
loss (energy dissipation rate) in primary design and
second variant of stepped chute.
It was found that the energy dissipation rate on
stepped chute is depending on several factors. In the
present study, the effect of flow regime and step num-
bers was investigated.
823
Figure 19. The comparison of residual energy head at the
toe of stepped chute in the two investigated variants.
The results in both variants of stepped chute showed
that the largest energy dissipation rates are observed
in Nappe flow regime and the lowest in Skimming
flows. In regions of Transition flow regime, as it follows
both characteristics of Nappe and Skimming flows, it
may be assumed that the resulting head losses are a
mixture of shear stress due to the impact of jets and
the non-well developed vortices.
Yasuda & Ohtsu (2000) noticed that the step height
has no significant effect on the energy dissipation rate
over the stepped chute. Boes & Minor (2000) also
concluded that effect of step height in the energy dis-
sipation efficiency over stepped chute is negligible.
The comparison of same slopping stepped chutes with
different number of steps in the present study, showed
that the energy dissipation is a little higher with a
smaller number of steps especially for Transition and
Skimming flow regimes.
The results also showed that, even though the energy
dissipation rate down the stepped chutes decreases
with increasing discharges, however the residual energy
head at the toe of stepped chute, produce high veloci-
ties which may cause retrogressive erosions. According
to the model results, designing a secondary energy
dissipator was recommended to the owner. Figure 19,
compares the variation of residual energy heads at the
toe of stepped chutes as a function of non-dimensional
critical depth.
5 CONCLUSIONS
In this paper, the experimental works on hydraulic
model of Harat dam stepped spillway are reviewed.
Two variants of same flat slope stepped chute with
different number of steps were investigated in a 1/20
scale sectional hydraulic model. Experimental studies
were performed in a full range of discharges from
minimum operating discharge up to PMF discharge.
Classification of observed flow regimes and sub-
regimes was compared with some of the latest onset
relationships and showed some differences between
observing based and formula based flow regimes. The
main differences were found in Transition flow recog-
nitions. The results showed that increasing number of
steps on the same slope stepped chute may effectively
change the flow regimes in the range of operating dis-
charges. As in the investigated stepped chute, halving
the step heights and step lengths, reduced the domain
of occurring Transition flow over the steps.
Measuring dynamic pressure fluctuations on the
steps and their statistical analysis, showed the high
degree of fluctuations in Transition flow regime espe-
cially on few steps downstream of inception point of
surface aeration. A specific pattern of pressure distri-
bution was found on the steps in all flow regimes. The
symmetric bell-mouth shaped pattern per step for lower
range of discharges may change to asymmetric shapes
for higher discharges.
It was found that increasing the number of steps or
reducing step height reduces the energy dissipation
rate with increasing discharge. Although the range of
energy dissipation rate for the second variant of stepped
chute was measured from 40% to 89%, but based on
824
existing project layout the residual energy head at the
toe of stepped chute is high enough to require a sec-
ondary energy dissipater.
REFERENCES
Andre, S. 2004. High velocity aerated flows on stepped
chutes with macro-roughness elements. Prof. Dr. A.
Schleiss (ed.), Communication 20. Lausanne: Laboratoire
de Constructions Hydrauliques, EPFL.
Boes, R.M. & Minor H.-E. 2002. Hydraulic design of
stepped spillways for RCC dams. International Journal
of Hydropower & Dams. 9 (3): 87–91.
Chanson, H. & Toombes, L. 2004. Hydraulics of stepped
chutes: The Transition flow. Journal of Hydraulic Research.
Vol.42, No.1: 43–54.
Chanson, H. 2004. The hydraulics of stepped chutes & spill-
ways. Rotterdam: Balkema.
Chinnarasri, C. 2002. Assessing the flow resistance of skim-
ming flow on the step faces of stepped spillways. Dam
Engineering.
Elviro, V. & Mateos, C. 1995. Spanish research into stepped
spillways. Int. Journal of Hydropower & Dams. 2(5):
61–65.
Kobus, H. 1984. Local air entrainment and detrainment.
H. Kobus (ed.), Proc. of symposium on scale effects in
modelling hydraulic structures. Vol.4.10: 1–10. Esslingen,
Germany
Ohtsu, I. & Yasuda, Y. 1997. Characteristics of flow condi-
tions on stepped channels. Proc. 27th IAHR Biennal
Congress, San Francisco, USA. Theme D: 583–588.
Sanchez-Juny, M. & Dolz, J. 2003. Characteristics of the
pressure field over a stepped spillway in roller compacted
concrete dams. Roller Compacted Concrete Dams. Berga
et al. (eds). Swets & Zeitlinger: 697–700.
Yasuda, Y. & Ohtsu, I. 2000. Characteristics of plunging
flows in stepped channel chutes. H.-E. Minor & W. Hager
(eds). Proc. of the Int. Workshop on Hydraulics of
Stepped Spillways, IAHR, Zurich, Switzerland: 147–152.
Rotterdam: Balkema.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Effect of number of layers on incremental construction analysis of earth

and rockfill dam

S.M.A. Zomorodian
Water Engineering Department, Shiraz University, Shiraz, Fars, Iran

K. Sahebzadeh & A. Torabi Haghighi

Water Department, Shiraz, Fars, Iran

ABSTRACT: The construction period and the end of construction have an important effect on the design and
the performance of earth and rockfill dams. It has been known pore water pressure developed during this time in
the impervious section is an important factor in slope stability analysis of dams. In this paper the parameters, which
their values significantly change with selecting different numbers of layers in computer model simulation of dam,
are investigated. Sange Siah earth dam is analyzed with different numbers of layers and then results are compared
with several other real cases. From these results one can propose that the minimum number of layers, which must
be included in the analysis of earth dam with vertical clay core, is equal to ten. The slope stability analysis in this
research is done with Geo-slope software.

1 INTRODUCTION of construction layers a case study is done on Sange Siah

As a part of the design process of earth or rockfill dams
the engineer must estimate the movements, strains,
and pore water pressures which may develop in the dam
at various times in its life. Under certain conditions
during and at the end of construction, the embankment
compression due to weight of the overlying fill causes
high saturation degree of clay core materials and there
is not enough time to dissipate pore water pressure.
Therefore, high pore water pressure may develop in
the impervious sections of earth dams and it may con-
trol the design of the dam from the standpoint of slope
stability, deformation, and hydraulic fracture. The pre-
diction and the control of pore water pressure have a
significant effect on the performance of dam.
Since numerical methods especially the finite ele-
ment has a capability to analysis nonlinear stress-strain
including complicated boundary conditions, irregular
geometry, and some different conditions can imple-
ment. The study of the observed deformations, stress
and pore pressure distribution and finally interpretation
of the result led to evaluate true dam behavior. In this
paper the effect of numbers of construction layers in
computer model simulation of dam with considering
time, drainage direction, and decreasing pore water
pressure (due to consolidation) are investigated. At the
end results from the point of view of different parame-
ters are compared. To investigate the effect of numbers
dam, which is an earth dam with vertical clay core.
The analysis is done by Geo-slope software, which is
based on the finite element. This program is capable
of doing slope stability analysis by limit equilibrium.
And doing total and effective stress also consolidation
analysis and stage construction model. The principle
is used in the Geo-slope software is based on the unsat-
urated soil mechanics Fredlund (1993) and geotechni-
cal earthquake engineering, Karmer (1996).
2 STUDY OF EMBANKMENT ANALYSIS
WITH DIFFERENT NUMBER OF LAYERS
Earth and rockfill dams usually raise about 15 cm
thickness per day. Therefore numerical modeling of
stage construction of an embankment requires a thicker
layer. The number of layers which is required depends
on the data and capability, precision and computation
time of computer program. To study foundation of
embankment only a few number of layers is required.
Since the stress and displacement are not sensitive to
numbers of layer. Therefore, the assumption that the
embankment is constructed in one layer is sufficient.
But for embankment more layers is necessary. To
compute stresses several layers or even one layer and
for displacement more layers in needed. In the analy-
sis of large earth dam usually ten layers are used. This

825
number of layers can be reduced without effect on the
results. Naylor and Jones 1973 are shown for the
embankments that its width in comparison with height
are large (1 D) using five layers gives good approxima-
tion as comparing with infinite layers of soil with high
nonlinear behavior. There is not any agreement between
predicted displacements in one layer model with actual
displacements. The maximum predicted settlement for
one layer model occurred at the crest but actual max-
imum settlement is about center of the embankment
Naylor & Pond (1981). It follows from the fact that the
lower portion of the dam consolidates partly or com-
pletely, with the development of respective settlements,
while the upper portion is still under construction
Kutzner (1997). Vertical stress components at the
embankment can compare with stress from analysis
of several stages construction Naylor & Pond (1981).
Table 1. Material properties of different zones of Sange
Siah dam.
kH
E mv
Material km/s kV kPa v e
Clay 1.16  10
9 9 5000 0.4 0.65
Core
Shell 9.26  10
5 9 15000 0.35 0.49
Filter 2  10
4 9 100000 0.3 0.44
Kinda dam is a rockfill dam with vertical clay core
built on incompressible rock. Its height is about 72.6 m
and maximum width at the bottom is 315 m and clay
core width is 54 m. The upstream slope is combination
of 2:1.5 and 1:1.8 and downstream slope is 1:1.9.
Material type and range of plasticity used for Kinda clay
core are similar to Sange Siah dam. The finite element
simulation of Kinda dam was done in 9 steps in which
height varies between 5.5 to 9.1 m Kutzner (1997).
3 SANGE SIAH DAM AND ITS MATERIAL
PROPERTIES
Sange Siah dam is an earth dam with vertical clay
core. It is constructed on Jam Sange Siah river located
in Kurdistan of Iran. A maximum height of 33 m from
bedrock and crest length of 351.6 m and the crest
width is 10 m. The maximum width at bottom is
180.5 m. The upstream and downstream slope is 1:3
and 1:2.5 respectively. The clay core has a slope of
1:0.25 and maximum width of core is 19.5 m.
Materials properties of Sange Siah dam is given in
kPa
1 Table 1. Linear elastic model is used to analyze the dam
behavior. Geo-slope software has capability to intro-
10
2 duce material properties close to field condition and
unlike other software enable to analyze unsaturated
10
2
10
2 medium. The finite element mesh of dam with thick-
ness of 1 m is shown in Figure 1.

Figure 1. Finite Element Mesh of Sange Siah Dam.

Table 2. Maximum values of some parameter from analysis of tenth models of Sange Siah Dam.

Vertical Total stress Total stress Effective stress Effective stress Pore pressure Shear stress
Steps deformation (X) (kPa) (Y) (kPa) (X) (kPa) (Y) (kPa) (kPa) (X–Y) (kPa)

1 0.515 355 621 311 577 116 64

2 0.442 363 634 326 588 67 69
3 0.462 360 635 321 595 55 68
4 0.439 360 636 322 599 52 67
5 0.442 359 634 321 597 50 67
6 0.404 358 634 321 596 49 67
8 0.397 357 632 321 596 48 66
10 0.380 357 630 319 593 47 66
15 0.367 356 628 318 590 47 65
31 0.348 360.4 626 309 574 51 64

826
Figure 2. Development of core settlements in Sang Siah dam at different level during construction at 0.25 H, 0.5 H, 0.75 H
and end of construction for selecting different number of layers.

827
Figure 3. Settlement distribution for a model with different number of layers a)1, b)3, c)5, d)8, e)15, f)31.

828

Figure 4. Rockfill dam (Kinda) with vertical earth core on
incompressible rock. Development of core settlements due
to load Kutzner (1997).
To ensure high precision this small thickness is
selected. In this study 10 models with different num-
bers of layers are analyzed. The numbers of layers are
1, 2, 3, 4, 5, 6, 8, 10, 15, and 31. The total construc-
tion time 186 days is selected. In each stage time for
construction of each layer to allow drainage is define.
For example in a model with 31 layers time for con-
struction each layer is 6 days. The maximum values of
some parameters, which control the analysis of above
models, are shown in Table 2. If the analysis of 31 lay-
ers model, which has the minimum thickness for each
layer and has close result is compared with computed
model and observed measurement of Kinda dam con-
sidering as a criteria.
The difference between total, effective and shear
stresses of these models are negligible. But difference in
vertical settlement and pore water pressure is signifi-
cant. The percentage difference of pore water pressure
for 31 layers model compare to 1, 2 and 3 layers
model are 127%, 31% and 7% respectively and for
other models the difference is negligible. As the num-
ber of construction layers increases percentage differ-
ence of vertical settlement from 1 to 31 layers model
decreases and are equal to 48%, 27%, 23%, 33%,
26%, 21%, 16%, 14%, 9.2%, and 5.5% respectively.
But it must be noted these values show distribution of
parameters in different part of dam. Figure 2 shows
settlement of central core at different level during
829
Figure 5. Computed lines of equal vertical settlements
(cm) at end of construction Kutzner (1997).
construction at 0.25 H, 0.5 H, 0.75 H and end of con-
struction for selecting 1, 2, 3, 6, 8, 15, 31 layers in a
model. Construction stages at level of 0.25 H is com-
pleted after 48 days, level of 0.5 H after 96 days, level
of 0.75 H after 138 days and end of construction after
186 days. The result of these tenth models in form of
contour line can be shown. Vertical settlement for 1,
3, 5, 8, 15, 31 layers models are shown in Figure 3.
From these contour line one can observe that definition
one or several layers model has not significant effect on
distribution of all mention parameters except vertical
settlement.
4 CONCLUSIONS
The result of pore water pressure for dam analysis
with one layer model is conservative and is not useful
for true evaluation or even economical evaluation of
dam. In general if the objective of study is stresses one
can use single layer in analysis. From diagrams of dam
settlement verses height for analyzing with 2, and
more layers is observed that approximately concen-
trated settlement in each stage located at mid thickness
of that layer. Comparing Figure 5 for 2 and more lay-
ers models with Figure 4 which shown for Kinda dam,
it is observed that concentrated settlement located at
0.5–0.7 H (H  dam height). Since it follows from
the fact that the lower portion of the dam consolidates
partly or completely, with the development of respec-
tive settlements, while the upper portion is still under
construction and with increases number of layers in
models concentrated settlement moved to mid height
of dam. Comparing estimated and observed the result
of Kinda and Masjed Soliman dam (in Iran with
177 m height and using 17 layers in modeling of dam
Jafarzadeh & Talebi (2002) an earth dams with vertical
core with analysis of Sange Siah dam one can recom-
mended that at least number of layer for reasonable
results at numerical model is equal 1/9–1/10 H. It must
be mentioned that this study is done only for dams with
vertical clay core without considering foundation in
analysis competent foundation.
REFERENCES
Fredlund, D.G. (1993). Soil Mechanics for unsaturated soils.
Wiley-Inter science.
Jafarzadeh, F. & Talebi, M. (2002). Evaluation of Rockfill
Dam with Unsaturated Clay Core During Construction.
Third Iranian International Conference on Geotechnical
Engineering & Soil Mechanics Tehran, Vol. 2,
pp. 308–314.
Kutzner, C. (1997). Earth and Rockfill Dams. Rotterdam:
Balkema.
830
Naylor, D. J. & Pond, G.N. (1981). Finite Element Method in
Geotechnical Engineering. Mir publishers.
Wheeless, L. D. & Sowers, G. F. (1972). Mat Foundation and
Preload Fill, Va Hospital, Tampa. Proceedings, Speciality
Conference on Performance of Earth and Earth-
Supported Structures, ASCE, Vol. 1, Part 2, pp. 939–951.
Kramer, S.L. (1996). Geotechnical Engineering. Prentice-
Hall international series in civil engineering and engi-
neering mechanics.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Effects of gypsum karstification on the performance of Upper Gotvand

dam, 2D and 3D approaches

J. Sadrekarimi, M. Kiyani & B. Fakhri

Faculty of Civil Engineering, University of Tabriz, Tabriz, Iran

ABSTRACT: Upper Gotvand dam is constructed on the Karun River at the south west of Iran. In this paper,
2D and 3D models of the dam together with the foundation and abutments were established and several seep-
age analyses were carried out. Then the gypsum veins that are scattered throughout the foundation ground were
included in the models and the seepage pattern, considering the dissolution law of gypsum, was analyzed. It was
disclosed that, the discharge fluxes obtained from 2D and 3D analyses are not similar and the discharge flux in
3D model is about 4 times that of the 2D model. Also, the 3D model locates the phreatic surface some what
upper than the 2D model does. This means that the 2D model estimates lower pore water pressure pattern in
comparison with the 3D model. These may be attributed to the fact that with 2D model the lateral components
of vectors of seepage velocity are ignored. In the current case, the rate of increase of discharge flux due to dis-
solution of gypsum veins was obtained to be a third order function of the aperture width. In spite of the fact that
the grout curtain is designed to be some 170 meters deep, however, complete dissolve of gypsum will severely
increase the discharge flux through the foundation ground.

1 INTRODUCTION Accordingly in engineering practice in order to esti-

It is estimated that gypsum or anhydrite deposits under-
lie approximately 25% of the land surface. Only 10%
of these deposits outcrop. At these outcrops, or where
gypsum or anhydrite strata occur in depths of a few
100 m, gypsum karst has evolved. Therefore exten-
sive areas of gypsum karst exist world wide (Jeshke
et al. 2000; Ford & Williams et al. 1994). Some of the
problems caused by the dissolution of gypsum and
anhydrite in a dam construction site would be such as:
gradual increase of seepage rate through dam abut-
ments and foundation ground, dam breakage because
of intensive leakage through foundations, making the
dam reservoir unusable because of intensive water
escape through large leakage paths, strength reduc-
tion in foundation ground because of the gypsum dis-
solution, and concrete structures destroy because of
the sulfated water caused by dissolution of gypsum and
anhydrite(Calcano & Alzura, 1967). Saint Francis and
San Fernando in California State of the USA are two
examples of the damaged dams due to the gypsum
and anhydrite wash away. One of the solutions to pre-
vent such problems is to deploy seepage analysis on a
realistic model of embankment together with the foun-
dation and abutments. Although the three-dimensional
analysis is an appropriate tool for these cases, however,
its application to earth dams is rather complicated.
mate the seepage rate usually one or more critical sec-
tions are employed and analyzed two-dimensionally.
Generally, the two dimensional analysis, especially in
narrow valleys or valleys with varying profile, is
erratic. The main reason is that the lateral component of
seepage velocity that is ignored in 2D approach may
be quite considerable. Although the Massingir dam had
a uniform section in 3 km length, with a simple three-
dimensional seepage analysis, more realistic results
were obtained compared with two-dimensional analysis
and importance of three-dimensional seepage analy-
sis was indicated (Serafim et al. 1985).
If the two-dimensional flow equation is expanded to
include the third direction, the three-dimensional flow
equation is derived which is called coupled equation
of flow. For an unsaturated soil having heterogeneous,
anisotropic conditions, the coefficient of permeability
at a point varies in the x, y, and z directions. But, the
permeability variations in the three-dimensions are
assumed to be governed by the same permeability func-
tion. Continuity for three-dimensional, steady-state
flow can be satisfied as follows (Fredlund & Rahardjo
1993):
(1)

831

Figure 1. The general hydraulic permeability functions of
materials.
where wx, wy and wz are water flow rate across a
unit area of the soil in the x, y and z directions, respec-
tively. Referring to equation 1, the governing differ-
ential equation for the steady state seepage analysis in
3D space may be derived as:
(2)
where kx, ky, kz are the coefficients of permeability in
the x, y and z directions, respectively; H is the total
head; and Q is the flux at the model boundaries. Using
the Galerkin principle of weighted residuals the finite
element formulation for steady state seepage in three-
dimensions is derived as (GEO-SLOPE International
Ltd. 2002):
(3)
where [B] and [C ] are gradient matrix and element
hydraulic permeability matrix, respectively. {H} is the
vector of nodal heads and A is the area of the face of the
element. q is the unit flux across the faces of an element
and N  shows the vector of interpolating functions.
There are several geotechnical and geo-environ-
mental problems involve water flow through soils.
However, the coefficient of permeability is the most
important parameter that dominates the water flow
pattern through soils (Sadrekarimi & Saghafi 2003).
It has been shown that in the steady state seepage
problems the results that obtain using a typical per-
meability function may be quite close to those of
exact solution (Freeze 1971).
Figure 1, represents the coefficient of permeability
as a function of pore water pressure. Assume that for
the first iteration all elements are assigned a saturated
permeability (ka) corresponding to zero pressure.
832
This permeability will allow for more flow than is
required and will result in a highly negative pore water
pressure (point Pf ). For the next iteration, the perme-
ability will be kf. This value does not allow for enough
flow and the computed pressures will be positive. Once
again, the permeability will be set to a value that is too
high, resulting in a solution which oscillates between
the extremities permitted by the function (GEO-SLOPE
International Ltd. 2002). However, this figure clearly
indicates the importance of application of a pressure
dependent permeability function for both saturated and
unsaturated zones of an earth dam. In this way such a
zoning procedure will result in more accurate seepage
flux than the case in which if a constant hydraulic per-
meability function would be used (Freeze 1971). Using
a constant permeability value may result in erratic
results. Phreatic surface position may be unrealistic
and flow rate in unsaturated zone may be extremely
high. When using a constant permeability value, water
can flow through unsaturated zone like that of saturated
zone (GEO-SLOPE International Ltd. 2002). Hydraulic
permeability values of the embankment can be meas-
ured from tests and there are several methods intro-
duced in different references.
2 THE UPPER GOTVAND DAM PROJECT
The dam is constructed across the Karun River, in the
Khuzestan province of Iran, north of Shushtar city. It
is a 178 m high earth dam with central clay core. The
dam is underlain by the Bakhtiari Formation (BK)
overlying the Aghajari Formation (AJ). While the BK
formation remains in its horizontal position, the AJ
formation is folded and faulted, the bedding planes
and joints are inclined with varying dip angles.
Apertures within the Bakhtiari formation are usu-
ally vertical and have relatively large openings and
continuity of the apertures often reaches to several
meters (Mahab Ghods Consulting Engineers 2005).
In Figure 2, geological layers of Upper Gotvand dam
are depicted. The AJ-rocks contain veins of gypsum
usually associated with clay stone beds. The maxi-
mum thickness of the veins is reported to be 2 cm and
even wider that appear as thin films on the beddings
and along joint planes. The latter ones were formed
subsequently and indicate the dissolution of gypsum
and re-sedimentation in the joints. In general, gypsum
is encountered below 25 m deep. Inspecting founda-
tion borehole logs of the AJ formation at the dam site,
4 different depths were observed in which gypsum
veins exist. These are summarized in Table 1.
3 MODELING
The Seep3D software was employed as an effective
tool for seepage analysis. Seep3D is a new software
Figure 2. Upper Gotvand dam geological layers; AJ 
Aghajari formation, BK  Bakhtiari formation, DBK 
dislocated Bakhtiari formation.
Table 1. Levels containing gypsum veins in the Upper
Gotvand dam foundation.
Gypsum levels Aperture average
in the foundation spacing
Layers (m) (m)
Mass 1
20

45 10
Mass 2
55

65 25
Mass 3
70

80 35
Mass 4
90

170 45
product for modeling three-dimensional seepage prob-
lems. Seep3D is formulated for conditions of constant
total stress; that is, there is no loading or unloading of
the soil mass.
It is assumed that the pore-air pressure remains con-
stant at atmospheric pressure during transient processes
(GEO-SLOPE International Ltd. 2002). This software
use finite element method for seepage analysis and it
is able to consider unsaturated condition. This software
contains three elements hexahedron, prism and tetra-
hedron for modeling as shown in Figure 3-(a)
In order to establish an appropriate model for seep-
age analysis, following steps were taken.
3.1 Geometry
In order to create the geometry of the model, topo-
graphic maps of the dam site and also section drawings
at the distances of 50 m were used; also the hexagonal
element in Seep3D software was employed (Figure 3).
There are two boundary conditions in steady state
seepage analysis. The maximum water level in the
reservoir was considered as the upstream boundary
surface. For down stream, potential seepage condition
was applied. In other words, all surfaces that water may
seepage through were considered as potential seepage
surfaces.
833
Figure 3. (a): hex, prism and tetra elements in seep 3D;
(b): 2D model; (c): 3D model of the Upper Gotvand dam.
It is common in finite element method to model
the dam with the adjacent zones including reservoir,
abutments and foundation. Since the required extend
of the boundary in the foundation ground is not known,
it is necessary to carry out some boundary sensitivity
analyses. However, for 3D analysis, an overall mass
of 200 m in depth and 300 m in width (abutments)
was obtained to be quite satisfactory.
3.2 Material properties
The embankment material and foundation ground engi-
neering properties were introduced as follows; for the
embankment materials the laboratory permeability test
results at zero pressure were used to establish the gen-
eral permeability functions. These functions are shown
in Figure 4.
Compacted soil behaves transversally isotropic in
which, kx  ky  kz. Generally with earth dams it may
be accepted that (GEO-SLOPE International Ltd.
2002; Fell et al. 1992): kx/ky  1 and kx/kz  10.
For foundation ground, some considerable num-
bers of Lugeon permeability test results are available.
These results were averaged and used to categorize
the foundation ground layers in terms of permeability.
However, it should be noted that the foundation ground
was considered hydraulically isotropic, i.e.: kx 
ky  kz.
 Figure 5. Element number-discharge flux relation in 2D
model.

Figure 4. Permeability functions of the Upper Gotvand dam.

Table 2. Lugeon test results abundance distribution.

Total test length

Lugeon m

0
1 290
5
7.5 86
7.5
15 5
15
25 10
25
35 5
100 29
In Table 2 results of Lugeon test results at Aghajari
formation in foundation ground are presented. These
results are from exploratory boreholes in dam founda-
tion ground. Regarding this table the weighed average
Lugeon value is estimated to be 6 Lu, which is equiv-
alent to about 9  10
7 m/sec.
Trial grouting in Aghajari formation showed that
cement grout could not satisfactorily penetrate into
the gypsum veins (Mahab Ghods Consulting Engineers
2005).
3.3 Sensitivity analyses of 2D and 3D models
for the number of elements
In order to select the appropriate finite element mesh,
sensitivity analyses for the number of elements were
carried out for both 2D and 3D models. The results
are shown in the Figures 5, 6.
It can be seen that increasing the number of ele-
ments in the 2D model, decreases the discharge flux;
hence the appropriate number of elements for 2D
analysis is some 17000 elements. For 3D model results
converge at about 25000 elements, howev Therefore,
in seepage analysis with 3D model convincing results
can be achieved by breaking the mesh up to 32000 ele-
ments and finer.
Figure 6. Element number-discharge flux relation in 3D
model.
3.4 Modeling of gypsum veins in foundation
ground
Gypsum is hardly soluble in water, but with water
temperature and pressure raise its solubility increases
(Blyth & Freitas, 1984). Water flowing through nar-
row fissures and fractures in soluble rock, such as
limestone and gypsum, widens these by chemical dis-
solution. Close to saturation characteristic non-linear
dissolution kinetics cause a feedback mechanism, giv-
ing rise to a breakthrough behavior of the flow rates.
If constant head h drives flow of aggressive water
through a single fracture of aperture width a0 and
length L, initially flow rates increase slowly but then
suddenly at breakthrough time T they increase dramat-
ically. Recent modeling approaches on two-dimen-
sional domains of dam sites have shown that under
unfavorable conditions leakage below dam sites can
increase to an unbearable extent within the lifetime of
the structure. (Romanov et al. 2005).
In case of flowing water, dissolution phenomenon
continues until the gypsum has been washed away
completely leaving wider apertures and open fractures.
In order to model mode of formation and performance

834

Figure 7. Gypsum veins modeling; (1) Embankment;
(2) Reservoir; (3) Abutments; (4) Fracture network.
of these apertures, the following hypothesis was used.
According to Figure 7 and Equation 4, equivalent per-
meability for the supposed rock mass can be com-
puted as below (Romanov et al. 2003):
(4)
where   density of water;   viscosity of water
and equals 0.0065 at 25°C; g  acceleration due to
gravity; a0  aperture width; and s  fractures aver-
age spacing.
In Table 1, Gypsum veins are classified into 4 gen-
eral depths. Generally water flow through fractures is
either laminar or turbulent flow. In the early stage,
there is laminar flow through apertures and dissolu-
tion is faster at the aperture entrance. As the calcium
concentration in pore water increases, the rate of dis-
solution of gypsum reduces and a funnel-like conduit
evolves there. This opening at the exit enhances the
flow rate through the fracture, and therefore, the fun-
nel-like opening at the entrance propagates further
downstream, and also the dissolution rates at the exit
increase further. By this time the water flow becomes
turbulent and now the flow rate is so high that the
concentration of calcium becomes close to zero and
dissolution rate tends to be even along the fracture.
Therefore as time proceeds, the funnel-like shape
becomes smoothened out (Romanov et al. 2003).
Figure 8 shows the variations of the Aghajari forma-
tion mass permeability against aperture width. This
figure reveals that dissolution of gypsum veins increase
the mass equivalent permeability up to 75
300 times
depending on aperture width and spacing.
835
Figure 8. Variations of equivalent rock mass permeability
against aperture width for different aperture spacing.
4 RESULTS AND DISCUSSION
4.1 Aghajari formation permeability
As mentioned formerly, the weighed average Lugeon
value of Aghajari formation is estimated to be 6 Lu,
which is equivalent to about 9  10
7 m/sec. Figure 8
shows the variations of this formation permeability
against aperture width. Referring to this figure it is
revealed that the dissolution of gypsum veins increase
the mass equivalent permeability up to 75
300 times
depending on aperture width and spacing. This much
increase in permeability advocates the potential haz-
ards of gypsum veins.
4.2 Discharge flux inspection
In Figures 6, 9, the results of 3D analyses of discharge
flux through the dam foundation are shown. In Figure
6 the dissolution of gypsum is ignored and the dis-
charge flux is estimated to be 0.075 m3/sec. However,
in Figure 9 it is supposed that the gypsum veins finally
are washed away and a passage for seepage flow is
evolved. According to this figure the rate of increase
of discharge flux due to dissolution of gypsum veins
was obtained to be a third order function of the aper-
ture width. Comparing these figures the dominant
effect of dissolution of gypsum on discharge flux is
disclosed. It is seen that as the aperture width reaches
to 2 cm due to gypsum dissolution the discharge flux
increases about 240 times. Results of the same analyses
with 2D model are shown in Figures 5, 11. Referring
to Figure 5 and considering dam length the initial dis-
charge flux is estimated to be 0.025 m3/sec.
Comparing Figures 5, reveals that with 2D model-
ing the discharge flux increase due to gypsum disso-
lution is estimated to be some 360 times.
Figure 10 shows the results of variations of dis-
charge flux against the changes of aperture width
from 0.04 to 2 cm for 3D model. Similar analysis was
carried out for the 2D model (typical section) and the
Figure 9. Discharge flux changes against gypsum layer depth Figure 11. Discharge flux changes with respect to the aper-
in 3D model (a0  2 cm). ture width change in typical section of the 2D model.

Figure 10. Discharge flux changes against aperture width

in 3D model. Figure 12. Phreatic surface location with 2D and 3D models.

results are depicted in Figure 11. Although the grout 4.3 Pore pressure inspection
curtain is designed to be some 170 m deep, however,
In order to inspect the pore water pressure pattern in the
complete dissolve of gypsum will severely increase
embankment and foundation ground, the phreatic water
the discharge flux through the foundation ground. As
surface through the dam was located using both 2D and
is shown in Figure 10, with 3D model as the aperture
3D models. The results are plotted in Figure 12. It is
width increases up to 2 cm, the discharge flux rises to
seen that the 3D model locates the phreatic surface
18 m3/sec, while with 2D model discharge flux rises to
some what upper than the 2D model does. This means
about 0.018 m3/sec/m. For whole dam length this will
that the 2D model estimates lower pore water pressure
be 9. 0 m3/sec. These figures indicate that the dis-
pattern in comparison with the 3D model. This may
charge flux with 3D model is about 2.0 folds that of
be attributed to the fact that with the 2D model the lat-
2D model. However, referring to Figures 5 and 6
eral components of the seepage velocity vectors are
this ratio would be about 4 if the gypsum dissolu-
ignored. It is noted that in this part of work the effects
tion effect is ignored.
of dissolution of gypsum is not taken into account.
These differences between the results of 2D and
3D approaches may be attributed to the fact that,
with 2D seepage analysis the flow net is planer
5 CONCLUSIONS
indeed and lateral components of seepage velocity
are ignored, so the flow necessarily passes through
In this paper the seepage behavior of Gotvand dam
the successive sections with different permeabilities.
considering effects of dissolution of gypsum is evalu-
Thus discharge flux is dominated by the sections
ated with both 2D and 3D models. Some eminent
with lower permeabilities. With 3D seepage analysis,
concluding points are as follows:
however, flow is 3D and water follows grouts with
lower energy dissipation producing higher discharge 1. The 3D analysis estimates the discharge flux about
flux which is realistic. 2.0
4 times that of 2D analysis.

836
2. The 3D model locates the phreatic surface some
what upper than the 2D model does. This means
that the 2D model estimates lower pore water pres-
sure pattern in comparison with the 3D model.
3. Dissolution of gypsum veins of Aghajari formation
increase the mass equivalent permeability up to 75

300 times depending on aperture width and spacing
(Fig. 8); and the rate of increase of discharge flux
in Gotvand dam, due to dissolution of gypsum
veins, is a third order function of the aperture width.
4. According to 3D and 2D approaches, the initial
discharge fluxes are 0.075 m3/sec. and 0.025 m3/sec
respectively. However, it is estimated that the gyp-
sum dissolution will increase these figures to about
18 m3/sec, 240 times, and 9 m3/sec, 360 times,
respectively.
5. Considering potential hazards of Gypsum veins in
foundation ground either deep plastic concrete cut-
off wall or a longitudinal gallery for casual grouting
in future is recommended.
ACKNOWLEDGEMENT
The authors wish to thank the Sepasad Engineering
Co. for providing Upper Gotvand dam data.
REFERENCES
Blyth, F.G.H., De Freitas, M.H. 1984. A Geology for
Engineers, Seventh Edition, P.87.
Jeschke, A. A., Vosbeck, K., Dreybrodt, W. 2001. Surface
Controlled Dissolution Rates of Gypsum in Aqueous
837
Solutions Exhibit Nonlinear Dissolution Kinetics,
Elsevier Science Ltd. 65(1): 27–34.
Fell, R., Mac Gregor, P., Stapledon, D. 1992. Geotechnical
Engineering of Embankment Dams. Rotterdam: Balkema.
Fredlund, D. G., Rahardjo H. 1993. Soil Mechanics for
Unsaturated Soils. New York: John Wiley & Sons.
Freeze, R. A. 1971. Influence of the unsaturated flow domain
on seepage through earth dams, Water Resources Research
7(4): 929–942.
GEO-SLOPE International Ltd. 2002. Seep3D user’s guide,
Version 1.1. Alberta: Calgary.
Jafarzadeh, F., Asadnia, M. 2005. Three and Two-Dimensional
Seepage Analysis for Zoned Earth Dam Located in
Narrow Valley. Proc. 73rd Annual Meeting of ICOLD,
Tehran, Iran. Tehran: IRCOLD.
Mahab Ghods Consulting Engineers. 2005. Report of
International Expert Panel on Upper Gotvand Dam &
HEPP. Tehran: Mahab Ghods Consulting Engineers.
Romanov, D., Gabrovsek F., Dreybrodt, W. 2003. Dam Sites
in Soluble Rocks: A model of Increasing Leakage by
Dissolutional Widening of Fractures beneath a Dam,
J. Engineering Geology 70: 17–35.
Sadrekarimi, J., Saghafi, M. 2003. Stress dependent perme-
ability effects on ground water flow. Amir Kabir Journal
of Science and Technology 4(53): 35–42.
Serafim, J. L., Santos, A. P., Matos, M. S. 1985. Tridimen-
sional Seepage through A Dam Foundation, Proc. ICOLD
Lausanne,1985.
Romanov, D., Gabrovsek, F., Dreybrodt, W. 2005. Leakage
below dam sites in limestone terrains by enhanced karsti-
fication: A modeling approach, Int. Conference & Field
Seminar – water Resources & Enviromental in karst.
Calcano, C.E., Alzura, P.R. 1967. Problems of dissolution of
Gypsum in dam Sits, Bull. Venezuelan Soc. Soil mech.
Fdn, Eng, July–Sept.
Ford, D.C. and Williams, P.W. 1994. Karst geomorphology
and hydrology. Unwin Hyman Ltd.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Research of new reasonable section of gravity dam on the base of

topology optimization

Bei Sun & Chao Su

Hohai University, Nanjing, Jiangsu, China

ABSTRACT: This text studies the reasonable section of gravity dam non-overflow section, according to the
structural topological optimization theory. This thesis investigates the design problems of hydraulic engineering
using homogenization method, which is the most mature method in topology optimization. Alternative hydraulic
engineering structural design are described with the aid of spatial distributions of volume fraction design vari-
ables throughout a prescribed design domain, Small-strain integration algorithms for general two-material mix-
tures of solids are developed for the Voigt-Reuss assumption. This text realized topology optimization of hydraulic
engineering from the point of the view of technique. After decreasing the computation scale and solving the
numerical instabilities, the result of study indicates, it is an irregular curve the lower reach of the gravity dam.
When the bottom of the dam is same width, the upper portion is compared with the routine section small, whole
area portion is litter than the routine optimization design section.

1 INTRODUCTION in the methods of the structural topology optimiza-

The structure topology optimization can provide of a
conceptual design for the designer in the preliminary
stage of the engineering project, it optimizes the struc-
ture from the shape optimization on the base of sole
topology structure promotes to the layout optimiza-
tion on the base of variable topology structures[1],[2].
However, there are infinite topology structures which
can be satisfied the certain function requests, and it is
difficult to describe the topology optimization struc-
tures by the quantitative parameter, and the design
domain is not known in advance, so the workload and
cost on the research of topology optimization greatly
increases. At present topology optimization is used in
the high-technology filed mainly, such as automotive
industry and aviation industry. The architectural engi-
neering structures are seldom optimized by the topol-
ogy optimization, only some simple structures such as
girder grillage etc. can be topology optimized in a small
way. This text studies the topological basic theories
and discusses the application in the field of hydraulic
engineering, and optimizes the non-overflow section
plane of gravity dam.
2 HOMOGENIZATION METHOD
Homogenization method[3],[4] is presented by Bendsoe
and Kikuchi[5], it is the most comprehensive application
tion[20],[21] in the non-individual body, and it is belong
to the way which is described by the material. The basis
theory of homogenization method is that it introduced
the microstructure (single cell) to the material of the
topology structure, the form and the size parameter of
microstructure had decided the elastic nature and the
density of macroscopic material in this point, it takes
the microstructure single cell’s size as the topology
design variable and realizes microstructure’s additions
and deletions by the single cell’s size increase and
decrease in the optimized process, and then produces
the compound material as which constitutes by the
intermediate size single cell to develops the design
space, at last, the unification and serialization between
the structure topology optimization model and the
size optimization model will be come true. The
homogenization method is one kind method of fore-
cast equation macroscopic coefficient or the com-
pound materials macroscopic parameter, namely
when the compound materials are developed through
the cycle extend by the basic microscopic structure
units, its parameters are forecasted by the perturba-
tion evolution analyze, and the essence is that com-
pound materials structural governing equation which
has the coefficient of fast periodic fluctuation is approx-
imated by the structure governing equation which has
constant coefficient, and the latter’s solution will
approximate the original structural solution in the
macroscopic view.

839
 Suppose Y  [0,Y1]  [0,Y2]  [0,Y3] expresses Suppose displacement field pq is satisfied equal-
the definition domain of microstructure unit, Hper1(Y) ity followed:
indicates the continuous function set which has Y
periodicity, uses x and 0,y express the coordinate of
material macrostructure unit and the microscopic
structure unit separately, y  x/!, ! is a infinitesimal, (5)
then in each neighborhood of compound materials
structure, the elastic tensor E(x,y), the thermal stress
tensor (x,y) and the displacement u(x,y) are all belong
to Hper1(Y). Carries on the first order progressive spread Where,
to the displacement field u(x,y), it may expresses:

(1)

Where, u(x,y) – Macroscopic displacement field or According to the equality (4) and equality (5),
homogeneous displacement field. equality (3) can be rewritten:
u1(x,y)Hper1(Y) – First-order progressive item of !.
If equality (1) is carried on the differential operation,
the strain (u1(x,y)) in the point x of the structure can
be cracked to macroscopic strain x(u(x)) and strain (6)
y(u1(x,y))  Hper1(Y) which has mirror periodic fluc-
tuation, it can be satisfied a condition that the equal- Average the equality (2–6) in the microscopic
izing value is zero in the microscopic structure unit Y: structure unite, the elastic ratio EH(x) of the com-
pound materials which is expressed homogeneously:
(2)

Where, x – Strain differential operator in the macro-

scopic structure.
(7)
y – Strain differential operator in the microscopic
structure.
According to the equality (5), equality (7) could be
Namely:
written to the symmetric form:

And
(8)

Regarding the general microscopic structure unit,

the equality (2–5) possibly does not have the analytic
Then, the stress (x,y) can be expressed in the solution, so the finite element method will be used to
point x of structure: solve the equation.

(3)
3 SIMPLIFIED ALGORITHM MODEL AND
The interior stress of microscopic structure unite NUMERICAL INSTABILITY PHENOMENA
must be satisfied a balanced equation, then u1(x,y)
should be satisfied feeble balanced equation which is 3.1 Voigt-Reuss hybrid combinations simplified
followed: algorithm model
In composites where more of the comprising materi-
als feature inelastic behaviour, homogenization method
will be more difficult[6]. With general inelastic con-
(4) stituents there is no fixed relationship between the
applied macroscopic strain Ekl and the local strain
field kl(x) as there is for linear elastic composites,

840
and the local incremental compliance of the material
located at each point x in the unite cell can vary with
such quantities such as local stress magnitude, loading
rate, and history variables. Swan and Kosaka[7] once
presented a continuum topology optimization solution
of stress-strain simplified model that was applicable
to the linear elastic structures. Two classic and very
approximate simplifications to unite cell homoge-
nization methods are those proposed by Voigt[8] and
Reuss[9], according to those, Voigt-Reuss [6] topology
formulation is extended to the treatment of structures
featuring materially non-linear inelastic behaviour.
Under the Voigt assumption, application of a
macroscopic strain state (x)  E to the composite
leads to the macroscopic stress state:
(9)
Under the Reuss assumption, application of a uni-
form stress state
(x)  S to the composite leads to fore, it is called checkerboard pattern vividly.
following macroscopic strain state:
(10)
Where A and B represent the respective volume
fractions of materials A (elastic phase) and B (inelastic
phase) in the composite. (A,B),(
A,
B) represent, current velocity of fluid body and distribution of pres-
respectively, the strain and stress states I material
phases A and B.
For certain classes of material behaviours, the pure
Reuss mixing can feature a stress discontinuity at
A  1.0 if A is taken to be the stronger of the two
materials. For this class of materials, and perhaps oth-
ers, it is better to use hybrid Voigt-Reuss mixtures to
avoid stress discontinuities in mixture behaviours. One
simple method to hybridize the Voigt and Reuss mix-
ing rules is to treat the local mixtures as having a vol-
umetric fraction  that behaved in accordance with the
Voigt rule and a volumetric fraction 1- that behaves
in accordance with the Reuss rule. The assumption is
that both partitions of the hybrid mixture would have
the same strain. Accordingly, the effective stresses
and strains of the hybridized Voigt-Reuss mixture are:
(11)
(12)
Here, it is proposed that  be treated as follows:
(13)
841
Where 0  [0,1] and break  (0,1) are specified
parameters that permit the designer to control the
behaviour of the mixture.
3.2 The solution method of numerical instability
phenomena
In fact, continuum structural topology optimization is
a effective distribution problem of the material which
is limit and usable in design domain, the actual calcu-
lation results often have some numerical instability
phenomena, which include something about checker-
board pattern[10],[11], mesh-dependence[13]-[15] and
local minimal phenomena.
The checkerboard pattern is a familiar phenomenon.
“Checkerboard form” refers to one kind of phenome-
non of the unit material density periodic distribution
in the some domain during the course of topology
optimization. As two-dimensional surface question, its
shape is very similar with chess checkerboard, there-
In the hydromechanics, there is a Strokes flow
problem is similar to checkerboard pattern, the fluid
pressure distribute to plus-minus alternately but not
continuously smoothly in the Strokes flow. When mix-
ture variation finite-element method is used to solve
Strokes flow problem, the unknown quantities are
sure in each point. If Babuska-Brezzi qualification
(LBB qualification, namely, interpolating function of
fluid body pressure field is lower at least single order
than interpolating function of fluid body velocity field)
is satisfied, numerical calculation will be stabilized, if
before-mentioned qualification is not satisfied, the
similar checkerboard pattern will appear. According
to this comparability, Jog[13] thinks that checkerboard
pattern in structural topology optimization is also
because of numerical instability phenomenon of LBB
type. He thinks that weak solution of structural topol-
ogy optimization model is a mixture variation problem,
which includes two design variance about displace-
ment an material elastic tensor, its exhibition form is
similar to Strokes flow problem.
Firstly, mesh-dependence problem should be thought
from per se of topology optimization. In essence, struc-
tural topology optimization is equivalent with a indirect
problem of partial differential equation. The finite ele-
ment is used to obtain the weak solution of old problem
in the finite dimensional space. When finite element
mesh divide more and more thin, the numerical solu-
tion approaches exact solution of old problem, and the
solution of finite element should be convergent. Regard
to the same initial design domain, the type of topology
optimization is not same if different initial mesh is used
to optimize, in other words, the topology optimization
result depend on the division of initial mesh, this phe-
nomenon is called mesh-dependence. A thinner initial
mesh is corresponding to the more complex topology m
form, and some structure’s size is too small and doesn’t 100m 102m
meet the necessity of actual engineering.
According to the filter technology of image pro-
cessing techniques, Sigmund[12] proposed to use “filter
method” to solve the checkerboard pattern and mesh-

m
dependence problem, which prevents those numerical

1:0
instability phenomena by adjusting iterative element

.75
design sensitivity. In the filter method rule, the design

93
sensitivity of some special element depends on the
weighted average of per se and conjoint elements.
This method first obtains the very good effect to elim- 10m
inate checkerboard pattern and becomes the method 0.0m
which the multitudinous scholar uses widely. This fil-
ter method also can solve a part of mesh-dependence, 75.933 m
high-pass part of numerical error. Multigrid
method[16],[17],[20] can be solute mesh-dependence
Figure 1. Mai’s optimized section.
thoroughly, it nests two set of meshes (coarse and thin
meshed) to eliminates low-pass part of numerical
error, accelerates solution’s convergence and avoids
Table 1. Result of each scheme.
mesh-dependence effectively.
The local minimal during topology optimization is Un-optimized Mai’s Topology
solved by filter radius continuation method. S(m2) 3969.21 3843.21 3798.48
K 1.134 1.15 1.114
K’ 3.121 3.000 3.098
4 EXAMPLES ON NON-OVERFLOW 1(Pa) 0.79 0.2 0.37
SECTION OF GRAVITY DAM 2(MP) 1.856 1.823 1.817

4.1 Basic design data S-Sectional area

Altitude of dam floor is 0.0 m, normal impounded
level of upstream is 100.0 m, water height of down-
1-Vertical stress in dam heel
stream is 10.0 m, elastic of concrete and bathylith is
2-Vertical stress in dam base
2  104 MPa, poisson ratio is 0.167, safety factor
against shear failure in glide plane is 0.7, safety factor
against shear failure in joint surface between dam
body and bathylith is 0.9, resisting shear in joint sur-
face between dam base and bathylith is 1.1 MPa,
coefficient of consolidation in first main weep holes
of dam base(reduction coefficient of the uplifting
pressure) is 0.3, the distance between first main weep
holes of dam base and upstream surface is 6 m, wing
velocity in reservoir is 11 m/s, fetch length in reser-
voir is 4 km, bulk density of water is 10 kN/m3, bulk
density of concrete is 24 kN/m3, silted height of silt is
30 m, buoyant unit weight is 8 kN/m3, internal friction
angle is 20°. Reference standard is Industry standard
of electric power in the People’s Republic of China:
Concrete gravity dam design standard DL5108-1999.
All schemes use those design data in this text.
4.2 The known scheme
Mai Jiaxuan[18], department of water conservancy &
hydroelectric engineering of Tsinghua University, uses
own inferential reasoning to obtain an optimized sec-
tion non-overflow gravity dam, as followed it is called
Mai’s. This article will use traditional the method to
K-Value of stability against sliding in dam base surface
K’-Value of stability against sliding in dam base surface
calculate structure section firstly, then, topology opti-
mization will be used to optimize the section non-
overflow gravity dam, and all results will be compared
and analyzed.
On the Mai jiaxuan’s theory of quick optimal design
primary section of gravity dam, the result is: in the
condition of there is no break point, the height of dam
is 102 m, the dam width of bottom is 75.933 m, the
dam width of top is 7 m, the grade ratio of down-
stream surface is 1:0.7593, the map of the exhibition
is Figure 1. This section of gravity dam is satisfied the
design standard, stability against sliding of dam base
and tension stress of dam heel in upstream also meet
the necessity of the design standard. The specific data
is exhibited in Table 1.
According to Gravity dam design[23], edited by
Jiazheng Pan, this article calculate to gain a structure
section which is not optimized, the abridged general
view is Figure 2, in same conditions, the height of
dam is 102 m, the dam width of bottom is 78 m, the dam
width of top is 9 m, the grade ratio of downstream
surface is 1:0.78. The data of stability against sliding
of dam base and tension stress of dam heel in upstream

842
 m
100m 102m
m

1:0
.78

10m
0.0m
m

Figure 2. Un-optimized section.

Figure 4. Result of topology optimization.

Figure 3. Element result of topology optimization.

is exhibited in Table 1. The result show this section of

gravity dam is also satisfied the necessity of the
design standard.
Figure 5. Result of fitting curve.

4.3 The scheme of topology optimization

In response to design datum, a rectangular basic design
domain (102 m  76 m) is selected to be topology
optimized. Use Gauss filter to eliminate the checker-
board pattern and high-pass part of the error in mesh-
dependence, use multigrid method to solve low-pass
part of the error in mesh-dependence, and use filter
radius continuation method to amendment local min-
imal phenomenon, the original valuation of unite design
variable is random from 0 to 1. The initial meshes are
divided into 76  100, the multigrid mesh is used V
cycle[19], coarse mesh is divided into 38  50.
The result exhibit Figure 3 and Figure 4. The height
of dam is 102 m, the dam width of bottom is 75 m, the
dam width of top is 9 m, the downstream is an irregu-
lar curve.
For construction can be convenience, the down-
stream surface of dam is fitted by curve. Figure 5 is

843
the result of curve fitting, the fitting curve selects cir-
cle curve, the radius of circle is 328.3 m, the quality
of fitting curve is:
(14)
All results in section of dam are satisfied the Industry
standard of electric power in the People’s Republic of
China: Concrete gravity dam design standard DL5108-
1999.
5 CONCLUSION
This article testified that the section of the concrete
gravity dam can be optimized by topology optimiza-
tion, and the outcome is acceptable. Table 1 shows the
result of topology optimization is best on saving mate-
rials. Therefore, the topology optimization method is
good for optimized design in the other structures of
hydraulic engineering.
Figure 1 and Figure 2 show downstream surface
which are obtained from un-optimization section and
Mai’s section are all straight line, but the different
between straight lines and the downstream curve of
topology optimization result is not great, this can testify
a conclusion that conventional section design about
non-overflow section of gravity dam measures up to
the concept of topology layout optimization.
The section of concrete gravity dam is simplest and
most perfect in dam body optimization by traditional
optimization method. Topology optimization method
shows the superiority in design of gravity dam in this
article. Regarding to some other hydraulic structures
which have more complex than gravity dam, such as
spandrel-braced gravity and arch dam, using topology
optimization can gain more ideal result completely.
Even new and better dam body structures can be
discovered.
ACKNOWLEDGEMENT
This paper is supported by China National Natural
Science Foundations. Subject number: 50579011.
REFERENCES
Bremicker M,Kikuchi N,Chirehdast M and Papalambros PY,
Integrated topology and shape optimization in structural
design[J], Mech Struct and Mach, 1991,19(4):551–587
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Olhoff N, Bendsoe MP and Rasmussen J, On CAD-integrated
structural topology design optimization[J], Comput Meth
Appl Mech Eng, 1991,89:259–279
Hughes TJR, The finite element method:Linear static and
dynamic finite elementanalysis[M], Preentice-Hall,
Englewood cliffes, NJ, 1987
Youn SK, Park SH, A study on the shape extraction process
in the structural topology optimization using homoge-
nized material[J], Computer & Structures, 1997,62(3):
527–558
Bendsoe MP, Kikuchi N, Generating, Optimal Topologies in
Structural Design Using a Homogenization Method[J],
Comp Meth Appl Mech Engrg, 1988,71(1): 197–224
Sui Yunkang and Yang Deqing, A new method for structural
topological optimization based on the concept of inde-
pendent continuous variables and smooth model. Acta
Mechanica Sinica[J], 1998,18:179–185
Swan C, Colby and Kosaka Iku, Voigt-Reuss topology opti-
mization for structures with nonlinear material behav-
iors[J], Int J Numer Meth Energy, 1997,40:3785–3814
W. Voigt, Wied Ann, 1929,38
A. Reuss, Z. Angew.Mech, 1929,9
Diaz AR, Sigmund O, Checkerboard patterns in layout opti-
mization[J], Struct Optim, 1995,10:40–45
Harris FJ, On the use of windows for harmonic analysis with
discrete fourier transform[J], Proceedings of the IEEE,
1978,66:53–76
Sigmund O, Petersson J, Numerial instabilities in topology
optimization: A survey on procedures dealing with
checkerboards[J], mesh-dependancies and local minima,
Structural Optimization, 1998,16:68–75
Jog CS, Harber RB, Stability of finite element methods for
distributed parameter optimization and topology design[J],
Comp Meth Appl Mech Engng, 1996, 130: 203–226
Eschenauer HA, Kobelev VV and Schumacher A, Bubble
method for topology and shape optimization of struc-
tures[J], Struct,1996,Opt,11:1–12
Xu XJ, Li LK, An optimal V-cycle multigrid methods for
conforming and nonconforming plate elements[J], Numer
Math J Chinese Univ, 1997,6:119–119
Bramble JH, Goldstein CL, Pasciak JE, Analysis of V-cycle
multigrid algorithms for forms defined by numerical
quadrature[J], SIAM J Sci Comput , 1994 , 15 : 566–576
Jiaxuan Mai, Quick optimal design of primary section of
gravity dam[J], Hydraulics transaction, 2000,8:21–26
Shi ZC, Jiang B, Multigrid method for Wilson nonconforming
finite element with numerical integration[J], In: Fujita H,
ed, Recent Developments in Domain Decomposition
Methods and Flow Problems, Tokyo: Gakkotosho,
1998:72–94
Olhoff N and Taylor J, On structural optimization[J], J Appl
Mech, 1983,50: 1134–1151
Rozvany GIN and Olhoff N, Topology Optimization of
Structures and Composite Continua[M], NATO ARW,
Budapest, Hungary, May 8–12,2000, Kluwer Academic
Publishers, Dordrecht, The Netherlands, 2001
Jiazheng Pan, The gravity design[M], The foundation of
China Water Power Press, 1987

res R dna m D v srio nE d a seit coS ,
© 60 2
A model of ice loads on dam structures
T. Ekström
Carl Bro AB, Malmö, Sweden
ABSTRACT: The paper presents a mathematical and a numerical model of ice loads on structures. The ice
growth involves surrounding influences from air and the under laying water. The ice is modeled by an elastic-
plastic Drucker-Prager model. The model involves also the structure that is exposed to the ice pressure.
1 INTRODUCTION
1.1 Background
In Sweden the Swedish guidelines called RIDAS is
commonly used when doing structural assessments of
dams subjected to ice loads. The values ice loads in
RIDAS are rather coarse set to 50 kN/m in the south
of Sweden, to 200 kN/m in the north of Sweden and to
100 kN/m in between these areas. Calculations with
the above mentioned values often gives that existing
structures, especially spillway gates and pillars, are not
safe enough. Often, strengthening actions must be done
to fulfil the conditions in RIDAS.
Guidelines in other countries have about the same
values on ice loads as them RIDAS, for example
100 kN/m in NVE 1990 and 146, 73 and 29 kN/m for
concrete dams, steel gates and gates of tree respec-
tively in CDSA 1995. Ko et al (1994) have suggested
ice loads on concrete dams in Canada to 60, 80 or
100 kN/m for flat shores and air temperatures of 0
to
20,
21 to
30 and below
30°C respectively.
For moderate steep shores and the same air tempera-
ture as above Ko et al suggest 75, 90, 120 respectively
and for steep shores 90, 120, 150 kN/m respectively.
There are many influencing parameters on ice loads
and they are mostly difficult to verify. An ice load is
the summation of the ice pressure for a given section
of ice. Ice pressure arises when a layer of ice moves
against a structure or when the layer is restricted to
move. Movements may arise due to thermal expansion
or contraction, due to drag-forces from wind or water,
due to fluctuations in water levels, etc.
The ice pressure depends on the velocity of the ice,
the thickness of the ice, the aspect ratio i.e. the ratio
between the width of the structure and the thickness
of the ice, the shape of the structure, if the structure is
sloped, the stiffness of the structure, the difference of
stiffness between different exposed structures, the
ts
12 eht ni m or v rutneC g
reB Ð y )sde( la t
T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L
rheology of the ice, the extent of cracks and if they
have re-freezed after melting, the degree of restriction
from the shores, the mode of local and global failure,
the strength of the ice, etc.
The mode of failure depends on the velocity of the
ice, the aspect ratio, the direction of the ice movements,
the ice thickness, the temperature, etc.
The strength of the ice depends on the type of ice, the
structure of the ice, the size of the crystals in the ice, the
direction of the load, the temperature, how the meas-
urements are carried out, the velocity of the loads, etc.
Ice pressure caused by thermal expansion depends,
except of the above influences, on the rate of change
of temperature, the temperature before and after the
change, the thermal expansion coefficient, the stresses
in the ice at the time when the temperature changes, etc.
The change of temperature of the ice depends on the
short and long wave radiation from the air, the velocity
of the wind and water, the air temperature, the thickness
of ice and snow, if the ice is submerged with water, etc.
Field experiments (Comfort et al 1998a) indicate
that fairly large and fairly rapid fluctuations of the water
level of about "5 to 10 cm/24 hours gives the largest
horizontal ice forces on structures.
Field measurements (Monfore 1949, 1951, Carter
et al 1998, Comfort et al 1992, 1998a, 1998b, 2000a,
2000b, 2001) gives values on ice loads of about
100–200 kN/m for wide structures, 200–600 kN/m for
narrow structures (i.e. gate pillars) and 40–90 kN/m
for weak structures between stiff structures (i.e. gates
between gate pillars).
Calculating of models of ice loads has many times
given larger ice loads than the above examples of meas-
ured values. The largest explanation for this is probably
the in-homogenous behaviour of the ice layer where the
most important factor is the extent of cracks. Promising
calculations with Finite Element (Danielsen 1990,
Pohé & Bruhns 1992, Azarnejad & Hrudney 1998)
have been found in the literature, while other authors
845
uses analytical methods adjusted to experiment val-
ues (Fransson 1986, Ashton 1986, Carter et al, Comfort
et al, Löfquist 1987). Some authors say that one should
use probabilistic methods and some say not, it is a ques-
tion of how well studied and well known the statistical
variables are.
1.2 Aim of the paper
The aim of this paper is to give some alternative calcu-
lations methods that more physically consider a struc-
tures special shape and the environment it lays in.
1.3 Methods
The methods are:
• A simple calculation based on handbook formulas
is performed of one buttress assumed as a solid
body for calculation of the turnover and sliding and
as a beam for calculation of the load resultant.
• A more detailed analysis of the same dam but with
FE-modeling of ice and dam.
2 MECHANICS OF ICE LAYERS
One method to analyze ice layers is by using contin-
uum mechanics. However, most often ice layers cracks
and such large discontinuities can be difficult to model
with continuum mechanics. Instead fracture mechan-
ics should be used, preferably in combination with the
continuum inelastic models.
In continuum mechanics for a deformable body, as
ice is, the basic relations for equilibrium, constitution
and kinematics is given for infinitesimal small ele-
ments. Structural mechanics is based on the same rela-
tions but is assumed to be valid on bodies with finite
extension in one, two or three directions. Equilibrium
and cinematic relations are basic mechanical relations
while the constitution depends on the material proper-
ties in the body analyzed (Petersson & Thelandersson
1983). Constitutive relations describe the response of
the body subjected to loads. Constitutive relations are
often based on experiments. Classical models of con-
stitution are models of elasticity, visco-elasticity (e.g.
creep) and plasticity.
The constitutive models can also be homogenous
or not, iso- or orthotropic, time dependent or not and
temperature dependent or not.
Because pressure from ice often take place at tem-
peratures around the melt temperature for the ice, creep
effects in the ice are most important to regard.
The yield and failure criteria should reflect the prop-
erties found in experiments. Ice is a pressure dependent
material with lower strength in tension than in compres-
sion. Typically, tensile stresses in ice layers lead to the
846
formation and propagation of cracks. “Tensile crack-
ing usually leads to a degradation of elastic stiffness,
which is not reflected by standard plasticity models
that unload with the initial slope. Stiffness degrada-
tion can be handled within the framework of fracture
mechanics or damage mechanics (with a proper local-
ization limiter). The so-called smeared crack models,
popular in engineering applications, can be inter-
preted as a special type of damage model.” (Jirázek &
Basžant 2001). However, cracking under monotonic
loading may also be approximated by models based
exclusively on the theory of plasticity, provided that
the energy dissipation due to localized fracture and the
existence of a characteristic length are properly taken
into account (Jirázek & Basžant 2001).
Inside a continuous body there exist at least one gov-
erning differential equilibrium equation. At its bound-
ary there must exist certain boundary conditions for
relating the body to the surroundings.
Boundaries to ice fields are for example shores,
islands and built structures. Built structures such as
concrete dams influences the ice and the ice influences
the dam. The more stiff and vertical a structure or a
shore is, e.g. a vertical massif dam, the larger mechan-
ical resistant have it on the ice and the ice load on the
structure or shore becomes large.
3 THE MODELS
3.1 Ice growth
One simple estimation of the ice growth is (Eranti &
Lee 1986):
(4.1)
where h  ice thickness (m), A  parameter based on
local experience, for example 3.2 for ices without snow
and 2.5 with snow of moderate thickness (m); and
F  accumulation of T days where T  temperatures
below zero.
3.2 Ice mechanics
In this paper a continuum model is proposed, despite
the drawbacks in fracture phenomena around cracks.
Also, no creep effects are regarded, despite its impor-
tance. However, the calculation procedure can perhaps
later in other works, rather easily be extent to regard
also creep effects, and fracture mechanics.
The ice is assumed isotropic. Below the yield limit
the ice is assumed to behave linear elastic and above
perfectly plastic. The equilibrium equation solved is
(4.2)
where   stress in the material (Pa); and b  body an assumed yield limit K. The values of
and K are
forces (N/m3). The stress-strain relation assumed is determined (Jirásek & Basžant 2001) as

(4.11)
(4.3)
where D  elasticity matrix (Pa); el  elastic strain
vector (
);   elastic strain vector (
);   thermal (4.12)
elastic strain vector (
); 0  elastic strain vector,
here set to zero (
); p  plastic strain vector; and
0  initial stress, here set to zero (Pa). The thermal where
–
– and K are material parameters, (
) and (Pa);
elastic strain is estimated as fc and ft are statistically mean values of compressive
and tensile stress (Pa).
(4.4)

where
c  thermal expansion factor (1/°C); and
Tc0  initial temperature (°C). The temperature in the
ice field can be calculated as
(4.5)
where  density of ice (kg/m3); Cp  specific heat
capacity of ice (J/kg/°C); T  temperature (°C);
t  time (s); k  heat conductivity (W/m/°C); och
Q  heat source (J/m3/s). The heat source Q can be a
more or less detailed relation, see below.
(4.6)
3.3 Mechanics of concrete dams
The same basic principles as described in section 3.2
are more or less valid for concrete also, except that
creep effects is not so pronounced for concrete as for
ice. The same equations (4.2)–(4.12) can be used, but
with other strength values.
3.4 Mechanics of shores
This is not yet so analyzed that a proposal can be made.
However, by assume the stiffness the same as the self-
weight of an assumed part of the ice layer that is pressed
up on the shore and a certain friction coefficient of, let
us say, 0.5 we get:
(4.13)

where g  constant temperature at boundary; k  con- 4 EXAMPLES

vective coefficient; Tair  temperature in air above the
ice; Tice surface  temperature on the upper surface of the 4.1 General
ice; and Energysurroundings  all exchanges of heat with
the surroundings. The dam in Figure 1 is simply analyzed in three ways
A Drucker-Prager condition is proposed in this (i) by simple analytic solution assuming the dam as a
paper to calculate when the stress j reaches the yield
limit. Above the yielding point, the material (ice) is
assumed as perfectly plastic.
(4.7)

(4.8)

(4.9)

(4.10)

where j  stress based on a Drucker-Prager condition

(Pa); m  mean stress (Pa); J2  second deviatoric
stress. The resulting effective stress j is compared to Figure 1. Cross section of the dam.

847
beam; (ii) by FE-analyzes assuming both ice and dam
as plain strain models; (iii) by a horizontal plane
stress of both ice and dam.
The density of concrete is assumed to 23 kN/m3
and of water to 10 kN/m3.

4.2 Example 1: Analytic calculation with ice loads

due to guidelines (RIDAS)
The ice load is set to Ice  200 kN/m. Water pressure
qw  w  H1.
Assume a rotation around a point A, at the very
downstream end of the dam, see Figure 1. The verti-
cal force is:

(4.14)
Figure 2. A massif dam subjected to self-weight and water
The pushing moment is pressure against the upstream face.

4.3 Example 2: Linear elastic plain strain analysis

(4.15) of a vertical section
4.3.1 Only self-weight and water pressure loads
The resisting moment is A linear elastic calculation is shown in Figure 2.
Approximately 16 kPa in tension occur in the upstream
bottom corner.
(4.16)
4.3.2 Self-weight, water pressure and ice load
In Figure 3 the dam is also subjected on an ice load of
The load resultant R lays on a distance x from A 200 kN/m. The ice load have been reached by using
formula (4.3) and
(4.17) (4.21)

where
ice  thermal expansion factor (1/°C); and

As equation (4.18) shows, the load resultant lays just
inside the “core-area”, i.e. inside the middle 1/3 of the
base area. Such a condition means that there will be
no tensile stresses at the upstream end.
T  change of temperature (°C). The temperature
rises 4.0°C in the ice and it will press on the dam due
to its expansion. The left end of the ice is in the model
fixed in horizontal (x) direction. The following
parameters for the material are chosen: Eice  2 GPa,
(4.18) vice  0.33,
ice  510-5, ice thickness h  0.5 m.
The small value of Eice is an assumption that the ice
The eccentricity of R from the middle of the dam is have crept somewhat.
The resulting stresses can be seen Figure 3. The ver-
tical normal stress y is now about 350 kPa at the
(4.19) upstream bottom end, which differs from the case in
section 4.2 where y was approximately zero. This dif-
The normal stress in the upstream end of the dam is ference is probably most because the dam in this section
is calculated with solid mechanics that is a much better
approximation than the beam-model in section 4.2.
The horizontal displacement of the ice load
(4.20) 200 kN/m only is approximately 0.310
3 m. If sim-
plifying the dam as a spring the spring coefficient is

(4.22)
as can be expected when the load resultant R lays just
inside the core-area, as was mentioned above. This value is used in section 4.4.

848

Figure 3. The same dam subjected also with an ice load of
200 kN/m.
Figure 4. Drucker-Prager stress j in an ice field at a water
reservoir seen from above. T  4°C. 1)  concrete dam,
2)  spillway, 3) an island, 4) ice is yielding and cracks are
formed.
4.4 Example 3: FE-analysis plane stress
horizontal 2D-plane
A simple calculation was made of an ice field seen
from above. Up to the right boundary it is assumed a
concrete dam with the stiffness taken from above:
the ice, different shore conditions, different stiffness
along dams, varying air temperatures, wind blowing,
sun shining, etc, etc. With formulas (4.2) and (4.5)
much of this can be analyzed.
This paper is however only a start of a project aim-
ing to get better calculation models of ice loads
against concrete dams. The presented models are only
a brief introduction to the possibilities of model with
FEM concerning ice loads. The project shall be fin-
ished during the spring of 2006.
REFERENCES
Ashton G.D. (editor) (1986), “River and Lake Ice
Engineering”, Water Resources Publications, Michigan.
Azarnejad A., Hrudey T.M. (1998), “A numerical study of
thermal ice loads on structures”, Canadian Journal of
Civil Engineering, Vol. 25, pp 557–568.
Carter D., Sodhi D., Stander E., Caron O., Quach T. (1998);
“Ice thrust in Reservoirs”, Journal of Cold Regions
Engineering, s.169–183.
CDSA (1995) (Canadian Dam Safety Association), “Dam
Safety Guidedlines, chapter 9.3”.
Comfort G., Selvaduari A.P.S., Abdelnour R., Au M.C.
(1992), “A numerical ice load model”, IAHR Ice
Symposium, Banf.
Comfort G., Singh S., Gong Y. (1998a), “Static ice loads on
dams: Loads on the dam face and on wooden versus stell
stoplogs”, 1st Annual Conference System Stewardship
for Dams & Reservoirs, Halifax NS, 27 September–1
October, 1998, The Canadian Dam Association.
Comfort G., Singh S., Gong Y. (1998b), “Static ice loads on
dams: Loads along a dam face, and on wooden and steel
stoplogs”, Proceedings 14th Int. Symp. on ice Potsdam/
New York 1998.
Comfort G., Singh S., Gong Y. (2000a), “Predicting static
ice loads on dams”, proceedings IAHR Symposium on
Ice Problems, Gdansk, Polen, 2000.
Comfort G., Singh S., Gong Y. (2000b), “The factors con-
trolling static ice loads on dams”, proceedings IAHR
Symposium on Ice Problems, Gdansk, Polen, 2000.
Comfort G. (2001), “Static Ice Loads on Dams”, Fleet
Technology Ltd., From Internet www.cda.ca/cda/main/
newslets/sep99/iceloads.htm, September 2001.
Danielsen O. (1990), “Numerisk simulering av islaster mot
konstruksjoner”, 1990:142E, (på norska), Avd. för
Byggnadsmekanik, Tekniska Högskolan i Luleå.
Eranti E., Lee G. C. (1986), “Cold Region Structural
Engineering”, McGraw-Hill.
kdam  6.7105 kN/m. The shores around the lake
are assumed to have a stiffness of kshore  103 kN/m.
This value is get from the simple estimation in for-
mula (4.13).
5 DISCUSSION AND CONCLUSION
With FE-analysis, a number of phenomena concern-
ing ice loads may be involved, for example boundary
influences from the water beneath the ice, snow above
849
Fransson L., Cederwall K. (1984), “Iskrafter mot bropelare”,
teknisk rapport 1984:41T, avdelningen för konstruktion-
steknik, Tekniska Högskolan i Luleå.
Jirásek M. (2004), “Non-local damage mechanics with
application to concrete”, Czech Technical University of
Prague.
Jirásek M., Basžant P. (2001), “Inelastic analysis of struc-
tures”, Wiley.
Ko P.K., Ho M.S., Smith G.F. (1994), “Thermal ice forces on
concrete dams: Recent developments”, Proceedings of
the Xth Canadian Dam Safety Conference, Winnipeg,
Canada, s. 17–33, 1994.
Löfquist B. (1987), “Istryck mot bropelare”, Publikation
1987:43, Vägverket, Sverige.
Monfore G. E. (1949), “Laboratory investigation of ice pres-
sure”, U.S. Bureau of Reclamation, Structural Research
Laboratory, Denver, Report no. SP-21.
Monfore G. E. (1951), “Ice pressure measurements at
Eleven-Mile Canyon Reservoir during January 1949”,
U.S. Bureau of Reclamation, Structural Research
Laboratory, Denver, Report no. SP-31.
NVE (1990), “Forskrifter for dammer”, Norges Vassdrag
och Energiverk, Universitetsförlaget.
850
Ottosen N., Petersson H. (1992), “Introduction to the Finite
Element Method”, Prentice Hall.
Petersson H., Thelandersson S. (1983), “Basics of structure
mechanics”, The Building handbook, general basics, (in
Swedish), LiberFörlag, Stockholm.
Pohé J., Bruhns O.T. (1992), “On a constitutive law for poly-
crystalline ice based on the concept of internal vari-
ables”, IAHR Ice Symposium 1992, Banf.
RIDAS (2000), “Concrete dams”, guidelines, Stockholm,
Svensk Energi, Sweden.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Crack propagation model in concrete gravity dams

R. Attarnejad
Assistance professor, Faculty of engineering, university of Tehran, Tehran, Iran

A.R. Lohrasbi
MSc civil engineering, Faculty of engineering, university of Tehran, Tehran, Iran

ABSTRACT: Cracks are present to some degree in all structures. They may exist as basic defects in the con-
stituent materials or they may be induced in construction or during service life. Over-design carries heavy
penalty in terms of excess weight. One important area when considering such failure is the concrete dam which
safety is of paramount importance. Therefore a fundamental requirement of fracture mechanics theory is some
means of assessing the stability of suck crack propagation. For the process of crack propagation analysis in con-
crete structures, there are two general models: Discrete crack and Smeared crack. In this paper surveys the crack
propagation in concrete gravity dams based on discrete crack methods. Also we use of a program provided
specifically for this purpose.

1 INTRODUCTION In this report, for the process of crack propagation

Cracks are present to some degree in all structures.
They may exist as basic defects in the constituent
materials or they may be induced in construction or
during service life. Over-design carries heavy penalty
in terms of excess weight. The phenomenon of failure
by catastrophic crack propagation in structural mate-
rials poses problems of design and analysis in many
fields of engineering. One important area when con-
sidering such failure is the civil engineering in which
safety is of paramount importance. Therefore a fun-
damental requirement of fracture mechanics theory is
some means of assessing the stability of suck crack
propagation. Considerable effort has been devoted in
recent years to understanding and developing numer-
ical models for the mechanical behavior of civil engi-
neering structures and industrial components made of
brittle materials. It is clear now that the main difficul-
ties in the models are related to the localization pro-
cesses associated with the creation of cracks and their
propagation.
2 CRACK MODELING
Fracture is an important mode of deformation and
damage in both plain and reinforced concrete struc-
tures. To accurately predict fracture behavior, it is
often necessary to use finite element analysis. From
the most important reports in finite element analysis
of concrete fracture, is ACI committee 446 report [6].
analysis in concrete structures, there are two general
models: Discrete crack and Smeared crack.
2.1 Smeared crack
Smeared crack is based on two essential steps: The
first step is to detect the place of initial crack, and
then to estimate the crack path, and replace it with a
soften element. The smeared crack approach implies a
continuum type representation with a fixed FE mesh.
In this method, crack relates by concrete materials
and will be happen when the stress exceeds of allow-
able stress.
The Smeared crack model can be said to consist of
two parts, one crack initiation part that determines the
orientation and location of a new crack, and a crack
development part where traction’s and displacements
of the crack opening is determined by a softening law.
2.2 Discrete crack
Discrete crack method is known as natural crack
model. Methods pertaining to the discrete crack
approach account for each crack individually in an
explicit way in the FE mesh. After pioneering works
in which cracks would be allowed to open between
exist continuum elements according to a maximum
stress criterion, procedures for general crack propa-
gation with remeshing were developed for concrete
structures.

851
 In the past, this remeshing process has been a
tedious and difficult job, relegated to the analyst.
Newer software techniques now enable the remeshing
process, at least in two-dimensional problems.
The fracture process zone may be defined as the
area surrounding a crack tip within which inelastic
material behavior occurs. In very large concrete struc-
tures, for example, dams, is it possible to apply linear
elastic fracture method appropriately.
3 PROGRAM ALGORITHM
To survey the function of a concrete gravity dam
under load needs some appropriate numerical tool in
order to measure cracked concrete behavior. Thus for
discrete crack analysis in concrete gravity dam some
programs have been provided in Fortran program. For
discrete crack method the following steps should be
done one after another:
3.1 Detect of the location of the first crack
The first step in the crack propagation is detecting
the place in which the crack starts. In this model
assumes that crack start from location which the prin-
cipal stress exceeds the allowable tension stress (is
10 percent of compact stress). When the first crack
Figure 1. Detect of the location of the first crack.
852
location is determined, this location will be saved and
another crack is started from the end of pervious
crack.
In this subroutine, y is variable between 0 and H.
Each section that the stress exceed of tension stress, is
the first crack location. The loads that apply to this
model are:
3.2 Initial meshing
An initial meshing will be done. Meshing process has
been a tedious and difficult job. So subroutines have
been made for mesh and remesh in concrete dam.
3.3 Load factor applying
The load factor is started from 0.1.
3.4 Do analyses
With this load factor, some analysis will be done on
the present meshing.
3.5 Finding the plastic point
For finding the plastic point around crack tip, from J
integral has been used.
The J-Integral method (Rice 1968) for determining
the energy release rate of a Mode I crack is useful for
Figure 2. J-Integral path [3].
Figure 3. Dam model [6].

determining energy release rates, not only for linear

fracture problems, but also for nonlinear fracture
problems. For a two-dimensional problem, a path # is
traversed in a counter-clockwise sense between the
two crack surfaces.
If in J integral path, a plastic point was found, it
shows crack move to that point and program go to
another step. If a plastic point was not found, it shows
load factor is small and must be increased. Then pro-
gram goes to step 3–8.
3–6 – The crack propagates and goes to plastic
point.
3–7 – New meshing will be done.
3–8 – The load factor will be increased.
3–9 – The program goes to step 3-4.

4 NUMERICAL EXAMPLE

Let us now examine the behavior of a gravity dam

model whose dimensions are shown in Fig. 3
(Carpinteri et al. 1992). This experimental test was per-
formed without dynamic loading. The hydraulic thrust
was generated by means of servo controlled actuator
with a 2000 kN capacity and applied to upstream side.
This force was distributed in four concentrated
loads whose intensity is indicated in Fig. 3. Notch
depths were taken to be 15, and, the specimen thick-
ness was 30 cm.
Our Fortran program has modeled this dam. Load
factor increases and crack propagates (Fig. 4).
For accuracy checking of our program, crack
mouth opening displacement and displacement of
point A (Fig. 3) in experimental test with numerical
model has been compared.
The compare of results of program with experi-
mental test shows that we can use this program for
crack propagation model. Figure 4. Crack propagation.

853

Figure 5. The compare of crack mouth opening displace-
ment in experimental test with numerical model.
Figure 6. The compare of displacement of point A in
experimental test with numerical model.
5 CONCLUSIONS
The benefit of discrete crack method is the demon-
stration of the real crack and its opening. This opening
854
makes possible to measure the pressure of water,
which has penetrated to the crack. This method’s defi-
ciency is to expend much time and money because of
frequent meshing.
The smeared crack method is not only simple but
also not expending time and money. Its deficiency is
that the nature of the crack physical is not real, by rea-
son of the replacement of isotropic, elastic and linear
behavior with an orthotropic one. Furthermore it
would be impossible to measure the crack opening or
the pressure of penetrating water.
With this program, we can apply earthquake loads
by load factors and get useful information for new
designs.
The accurate of calculation depends on mesh size,
fine meshes suggest.
REFERENCES
D. R. J. Owen, E. Hinton, “Finite element programming”,
Academic Press Inc. London Ltd., U.K., 1977.
D. R. J. Owen, A. J. Fawkes, “Engineering fracture Mechanics:
Numerical methods and application”, Pineridge Press
Ltd., Swansea, U.K., 1983.
D. R. J. Owen, E. Hinton, “Finite element in plasticity”,
Pineridge Press Ltd., Swansea, U.K., 1983.
D. R. J. Owen, A. J. Hinton, “An introduction to finite ele-
ment computations”, Pineridge Press Ltd., Swansea, U.K.,
1979.
Finite Element Analysis of Fracture in Concrete Structures:
State-of-the-Art. Reported by ACI Committee 446.
F. Barpi, S. Valente, “Numerical simulation of prenotched
gravity dam models”, Journal of engineering mechanics,
June 2000.

res R dna m D v srio nE d a seit coS ,
© 60 2 T a F & roly
The comparative study of discrete crack and smeared crack methods in
concrete gravity dams
R. Attarnejad
Assistance professor, Faculty of engineering, university of Tehran, Tehran, Iran
A.R. Lohrasbi
MSc civil engineering, Faculty of engineering, university of Tehran, Tehran, Iran
ABSTRACT: For the process of crack propagation analysis in concrete structures, there are two general models:
discrete crack and smeared crack. This paper surveys the after crack behavior of elements of unreinforced con-
crete for gravity dams based on these methods, and with the use of a program provided specifically for this pur-
pose, some sample will be run. Also, we will try to show both the benefits and limitation of discrete crack and
smeared crack methods.
1 INTRODUCTION
The phenomenon of failure by catastrophic crack prop-
agation in structural materials poses problems of design
and analysis in many fields of engineering. One impor-
tant area when considering such failure is the civil engi-
neering in which safety is of paramount importance,
but where over-design carries heavy penalty in terms of
exceeds weight. Cracks are present to some degree in
all structures. They may exist as basic defects in the
constituent materials or they may be induced in con-
struction or during service life. Therefore a fundamen-
tal requirement of fracture mechanics theory is some
means of assessing the stability of suck crack propaga-
tion. Considerable effort has been devoted in recent
years to understanding and developing numerical mod-
els for the mechanical behavior of civil engineering
structures and industrial components made of brittle
materials. It is clear now that the main difficulties in the
models are related to the localization processes associ-
ated with the creation of cracks and their propagation.
Traditionally, the methods of numerical analysis with
finite element (FE) have been classified into “discrete
crack approach” and the “smeared crack approach”.
2 CRACK DETECTION
The first step in each of the discrete crack and smeared
crack is detecting the place in which the crack starts.
The model assumes a crack to form if the principal
855
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12 eht ni m or v rutneC g
reB Ð y )sde( la t
r puorG sicna 1 3240 5 NBSI ,nod L
elastic strain in one direction exceeds the cracking
strain, given by
(1)
Where fcr s the uniaxial tensile strength and E the
initial elastic modulus of the concrete. Once a crack at
a material point has occurred, its direction is stored. The
concept of “fixed crack orientation” governs the for-
mation of additional cracks in that material point. This
means, allowance for additional cracking is made only
in directions normal to the initial direction.
In direction of the open crack (i.e. the direction nor-
mal to the crack plane) a damaged elasticity approach
is applied. The stress in that direction is assumed to be
dependent only on the associated strain and obeys
the provided uniaxial stress-strain relation for post-
cracking softening. The model allows for cyclic load-
ing, i.e. a crack can close and re-open in the process
of loading. The unloading and re-loading response
follows a path characterized by a “damaged” elastic
modulus Ed in a way that no tensile stresses remain
when the crack has closed (see Figure 1). In order to
establish Ed the maximum total strain in the direction
of the crack that was ever reached in the process of
loading is monitored and stored. A closed crack is
treated as non-existent as long as it remains closed.
This means as soon as tensile stresses in direction of
the crack occur it starts to open again and the dam-
aged elasticity concept applies.

Figure 1. Illustration of the damaged elasticity concept.
It employs the damaged elastic modulus Ed as a
measure for the actual state of damage.
Establishment of a “damaged” stiffness matrix at a
material point:
r12 and r13 are the shear retention factors account-
ing for the reduced shear transfer across the crack.
They are established via
3 SMEARED CRACK
The smeared crack implementation is based on
Rankine’s failure criterion, exponential softening, with
fixed or rotating cracks implemented within a crack
band model through an orthotropic formulation.
Rankine’s criteria for concrete cracking are given by:
(2)
Where strains and stresses are expressed in mate-
f
rial directions. ij n
1 And Fi are thus the trial stress
and tensile strength in the local material direction i.
Trial stress is determined from the elastic predictor:
(3)
If equation (2) is violated (i.e. cracking occurs) then
the incremental fracturing strain is along direction i.
856
Smeared crack is based on two essential steps: The
first step is to detect the place of initial crack, and then
to estimate the crack path, and replace it with a soften
element. The smeared crack approach implies a con-
tinuum type representation with a fixed FE mesh.
The model can be said to consist of two parts, one
crack initiation part that determines the orientation
and location of a new crack, and a crack development
part where traction’s and displacements of the crack
opening is determined by a softening law.
The possibility for the formation of cracks and dis-
continuities is incorporated into the constitutive (stress-
strain) laws of the material, which must then necessarily
be nonlinear with softening behavior. Strain is normally
decomposed into a continuum part and an average
cracking part. This approach was pioneered with
fixed-crack orthotropic secant models (Rashid 1968;
Cervenka 1970; Suidan and Schnobrich 1973).
An additional problem to the smeared crack
approach comes from the limited modes of deforma-
tion of the standard displacement based on finite
elements that, in general, cannot accommodate dis-
continuous fields, unless the discontinuity is aligned
with the element edges.
4 DISCRETE CRACK
Discrete crack method is known as natural crack model.
Methods pertaining to the discrete crack approach
account for each crack individually in an explicit way
in the FE mesh. After pioneering works in which
cracks would be allowed to open between existing
continuums elements according to a maximum stress
criterion, procedures for general crack propagation
with remeshing based on linear elastic fracture mechan-
ics (LEFM) were developed for concrete structures.
The fracture process zone (FPZ) is represented by a
fictitious extension of the crack beyond the tip, whit
normal opening related to the normal related to the
normal stress by a softening law. The most flexible
implementation of the FCM in an FE context is
achieved by using zero-thickness interface elements
along the crack path. This in general requires remesh-
ing when the crack propagates.
5 NUMERICAL MODEL
To survey the function of a concrete gravity dam under
load, needs some appropriate numerical tool in order
to measure cracked concrete behavior. Thus for dis-
crete crack and smeared crack analysis in concrete
gravity dam some programs have been provided in for-
tran program.

Figure 2. Discrete crack method (Step 10, 28).
Figure 3. Dam model.
For discrete crack method the following steps
should be done one after another:
1 An initial meshing should be done.
2 Using an initial analysis, we find the location of
crack.
3 Then, some analysis will be done on the present
meshing.
4 The crack will be propagated.
5 New meshing will be done.
6 We add pre-stress and pre-strain to the new
meshing.
7 Finally, the program will be sent to the step 4.
For smeared crack method the following steps should
be done one after another:
1 An initial meshing should be done.
2 Using an initial analysis, we find the path of crack.
857
Figure 4. Load versus displacement of point A of Figure 3.
3 Replace cracked elements with soften elements.
4 The analysis will be done.
The following model can be run by this program:
6 SUMMARY AND CONCLUSION
Load versus displacement of point A in model, by
smeared crack and discrete crack method, has been
shown in Fig. 4.
The benefit of discrete crack method is the demon-
stration of the real crack and it’s opening. This open-
ing makes possible to measure the pressure of water
which has penetrated to the crack. This method’s defi-
ciency is to expend much time and money because of
frequent meshing.
The smeared crack method is not only simple but
also not expending time and money. Its deficiency is
that the nature of the crack physical is not real, by rea-
son of the replacement of isotropic, elastic and linear
behavior with an orthotropic one. Furthermore it would
be impossible to measure the crack opening or the
pressure of penetrating water.
REFERENCES
D. R. J. Owen, A. J. Fawkes, “Engineering fracture mechan-
ics: Numerical methods and applications”, Pineridge
Press Ltd., Swansea, U.K., 1983.
Proceedings of International RILEM Workshop., “Analysis
of Concrete Structures by Fracture Mechanics”, Chapter
and hall,1992.
F. Barpi, S. Valente, “Numerical simulation of prenotched
gravity dam models”, Journal of engineering mechanics,
June 2000.
“Merlin II theory manual”, Department of Civil Engineering,
University of Colorado, Boulder.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Study on simulation calculation of fractured rock mass

Zhao Jian & Ji Wei

College of Water Conservancy and Hydropower Engineering, Hohai University, Nanjing, Xuzhou Water
Conservancy Investigation and Design Institute, Xuzhou, China

ABSTRACT: The equivalent continuous model and discontinuous network model are mainly two approxi-
mate models which are used to research seepage flow in fractured rock mass. The validity of structure body of
the equivalent continuous model directly determines the calculation precision of the result. So it is essential that
the condition of approximate model equivalently substituting real model is researched basing on structure char-
acteristic of the fractures in rock mass. A calculation method of fracture network is put forward which consid-
ers the effect of local hydraulic head loss based on the discontinuous network model, and the validity of
equivalent permeability tensor of the equivalent continuous model and the effect of geometry parameter of frac-
ture network are researched here.

1 INTRODUCTION tensor of the equivalent continuous model and the

Because the destruction caused by seepage flow often
bring on inestimable loss, such as the Malpasset arch
dam of France, so the seepage in fractured rock mass
has already become one of the most mentioned ques-
tions in construction of the dam (Zhou & Pu, 1982).
At present, many calculation models and methods are
advanced about utilizing the computer to research the
seepage in fractured rock mass, the model of more
ripeness among them or already accumulated quite
application experience is the equivalent continuum
model. The second one is the discontinuous network
model. The equivalent continuous model may be used
to simulate the whole seepage effect of the rock which
contains strong and symmetrical fractures. If primary
dank faults are considered, the equivalent continuous
model may better forecast the true situation of engi-
neering seepage. When the fractures asymmetrically
grow, the discontinuous network model may effectively
simulate the fracture system, but it is rather limited to
set up the fracture system of rock mass because of
lacking lots of geological data. So it is very difficult
to forecast the whole dank capability of the rock.
Therefore, basing on practical engineering applica-
tion and existing condition, it is necessary to keep on
discussing how to form and apply discontinuous net-
work model, and it is more necessary to research and
popularize the equivalent continuous model. A seep-
age calculation method of fracture network is intro-
duced here which considers the effect of local
hydraulic head loss basing on discontinuous network
model, and the validity of equivalent permeability
effect of geometry parameter of fracture network are
researched in detail.
2 CALCULATION OF LOCAL HYDRAULIC
HEAD LOSS OF FRACTURE NETWORK
2.1 Formulation of fracture network
Because of the geological structure in nature, the frac-
ture often appears in groups. Within all fractures the
advantage fracture groups can reflect the infiltration
characteristics of the fractured rock mass basically.
Basing on the premise that the true fracture networks
can not be obtained, the fracture network formed by
advantage fracture groups can be used to replace the
true fracture network. While the statistical parameters
of every advantage fracture group have already been
known, it is found that every parameter of the fracture
group obeys certain probability distribution. According
to the distribution, the fracture network of rock mass
can be simulated truly by Monte-Carlo method. Then
the discontinuous network structure model is set up.
Fracture network in this model is similar with the real
fracture network. The size of its similar degree depends
on whether every parameter probability distribution is
chosen accurately.
2.2 Seepage calculation in fracture network
By application of the calculation method of the net-
work (Wu & Zhang, 1995), the discharge in fracture
and the hydraulic head value at the point of fracture

859
crossing can be calculated. The calculation process is
shown as follows. b H 4

4
L
Assume that there are n fracture intersection points, L1
4
namely the joint, including joint at the border in a cer- V

4
tain seepage area, m fracture lines, and the width and

H0
B V1 H0 V 3 H 3
H 1 1 H0 3
length of each fracture are bj and lj respectively, here 2
H 0
j  1, 2, …, m. Considering the balanced area made up φ L 3
of the joint i with ni lines crossing to it, according to the H 2 V 2

2
L
balanced principle of water yield, the steady water flow (a)
equation of the joint i can be obtained as follows.

(1)

j1 H j1
04 j j2
j2
H02
H 01 H 01
Where qj is the discharge of flowing into or out joint i H j1 j2 H j2
03 H 04 03
for fracture line j, Qj is the item of source (or sink) of H02
j1

joint i.
Then the whole matrix equation group (Wu &
Zhang, 1995) for the linear seepage calculation of the
fractures can be obtained as follows. (b)

(2) Figure 1. Sketch map of analysis of cross flow theory.

Where A is the linking matrix of the fracture network,
Tl is a diagonal matrix of unit characteristic of frac-
ture, H is a head vector of the joint and Q is the vec-
tor of the source (sink). Taking the boundary conditions
of Dilihirit (known head) and the second kind bound-
ary (known flux) into the formula (2), the head of
inner joint and the second kind border joint (known
h14,
h13 and
h23 in the
flux), the flux of the first kind border (known head)
can be calculated.
2.3 Improvement of seepage calculation in network
Generally, network calculation doesn’t consider head
loss of cross fracture. By experimental study for cross
fracture document (Su, Zhan & Guo, 1997) shows that
whether considering local head loss or not, it is slight
difference, it is bigger difference for the flux of narrow
fracture, and its influence should be considered when
the seepage of network fracture is analyzed. This text
takes smooth fracture as an example to get the network
computation method considering head loss of joint.
It is always thought that local head loss is caused
by the sharp change of water flow border and the vio-
lent change of water flow shape. This kind of loss
only takes place in a section of ranges before and after
the border changes sharply, and it mainly depends on
geometry form and size of border in the condition of
big Reynolds number and little roughness. For frac-
ture network, it depends on the size of the angle and
aperture between fractures. Two crossing fractures of
different apertures are shown as in Fig. 1(a).
In Fig. 1(a), H1, H2, H3 and H4 are the imports and
exports head of cross fracture, H01, H02, H03 and H04
are the head in the place of each tributary intersecting,
v1, v2, v3 and v4 are the flow velocity in each tributary,
L1, L2, L3 and L4 are the length of each fracture. B and
b are apertures of the fracture.  is the contained
angle of two fractures. In case of laminar flow, accord-
ing to the hydraulics it is a generally acknowledged
fact that the streamlines don’t cross (Su, Zhan & Guo,
1997), and the head loss of
place of crossing for water flow can be obtained.
Certainly, several kinds of crossing situations also
exist in the fracture network: (1) water flows into one
fracture unit, water flows out of two fracture units; (2)
water flows into two fracture units, water flows out of
one fracture unit; (3) water flows into a fracture unit,
water flows out of one fracture units.
In Fig. 1(a), water flow local head loss is considered.
There are four different head values near the intersec-
tion point of fractures, but there can only be one head
value at one fracture intersection point in the network
computation technology. So the head value H01 is used
as head value of fracture intersection point. As shown
in Fig. 1(b), when the aperture of fracture unit j is big-
ger than the aperture of the other two fractures which
intersect with it, the flux of unit j can be calculated in
following formula.
(3)

860
Where the marks of 1 and 2 are the one joint (high
head) and two joints (low head) of fracture unit j
respectively.
The fracture which intercrosses the unit j at one joint
is called one fracture, the fracture which intercross the
unit j at two joint is called two fractures. j is defined
as correction coefficient of fracture unit characteristic
item for fracture unit j considering local head loss. Its
value can be calculated in following formula.
(4)
Analogously, when the aperture of fracture unit j is
smaller than the aperture of the other two fractures
which intersect with it, its value is
(5)
When the aperture of fracture unit j is bigger than the
aperture of the one fracture, and smaller than the
aperture of the two fracture which intersect with it, its
value is
(6)
When the aperture of fracture unit j is bigger than the
aperture of the two fracture and smaller than the aper-
ture of the one fracture which intersect with it, its
value is
(7)
Through the deriving of formula (3), local head loss
of the fracture can be converted into the frictional
head loss of the fracture line unit, it can be satisfied
with the principle that a fracture intersect point only
has a head value. Then,
(8)
(9)
Where ij is correction coefficient of fracture unit
characteristic item for fracture unit j considering local
head loss when iterating for i (i  2). Its value is
shown as from the formula (4) to formula (7).
861
Basing on calculation result of the formula (2), for-
mula (8) is used to iterate for the second time until
head value of close two times iteration satisfy the fol-
lowing formula.
(10)
At this moment, stop iterating when  is generally
fetched for 0.01–0.001.
3 JUDGING THE VALIDITY OF EQUIVALENT
PERMEABILITY TENSOR
The concept of equivalent permeability tensor is pro-
posed by Ferrandon (1948) at first. Thereafter Snow
(Snow, 1969) apply it to the fracture medium, has pro-
posed permeability tensor of the fracture rock mass.
Tian KaiMing etc. (1986) have set up the permeability
tensor model which includes connectivity and trans-
fixion of fracture system, rock permeability tensor
includes position, density, aperture of fracture system
is consummated into fracture permeability tensor
which can reflect characteristic of transmit water for
fracture network. It makes the permeability tensor
rather accord with reality geology. But in the real rock
mass, except that the position of fracture system can
be determined basically, it is very difficult to examine
accurately the density and aperture of the fracture. So
it is limited to totally calculate permeability tensor
through the aperture of fracture, interval and position.
In order to confirm the validity of the permeability ten-
sor, this text utilizes the error ER1 and ER2 to judge.
3.1 Ascertaining equivalent permeability tensor
To begin with the positive of X axis, the fracture
network is cut in each gradient direction when cir-
cumrotating 30° anticlockwise, the intercepting border
perpendicular to this gradient direction is set as the
known head border, the head is H1 and H2 respec-
tively. The intercepted border is set as the waterproof
border along the gradient direction, and the flux Q
along this gradient direction is obtained by network
calculation method. Because the fracture network is a
square, according to Darcy’s law, the permeability
coefficient in this gradient direction can be calculated
by following formula.
(11)
Where Kg is the permeability coefficient along the
direction, L is the length of the square border.
Then the permeability coefficients of twelve gradi-
ent directions are obtained. Basing on that, the value
of Kg
0.5 can be calculated. Draw the value of Kg
0.5
on polar coordinates, and if the figure made up of
those points approximate to oval or ellipsoid, main
permeability coefficient and main direction can be
obtained from long and short axis. Thus equivalent
permeability tensor is obtained (Zhang Qi, Xia
Songyou & Yu Guoqing, 1994). This fracture network
can be replaced with the equivalent continuum
medium. If it is not the oval or ellipsoid, augment the
calculation size until it is an oval or ellipsoid.
3.2 The standard of judging the validity of
equivalent permeability tensor
After obtaining the equivalent permeability tensor, it
need study whether the permeability can represent the
permeability of the fracture network or not, that is to
say whether REV judging the fracture network exists
or not. Known from the definition of REV, two fol-
lowing standards that REV must be satisfied with. (1)
When the size of the rock mass is equal to or greater
than REV, the direction of permeability coefficient
has no obvious changes varying rock mass measure-
ment. (2) Reaching or close to the characteristic of
equivalent permeability tensor second-rank, symmet-
ric and positive-definite.
To the first standard, this text proposes to make use
of error ER1 to judge variety of the direction of per-
meability coefficient with the rock mass size through
the permeability difference on all directions of adjoin
rock mass size.
(12)
Where ER1 is the standard error of equivalent per-
meability tensor for different size rock mass, N is the
number of directions of numerical calculation for
directional hydraulic conductivity, k p1 is numerically
calculated directional block hydraulic conductivity
for the size one, p is the direction of gradient vector,
k p2 is numerically calculated directional block
hydraulic conductivity for the size two. Among them,
size one and size two are adjoin two sizes, and size
one is smaller than size two.
To the second standard, error ER2 can be used to
evaluate the closeness to the equivalent continuum
behavior for a sample block in 2-Dimension, it can be
calculated by the formula (13).
862
(13)
Where ER2 is a measurement of normalized rela-
tive error for continuum behavior, N is the number of
directions of numerical calculation for directional
hydraulic conductivity, k p is numerically calculated
directional block hydraulic conductivity, p is the direc-
–
tion of gradient vector, k p is the theoretical direc-
tional block hydraulic conductivity.
4 SENSITIVE ANALYSIS OF FRACTURE
GEOMETRY PARAMETER
Rock mass fracture parameter includes fracture sets,
density, aperture, length and orientation of fracture etc.
Several advantage fracture groups can be confirmed
according to the trend and inclination of the fracture.
Its permeability can represent the permeability of
fracture rock mass except that the fracture group can
confirmed. The other four fracture parameters are
uncertain, they change in a certain range, and it can
be found that their value obeys a certain distribution
approximately through study. The sensitivity of these
four parameters of fracture is analyzed in this section.
4.1 Determination of geometric parameters
of fracture
There are two groups of fracture, the probability dis-
tribution with geometry parameter satisfy are shown
as in Table 1. According to mean value and variance
of the parameter in the table, the fracture network in
the area of 60 m  60 m is produced by Monte-Carlo
method. In order to study the fracture parameter when
the fracture rock mass behaves equivalently as a con-
tinuum, in the condition that normalized relative error
and form of distributing do not change , sensitiveness
analysis is carried on when the mean value of every
fracture parameter is varied respectively.
Each model is shown as in Table 1, aperture mean
value of fracture is changed respectively in model 1,
model 2 and model 3 to study with varying fracture
aperture. It will be studied that the change of mean
length of fracture cause the impact on fracture net-
work permeability in model 2, model 4 and model 5.
The influence of density of fracture network is
researched for fracture network becoming equivalent
continuum medium in model 2, model 6 and model 7.
The influence of orientation of fracture network is
researched for main permeability direction in model 2,
model 8 and model 9. The influence of local head loss
for network permeability is researched in model 10.
Table 1. Statistic value of geometry parameters for fracture.

Orientation Length Density Aperture

Fracture set (o) (m) (piece/m2) (cm)

One set
Mean value 35 15.0 0.07 0.05
Standard deviation 0.05 0.05 / 0.01
Distribution location Normal distribution Normal distribution / Logarithm normal
distribution

Two set
Mean value 145 15.0 0.07 0.05
Standard deviation 0.05 0.05 / 0.01
Distribution location Normal distribution Normal distribution / Logarithm normal
distribution

Table 2. Conditions compounding.

Density Mean value of Mean value of

Model (piece/m2) length (m) aperture (cm) Orientation (o)

Model 1 0.07 15.0 0.04 35 (set one) 145 (set two)

Model 2 0.07 15.0 0.05 35 (set one) 145 (set two)
Model 3 0.07 15.0 0.08 35 (set one) 145 (set two)
Model 4 0.07 10.0 0.05 35 (set one) 145 (set two)
Model 5 0.07 18.0 0.05 35 (set one) 145 (set two)
Model 6 0.09 15.0 0.05 35 (set one) 145 (set two)
Model 7 0.05 15.0 0.05 35 (set one) 145 (set two)
Model 8 0.07 15.0 0.05 15 (set one) 145 (set two)
Model 9 0.07 15.0 0.05 65 (set one) 145 (set two)
Model 10 0.07 15.0 0.05 35 (set one) 145 (set two)
Consider
local head loss

Table 3. Permeability tensors fit to fractured rock in different conditions.

Equivalent permeability tensor

Main permeable Error Error

Model direction (o) K1  10
5 m/s K2  10
5 m/s K1/K2 m  m REV (ER1) (ER2)

Model 1 2.9 4.600 1.849 2.49 16*16 0.044 0.028

Model 2 1.9 8.902 3.677 2.42 16*16 0.041 0.026
Model 3 1.0 36.21 15.41 2.35 16*16 0.037 0.024
Model 4
17.1 3.144 0.845 3.72 / 0.125 0.248
Model 5 8.0 12.20 5.128 1.95 16*16 0.059 0.046
Model 6 11.7 14.90 5.653 2.64 14*14 0.035 0.052
Model 7
6.6 6.500 2.654 2.45 20*20 0.089 0.071
Model 8
10.6 8.092 1.313 6.16 / 0.115 0.269
Model 9
68.5 7.641 5.072 1.51 16*16 0.072 0.07
Model 10 2.9 8.378 3.424 2.45 16*16 0.044 0.089

4.2 Analysis of calculation result

ER1 and error ER2 are small and tends towards sta-
In Table 3, the size of REV is confirmed according to bility, shown as in Fig. 2 and Fig. 3. Among them,
such a principle. Corresponding fracture rock mass main permeability direction is angle between main
measurement is REV size when the value of error permeability value and positive direction of X axis

863

120 ° 90
150 ° namely permeability relatively, when the aperture
180 ° 8m×
210 °
240 ° condition (model 2, model 4 and model 5). When the
270
Figure 2. Polar coordinates of fracture network in twelve
waterpower grads directions.
0.4
0.3
err
0.2
0.1
0 rock mass is reduced, and the validity of the equiva-
4 6
Figure 3. Relationship between fractured rock size and
error ER1, ER2 in second condition.
which is zero degree direction of polar coordinate.
The following conclusion is obtained from Table 3.
(1) Permeability of fracture network and fracture
aperture has the same variation tendency, the aperture
is bigger, and the validity of equivalent permeability
tensor is heavier (model 1, model 2 and model 3). The
permeability of the fracture network increases rapidly
with fracture aperture increase. This is mainly because
fracture permeability is in direct radio with the third
power of aperture. The change with fracture aperture
will not influence possibility for the fracture network
which behaves equivalently as a continuum, and will
not influence REV size of the fracture network either,
just change the permeability of the fracture network.
Because the orientations of two sets of fracture are
near symmetry about and close to it, other parameters
are all the same. So main permeability direction of
fracture network in theory is the direction of X axis,
and main permeability direction of fracture is near to
X axis gradually with the increase of the fracture
aperture. But the range of change is very small. With
the increase of fracture aperture, the ratio maximum
and minimum main permeability value is reduced,
namely the degree of the anisotropy of the fracture
rock mass is reduced. Error ER1 and error ER2 are
reduced too, namely the increase of validity of the
equivalent permeability tensor. The reason is that the
°
60 °
increase of the aperture mean value of fracture will
make the aperture of fracture network relatively even,
30 ° standard deviation of fracture does not change. It
4m× makes that fracture network behave an equivalent
continuous media.
0 ° 12m× (2) When the fracture length increases, the proba-
14m×
bility transfixion among the fractures becomes big-
16m×
18m×
ger, the permeability of the fracture network increases
30 ° too. Main permeability direction changes in some
° 30 ° length of the fracture increases, the change of fracture
network REV depends on situation, if the fracture is
distributed more even, the REV of the fracture net-
work is diminished, if not even, the REV of the frac-
ture network increases and would not be changed at
certain length. Error ER1 and error ER2 is in allow-
ing range, but it does not influence that fracture net-
err ER2 work behaves equivalently as a continuum. With the
err ER1 increase of fracture length, the ratio of the maximum
and minimum main permeability value is reduced,
namely the degree of the anisotropy of the fracture
8 10 12 14 16 18 lent permeability tensor increases.
Rock size /m (3) When the density of fracture increases, perme-
ability of the fracture network increases too. The ratio
of the greatest and minimum main permeability value
slightly changes, but it is not high to change, this con-
dition accords with the characteristic of the random
fracture network. At the same time the increase of the
density will cause REV size of the fracture network to
reduce too (model 2, model 6 and model 7).
(4) When the contained angles of two sets of fracture
are very small, the fracture network displays strong
anisotropy (model 2, model 8 and model 9). The ratio
of the maximum and minimum main permeability
value is 6.16 when the contained angle is 50°. At this
moment token unit body REV does not exist. The
contained angle between two groups of fracture is big
(greatly upright to each other), and the ratio of the
maximum and minimum main permeability value is
relatively little, the degree of anisotropy is relatively
small. At this moment the fracture rock mass is favor-
able to behave equivalently as a continuum.
(5) Considering local head loss of the fracture net-
work will make the permeability of the fracture network
diminish, but does not influence the fracture network to
behave an equivalent continuous media. As shown in
the model 2 and model 10, this equals to diminish the
permeability of the fracture network because of con-
sidering local head loss will increase the total head
loss. Considering local head loss of the fracture net-
work, the degree of the anisotropy of the fracture rock
mass changes in some conditions, error ER2 changes
bigger, but this has not changed the size of REV of
the fracture network.
864
5 CONCLUSION
The permeability coefficient of the rock mass itself is
generally very small, about 10
8
10
7 cm/s, but the
permeability coefficient of the rock mass with fracture
is very big, reaching about 10
2
10
5 cm/s. This is
mainly because that the fractures in the rock mass are
transfixion, these fractures form a good transfixion
way completely. Because of the construction activity,
the fractures in the rock mass mostly appear in sets,
and the permeability of each set has nothing in com-
mon with each other. It causes that the permeability
of the fracture have the obvious anisotropy. For calcu-
lation of seepage numerical simulation, how to simu-
late this kind of characteristic of fracture rock mass
has a tremendous influence in improving calculation
accuracy. It is a great developing stage of hydraulic
electric generation of every large basin of southwest
of China in the following dozens of years, the high
dams of this area are mostly built on rock foundations
with complicated geological condition. There will have
higher requests on the anti-seepage of foundation and
slope. So it is very urgent and essential to strengthen
the study on the fracture rock mass seepage question,
especially to proceed from practical application to
propose some tests and computation technologies.
REFERENCES
Cacas, M.C. et al. 1990. Modeling fracture flow with a
stochastic discrete fracture network: Calibration and
865
validation 1. The flow model [J]. Water Resources
Research. 26(3): 479–489.
Robinson, P.C. 1984. Connectivity, flow and transport in
network models of fractured media [D]. Oxford: Oxford
University.
Snow, D.T. 1969. Anisotropic permeability of fractured
media [J]. Water Resources Research. 5(6): 1273–1289.
Snow, D.T. 1970. The frequency and apertures of fractures
in rock [J]. Int.J.Rock Mech.Min.Sci.Geomech.Abstr. (7):
23–40.
Su Baoyu & Zhan Meili & Guo Xiaoe. 1997. Experiment
research of cross fracture flow [J]. Shuili Xuebao. (5):
1–6.
Wang, E.Z. 1991. A Study on the models of the groundwater
movement in fractured networks [A]. Modeling of
Groundwater Resources proceedings of the International
Conference on Modeling Groundwater Flow and
Pollution[C]. 414–421. Nanjing: Nanjing University
press.
Wu Yanqin & Zhang ZhuoYuan. 1995. Rock mass
hydraulics introduction [M]. Chengdu: Southwestern
Communications University publishing house.
Zhang Qi & Xia Songyou & Yu Guoqing. 1994. Back analy-
sis of permeability tensor of fractured rock mass and
equivalent continuum model [J]. Journal of Hohai
University. 22(3): 74–80.
Zhou Fen & Pu Wanhua. 1982. Anisotropy permeability
characteristic of fractured rock and its mensuration
method in field. The Academe of Water Conservancy and
Hydropower Science Proc. of Science Research.

res R dna m D v srio nE d a seit coS ,
© 60 2
Role and behavior of surge chamber in hydropower: Case of the Robert
Bourassa hydroelectric power plant in Quebec, Canada
M. Fuamba
École Polytechnique de Montréal, Montreal, Canada
G. Brosseau, E. Mainville, S. Colameo & D. Sparks
Hydro-Québec, Montreal, Canada
ABSTRACT: This paper describes the Robert Bourassa surge chamber and its role in transient flow manage-
ment. Using the FLOW-3D® numerical model, complex turbulent flow conditions in the surge chamber have
been simulated, analyzed and compared to results obtained by a physical model study. A hydraulic-energy based
method to determine head losses in the surge chamber is proposed, as well as identifying hydraulic conditions
needed to optimize the production of electricity.
1 INTRODUCTION
The history of hydropower in Canada dates back to
1881, when the Ottawa Electric Light Company built
a waterwheel plant at Chaudiere Falls to supply power
for street lights and local lumber mills. In 1900, the
first international transmission line between Canada
and the United States was built across the border at
Niagara Falls. By 1902, the Shawinigan Electric
Company in Quebec had installed the largest genera-
tors in the world at Shawinigan Falls, and began send-
ing power, at 50 kilovolts, some 135 kilometres to
Montreal, along the longest transmission line in the
world at the time.
Today, Canada has about 450 hydroelectric power
plants in operation and more than 200 small hydro
plants (which generate less than 3 MW of power).
Among some of Canada’s larger facilities are the
Churchill Falls underground power plant in Labrador,
the Robert-Bourassa (RB) complex near James Bay,
Quebec and the 214 meter-high Daniel Johnson arch
and buttress dam on the Manicouagan River in Quebec.
Canada’s installed hydropower capacity is 67,121 MW;
its remaining technically feasible hydropower potential
is 117,978 MW, the equivalent of 56 new Hoover Dams
(USA), and twice the amount that is currently in oper-
ation. In Quebec alone, the installed capacity rose
from 9700 MW to 32,000 MW in the last 40 years
(Acore 2005).
The largest Canadian hydropower facilities not only
produce electricity but have the capacity to store water
for future energy production for days, months, or even
ts
12 eht ni m or v rutneC g
reB Ð y )sde( la t
T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L
years, depending on the size of their reservoirs. Often,
in large underground plants, their facilities include
surge chamber to prevent excessive pressure fluctua-
tions in the draft tubes and to protect the turbine-
generator units.
2 THE RB HYDROPOWER COMPLEX
2.1 Description of facilities
The La Grande River flows east to west, a distance of
800 kilometers before reaching James Bay. This river
is the main tributary of Quebec slope of James Bay. It
is the third largest river in Quebec with a drainage
basin of 97,400 square kilometers, more than twice
the area of Switzerland. The Robert Bourassa (RB)
hydropower station, the largest of the eight hydropower
stations on the La Grande River (LG-1, LG-2A, LG-3,
LG-4, Laforge-1, Laforge-2 and Brisay) is located in
the Municipality of Radisson, approximately 1,000 km
north of Montreal.
All the RB facilities are underground. Water for the
power station is retained by a dam creating a large
reservoir of 61.7 billion cubic meters. Water is con-
veyed to sixteen turbine-generator units into the pow-
erhouse through penstock pipes 40 m long. A surge
chamber receives water from the turbines and directs it
to all four tailrace tunnels. The surge chamber is located
parallel to the power plant room for the machines. It
was built to dampen strong pressure and waves fluc-
tuations during unit starts and stops and flow variations.
867
It is 450 meters long, 45 meters high and 14 meters
wide. It is divided into two half chambers which receive
water from eight draft tubes and funnels this water to
two tailrace tunnels. Figure 1 shows the profile view
of the Robert Bourassa hydropower facilities.
Designed for a 10,000 year flood (16,280 cubic
meters per second), a spillway has been provided to
evacuate the water surplus of the reservoir during
exceptional flood scenarios. It consists of 10 steps, each
of 122 meters wide, 150 meters deep, and 10 meters
high (see figure 2). The spillway’s particular shape
meets the environmental protection criteria. A tailrace
canal of 1,500 meters long brings water to the river.
One RB turbine-generator unit produces 333
megawatts of power or 454,000 units of horsepower.
This is equivalent to the power of three Boeings 747
during takeoff or 2,500 automobile motors. This is
sufficient power to supply the Montreal subway or a
city of 80,000 inhabitants.
hydraulic passages upstream and downstream. The
waves can also reflect towards the perturbation source
location and are reproduced in forms of amplified or
reduced waves.
The role of the RB surge chamber is to reduce the
surge value produced by the water hammer in the tail-
race tunnels and to eliminate the surge produced by
the water hammer in the draft tubes. The presence of
the surge chamber helps to absorb the pressure fluctu-
ations very quickly.
The surge chamber was optimized during design
based on a physical model made in 1974 at École
Polytechnique de Montréal. The physical model report
contains useful information on the head losses as a

2.2 Role of the RB surge chamber

Charge variations occurring in the turbine wheel, espe-
cially during the start-up, rate changes or the sudden
shutdown, are sources of transient flow phenomena
which propagate as pressure waves propagate towards Figure 2. Frontal view of the RB spillway.

Figure 1. Profile view of the RB hydropower facilities.

868
function of the number of units and their configura-
tion. However only a few configurations had been
tested and no longitudinal profiles in the surge cham-
ber were produced (EPM 1974). Thus the goal of the
study was to simulate the hydraulic behavior of the
surge chamber and to analyze the impact of using dif-
ferent unit configurations on the chamber head losses.
3 NUMERICAL MODEL FLOW-3D®
3.1 Numerical model characteristics
FLOW-3D® is becoming one of most used 3D models
in Computational Fluid Dynamics (CFD) Modeling.
Based on the Navier-Stokes equations it uses a frac-
tional area/volume method (called FAVOR™) for
modeling complex geometric regions. In this method,
the width of the open portion of the cell is equal to the
product of the open volume fraction and the original
cell width. This product is used for difference approx-
imations in the horizontal direction. All equations are
formulated with area and volume porosity functions.
For example, zero-volume porosity regions are used
to define obstacles, while area porosities may be used
to model thin porous baffles. Porosity functions also
introduce some simplifications in the specification of
the free-surface and wall boundary conditions (Flow
Science 2005).
The model enables simulation of rapidly varied flow,
erosion and deposition as well as other types of simu-
lations. It can consider the bi-phase flow (liquid/gas,
two liquids of variable densities, stratified fluids), and
cavitation. It can use different turbulence models like
K-#, Large Eddy Simulation (LES) and Prandtl Mixing
Length. This model has been used as complement
or alternative to physical modeling in hydropower
projects for dam break studies, derivation canal opti-
mization, spillway design, hydraulic capacity assess-
ment, … (Joannette et al. 2004, Ho et al. 2003, Hirt
and Nichols 1981, Teklemariam et al. 2002, Savage
and Johnson 2001, Ho and al. 2001).
3.2 Numerical model application
To apply the model one must obtain the 3D geometry
of the hydraulic structures as well as boundary and
initial conditions of the flow. This geometry is then
used to generate a grid, done by the software with a
drawing feature. The numerical model uses an orthog-
onal mesh defined in terms of either cartesian or cylin-
drical coordinates. Complicated geometries can be
modeled. Therefore obstacles and baffles are embedded
in the orthogonal mesh by partially blocking cell vol-
umes and faces areas. This allows independent defi-
nition of the mesh and geometry, i.e. the geometry
may be modified without redefining the mesh. Mesh
869
generation is much simpler and faster than it would
be for body fitted coordinates. The mesh is defined
independently for each of the three orthogonal coor-
dinates (Flow Science 2005).
3.2.1 Setting of the RB 3D geometry
Three dimensional geometrical components were cre-
ated. The first one represents the horizontal part of
the draft tubes, the second one the inclined part and
the third one the surge chamber along with the two
tailrace tunnels. All the details of the surge cham-
ber were reproduced according to the RB ‘As Built’
drawings.
Three mesh blocks were created in accordance with
the degree of accuracy needed. The first block includes
the upstream reservoir and all the draft tubes. A reser-
voir was inserted at the entry of the draft tubes to
serve specifically as an upstream boundary condition
to the system. The grid mesh related to the first block
measures 50 m in length, 200 m in width and 70 m in
height. The related mesh resolution is of 1.0 m 
1.0 m  1.0 m with 840,000 cells.
The second mesh block starts 4 m upstream of the
draft tubes entrance. It is 28 m long (4 m downstream
of the surge chamber exit), 200 m wide and 70 m
high. The mesh in this region must be fine in order to
accurately to represent the complex phenomena such
as turbulence and vortex in this zone under study.
More density in the layer limit zone can introduce and
intensify numerical errors. As suggested by Wilcox
(Flow-Science 2000), mesh should not be more dense,
but just enough to cover the region where the turbu-
lence effect is important. The suggested ratio in ele-
vation (z) between the optimal cell height and the useful
depth of the canal is 8%. Starting with the same ratio,
the dimension z of the cells was optimized to 0.80 m
according to the convergence tests. Finally the mesh
resolution in the second block is 1.0 m  0.8 m 
1.0 m with 490,000 cells.
The third block includes tailrace tunnel # 1 and
half of the downstream reservoir. It starts 10 m down-
stream of the tunnel entrance and is 500 m long, 20 m
wide and 56 m high; the related mesh resolution is
1.0 m  6.7 m  1.1 m with 100,000 cells. The fourth
block includes tailrace tunnel # 2 and the second half
of the downstream reservoir. Its dimensions are iden-
tical to the third one, like the mesh resolution and the
number of cells. A dense mesh is not required for
blocks 3 and 4 because these zones are out of interest.
3.2.2 Basic hypothesis
An absolute roughness value of 100 mm is considered
to represent internal tunnel section (Graf and Altinakar
1998). Water is incompressible and its dynamic vis-
cosity value is 0.001 N.s/m2. The k-# model is used
because it gives the best approximation of the dynamic
flow conditions with turbulence.
3.2.3 Boundary and initial conditions
Small upstream and downstream reservoirs are pro-
vided to set the boundary conditions. A discharge
whose value varies between 705 and 2,319 m3/s is con-
sidered as an upstream boundary condition. This con-
dition is set into the numerical model in terms of
velocity which is equally distributed throughout the
draft tube cross sections. A water level in the down-
stream reservoir is considered as a downstream bound-
ary condition.
Initial conditions are defined by zero velocity val-
ues. At the upstream boundary, the velocities increase
progressively during numerical simulations to reach
the fixed value corresponding to the turbine discharge.
to the tailrace tunnels by the lintel wall (small wall in
front of the tailrace entrance). The predicted entrance
velocity is on the order of 3.75 m/s at the lintel wall
elevation and 5 m/s close to the surge front invert.
Water masses above the lintel wall are reflected on the
surge chamber downstream wall, provoking a reverse
flow which will be sucked in near the tailrace tunnels,
when propagating towards the upstream wall.
4.3 Three units off, five units functioning
Simulating the case study where the three units (3, 5
and 6) are off while the other five are discharging 1

4 DESCRIPTION AND ANALYSIS OF FLOW

CONDITIONS IN THE RB SURGE
CHAMBER

4.1 Introduction
A few numerical simulations were conducted to vali-
date the numerical model and to analyze the flow con-
ditions into the RB surge chamber. Simulations were
performed until the steady state (or the stability limit
of the model with value of 5.7 E-02) was reached in
the system. Simulations were time consuming because
of the RB geometry, the number of the mesh cells and
the complexity of the flow system. A 500 second sim-
ulation takes a CPU time of 25.92  104, 3 days at
least on a Pentium 4 computer. Due to the fixed water
level at the downstream boundary and the fixed dis-
charge at the upstream limit, the numerical model
will determine the water level values at the upstream
boundary and into the surge chamber. The value in the Figure 3. Flow of helicoidal type from draft tubes # 1, 2,
4, 5, 7 and 8 in the RB surge chamber.
surge chamber is compared to the observed value. If
the computed value is not similar to the observed one,
the value of the downstream water level is revised and
a new simulation is run.

4.2 All units open, Qobs.
2,319 m3/s

Simulations have shown that a portion of water flow
from draft tubes # 1, 2, 4, 5, 7 and 8 crosses the surge
chamber before being deviated towards the two tailrace
tunnels. These water masses deviate when approach-
ing the downstream wall of the chamber. The flow
turns into a helicoidal type, as shown in Figure 3 where
a low velocity zone (0.8 m/s) can be seen in the center
of the surge chamber above the elevation of 47 m.
Flow of several trajectories crosses the surge cham-
ber zone located in front of draft tubes # 3 and 6. First
of all, all the flow from draft tubes # 3 and 6 crosses
the surge chamber and get directly into the tailrace, as
shown by Figure 4. The water masses from closer draft Figure 4. Flow from draft tubes # 3 and 6 in the RB
tubes approach the considered zone and are directed surge chamber.

870
238 m3/s shows that all the water masses from the
turbine-generator units 1 and 2 together with 7 and 8
will pass through tailrace tunnels 1 and 2 respec-
tively (see Figure 5). The water flow of the turbine-
generator unit 4 is divided between the two tailrace
tunnels. The predicted discharge distribution is 49%
in tailrace 1 and 51% in tailrace 2.
5 HEAD LOSSES THROUGH THE RB
SURGE CHAMBER
5.2 Head losses and energy prediction
The cross sections wherein energy values are calcu-
lated are represented in Figure 6. The terms Vg and VG
represent the average velocity in the cross sections
respectively of draft tubes and tailrace tunnels. First
of all the energy is calculated in the defined cross sec-
tions using the Bernouilli equation.
The used numerical model gives values of velocity
U (in the direction x), V (in the direction y), W (in the
direction z) and P (the local pressure). The head loss

5.1 Simulated case studies

Seven configurations were simulated. The first is when
all the turbine-generator units are functioning at full
capacity. The second to fifth cases are those where
three units are shut off and in the last two studies, only
three units are functioning. Table 1 shows that the dif-
ference between the values of the discharge predicted
by the numerical model and the ones measured for the
seven considered case studies do not surpass 1.4%.
The difference between the predicted and observed
water level values in the surge chamber were main- Figure 6. Cross sections wherein the average energy
tained inferior to 16 cm, except for two cases: # 3 and 7. values are calculated.

Figure 5. Flow conditions in the RB surge chamber when 3 units are off.

Table 1. Discharge and water levels values in the surge chamber during the steady state regime.

Q (m3/s) Water level (m)

Case no. Unit shut off Observed Predicted Diff. (%) Observed Predicted Diff. (cm)

1 0 2,319 2,328 0.4 41.19 41.34 15

2 2–5–6 1,271 1,264 0.6 34.67 34.70 3
3 3–5–6 1,238 1,235 0.2 35.32 34.80 52
4 1–4–7 1,196 1,212 1.3 34.29 34.27 2
5 4–5–6 1,183 1,166 1.4 35.06 65.07 1
6 1–2–3–4–8 705 699 0.9 34.24 34.17 7
7 1–2–4–6–8 705 708 0.4 34.24 33.64 60

871
 Table 2. Head loss values in the surge chamber.

Qave/DT H1 H2
Case no. Unit shut off (m3/s) (m) k1 (m) k2

1 N/A 290 0.65 0.62 0.30 0.29

2 2–5–6 254 0.39 1.28 0.25 0.81
3 3–5–6 248 0.48 1.65 0.25 0.84
4 1–4–7 239 0.26 0.92 0.23 0.81
5 4–5–6 237 0.37 1.41 0.21 0.80
6 1–2–3–4–8 235 0.27 2.85 0.25 2.63
7 1–2–4–6–8 235 0.23 2.42 0.22 2.33

Notes:
(1) Qave/DT means the average discharge of a draft tube.
(2) Subscripts 1 and 2 refer to cross sections which are downstream and in the surge chamber
(y
121.2 m) respectively.

is determined by taking the difference between two Table 3. Choice of the optimal configuration when using
calculated energy values. five turbine-generator units Solely from a hydraulic point of
Then the head loss coefficient k is computed by view.
using the average draft tube/tailrace cross section veloc-
Choice Units shut down Q (m3/s) k1c
ity V and the head loss value H in the following
equation k
h/(V 2/2 g).
Table 2 shows that the head loss values do not sur-
pass 65 cm in the surge chamber for an average dis-
charge of a turbine-generator unit which limited to
290 m3/s, high losses for high total flow. The lowest loss
(23 cm) in the surge chamber is found with a discharge
value of 235 m3/s. The losses in the cross section
located 4 m downstream of the entrance of the surge
chamber remain limited between 21 and 30 cm. That
could be explained by the fact that the major head losses
are singular losses which occur at the surge chamber
entrance. The friction head losses seem to be slighter.
When examining the case studies where a couple
of turbine-generator units are shut off, Table 2 shows
that substantial losses occur with the stopping of tur-
bine-generator units 3 and 6 simultaneously. This is
configuration # 3 where the head loss coefficient is the
highest one for the configurations with three units off.
6 OPTIMAL UNITS MANAGEMENT
For a specific number of required running units there is
an optimal hydraulic configuration in the surge cham-
ber. When the discharge is in the order of 1,200 m3/s,
it is best to have five units running. Table 3 indicates
head losses in the chamber for four situations with
five units running. The head losses are minimized
while units 1, 4 and 7 are closed. On the other hand,
they are maximized when units located opposite to
the two tailrace tunnels (3 and 6) are shut down.
Two situations have been simulated when three
units are requested. Configurations 6 and 7 show that
case 7 should be preferred to case 6 because of the
lower head loss coefficient (2.33 versus 2.63).
872
1 1–4–7 1,200 0.93
2 2–5–6 1,200 1.27
3 4–5–6 1,200 1.41
4 3–5–6 1,200 1.88
7 CONCLUSION
The RB hydropower facilities have been described and
the role of the surge chamber pointed out in this paper.
Simulations have been performed with the numerical
model FLOW-3D® to validate the observed results
obtained from a physical model representing the RB
surge chamber and to predict flow conditions in the
chamber. Predicted results agree very well with
observed ones.
Even the water surface into the surge chamber is
not flat during the steady state regime, numerical results
show that the water level variation is slight, between
10 and 20 centimetres at full flow regime, when all
units are running. Substantial losses occur with the
stopping of turbine-generator units 3 and 6 simulta-
neously both when 3 or 5 units are running.
A hydraulic-energy based method to determine
head losses in the surge chamber has been proposed,
as well as a method to manage the opening of units
which will optimize the production of electricity.
ACKNOWLEDGEMENT
Hydro Quebec Production provided the financial sup-
port for this project. The contribution of the ‘Expertise
de centrales’ Unit is acknowledged.
REFERENCES
ACORE 2005. The American Council on Renewable
EnergyWeb Site: www.acore.org
EPM 1974. Aménagement hydroélectrique LG-2, chamber
d’équilibre du système de fuite, étude sur modèle réduit.
Technical report produced by École Polytechnique de
Montréal with RSW Engineering Consulting Group and
submitted to Société d’énergie de la Baie James, Montreal,
Canada.
Flow Science Inc. 2000. FLOW-3D®: Modeling Roughness
Effects in Open Channel Flows. Technical report FSI-02-
TN60. USA.
Flow-Science, 2005. FLOW-3D® User’s Manual, version 9.0,
Excellence in Flow Modeling Software, The FAVOR
advantage. USA pp. 587.
Graf, W.H. and Altinakar, M.S. 1998. Hydrodynamique: une
introduction. Presses polytechniques et universitaires
romandes. Lausanne, Suisse p. 437.
Hirt, C.W. and Nichols, B.D. 1981. Volume of fluid (VOF)
Method for the dynamics of free boundaries.
J. Computational Phys., 39, 201–225.
873
Ho, D., Boyes, K., Donohoo and S. Cooper, B. 2003.
Numerical Flow Analysis for Spillways. 43rd ANCOLD
Conference, Hobart, Tasmania.
Ho, D., Boyes, K. and Donohoo, S. 2001. Investigation of
Spillway Behaviour Under Increased Maximum Flood by
Computational Fluid Dynamics Technique. Proc. Conf.
14th Australian Fluid Mechanics, December 2001.
Adelaide, Australia, 577–580 pp.
Joannette, J., Quach, T., Fuamba, M. and Mercier, J.F. 2004.
Simulation numérique des écoulements en 3D: Cas des
barrages Mercier et Les Cèdres au Québec. CDA 2004
Annual Conference, September 25 – October 1, 2004,
Ottawa, Ontario, Canada.
Savage, B.M. and Johnson, M.C. 2001. Flow over Ogee
Spillway: Physical and Numerical Model Case Study.
Journal of Hydraulic Engineering, ASCE. 640–649 pp.
Teklemariam, E., Korbaylo, B.W., Groeneveld, J.L. and
Fuchs, D.M. 2002. Computational Fluid Dynamics: Diverse
Applications in Hydropower Project’s Design and Analysis,
CWRA 55th Annual Conference June 11–14, 20 pp.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Numerical analysis as a framework for RCC dam feasibility analysis

D.A.V. Krüger
Copel Geração S.A., Curitiba, Brazil

R.D. Machado, M.B. Hecke, E.E. Kavamura & N.F. Carvalho

Department of Civil Engineering, Graduate Program in Numerical Methods in Engineering,
Federal University of Paraná, Curitiba, Brazil

ABSTRACT: This paper presents a numerical methodology for two- or three-dimensional thermo-mechanical
analyses of structures, especially those built in layers. The work is focused on concrete structures, particularly
Rolled-Compacted Concrete (RCC) dams. Numerical analyses allow the gathering of important data for the
definition and evaluation of proposed construction schedules. They also help investigate and create alternatives
that minimize the development of stresses that may cause damage to the structure, thus optimizing the dam
design and determining the feasibility of hydroelectric projects. The paper presents two-dimensional case stud-
ies examining two design solutions for RCC dams: placement of concrete in horizontal layers (traditional RCC),
and placement of concrete in sloped layers. Specific concerns and special care required by each solution are
also discussed. In addition, the paper presents a three-dimensional study that demonstrates the influence of
external features, such as an irregular foundation, or the contact with adjacent structures like spillways, on the
development of temperature and stress patterns.

1 INTRODUCTION schedules. It can also help define and investigate alter-

Determining the feasibility of a hydroelectric project
involves the selection of designs that optimize the over-
all technical quality, comply with all safety criteria,
and provide the lowest costs and shortest construction
times. The selection of a dam type is one of the most
important aspects of the design. Conventional concrete
dams, usually expensive and of time-demanding design
and construction, are increasingly being replaced by
Rolled-Compacted Concrete (RCC) dams. One of the
design challenges of RCC dams relates to maximiz-
ing the thickness of each concrete layer without caus-
ing cracks due to thermal stress, and at the same time
attempting to reduce the time interval between suc-
cessive placements of concrete layers. However, accel-
erating the layer placement schedule also increases the
risk of occurrence of thermal effects that can lead to
structural damage. Therefore, a careful analysis of the
development of dangerous thermal loads is required,
and it is even more important when costs of damage
and eventual repairs can question the project viability.
This work presents a numerical methodology for two-
and three-dimensional thermo-mechanical analyses of
structures, especially those built in layers. The numer-
ical analysis allows the gathering of important data for
the definition and evaluation of proposed construction
natives that minimize the development of stresses that
may cause damage to the structure. The paper presents
two-dimensional case studies examining two design
solutions for RCC dams: placement of concrete in
horizontal layers (traditional RCC), and placement of
concrete in sloped layers. Specific concerns and spe-
cial care required by each solution are also discussed.
In addition, the paper presents a three-dimensional
study that demonstrates the influence of external fea-
tures, such as irregular foundation, and of different
boundary conditions due to the contact with adjacent
structures like spillways, on temperature development
and stress distribution. In all cases, the time-dependent
numerical analyses consider the concrete placement
schedule, the process of concrete hydration, and the
interactions with the environment and the foundation
of the structure.
2 HYDROELECTRIC PROJECTS
The feasibility of hydroelectric projects takes into
account different aspects of technical, socio-economical
and environmental nature. The definition of the con-
struction layout involves choosing the best dam type,
considering the foundation characteristics, available

875
materials, and construction technologies, process
and time.
For a particular construction site, it would be possi-
ble, for example, to choose between two dams designs:
concrete face rockfill dam (CFRD), or concrete dam
(conventional or RCC).
An important characteristic of RCC dams is the pos-
sibility of being overtopped during construction due
to the passage of significant floods, without suffering
considerable damage. One example of the success of
this solution is Salto Caxias Hydroelectric Powerplant
RCC dam in Southern Brazil, where part of the dam
was overtopped during the construction period. If the
dam design allows overtopping, it is possible to reduce
the dimensions of diversion systems, shortening con-
struction schedule times and costs. The advantages of
RCC dams may be demonstrated by the number of the
dams of this type currently in construction around the
world. The definition of a dam design should be based
on technical studies, and numerical analyses are a help-
ful framework for the decision-making process.
3 ROLLED-COMPACTED CONCRETE DAMS
RCC dams are gravity structures built in layers with a
particular thermo-mechanical behavior. The reaction of
cement hydration generates heat, which may pose prob-
lems if special care is not taken. Temperature gradients
due to the cooling process are affected by the layer
thickness, concrete placement schedule, external tem-
perature and humidity. Unsteady thermo-mechanical
analysis of layered structures allows the determination
of construction parameters that guarantee the dam
safety and integrity. RCC dam construction requires
special care in different phases: (a) design, developing
theoretical models reproducing the construction process
and its effects; (b) experimental, acquiring more precise
data on thermo-mechanical properties of dam materi-
als; (c) monitoring, accompanying materials properties
during the construction phase and comparing with the
theoretical data and model predictions.
RCC dams are built with a construction technology
that uses a concrete of no-slump consistency. This mate-
rial is transported, placed and compacted using earth
and rockfill construction equipment (Andriolo 1998)
with the same design philosophy of conventional grav-
ity dams. In RCC traditional construction, the concrete
is placed in long, continuous 30 to 60 cm-thick horizon-
tal layers, and consolidated by vibrating rollers. The
evolution of this technology is the sloped layer con-
struction method, which reduces costs and improves
construction times. In this improved method, concrete
layers between 1,8 and 3,0 m-thick are placed in 30 to
35 cm sublayers with a longitudinal slope in the range
of 7–10% (Forbes, 2003).
876
Thermal analysis of large volume concrete structures
constructed in thin layers is important because these
structures are normally unreinforced and are subjected
to loads and constraints that can lead to cracking.
Thermal cracks have been frequently linked to damage
of concrete dams. Cracks on the upstream and down-
stream faces of dams are generally of small dimensions,
but their occurrence can lead to further deterioration
and other structural pathologies. Surface cracks in dams
are common and are normally caused by climatic
conditions.
Damage at the face of concrete dams has been shown
to be the result of the combination of two mechanisms:
thermal expansion of the downstream face and temper-
ature increase of the concrete due to cement hydration
(Bouzoubaâ 1997). The temperature gradient between
the interior of the dam and its boundaries produces
volumetric changes in the body of the dam, which, if
restrained, lead to the development of temperature
stresses (Inoue 1990).
Restraints are provided by the stiffness of the restrain-
ing foundation and by the three-dimensional interaction
between adjacent monoliths. Also, thermal variations
due to cooling of the hydration heat at the interior of
the dam provoke non-uniform volumetric changes in the
concrete, which can be seen as an internal restraint.
Temperature gradient between construction layers
also causes temperature stresses that can lead to crack-
ing if the tensile strength capacity is surpassed.
4 METHODOLOGY
The commercially available software ANSYS® was
chosen to perform the thermo-mechanical analyses.
The software is based on the Finite Elements Method
(FEM), providing an extensive set of element types,
besides a set of tools for pre- and post-processing. A
specific computer routine, written with ANSYS’ built-
in programming language APDL, was also developed
to implement the proposed methodology. The devel-
oped routine is general and can be applied to a variety
of layered structures (Krüger 2001, Krüger 2003).
The two- or three-dimensional unsteady simulation
of the several stages of the construction sequence is
performed with the software’s Birth & Death element
option, which is used to activate and deactivate ele-
ments. In this way, the analysis can be done with a sin-
gle computational mesh instead of a mesh for each
stage of construction.
The complete mesh is the sum of many smaller
meshes, one for each layer of the dam. Each layer is
associated to a chronological placement time and a
concrete with particular thermo-mechanical properties.
The temperature field is computed at defined times,
following the chronological sequence, and considering
all thermal conditions, external and internal. When a
layer placement time is reached, the inclusion of this stresses are calculated during the whole period of
new layer in the simulation is through the “activation” analysis.
of its elements and the introduction of the correspon- The main thermal and mechanical characteristics
ding loading conditions. of the concrete are summarized in Table 1.
After the placement of each layer and completion The adiabatic temperature rise was represented by a
of the thermal analysis, the mechanical analysis is per- heat generation curve based on Fourier’s Law, as shown
formed with the corresponding thermal results and pre- in Table 2.
viously established boundary conditions. For the sake of comparison, the thermo-mechanical
The analysis considers some simplifying assump- analysis of the whole structure was performed assum-
tions related to factors that may affect thermal varia- ing average air temperature of 25°C and placement
tions and the stress distribution: isotropic material, temperature of 25°C. Four construction hypotheses
non-linear elastic analysis, average values for thermal were simulated, considering horizontal (1 to 3) and
properties, average environmental temperature between sloped layer techniques. Table 3 summarizes the data.
concrete placements, average convection coefficient for
all layers, and average elasticity modulus between the
Table 1. Thermo-mechanical properties of the rolled-
concrete placements. compacted concrete.
The construction stage conditions are reproduced
giving, for each layer of the structure, the placement Density 2388 kg/m3
times and simulation time-steps; concrete character- Specific heat 1105 J/kg°C
istics (density, hydration heat, specific heat, thermal Thermal conductivity 6445.93 J/mh°C
conductivity, coefficient of thermal expansion, convec- Coefficient of thermal 7.07e-6/°C
tion coefficient, varying elasticity modulus and Poisson expansion
coefficient), temperature of the concrete placement, Convection coefficient – 50232 J/m2h°C
and environmental temperature. concrete-air
Poisson coefficient 0.2
Elasticity modulus (Te in days) Te/(2.12e-3 
Te*0.162e-3)*1e6 Pa
5 CASE STUDIES Characteristic concrete strength 10.2 MPa

A series of numerical simulations were conducted in

order to validate the present framework. The simula- Table 2. Adiabatic temperature rise and heat generation
tions were focused on concrete structures, particularly curve.
RCC dams in Southern Brazil.
Time T Q
(days) (hours) (°C) J/(m3h)
5.1 Two- dimensional simulations
Two-dimensional simulations considered a 19 m high 0 0 0.00 1,125,084
RCC dam with 30 cm-thick layer. For these initial tests, 1 24 8.06 647,776
2 48 11.78 170,467
an existing inspection gallery was not considered in the 3 72 13.57 150,260
simulations, and the layers were placed continuously 5 120 15.30 64,089
from bottom to top. The section geometry and the 7 168 16.15 34,614
numerical model are illustrated in Figure 1. Two points 10 240 16.82 17,410
are indicated where temperatures, displacements and 14 336 17.30 8,893
20 480 17.67 4,287
28 672 17.92 2,128

Nó B Table 3. Construction hypotheses.

Nó A Layer Placement
thickness interval
Hypotheses Method (cm) (hour)
B
1 RCC 20 12
A 2 RCC 30 18
3 RCC 40 24
4(*) Sloped RCC 180 (6  30) 108

Figure 1. Two-dimensional numerical model and compari- (*) – 6 layers placed in one hour each, with 102 hours before
son points. the new layer.

877
 42,0
B
40,0
38,0
Temperature (ºC)

36,0
A
34,0
32,0
30,0 A - 20 cm B - 20 cm
A - 30 cm B - 30 cm
28,0 A - 40 cm B - 40 cm
26,0 A - sloped B - sloped

24,0
0 100 200 300 400 500 600 700 800 900 1000
Time (h)

Figure 2. Temperatures at point A and B – 1000 hours. Figure 4. Temperature distribution – 30 cm horizontal layers –
48 days.
4,00E+04
B
2,00E+04
0,00E+00
-2,00E+04
A - 20 cm B - 20 cm
S1 (Pa)

-4,00E+04 A - 30 cm B - 30 cm
A A - 40 cm B - 40 cm
-6,00E+04 A - sloped B - sloped
-8,00E+04
-1,00E+05
-1,20E+05
-1,40E+05
0 100 200 300 400 500 600 700 800 900 1000
Time (h)

Figure 3. Stress S1 at point A and B – 1000 hours.

Figure 2 presents the temperature time series at
points A and B, for all the hypotheses. It is clear that
temperatures at the point A, near the foundation, are
lower than at point B in the interior of the dam. This
behavior was expected since there is less environmen-
tal temperature variation of the inner layers. It must
be pointed out that the temperatures for the case with
sloped 30 cm layers are higher than for the alternatives
with horizontal layers due to the concrete placing rates.
Figure 3 presents the stress S1 variation, at points
A and B, including thermal expansion effects and the
applied gravity load. Notice that the results from layered
analysis start accordingly to the placement schedule.
During the construction, the tendency is of compression
stress due to the self-weight effects. In the inner point B,
the principal stress S1 was tensile in the first steps for
both cases, showing that it is important to analyze the
tensile strength in order to avoid any structural damage.
The sloped layer case presents faster predominance of
the gravity load over the thermal effects due to the
placement speed. The results for 40 cm thick layers are
almost twice the values for the layer with 20 cm.
In the lower point A, it is possible to note that the
compression stress grows with the time faster for thin
layers.
The creep phenomenon is not implemented in this
model. Despite this, it is important to analyze the
Figure 5. Temperature distribution – 30 cm sloped layers –
48 days.
first-time results when the concrete is deformable and
with less strength capacity. Special care is necessary
in order to avoid thermal cracks.
Figures 4 and 5 present the temperature distribution
for 30 cm layers in the case of horizontal and sloped
placement. It must be pointed that the temperature
fields are similar in both cases.
5.2 Three- dimensional simulations
Three-dimensional simulations considered part of a
RCC dam 18 m high, built in 30 cm-thick layers,
designed to allow overtopping during the construction.
For these tests, the inspection gallery was also neglected
and the layers were placed continuously from bottom
to top.
The section geometry and the model are illustrated
in Figures 6 and 7.
These analyses were performed assuming the same
thermal-mechanical characteristics of the concrete and
heat generation as the two-dimensional simulations
summarized in Table 1. The average temperature of
foundation, environment, and concrete placement was
25°C, 20°C and 25°C respectively.

878
 C 1,5
18.0 m

A (14.40; 4.50 m)
1,0
B (33.30; 8.40 m)
C (7.65; 17.55 m) 0,5

0,
47.3 m
-0,5

Figure 6. Geometry and comparison points. -1,0

Stres(0,1MPa)
S 1
-1,5 A2D B2D C2D
A3D20m B3D20m C3D20m
A3D40m B3D40m C3D40m
-2,0
150 250 350 450 50 650 750
Time(hours)

Figure 9. Principal stress S1 at points A, B and C.

1,5 A2D B2D C2D

A3D20m B3D20m C3D20m
A3D40m B3D40m C3D40m
1,0

Figure 7. Two- and three-dimensional model. 0,5

0,

-0,5
40
-1,0

-1,5
35
Sztres(0,1MPa)
Temperature (ºC)

-2,0

-2,5
30 150 250 350 450 50 650 750
A B C Time(hours)

25 Figure 10. Horizontal stress Sz at points A, B and C.

20 in the other. In these cases the plane strain conditions

0 1000 2000 3000 4000 5000
Time (hours)
Figure 8. Temperature distribution at points A, B and C –
2D and 3D models.
The use of 2D models is normally related to plane
strain analysis. In this case, the strain value in the lon-
gitudinal direction is considered zero.
The first analysis was made comparing two- and
three-dimension models. For this case, compatible
boundary restraints were adopted. Figure 8 presents
temperature variations at points A, B, and C for both
models (2D and 3D). As expected, the results were
equivalent.
Point C, near the surface, shows faster temperature
reduction than the inner points. The higher tempera-
ture for the inners points occurred after 1000 hours so
the analysis should be performed for an extended
period, over the construction time.
Two 3D models with the longitudinal dimensions
of 20 and 40 m were analyzed. In order to evaluate
external features, different boundary restraints in
each longitudinal face of the model were considered:
free displacements in one face and a symmetric plane
6000 7000 8000 are not valid.
Despite the fact that direct comparisons of 2D and
3D results are not appropriate due to the plane strain
conditions, the results from both models are shown in
Figures 9 and 10, for comparison.
Figures 9 and 10 present the principal stress S1 and
the horizontal stress Sz (along the dam axis), respec-
tively, at points A, B and C.
It is important to note that the tensile results for
principal stress S1 and horizontal stress Sz are of sim-
ilar magnitude, indicating that stresses in the horizon-
tal direction are not be negligible. All analyses also
show that tensile stresses are present in the first hours
of construction, a situation that can lead to cracking if
the tensile strength capacity is surpassed.
Comparing the results from the 2D and 3D models,
one notes that the 2D model does not predict tensile
stresses on points A and B, which may indicate that
the compression stresses were overestimated. The 2D
results were very close to those obtained with the
40 m 3D model. When comparing the two 3D simula-
tions, the tensile stress values are larger for the 20 m
block than for the 40 m block, probably because the
influence of border effects on the inner section is
greater in the case of the 20 m block model. Short

879
blocks are more sensitive to environment influences
than long blocks.
6 CONCLUSIONS
The methodology presented here adds agility and
efficiency in thermo-mechanical analysis of layered
structures.
Two case studies of concrete structures built in lay-
ers based on Rolled-Compacted Concrete dams were
presented. For the sake of comparison, the models con-
sidered average temperatures for foundation, concrete
placement, and environment, but these values can be
variable.
Numerical analyses performed with 2D models are
less time-demanding than those performed by 3D mod-
els. However, 2D models are valid only if it is possible
to neglect longitudinal deformations. Otherwise, 2D
models are not appropriate. The two-dimensional RCC
dam model revealed itself as practical in the analysis
of different conditions of concrete placement and was
also able to consider the new concept of sloped layers.
It was pointed out the importance of analyzing the first-
time results, when the concrete is deformable and with
less strength capacity, in order to avoid thermal cracks.
Three-dimensional simulations considered differ-
ent boundary conditions at the longitudinal faces to
evaluate external effects like irregular foundations
and other structural contacts on temperature and stress
development.
Comparing two- and three-dimension model, it was
possible to observe that 2D model analyses overesti-
mate the compression stresses. The necessity of extend-
ing the analyses period longer than the construction
time to evaluate all the heat generation and the concrete
cooling was also demonstrated.
Numerical analyses can provide reliable estimates
of the temperature and stress distributions within the
body of the structure, at each phase of construction.
880
With this technique, it is possible to analyze different
cases of geometry, material properties, foundations,
boundary conditions and loads. These results are impor-
tant to support structural and safety analyses of struc-
tures built in layers, like RCC dams. It is also helpful
to analyze a section of a dam designed to allow over-
topping and to define an adequate construction sched-
ule to minimize the occurrence of tensile stresses. This
point could be fundamental to the feasibility of this kind
of structure.
The methodology is general and allows following
the construction sequence, adapting the model and
material parameters according to changes in the con-
struction schedule. These analyses are an invaluable
tool in helping the decision-making process in case
design and construction modifications are needed.
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Bouzoubaâ, N., Lachemi, M., Miao, B. & Aïtcin, P.C. 1997.
Canadian Journal of Civil Engineering 24: 649–657.
Inoue, G. 1990. Determinação das tensões de origem térmica
para indução de juntas de contração em barragens de
concreto compactado a rolo. PhD Thesis, University of
São Paulo, São Paulo, Brazil.
Forbes, B.A. 2003. Some recent innovative methods and
techniques in the design and construction of RCC dams.
4th International Symposium on Roller Compacted
Concrete, Madrid, Spain.
Krüger, D.A.V. 2001. Análise térmica transiente de estruturas
de concreto executadas por camadas, Master of Science
Thesis, Federal University of Paraná. Curitiba, Brazil.
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Thermal analysis of layered concrete dams. ICOLD,
Montreal, Canada.
Krüger, D.A.V., Kavamura, E.E., Hecke, M.B., Machado, R.D.,
Lacerda, L.A., 2003. Thermo-mechanical analysis of roller-
compacted concrete dams. 4th International Symposium on
Roller Compacted Concrete, Madrid, Spain.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Thermo-mechanical comparison of RCC method and conventional

method of construction of arch dams

Nima Nilipour & Alexandre Wohnlich

STUCKY Ltd, Lausanne, Switzerland

Anton J. Schleiss
Laboratory of Hydraulic Constructions, Swiss Federal Institute of Technology, Lausanne, Switzerland

ABSTRACT: In this study, the roller compacted concrete (RCC) construction method and conventional concrete
construction method of arch dams are compared with respect to the temperature development during construction,
and the corresponding thermal stresses. Through the particular case of an arch dam site located in the Alps,
schedules for both construction methods are simulated and implemented in a Finite Elements (FE) software,
taking into account the concreting steps and evolution of time-dependent parameters, such as ambient temperature,
cement hydration heat, modulus of elasticity and tensile strength. The temperature results show that by applying
the conventional construction method, a higher temperature rise is experienced in the core of the dam as compared
with the RCC construction method. Based on the calculated maximum principal stresses, it is revealed that higher
tensile stresses occur in the conventional construction method in the early age of concrete, whereas the maximum
tensile stresses obtained in the RCC construction method occur later comparatively, with a lower value due to the
operational thermal loads. Therefore, concrete post-cooling seems to be less of an issue within the RCC construc-
tion method, thus speaking in favour of future developments of such a daring construction method applying RCC
to arch dams. Finally a sensitivity analysis is carried out to determine the effect of different key parameters on con-
crete temperature and stresses.

1 INTRODUCTION Wolwedans in South Africa and Puding in China (Zhu

The successful application of RCC to gravity con-
crete dams over the past 25 years has made RCC an
alternative construction method in all types of mass
concrete structure. At the end of 2001, there were 232
completed large dams and a further 31 were under
construction. RCC dams have been found to be eco-
nomic in all countries from the most developed to the
developing (Dunstan 2003).
In the late 80s first attempts were made to apply
RCC to the construction of arch-gravity and arch con-
crete dams. Around 15 years after the first RCC arch
dam construction, there are only a handful of arch-
gravity and arch concrete dams constructed by this met-
hod. All of these projects are located in only two
countries, namely South Africa and China.
The construction technology of an RCC arch dam
is similar to that of RCC gravity dam. The main dif-
ferences between these two types of RCC dams are
the temperature control and design of joints and deta-
ils of formwork. There were no transverse joints but
only some crack inducers in the first three RCC arch
dams constructed in the world, e.g. Knellpoort and
2003).
After the construction of RCC arch dams in different
climatic conditions, it was revealed that special care
should be put in design and construction of RCC arch
dams in cold regions. The measures to reduce thermal
stresses include: lowering placing temperature and
maximum temperature rise in concrete, and insulating
surface to reduce temperature gradient between the
surface and interior (Yue et al. 1999).
The main objective of this study is to compare two
construction methods of arch dams, i.e. conventional
block construction method, with RCC construction
method, hereafter called CVC (Conventional Vibrated
Concrete) model and RCC model. This comparison
deals merely with thermal issues and their effects on the
structure from a cracking analysis point of view. Other
issues, which might differentiate these two construc-
tion methods such as economical aspects and con-
struction techniques are not the main concerns in this
study and are therefore not particularly addressed.
Temperature studies are part of the design procedure
of mass concrete structures. Studies on arch dams
temperature fall into two distinct categories. The first

881
category is the construction temperature studies, which
are usually performed after an acceptable layout of
the structure has been obtained. The second category
is the operational temperature studies, which are used
to determine the temperature loading in the dam. Since
the operational studies would be the same for the struc-
ture, whatever construction method is used, the main
focus of this analysis will be on the construction tem-
perature studies.
2 THERMO-MECHANICAL BEHAVIOUR
OF MASS CONCRETE STRUCTURES
The ability of concrete to resist thermal cracking is
dependent on the magnitude of the thermal shrinkage or
volume change, the degree of restraint imposed on the
concrete, and the tensile strain capacity of the concrete.
Volume change in MCS (Mass Concrete Structure) is
primarily due to cement hydration heat generation and
subsequent cooling. If concrete is unstrained, it is free
to contract as a result of cooling from a peak tempera-
ture, no tensile strain is induced, and it will not crack.
However, since most MSC are restrained to some
degree, tensile strain is generally induced, leading to
cracking if tensile strain capacity is exceeded.
Restraint in MSC is either external or internal, cor-
responding to mass gradient restraint and surface gra-
dient restraint, respectively.
– Mass gradient or external restraint is caused by bond
or frictional forces between the MSC and its founda-
tion, by underlying and adjacent lifts, or by any other
portion of a massive concrete section. The degree
of external restraint depends upon the relative stiff-
ness of the newly placed concrete, the restraining
material, and the geometry of the section.
– Surface gradient or internal restraint is caused by
changes in temperature within the concrete. This
condition exists soon after concrete placement when
heat loss from the surface stabilizes the tempera-
ture of near-surface concrete, while the temperature
of interior concrete continues to rise due to heat of
hydration.
– Accordingly, thermal cracking can be categorized
by two general types: mass gradient cracking and
surface gradient cracking.
– Mass gradient cracking is generally caused by clas-
sical external restraint when tensile strains of the
mass exceed the tensile capacity of the concrete. In
dams where monoliths are very wide, this cracking
can be longitudinal or parallel to the axis of the
dam. Mass gradient crack spacing in large MCS
usually ranges from 30 m to 90 m and crack widths
typically range from 2 mm to 5 mm.
– Surface gradient cracking occurs when the surface
of a structure cools faster than the interior. In other
words, a temperature gradient exists from interior
882
to a maximum at or near the surface, which causes
a gradient of tensile strain and stress and possibly
cracking at the exterior surface. Surface cracking
may not be of great concern if cracking is localized,
but once cracks are initiated, the energy required to
propagate them is much less than the energy required
to initiate them. Surface gradient cracking is highly
dependent on the restraint conditions and is usually
more closely spaced and narrower than mass gradi-
ent cracking. Their width may range from 0.5 mm
to 2 mm (U.S. Army Corps of Eng. 1997).
3 DESCRIPTION OF THE PROJECT AND
MODELLING
3.1 General
The dam site is located in a relatively high mountain-
ous region in the Alps with a cold weather condition.
Large amounts of snow in the winter and difficult
accessibility should be considered while establishing
the construction schedule. The annual variation of aver-
age temperature shows a difference of 21.5°C between
the maximum and minimum temperature and the
annual average temperature is about 5°C.
The geological study reports that young schist rock
relatively close to the surface is found in the area, which
is sound and resistant against lateral pressure of the dam.
3.2 Geometry of the dam
The total height of the dam is 126 m, the thickness at
foundation level is 30.5 m and the total crest length is
494 m. This gives thickness/height ratio of 0.24. Com-
paring this value with the recently constructed RCC
arch dam, it can be observed that most have ratios
in the range of 0.19 to 0.29.
The Lombardi boldness factor is also calculated to
check the slenderness of the dam. The Lombardi fac-
tor is obtained as 13.9, which is satisfactory for a
126 m high arch dam. A 3-D view of the dam model is
shown in Figure 1.
Figure 1. 3-D View and cross section of the central block
of the dam.
3.3 RCC and CVC Finite Elements (FE) models per year as bases of the construction schedule, a max-
imum monthly concrete production rate of 50’000 m3
The thickness of each layer in RCC projects, using
and an average value of 35’000 m3 are obtained. Four
high-paste mix concept, varies between 30 cm and
years are required to build the 126 m high dam.
50 cm (Andriolo 1998). The most usual layer thick-
ness is 30 cm, which is adopted for this study.
Thermal and cracking analyses are carried out for 3.5 Material properties
the central part of the dam, since the temperature issue
The main requirements to design the concrete mixes
is more critical in this part due to a thicker section, com-
are the same for both RCC and CVC mixtures: long
pared with the side parts of the dam. Five convection
term values of compressive strength and modulus of
elements are associated with each RCC layer. The top
elasticity. Since the same type of aggregate would be
air convection and two formwork convection elements
used and the cementitious content (cement  Pozzo-
have the same existing time as their associating RCC
lan) does not significantly differ in RCC and CVC
layer, which means that the heat exchange through these
models, the same values assumed for heat conductiv-
convection elements starts immediately after concret-
ity, heat capacity and specific heat, 225 kN/day/°C,
ing. The formwork convection elements are kept for
2’300 kN/ m2/°C and 940 J/kg/°C respectively.
one day and then replaced by air convection elements,
The RCC mixture adopted in this study has a cemen-
which remain permanently unless there would be
titious content of 180 kg/m3.The total heat generation
another surface heat transfer procedure to be simulated
is 309 J/g after 200 days for cement and 40% of that
such as water in the reservoir. The top air convection
for pozzolan (124 J/g), which is 50% of the cementi-
element is removed as the upper RCC layer is placed.
tious material (90 kg/m3). Other thermal and mechan-
The same FE mesh is used for the CVC model,
ical parameters of the RCC mix are given in Table 1.
except for the convection elements and construction
The cementitious content for the CVC model is
schedule. Eight convection elements are used to sim-
adopted using recommended values in Stucky 1980 and
ulate surface heat dissipation through formwork and air
other constructed projects, with the average cementi-
at four lateral faces and one convection element at the
tious content of 200 kg/m3, of which 70% is low heat
top face of each concrete lift. Usual values are adopted
cement and 30% fly ash. The total energy release is
for concrete lift thickness and transverse joint spacing,
270 J/gr after 28 days. The total energy release rea-
3 m and 15 m, respectively.
ches 54’000 kJ/m3 compared with 39’000 kJ/m3 in the
case of the RCC model. Table 1 compares the main pro-
3.4 Construction schedules perties of both CVC and RCC mixtures.
The geographical and climatic constraints limit the
construction period of the dam body each year from
3.6 Initial and boundary conditions
middle of May to middle of October (5 months). The
concreting operation is considered 24 hours non-stop, The air temperature varies between 8°C and 17°C
5 days a week. during the concreting period. The average value for
In the case of the RCC model, these assumptions the concreting phase is 12°C, which is adopted for the
lead to 110 working days per year and two RCC layers foundation as initial temperature and as fresh con-
per day, making it possible to construct the dam body crete placement temperature.
in two years. The average monthly required concreting Boundary conditions for this thermal calculation
capacity is obtained as 70,000 m3 and the maximum are the dam upstream and downstream faces, the dam
value as 84,000 m3 in mid-height of the dam. crest and the foundation. In the case of exposed sur-
Regarding the CVC model, the minimum vertical faces, the boundary conditions are introduced by means
and horizontal concreting time intervals between lifts of convection elements. Heat exchange between the
are selected as 4 and 12 days, respectively. Therefore, dam and its foundation is allowed through their inter-
considering five working days per week and five months face. The size of the foundation in the model should

Table 1. Concrete properties used in the RCC and CVC mixtures.

1-year 1-year
Cementitious Hydration Modulus compressive
content Pozzolan heat Dilatancy of elasticity strength
(kg/m3) (%) (kJ/m3) (1/°C) (kN/m2) (kN/m2)

RCC 180 50 39,000 6e06 3.65e  7 2.0e  4

CVC 200 30 54,000 6e06 3.95  7 2.2e  4

883
be enough large so that there would be no thermal 45
40 Distance from
effect due to hydration heat of the concrete on the exte- 35 upstream face

Temperature (°C)
rior faces of the foundation model. Making this assum- 30 X=0
ption, all downstream, upstream, lateral and bottom 25 X = 1.6 m
20 X= 3.32 m
faces of the foundation can be considered as adia- 15 X = 6.65 m
batic condition. The top surface of the foundation in 10 X = 13.3 m
upstream and downstream is subjected to air and 5
0
therefore connected to air convection elements. -5
0 100 200 300 400 500 600 700 800 900 1000
Time (day)
4 ANALYSIS AND RESULTS
Figure 2. Temperature variation as a function of time at
The analysis is carried out in two stages. Firstly a elevation 1686 masl for the CVC model.
thermal analysis is performed to prepare the tempera-
ture field in function of time, considering annual 45
Distance from
40
cyclic variation of ambient temperature and heat of 35 upstream face

Temperature (°C)
hydration as thermal loads. The thermal calculation is 30 X=0
a transient heat flow problem, in which the heat source 25 X = 1.6 m
20 X= 3.32 m
option simulates the cement hydration heat. Then in 15 X = 6.65 m
the second stage, a thermo-mechanical calculation is 10 X = 13.3 m
5
carried out using the results of the thermal computa- 0
tion, which are introduced on the mesh nodes. Such -5
0 100 200 300 400 500 600 700 800 900 1000
thermo-mechanical analysis is a driven load deforma- Time (day)
tion problem associated with a heat problem. Nonlinear
elastic aging concrete model is used to consider the
Figure 3. Temperature variation as a function of time at
effect of concrete maturity on elastic properties. The elevation 1686 masl for the RCC model.
effect of creep is not taken into account.

4.1 Temperature analysis results Vertical thermal gradient (°C/m)

0 5 10 15 20
In the following figures the results at elevation 1686 1782
masl are presented, where the maximum temperature
occurs in both models. As it can be seen in Figures 2 1764

and 3, temperature at the node on the surface follows 1746

ambient temperature curve after removing the form-
Elevation (m)

RCC, T
work, whereas other interior points have a smaller 1728
CVC, T
temperature drop in the winter. RCC, dt/dx
At 1.6 and 3.32 m from the surface, the temperature 1710
CVC, dt/dx
fluctuations almost stabilize in the first winter and have 1692
sinusoidal variation with small changes in the maxi-
mum, minimum and amplitude in the next years. In 1674
these points, maximum and minimum temperature val-
ues show an increase in reaction time delay, going from 1656
0 10 20 30 40 50
surface towards centre of the section, with respect to the Temperature (°C)
ambient temperature due to conductivity of the concrete.
In the same way, the amplitude of these sinusoidal Figure 4. Comparison of maximum temperature and verti-
curves decreases from the surface towards the center. cal thermal gradient envelopes of RCC and CVC models in
Since the section is relatively large at this elevation, vertical direction.
the effect of the seasonal temperature on the tempera-
ture at the central part is not considerable and the tem- temperature drops are experienced in the interior points
perature at this zone decreases with a rather constant of the CVC model. It should be mentioned that hav-
rate after reaching its peak value and finally stabilizes ing different climate conditions, the value and time of
after few years around the annual average temperature. maximum temperature could change.
At elevation 1686 masl, the maximum temperature Figure 4 compares the maximum temperature and
rise in RCC model happens 132 days after concrete vertical thermal gradient in the center of the block
placement as 29.5°C. Whereas in the case of CVC occurred in different elevations in RCC and CVC
model it occurs earlier, around 25 days after place- models. It can be seen that the local maximum tem-
ment, 42.5°C, see Figures 2, and 3. Accordingly, higher peratures occur in mid-height of the concreted part in

884
 50 25 2500

2000

Upstream face
40 20 CVC, T Tensile strength

Vertical thermal
Temperature (˚C)

gradient ($C/m)
1500
30 15 RCC, T

S11 (kN/m )
2
CVC, dt/dx 1000
20 10
RCC, dt/dx 500
10 5
0

Centre
0 0 -500
0 5 10 15 20 25
Distance from upstream face (m) -1000
0 200 400 600 800 1000
Time (day)

Figure 5. Comparison of maximum temperature and hori-

zontal thermal gradient envelops for RCC and CVC models Figure 6. Maximum principal stresses at elevation 1686
at elevation 1686 masl. masl for the RCC model.

each construction year. The absolute maximum tem- 2500

Upstream face
perature is built up where the combination of thick- 2000
ness of the section and vertical time interval between 1500
Tensile strength
lifts is most unfavorable. S11 (kN/m )
2
1000
The vertical distribution of thermal gradient in both
500
cases shows its maximum value at the elevations where
concreting stops before the winter. Hence, there are 0

Centre
three local maximums for the CVC model whereas -500
only one for the RCC model. Additionally, higher val- -1000
0 200 400 600 800 1000
ues of thermal gradient are observed for the CVC Time (day)
model, as the temperature rise is comparatively super-
ior, despite assuming the same concrete placement Figure 7. Maximum principal stresses at elevation 1686
temperature for both methods. masl in the CVC model.
The results presented in Figure 5 show that despite
having higher temperature in the center of the section stress, S11) obtained in the CVC model are superior
for the CVC model, the surface thermal gradient is not compared with the results of the RCC model due to
considerably different except near the surface. In other higher temperature rise and thermal gradient in the
words, surface thermal gradient conditions for two CVC model as it is shown in Figures 4 and 5. Release
models differ only near the surface. of hydration heat with a higher rate and with a higher
final amount also contributes to this difference. Addi-
tionally, the tensile stress peak in the CVC model hap-
4.2 Cracking analysis pens earlier, on day 15 in the CVC model compared
In general, in order to conduct a cracking analysis, the with on day 210 in the RCC model for both models on
main outputs taken into consideration are the princi- the surface.
pal tensile stresses and principal tensile strains in the Figure 6 reveals that the maximum tensile stresses
concrete. Since the modulus of elasticity and strength in the RCC model are generated on the surface due to
of concrete vary during the setting process, the ratio the operational thermal loads (in this study annual
between principal stress and principal strain changes variation of ambient temperature). Additionally, hav-
accordingly. In other words, the evolution of allowable ing lower peak temperature for the RCC model, the
values of tensile stress and tensile strain has to be taken concrete temperature condition is more favorable in
into account if any of them is considered for deter- the time of contraction joint grouting. Hence, the
mining cracking potential. post-cooling usually implemented to provide proper
Since the maximum temperature and thermal gra- concrete temperature for joint grouting seems to be
dient occur around elevation 1686 masl, it can be antici- less important for the RCC method. In the case of the
pated that from cracking potential point of view, CVC model, peak values of tensile stress occurs on
investigating the stresses at this elevation is adequate the surface in an early age of concrete and then later
in order to find critical values and to understand the with more or less the same value in the center of block
thermo-mechanical behaviour of the dam and also to due to construction thermal loads. High tensile stresses
compare the two construction methods. in interior points of the dam could be more critical as
Based on the results presented in Figures 6 and 7, it hidden cracks may develop inside the dam. Addi-
can be said that the tensile stresses (maximum principal tionally, surface cracks are usually hairline type and

885
closely spaced, whereas internal cracks have more
opening with larger spacing.
It should be said that since the material is assumed to
be non-linear elastic, if the tensile strength is exceeded
in some points, leading to cracking, redistribution of
stresses cannot be carried out in this analysis and it is
needed to apply a more sophisticated material model
to determine the stress levels after cracking.
Considering only tensile stresses, it can be said
that the CVC model is potentially more vulnerable to
cracking than the RCC model. It should be noted that
post-cooling, which is the usual practice in arch dams
constructed by conventional method, is not simulated
in this study in order to be able to compare the two
methods in equal conditions. In other words, in a real
design, high temperature and tensile stresses obtained
in CVC model can be reduced to some extent using
post-cooling and other temperature control measures.
4.3 Parametric study
The effect of coefficient of thermal expansion is stud-
ied by performing two thermo-mechanical calcula-
tions for both RCC and CVC models using the same
corresponding temperature field but different dilata-
tion coefficients, 6e–6 1/°C and 10e–6 1/°C. As it can
be expected using the analytical formula of thermal
strain calculation, the results strain and stress are lin-
early changed by variation of coefficient of thermal
expansion, where thermal restraints are fixed.
The coefficient of thermal expansion is mostly influ-
enced by the type and amount of coarse aggregate in the
mixture, hence with the same cementitious content, the
results can significantly vary using different aggregates.
The effect of the monolith width is studied by per-
forming a thermo-mechanical analysis having differ-
ent vertical joints spacing for the RCC model. Two
cases are compared with 15 and 30 m joint spacing,
using the same thermal loads. Assuming 30 m joint
spacing, the increase in the maximum principal stress
in the first 10 days is not very different compared with
the case of 15 m joint spacing. However, there is a con-
siderable augmentation of tensile stress on the surface
later during winter. In other words, despite more ten-
sile stresses in the case of larger joint spacing, the risk
of cracking in the early age of concrete remains
unchanged. The effect of monolith width declines in
the next years mostly in the surface where the max-
imum occurs. Assuming the same rate of increase in
tensile stress with respect to the monolith width, it
can be resulted that a 45 m joint spacing may lead to
cracking on the surface.
Convection elements are applied to simulate the
exchange of heat between the dam body and the
ambient temperature. The sensitivity of the thermal
results is investigated by varying the convection coef-
ficient in the RCC model. A thermal analysis is
886
conducted introducing convection coefficients of
12.5 and 5 N/m/ s/°C (instead of 25 and 10 N/m/s/°C)
for air and formwork convections, respectively. As it
is anticipated, using smaller convection coefficients
leads to higher temperatures in the concrete. Despite
a considerable change in convection coefficients, the
peak temperature increase at this elevation is about
1°C. In addition, since the temperature rise increases
more or less in the same manner in all points, the ther-
mal gradient is not greatly affected by this parameter.
In other words, the sensitivity of thermal results to
convection values is not very significant.
The effect of thermal conductivity is studied by com-
paring the above-presented results and a thermal calcu-
lation having a different thermal conductivity. In
the latter the conductivity coefficient is adopted as
150 kN/ m/day, (instead of 225 kN/m/day). Using a
much lower value of conductivity, the maximum tem-
perature at this elevation increases by less than 1°C.
Whereas, the temperature difference between the two
cases in the centre of the section and in the middle point
can reach 5 and 3°C after two years, respectively. As
the important change of thermal conductivity does
not radically change the thermal results, it can be con-
cluded that a good estimation of thermal conductivity
based on the aggregate type used in the concrete mix
can be sufficient for an accurate thermal calculation.
5 SUMMARY AND CONCLUSIONS
A complete thermal analysis has been performed for
both RCC and CVC models. A transient thermal analy-
sis followed by a time dependent driven load coupled
deformation-heat problem is carried out using non-
linear elastic material. The cement hydration heat and
ambient temperature are considered as thermal loads.
The obtained peak temperatures show that the CVC
model undergoes a higher temperature rise compar-
ed with the RCC model. Maximum temperature
rise of 18 and 30°C is observed in RCC and CVC
model, respectively. This is due to different construc-
tion schedule as well as higher cementitious content
and percentage of cement in the concrete mixture in
the CVC model compared with the RCC model.
Accordingly, higher vertical and horizontal thermal
gradients occur in the CVC model, 7.4 and 12°C/m,
respectively, compared with 4 and 6.2°C/m in RCC
model. Table 2 presents a summary of the comparison
between the two models. The evolution of tempera-
ture in the centre of the block shows that maximum
temperature at the same elevation occurs earlier in the
CVC model compared with the RCC model due to dif-
ferent development curves of hydration heat. In both
models, the temperature in the centre of the block
reduces gradually and eventually stabilises around the
average annual temperature.
Table 2. Comparison of RCC and CVC models at elevation this parameter based on the aggregate type used in the
1686 masl. concrete mix can be sufficient for an accurate thermal
calculation.
Maximum Maximum From a thermal point of view and its related crack-
Maximum horizontal vertical Maximum
ing potential, the RCC method does not suffer any
temperature thermal thermal tensile
rise gradient gradient stress disadvantages compared with conventional method;
(°C) (°C/m) (°C/m) (kN/m2) contrarily more spaced transversal joints is an advan-
tage. Therefore, the superiority of between the RCC
RCC 18 6.2 4.0 550 and CVC methods remains based on the construction
CVC 30 12.0 7.4 850 cost and other issues, e.g. permeability, durability.
More studies need to be done to find out the effect
of other parameters and sensitivity of the results with
The maximum principal stresses are higher in the respect to different construction schedules and clima-
CVC model happening few days after the concrete tologic conditions.
placement. In the case of the RCC model, the maxi-
mum value happens later due to the ambient tempera-
ture variations after passing the local peak because of REFERENCES
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Dunstan M. 2003, The State-of-the-art of RCC Dams In
thermal loads. Additionally, having lower peak temper-
2002, Proc. of RCC Dams Workshop in Iran: 11–22.
ature, post-cooling is less of importance for the RCC Qiuhua C. 2003, New design method of RCC high arch dam,
method with respect to the vertical contraction joint Proc. of the 4th. Int. Symp. on roller compacted concrete
grouting. (RCC) dams in Spain: 427–430.
The stress results are very sensitive to the coeffi- Stucky, J-P. 1980, Barrages en béton, Lausanne, EPFL.
cient of thermal expansion and modulus of elasticity Stucky, SA. 2002, Roller Compacted Concrete for Arch
values, which are greatly influenced by the type of dam, Case History, Report No. 6005/2202, (unpubl.).
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 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Research and applications of arch dam optimal design based

on the finite element method

Su chao & Jiang Hongdao

Hohai University, Nanjing, Jiangsu, China

ABSTRACT: This paper summarized the current progress in the optimal design of arch dam based on the
Finite Element Method (FEM) in China. In order to make the geologic structure clear, such as the fault, the opti-
mal design methods were proposed based on the linear and the nonlinear FEM. The volume of arch dam or the
safety scale of stability or the safety coefficient of the abutment of arch dam was used as the objective function.
The modern optimal design methods of nature evolution and the most optimum scheme, such as the Genetic
Algorithm and the Evolution Strategy, etc. were put forward under the computer network environment, and the
corresponding programs was developed according to the «Design code of concrete arch dam» of China.

1 CURRENT PROGRESS IN THE OPTIMAL
DESIGN OF ARCH DAMS IN CHINA
A lot of arch dams were built in China, according to the
statistics of “World Register of Dams (1988)”, there
are 1592 arch dams higher than 15 m in the world as of
1988, among which 753, roughly 43.7% were in China.
There are 1102 dams higher than 30 m high, 46.9%
(517 arch dams) of which are in China, according to
the statistical data of Chinese Commission on Large
Dams. The number of arch dams in China accounts
for almost 50 percent. The development of hydraulic
power stations in west China will be paid more atten-
tion as the big development of the west part of China
is implemented step by step and energy structure of
electricity in China adjusts. In southwest China, the
river bed is narrow and height drop of stream is large,
there are many locations suitable for building arch
dams, especially high arch dams. Xiaowan arch dam
(292 m high) and Xi luodu arch dam (278 m high) are
both being built. They are both higher than the current
highest arch dam (272 m high) which has been built in
the world. Their project quantities also set new world
records. The prospect of high arch dams is very prom-
ising in China, and construction scale of arch dams has
increased from 200 m to 300 m. The optimal design of
arch dams is becoming the focus of many researchers.
In China, the concept of shape optimization of arch
dam is proposed by academician Zhu Bofang in the
70’s last century. The emphasis was the optimal method
of arch dams on the base of the arch-cantilever. It
became mature in 90’s last century. After more than 20
years’ work, the arch dam optimization developed from
multi-arched girder method to the finite element opti-
mization. The load developed from static optimization
to dynamic optimization which included earthquake
loads. The objective evolves from the single aim opti-
mization to the multi-objective optimization, which
developed and completed new arch dam form of conic
curve and mixture curve on the base of arch dam opti-
mization proposed by Chinese and held and enlarged
Chinese leading dominance in the field of international
arch dam design.
At present, the structural computation method being
used in arch dam optimization design lagged behind
the analysis method. Obviously, the major method is
the arch-cantilever method. The arch dam optimization
work on the basis of FEM is not deeply pried. Many
problems are not solved. Academician Pan jiazheng, a
well-known Chinese expert of dam design, thinks that
knowledge about arch dam is synthesis and dialecti-
cal, the optimization theory and technique route of
arch dam optimization is very right, but the optimized
shapes are sometimes not reasonable. Although the
“weighting method’’ can be used to composite two
factors economic efficiency and security, but it is dif-
ficult to determine the weight, and how to define the
security of engineering? The simple mathematical
optimization method is not effect, and it seems to be the
problem of “the fuzzy synthetic evaluation decision”.
Li Zan, the Chinese arch dam design expert, thinks that:
the arch dam optimization is very important, and after

889
the layout is implemented and the geological condi-
tion is basically distinct, the effect will appear. The eco-
nomic efficiency of arch dams come from integrity
and the integrity of arch dams comes from designers’
sounded knowledge on the geological condition and
the reasonable dam design, construction and the han-
dling of foundations. So the problems must be solved
on high arch dam optimization design fatherly are:
(a) analyze the optimized aims on high arch dams
known and propose index of economical efficiency and
index of security which can be satisfied the demand of
engineering design extremely; (b) use modern method
such as finite element method in arch dam design pos-
sibly and analog the conditional characters and differ-
ent complex geological conditions of arch dams
adequately; (c) establish a system on high arch dam
optimized design methods on base of finite element,
research the basic principles, structures, contents and
key technology about the system on high arch dam
optimized design methods, and propose the settle
schemes on key technology.
2 MATHEMATICAL MODEL FOR
OPTIMAL DESIGN OF ARCH DAMS
2.1 Geometric description of arch dams
The geometric model of an arch dam refers to the gov-
erning equation representing its geometric shape and
the corresponding parameters, including the mathe-
matical equation for the crown girder, the mathematical
equation for the horizontal arch rings, the equation dic-
tating the thicknesses of arch rings and the chord length
of arch ring taking into account the controlling exca-
vation depth of dam foundations, etc. The number of
controlling parameters is usually between 20 and 60.
Based on the types on the mathematical equations
for horizontal arch rings, the arch dams can be divided
into the following several categories: the multi-centered
arches, the logarithmic spiral arches, the parabolic
arches, the hyperbolic arches, the elliptic arches, the
general quadratic arches and the mixed-curve arches.
2.2 Mathematical description of constraints
Usually, the constraints of optimal design of arch dams
may be classified into geometric constraints, stress con-
straints, stability constraints, and so on. The setup of
constraints should comply with relevant design stan-
dards and meet the specific project requirements. The
geometric constraints mainly include the constraints
of dam body thickness, the constraints of overhang
length and the constraints ensuring the convex shape
of dams. The stress constraints is mainly used to keep
principal tensile stresses and principal compressive
stresses in an allowable range in arch dams; the stability
890
constraints are mainly to limit the push force angle of
arch dams to ensure the stability of arch abutments.
2.3 General description of mathematical
model of optimal design
The mathematical model of optimal shape design of
arch dams is:
Find the design variable
X  [X1, X2, …, Xn]T
such that
F(X) → min (1)
while satisfying constraint
gj  0 ( j  1,2, …, m)
where n is the number of design variables, m is the
number of constraints.
For a multi-objective optimization problem, the
mathematical model can be described as:
Find the design variable
X  [X1, X2, …, Xn]T
such that
F(X)  [F1(X)F2(X)] … Fp(X)]T → min (2)
while satisfying constraint
gj  0 ( j  1,2, …, m)
where p is the number of individual objectives.
Eq. (2) can be transformed to a single-objective opti-
mization problem and be further solved.
The object functions and most constraints are non-
linear functions of design variables in the above equa-
tion, so the arch dam shape optimization is a non-linear
planning problem.
2.4 Optimization objective of arch dams
Most of the optimal designs of high arch dams dealt
with a single objective in the past. The optimization
objective is an index used to grade different designs.
According to the characteristics and needs of a project,
the optimization objective can be an economic index
or a safety index. When necessary, both the economic
index and safety index may be comprehensively taken
into account at the same time and multi-object opti-
mization can be performed. The mathematical expres-
sion of an optimization goal is called object function.
The commonly used object functions are: (a) Construc-
tion cost of dam bodies (concrete consumption of
arch dam and excavation amount of bedrocks); (b) the
maximum principal tensile stress in dams; (c) the
region of large stress in dams; (d) the depth of high
stress region in dams; (e) the energy under earthquake
loads; (f) the probability of strength failure. The first
is an economic index and the others are safety indices.
About the determination of a safety index, we think
that the computational methods of safety and stability
of high arch dams have already fully developed. These
fully developed computational methods should be
introduced into the optimal design as much as possi-
ble. Therefore, the safety index should be chosen to be
widely-accepted appraisal index in current engineer-
ing practice.
For high arch dams, the most important is the reli-
ability of the whole dam’s stability and the safety coef-
ficient of the dam abutment.
3 METHODOLOGY OF OPTIMAL
DESIGN OF ARCH DAMS
In the past, research on high-arch-dam optimal design
is mostly based on the arch-cantilever computational
method. However, its further development is limited by
the computational method itself. The optimal design
of arch dams based on the finite element method devel-
ops much more slowly because of the limitations
imposed by software and hardware of the computers.
With rapid development of science and technologies,
the arch-dam optimal design based on the finite ele-
ment method has now acquired necessary conditions
for further development.
3.1 Basis of optimal design of arch dams
The finite element method has been successfully used
to analyze each aspect of high arch dams in China. For
every high arch dam, it is almost impossible to con-
tinue the design without the aid of FEM analyses. The
stress concentration problem can be solved by equiv-
alent effective stress based on the linear finite element
method. This method has been used in the calculation
of arch dams and some engineering experience has
been gained. The dehiscence analysis and overall sta-
bility analysis of arch dams by nonlinear finite element
method also obtained good results. For the dynamic
stability analysis of dam abutments, the method of sta-
bility factors of dam abutments calculated by the finite
element method breaks the limitations of the original
limiting equilibrium of the rigid body. These advanced
algorithms are gradually accepted by designers and lay
the foundation for the high-arch-dam optimal design
at a more advanced level.
891
The development of the parallel computational
technology based on computer networks may let the
work previously completed by a single computer be
completed by a group of coordinated computers. This
greatly improves the ability and efficiency of compu-
tations and provides an excellent platform of software
and hardware for the high-arch-dam optimal based on
the finite element method.
The global parallel search algorithms such as the
genetic algorithm (GA) and the evolution algorithm
(EA) present stable and reliable mathematical theo-
retical support for solving optimization problems with
discrete variables like high-arch-dam optimal design.
3.2 Principles used to establish methodology
of optimal design
The following several principles should be considered
when we establish methodology of optimal design.
(1) It can describe the influence of complex geologi-
cal structures in the analysis method of structure
computation quite objectively.
(2) The theory and method of design should be con-
sistent with the request of design standards, each
target needs to satisfy the correlated stipulation of
design standard, and some other methods included
in standards should be brought into the system.
(3) Optimization method is able to reflect the whole
economic efficiency and security index about
dam by several aspects such as the material con-
sumption of dam, the stability of dam abutment
and the whole stable security of dam; the finally
determination of arch dam form must be conform
to the decisional process in present stage.
3.3 Chief content and key technology of the
system on arch dam optimization design
method
The main method of optimization method system is
the finite element method. The finite element method
including structural calculation method on base of stan-
dard and parallel technique and optimization algorithm
of computers realizes the optimized goals by efficient
computation energy.
3.3.1 Optimization method on the base of
parallel network of computers
The local area network (LAN) of computers and the
message passing interface (MPI) are used to complete
the genetic algorithm, evolutionary tactics and progress
design of complex method on the base of calculation
network and establish the efficient computation sys-
tem. The problem of computing time long excessively
on the high arch dam optimized design bases on the
finite element method can be solved by controlling There are two schemes to select: one is to use
the concerted work of multi computers. the arch-cantilever method to calculate the
stress values of dam body and the use the stan-
3.3.2 High arch dam optimized design dard request to controls tress; the other is to
method on the base of linear finite use the finite element method to calculate the
element method stress directly, the analysis on the stress of dam
body is adopted the equivalent effective stress
(1) Optimization scheme method and use the maximum tension stress
(a) The objective function is the amount of con- values and the ratio of the depth of tension
crete, and the optimization objective is to stress and the thickness of dam to control stress;
minimize the amount of concrete; (c) The safe stable coefficient of dam abutment
(b) The stress control standard is a constraint con- counted by the rigid body limiting equilib-
dition except integrant geometric constraint. rium method is a constraint condition;

Star
Transmit data
Form initial group at the same time
Input initial (n % p)
information

Pc.1 Pc.2 Pc.i Pc.p

No
Inspect the adaptive Reformth
condition of type 1 indvual
Yes

Calculate with the arch-cantilever method

The same as pc. i

The same as pc. i

The same as pc. i

Inspect the adaptive No

condition of type 2

Calculate with the finite

element method

No
Inspect the adaptive condition of type 3

Yes
Calculate the The adaptive
adaptive value value is zero

Figure 1. The Process Chart of Optimization Design of Arch Dam with the Inherit Algorithm (L’organigramme de design
d’optimisation du barrage-voûte en utilisant l’algorithme génétique).

892
 Repeat the same operation on
Pc j as on Pc i to the
individual which has not
Pc j completed the computation of been calculated
the individual- adaptive value
The other individuals in the generation
have already finished or calculating

Compute the individual probability

which will be chosen

Randomly choose a pair of individual to carry on the overlapping

operation, then form a pair of next generation of individual

Carry on the variation operation according to Revise the

the certain probability overlapping factor

No
Inspect the adaptive condition of type 1

Yes
Calculate with the arch-cantilever method

No
Inspect the adaptive condition of type 2

Yes
Calculate with the finite element method

No
Inspect the adaptive condition of type 3

Yes
Calculate the adaptive value The adaptive value is zero

No
Inspect conclusion criterion
Yes
Output most superior result

End

Figure 1. (Continued)

(d) Enhance the dam ground base adaptability of
form by the sensitivity analysis of deforma-
tion modulus when necessary.
There are three sort of constrain conditions when
counts:
(a) Constraint condition only with body parameter,
such as maximal central angle and the over-
hang and the scope value of design variable,
All these are named the constraint condition
of type 1.
(b) Constraint condition about the arch-cantilever
computation, such as the principal stress max-
imum and the principal stress minimum of
the dam and the safety factor of abutment
stability computed by the rigid limiting equi-
librium method, All these are named the con-
straint condition of type 2.
(c) Constraint condition about the finite element
computation, for example the dam body is the
biggest with the equivalent-stress method and
the minimum principal stress and the ratio of

893
 tensile stress depth and dam thickness along
the fundamental face. All these are named the
constraint condition of type 3.
Because the computation methods of these three
constraint condition are different, the difference
of computation time is large, we need inspect the
constraint condition classify designing program
in order to increase efficiency.
(2) The optimization design flow
Using the Inherit Algorithm in the parallel envi-
ronment, figure 1 is the optimization design flow
of the arch dam body type based on the linear finite
element there are two sets of computation scheme
in the chart. If we control the stress with the arch-
cantilever method, it needn’t inspect the adaptive
condition of type 3. But it needn’t inspect the adap-
tive condition of type 2 if we control the stress with
the equivalent-stress method of the finite element.
3.3.3 The optimization design method of
high arch dam based on the non-
linear finite element method
The international telegram profession standard “Arched
concrete dam Design Standard” center stipulated: The
stress does not meet the request when we use the lin-
ear finite element method, we must carry on the three
dimensional finite element non-linearity dehiscence
analysis. The crack area scope can’t be bigger than
the tenth- thickness of the dam body, dehiscence depth
cannot expand to the dam body curtain area in any
situation.
For terrain non-linear material model, it’s suggested
to use the Drucker-Prager criterion and the maximum
tensile stress criterion, but it’s suggested to use four
parameters criteria for the concrete material.
There are two sets of the Optimization Scheme:
(a) The objective function is the dam body coagula-
tion earth volume, takes its minimum as the optimiza-
tion goal, takes the dehiscence area scope in arch dam
standard as the constraint condition; (b) For the dam
body which the whole rock property of the dam base is
relatively bad, we can take the stable degree of security
of the whole arch dam most greatly as the optimization
goal, the dam-body’s coagulation earth volume and the
dehiscence area scope have be taken as the constraint
condition, the whole stable degree of security will be
calculated by the method of correlates through the
intensity discounts.
3.3.4 Optimization design method of high
arch dam based on the finite element
power computation
When the geological condition of the arch-dam shoul-
der is relatively bad or it is earthquake intensity is high,
abutment stability will be the primal problem which
the design must solve. It suggests that we can take each
894
standard computation target as the constraint condition,
and it is the optimization goal that makes the safety
factor of abutment stability be maximum.
At present the abutment stability computation which
the engineering design department commonly used car-
ries on the slip plane assigned, sometimes it possibly
needs to produce many slip planes to carry on the
analysis and comparison, which lead to the grid cuts
in half much inconveniently when we use the finite
element methods to compute the mesh scale. To solve
the problem, we can use Spatial free section technology,
The method can automatically compute the stable
safety factor along the side sliding face of the dam
shoulder or along the bottom sliding face and the stable
safety factor which skids along the side sliding face and
the bottom sliding face intersection at the same time.
4 CONCLUSION
In the article, it Proposed a arch dam optimization
design proposal that based on the linear elasticity and
material non-linearity static power finite element tech-
nique, it solved such committed technical problems as
the finite element grid automatically to be cut in half,
Computer-network parallel optimization algorithm and
the computation of a dam shoulder stable safety factor
etc. it may cause the arch dam’s optimization design
more comprehensively to consider the influence of
the complex geology, at the same time each target sat-
isfies the design standard request, the research results
has more schemeive and practical value.
(On a proposé un projet d’optimisation du barrage-
voûte, en utilisant la méthode d’éléments finis statique
et dynamique sur des matériaux élastiques linéaires et
non linéaires. On a résolu des problèmes techniques
critiques tels que la création automatiquement du mail-
lage éléments finis, l’algorithme d’optimisation du
calcul parallèle par le réseau, le calcul du coefficient
de sécurité sur la stabilité de l’aboutement du barrage-
voûte, etc. Ces résultats permettent de tenir compte de
l’influence plus complètement des conditions de géolo-
gie, tous les indications satisfont le critère du design
en même temps. Cette étude est donc utile à applique
aux travaux.)
REFERENCES
Li Yisheng 1998. The effective point set of dual objective
and optimization of arch dam. Hydraulic Power Generation
11:10–14.
Su Chao & Yu Tiantang & Jiang Hongdao 2002. Dynamic
optimization method and application of high arch dam on
the base of the finite element method. Journal of Hohai
University 01:1–5.
Wang Dexin & Xu Qingchun & Su Chao 1992. Design pro-
gram of high arch dam form optimization. In Jiang
 Hongdao’s Computation method and program in hydraulic
structural engineering and geotechnical engineering.
Nanjing: Hohai University Publishing Company 174–191.
Wang Guoshu & Liu Guohua & Du Wanggai & Ma Yichao
2001. Research and application of multi objective opti-
mization of arch dam. Journal of Hydraulic Engineering
10:48–53.
Xie Nenggang & Sun Lingong & Wand Dexin 2001. Multi
objective optimization design of high arch dam under the
static load and dynamic load. Journal of Hydraulic
Engineering 10:8–11.
Xie Nenggang & Sun Lingong & Wand Dexin 2002.
Application of energy function in the optimization design
of high arch dam. Chinese Journal of Applied Mechanics
02:107–110.
895
Xie Nenggang & Sun Lingong & Wand Dexin 2002. Multi
objective fuzzy optimization design of arch dam. Chinese
Journal of Computational Mechanics 02:192–194.
Zhang Hainan & Liu Guohua 1999. Optimization Design of
complex linear of arch dam. Water Resources and Hydro-
power Engineering 01:8–12.
Zhu Bofang & Jia Jinsheng & Rao bin 1992. Mathematical
model of arch dam form optimization. Journal of Hydraulic
Engineering 03.
Zhu Bofang 1999. Achievement of the arch dam construc-
tion in China. Hydraulic Power Generation 10:38–41.
Zhu Bofang & Li Yisheng 2001. Research and application
on new and rational body type of high arch dam.
Hydraulic Power Generation 08:60–80.
 ts
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The numerical simulation of flood induced by dam-break for power

stations in cascade

Liu Xiaoqing & Li Tongchun

College of Water Conservancy and Hydropower Engineering, Hohai University, Nanjing, China

ABSTRACT: The influence of dam-break in cascade is present in this paper. There are many power stations in
cascade have been or are being developed over the rivers such as Yangtze river, yellow river, Dadu river, Jinsha
river and so on, in China. For example, 22 power stations in cascade are planned to be built on Dadu River, most
of them are in the stage of design. The flood affects dam downstream when any dam is broken in the cascade.
Different water levels for dam design are gotten with no dam-break. It is possible that any dam is break theo-
retically, so the dam safety assessment taking account of the flood process of dam-break in cascade is necessary.
The power stations over Dadu river are taken as an example to study the flood affect to the dam downstairs once
different dam upstairs is broken. The flood process after dam-break is modeled by shallow water equations, and
FEM is used to make the numerical simulation. The process of flood occurring and developing is gotten under
a dam or a couple of dam-break, an important basis for the risk analysis of flood disaster in cascade is provided.

1 GENERAL INSTRUCTIONS 2 NUMERICAL MODEL

There are more than eighty thousand reservoirs in 2.1 Mathematics model
China, 30% to 40% of them are out of safety in dif-
The numerical model (M. Quecedo & M. Pastor) used
ferent grade. The economy of China is great develop-
in this paper for solving the free surface flow problem
ing in recent 20 years. The more the downstream
is based on the solution of the shallow water equa-
economic growth of the reservoirs, especially reser-
tions. These equations are obtained from the Navier-
voirs in cascade is, the more the dam ventures. The
Stokes equations considering an incompressible,
flood adds after dam-break in cascades, so the affect
isothermal Fluid and assuming that the vertical com-
of flood to the downstream is immensity. It is in
ponent of the acceleration is negligible. Furthermore,
urgent need that the flood process after dam-break is
the contribution of the viscous forces is also typically
modeled with numerical algorithms.
neglected. The shallow water governing equations are
The wave propagation of dam-break is non-constant.
finally obtained by depth integrating the resulting mass
The problem, which is very complicated because of
and momentum conservation equations. The details
surge, is solved by the ordinary difference methods,
of the derivation can be found in standard text books
but the problem can’t be treated effectively. Some
(Zienkiewicz & Taylor1991) (Riemann 1999). These
very efficient Finite Element schemes to analyze a
equations are written in a compact form as:
great variety of convection dominated problems such
as compressible or incompressible problems, pollutant
transport, coastal and river mechanic phenomena etc.,
are widely applied now. Among them, two efficient
alternatives are the so-called Taylor-Galerkin (J. Peraire
1986) (J. Peraire et al. 1986) and Characteristics Based (1)
on Galerkin (Zienkiewicz & Ortiz 1995). The shallow
water equation, which is based on some assumptions,
is very effective for analysis of the dam-break wave.
The dam-break wave propagation for power stations
in Cascade is analyzed to make use of the shallow where: U  u h,
water equation in the paper. The power stations in cas- u, v are the components of the depth averaged
cade over Dadu River are taken as an example. velocity, s and b are the free surface -wind- and

897
bottom-friction- traction vectors, r is the Coriolis
force vector, Pa is the atmospheric pressure.
In the sake of simplicity and without loss of gener-
ality, the contribution to the source term from the
Coriolis force, the wind tractions and the atmospheric
pressure gradients is ignored in future derivations.
As regards the bottom friction, b, either the usual
Chezy-Manning formula which, after depth integra-
tion and divided by the fluid density is
These equations can be written in the conservative
form as
(2)
(4)
However, as a grad  component exists, equations
(1) are not written in a conservative form. Therefore,
numerical methods used to solve conservation laws Considering that
written in the conservative form, such as the Taylor-
Galerkin method, are not applicable to solve these grad   grad(h  Z)
equations in their current state.
To achieve this goal, equation (1) is rewritten by Resulting in
considering that

(5)

In this case, the flux tensor and the source vector are
(3)

which results in
where 1 is the unit tensor.
Now, by introducing
There is a number of methods available within the
FEM context to solve advection problems as those

Figure 1. Shallow water problem notation.

898
governed by equation (4) see, for instance, Incorporating these expressions into the second order
(Zienkiewicz & Taylor 1991).Within these methods, time derivative

Now replacing the expressions for the first and sec-

the Taylor-Galerkin procedure forwarded by Donea
(Donea et al. 1984) (Donea 1990) was further devel-
oped and applied by Peraire (J. Peraire 1986) (J. Peraire
et al. 1986) to the solution of the shallow water equa-
tions. The Taylor-Galerkin algorithm can be consid-
ered as the FEM counterpart of the Lax-Wendroff
procedure in the FDM. It basically consists in a higher
order expansion of the time derivative, followed by the
spatial discretization of the resulting equation using the
conventional Galerkin weighting method. However,
following the general procedure (Zienkiewicz & Taylor
1991) for a detailed derivation- requires the calcula-
tion of the derivatives of the flux tensor, F and source
vector, S, relative to the vector of unknowns, , for each
element in the mesh and performing a number of matrix
multiplications.
To avoid this computer memory and time consum-
ing operations, Peraire (J. Peraire 1986), developed a
two-step algorithm that can be regarded as the FEM
implementation of the Richtmyer scheme (Richtmyer
& Morton 1967). Globally, the Richtmyer scheme is of
second order accuracy in space and time (Hirsch 1990).
Due to its accuracy and simplicity, it has been used to
solve the shallow water equations by the authors.
2.2 Two-step Taylor-Galerkin algorithm
As introduced above, the Taylor-Galerkin procedure for
solving equation (4) starts from a second order expan-
sion in time
(6)
ond order time derivatives in the Taylor series expan-
sion, (6), allows the determination of the unknowns at
time tn+1
This equation is spatially discretized using conven-
tional Galerkin weighting to finally result in the sys-
tem of equations to be solved to obtain the unknown
increments in the variables at the time step:
(8)
3 EXAMPLE
An example is used to verity the approach in the paper.
There will 22 power stations in cascade are planned to
be built on Dadu River (Fig. 2).
There are four power stations in the cascade are
taken into accounted in this example. The height of the
dams are 200 m (dam A), 190 m (dam B), 124 m (dam
C) and 106 m (dam D). The length of the reservoirs
are 50 km, 31 km, 18 km and 48 km. There are two
cases to be considered in this example. The first case
is the break of dam A, the second one is the break of
dam A and dam B in succession. The flood estimation
in cascade under two cases is done. Figure 3 is the
initial level of the reservoirs (the depth is amplified
50 times).

where the first order time derivative of the unknowns

can be calculated using equation (4).
To obtain the second order time derivative, the
two-steps Taylor-Galerkin procedure considers an
intermediate step between tn and tn+1. The aim of this
first time step is to calculate the solution at a time
tn+1/2. This step is followed by a second one that brings
the solution to tn+1.
In this way, the first step results in

(7)
Figure 2. The Power stations in cascade over Dadu river.

899
Figure 3. The initial level of the reservoir A, B, C and D.
Figure 4. The level at 950 seconds under the first case.
Figure 5. The level at 1750 seconds under the second case.
520
480 DamA
DamB
40 DamC
40
360
320
waterlv(m)
280
240
20
0 10 20 30 40
time(s)
Figure 6. The relation between the levels of dam A, B, C
and time under the first case.
Figure 4 shows the level at 950 seconds under the
first case (the depth is amplified 50 times).
The level (the depth is amplified 50 times) at 1750
seconds under the second case is shown in figure 5.
Figure 6 is the relation between the levels of dam
A, B, C and time under the first case, it can be noted that
the maximum level (about 20 m) of dam B is appeared
at 720 seconds after dam A is broken down, maximum
level (about 9 m) of dam C is at 720 seconds more
or less.
Figure 7 shows the relation between the levels of
dam A, B, C and time under the second case which
dam B is broken after dam A is broken down 720 sec-
onds, the maximum level (about 29 m) of dam B is hap-
pened at 1100 seconds after dam A is broken down.
4 CONCLUSIONS
The flood process due to dam breaks cab be simulated
by numerical algorithm based on the shallow water
Figure 7. The relation between the levels of dam A, B, C
and time under the first case.
equations. The example shows that the water level of
downstream dams will increase due to the dam break
of upstream dams.
REFERENCES
C. Hirsch. Numerical Computation of Internal and External
Flows, volume 2. John Wiley & Sons, 1990.
50 60 70 80 90 10 E. Toro. Riemann Solvers and Numerical Methods for Fluid
Dynamics. A Practical Introduction. Springer-Verlag,
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nated Flows. PhD thesis, University of Wales, Swansea,
1986.
M. Quecedo, M. Pastor. A Reappraisal of Taylor-Galerkin
Algorithm for Drying-Wetting Areas in Shallow Water
Computations. ENUSA, Madrid, Spain, Dept. of Applied
Mathematics.
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O.C. Zienkiewicz and P. Ortiz. A Split-Characteristic based
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900
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

A new comprehensive framework for the analysis of mass concrete:

Thermo-chemo-mechanical, experimental, numerical and data modeling

E.M.R. Fairbairn, R.D. Toledo Filho, M.M. Silvoso, F.L.B. Ribeiro, A.G. Evsukoff,
I.A. Ferreira & E.A. Guerra
COPPE/Universidade Federal do Rio de Janeiro, Brazil

M.A.S. Andrade & E.F. Faria

FURNAS, Centrais Elétricas S.A., Brazil

W.P. Andrade
ENGECONSOL, Brazil

ABSTRACT: We present a new comprehensive framework for the structural analysis of mass concrete. The
model considers that cement hydration is exothermic and thermally activated. It depends on the degree of hydra-
tion, as well as the mechanical properties of concrete. The model was implemented in a 3D Finite Element code
that can be integrated in genetic algorithm procedure allowing the optimization of the variables that correspond to
the construction phase of a massive structure: height of the lifts, schedule, placing temperature, and type of mate-
rial. Concrete can be characterized by means of a new experimental framework that integrates adiabatic calori-
metric tests and the evolution of the mechanical parameters. The main parameters can also be obtained by a
prediction data model developed on the basis of a data bank that assembles 30 years of experiments carried out on
the most important mass concrete constructions in Brazil.

1 INTRODUCTION scheme. In practice, this optimization problem has

The development of early-age stresses in concrete
dams is mainly governed by the thermal fields origi-
nated by the hydration reaction, the evolution of the
mechanical properties, the geometry of the structure,
the environmental conditions and the construction
scheme. If the tensile stresses are greater than the con-
crete strength, the dam cracks.
From the engineering point of view, if cracking must
be avoided, several measures can be undertaken to
reduce the effects of the hydration reaction such as:
(i) choosing a material composition that gives lower
rates of hydration; (ii) controlling the lift thickness and
the time intervals between lifts placing, to allow heat to
dissipate; and (iii) reducing the temperature of concrete,
either by precooling the mix and/or its ingredients, or
by postcooling the mix after placement (Jansen, 1988).
A great variety of similar options can be presented
to the contractor and it is up to the design team to decide
which one is the more efficient. The more precise and
operational are the tools available to perform the
thermo-mechanical analysis, the more the design team
will be able to decide which is the most efficient set of
variables corresponding the material and construction
been solved through the know-how of the structural
design team, using more or less sophisticated models
(e.g, Bureau of Reclamation 1976, Fairbairn 1994,
Emborg 1998, Luna & Wu 2000, Gadja & Vangeem
2002).
A comprehensive model should consider the hydra-
tion reaction as exothermic and thermally activated.
This means that the properties of the material, such as
the strength, the Young’s modulus and creep will vary
depending on temperature history experienced by the
concrete bulk. In what concerns the specific heat gen-
eration, thermal activation introduces a second-order
effect, since the rate of heat generated by a unit mass
at a given time depends on the extension of the reac-
tion, which varies as a function of the thermal history
of the structure. In this way, in a recent paper, a pro-
cedure to optimize the variables that characterize the
material and the construction scheme, based on genetic
algorithms, has been proposed by Fairbairn et al.
(2004). It uses a thermo-chemo-mechanical model
developed by Ulm and Coussy (1995, 1996) that cou-
ples, within the framework of the theory of thermody-
namics, the several phenomena that intervene in the
hydration process. This model has been implemented

901
in a 3D Finite Element code that simulates the layered the state of the hydration reaction; Ea is the apparent
construction of a massive concrete structure, integrated thermal activation energy, which is considered to be
within a genetic algorithm that optimizes the main constant with relation to the hydration degree; R is the
variables of the thermo-chemo-mechanical problem. universal constant of gases; and T is the temperature
To this aim, the main characteristics of concrete in Kelvin. Equation (1) can be written in a more suit-
should be parameterized with respect to the degree of able way as:
hydration, a normalized variable that corresponds to
the advancement of the hydration reaction. Hence, the
experimental test that is generally performed to deter- (2)
mine the temperature rise of concrete (Bureau of recla-
mation 1992) has been modified to have the variables
as a function of the degree of hydration. where A~( ) is called the normalized affinity.
Aiming the application of the model to preliminary
design, when the calorimetric characteristics of the
material are not yet determined, we developed a pre- 2.2 Thermo-chemical coupling
diction model based on neural networks using the The equation for the transient thermal and hydration
data bank of the adiabatic tests performed at the fields that compose the thermo-chemical coupling is:
Technical Department of FURNAS, the hydropower
company of the central eastern region of Brazil. This (3)
model allows the determination of the adiabatic tem-
perature rise for a given concrete, if some characteris-
Here, the standard form for evolution of thermal
tics of the cement et of the concrete mix are provided.
fields, CT
Q  k$2T, can be recognized, with C
All these procedures compose a framework, includ-
being the specific heat and k the thermal conductivity.
ing: a thermo-chemo-mechanical model; a numerical
The term L represents the heat generated by the
model; a data prediction model; an optimization tool
exothermic reaction, with L being the latent heat of
and experimental procedures. In the next sections this
hydration, determined by means of experimental tests.
framework will be presented in details, followed by
Equation (3) can have a step-by-step solution if the
examples that illustrate its application.
values of , formally ( ), are determined, for each
time-step, by means of equation (2). For this purpose
2 THE THERMO-CHEMO-MECHANICAL it is necessary to know the curve of the normalized
MODEL affinity A~( ). This may be obtained by means of adia-
batic tests, as shown in section 4. The solution scheme
2.1 Evolution of the hydration reaction leads to the knowledge of the temperature fields and
of the degree of hydration fields for each time-step,
The Ulm and Coussy’s model considers concrete as a what allows for the determination of the mechanical
reactive porous media composed of a solid skeleton of properties, such as strength, Young’s modulus, and
anhydrous cement grains and CSH hydrates, and pores creep properties as a function of the hydration evolution
that may be filled by either air or water. The evolution of for any point in the structure.
the hydration reaction is represented by an Arrhenius-
type equation, which takes into account the thermo-
activation and the exothermic nature of the reaction: 2.3 Chemo-mechanical coupling
The chemo-mechanical coupling follows the early
(1) developments of Ulm & Coussy (1195, 1996) comple-
mented by the introduction of the creep effects as pro-
posed by Hellmich (1999), and Sercombe et al. (2000).
where: dm/dt is the variation of the skeleton mass; The creep model considers the creep effects as com-
0   1 is the degree of hydration or, in other words, posed by short-term creep and long-term creep.
the relation between the mass of the skeleton at a time Short-term creep is associated to the micro diffusion
t normalized by the mass of the skeleton when hydra- movement of water in the capillary pores and has its
tion is complete, i.e., (t)
m(t)/m; ( ) is a viscosity kinetics influenced by the age at loading and is respon-
term representing the increase in physical barrier of sible by creep recovering. The long-term creep is con-
CSH, which tends to isolate the cement grain from the sidered as irrecoverable and thermo-activated. It is
free water, and depends on the state of the hydration related to a dislocation mechanism between the interfo-
reaction; A( ) is the affinity of the chemical reaction or, liar layers of C-S-H. This model is described in detail
in other words, the thermodynamic force associated to in the works referenced above, and its implementation
the rate of hydrates formation, which also depends on together with a pratical application is given in Silvoso

902
et al. (2005). The chemo-mechanical coupling is then
represented by the following equation:
(4)
where:  is the stress tensor; C(
) is the elastic com- computational implementation can be seen in Silvoso
pliance tensor dependent on the degree of hydration
(because Poisson’s ratio  is considered to be constant
with the degree of hydration, we can write, formally,
C(
)
C(E(
)));  is the strain tensor; p is the plas- 4 EVOLUTION LAWS
tic strains tensor; f is the strain tensor of long-term
creep; v is the strain tensor of short-term creep;
is
the thermal dilatation coefficient; and (
) is the mulates the thermo-chemo-mechanical problem in
coefficient relating the hydration rate to autogenous
, which is a
shrinkage, a very important imposed deformation, if
high-performance concretes are used.
To determine p, the chemo-plastic coupling is con-
sidered by relating the hardening forces of the material
() to the chemical hardening (
) and to the evolution the main properties of the material as a function of
.
of the internal variables related to microcracking (1
and 2). Two yield surfaces are employed, namely,
), which corre-
Drucker-Prager when the stress state is of the compres-
sive type, and tension cut-off when the stress state is of
the tension type. Within the framework of associative
plasticity, one can write the flow and the hardening
rules as follows:
(5)
(t
0)
0 (no
where di are plastic multipliers;
DP is a parameter
(t) as
of the Drucker-Prager criterion; I1
tr(); and J2

(:)/2.
3 COMPUTATIONAL IMPLEMENTATION
The model was implemented in a 3D FEM code. It
uses linear tetrahedral elements and the non-linear sys-
tem of equations is solved by using a Newton-Raphson
incremental iterative technique. An element-by-
element strategy solution with a preconditioned conju-
gate gradient solver and a diagonal preconditioner of
the elements’matrices was used. The code has two mod-
ules: the first module computes the transient thermal
and hydration fields; the second module calculates
the stresses and strain fields for each time step.
To simulate the construction process, each element
is associated to a construction phase and consequently
to the activation time of that phase of the structure.
903
When the activation time is reached, the corresponding
finite elements are activated and the boundary condi-
tions are updated. The data structure of the computer
code and the element-by-element solution improve the
efficiency of the numerical analysis and make the sim-
ulation of the construction phases easier. Details of the
(2003).
The theoretical framework briefly described above for-
connection with the degree of hydration
parameter that stands for the maturity of the material. It
encompasses the effects of time, temperature and the
intrinsic tendency of the material to develop its proper-
ties. It is then necessary to establish evolution laws for
One of the main variables that intervene in the
problem is the normalized affinity A ~(
sponds to the intrinsic tendency of the material to
undergo reacting, i.e., the tendency to react without the
influence of the temperature. It may be derived from the
adiabatic temperature rise of concrete in the following
way. Equation (3), in adiabatic conditions, may be
written as:
(6)
where the superscript ad stands for adiabatic.
Integrating (6), considering that
hydration at t
0), and naming Tad (t
0)
T0ad (the
placing temperature), and Tad (t
%)
T%ad (the final
asymptotic temperature), it is possible to determine the
value of L and a relation between Tad (t) and
follows:
(7)
With equation (7) it is possible to determine the
degree of hydration at any time, if the adiabatic temper-
ature rise and the specific heat are known. Now, invert-
ing (2), the normalized affinity can be found by the
following expression:
(8)
The thermal activation energy Ea can be determined
either by isothermal tests of compressive strength
(ASTM C 1074/93) or by means of adiabatic tests with
different values of T ad
0 ; these values, as reported in the
technical literature, may assume, for normal and
high-performance concretes, values varying between
25 kJ/mol and 42 kJ/mol (Carvalho, 2002).

4.1 Simplified models

The evolution laws for the other properties of concrete
as a function of the degree of hydration may be taken
from the bibliography, or by means of experimental
tests. For example, the evolution of the compressive
strength may be represented in a simplified way by
means of a bi-linear law of the type (Laplante, 1993):

(9)

where fc,%
fc(
1) is the compressive strength for

complete hydration; and
0 is the degree of hydration at
the percolation threshold, the very moment when con-
crete becomes a solid. Other simplified formulas that
may be used as prediction models for tensile strength,
Young’s modulus, creep, plastic surface characteristics,
etc., can be found in the technical literature, e.g.,
Byfors (1980), Laplante (1993), Ulm & Coussy (1995,
1996), and Fairbairn et al. (2004).
4.2 New tests to determine the evolution laws
For a more accurate analysis, experimental tests can
be performed to precisely determine the evolution
laws. To this aim the calorimeter that is generally used
to determine the adiabatic temperature rising can be
adapted to have other specimens submitted to the same
temperature history as the specimen that controls the
calorimeter.
The equipment used for the developments reported
0 that
in this paper is the calorimeter of the Technical Control
Department (TCD) of FURNAS (Andrade 1997).
The calorimeter consists of a 1.4 m  1.4 m  2.1 m
chamber placed inside a 4.0 m  4.0 m  2.5 m anti-
chamber. These chambers are heavily insulated to min-
imize outside temperature influence and can be
controlled to a very precise temperature. The test is
performed on a 250 l specimen which has its temper-
ature monitored by means of an electrical thermome-
ter placed in a well extending to the center of the
concrete specimen. The temperature of air within the
chamber and the anti-chamber is maintained at the
same temperature as the specimen. As a result, any heat
generated by the cementitious material results in a tem-
perature rise in the concrete and a corresponding rise
in chamber and anti-chamber temperature.
0 since the adiabatic tempera-
This test rig was adapted to allow the introduction of
a number of specimens inside the chamber, in such a
way that these specimens experiment the same tem-
perature history as the 250 l specimen that controls
Figure 1. Adiabatic calorimeter adapted to determine the
evolution laws dependent on the degree of hydration.
the evolution of the temperature of the calorimeter
(see Figure 1).
The specimens are poured in waterproof plastic
moulds which are placed inside a sealed recipient that
is filled with water to prevent that concrete dries
when submitted to the rising temperatures, that may
reach up to 80°C. Then, for some predetermined times,
these specimens are taken off the calorimeter and tested
to determine the properties of concrete as a function
of the degree of hydration, which is determined by
means of equation (7).
For the theoretical framework at hand, an important
property of the material is the hydration degree
corresponds to the percolation threshold (see, for
example, the formula (9)). It should be precisely deter-
mined because at this stage of the hydration reaction
the material changes from fluid to solid and develops its
mechanical properties such as elasticity and strength.
For this aim, a specimen, poured in a mould specially
designed to be submitted to an ultrasound velocity pulse
(UVP) test is also placed inside the calorimeter. In
Figure 2a it is shown a scheme of the test rig taken from
Demirboga et al. (2004), while a photograph of the
equipment used in the present research is shown in
Figure 2b. Figure 2c depicts a typical response of the
UVP indicating the dramatic change in the velocity of
the pulse that occurs when the percolation threshold is
reached. Once more, this precise time can be related to
the degree of hydration
ture is known and formula (7) can be applied.
Some results obtained with the described proce-
dure are presented in the following Figures. Figure 3
shows the adiabatic temperature rise for three placing

904
Figure 2. UVP device used to determine the percolation
threshold 0. Figure 4. Normalized affinity curve.

Figure 3. Adiabatic temperature rise (Tad) versus time Figure 5. Normalized compressive strength as a function
for three initial placing temperatures. of the hydration degree.

temperatures, from which the activation energy and

the affinity curve of Figure 4 were deduced. Figure 5,
Figure 6, Figure 7, present, respectively, the normal-
ized compressive and tensile strength, as well as the
Young’s modulus as a function of the hydration degree.
Here, the results were compared to the ones obtained
by the isothermal test (ASTM C 1074/93) indicating
good correlation.

4.3 Data model based on neural networks

In the case of preliminary design, when the calori-
metric tests have not yet been performed, it must be
desirable to predict the evolution laws based on pre-
diction models. In the case of the mechanical proper-
ties, simplified laws, such as the ones mentioned in Figure 6. Normalized tensile strength as a function of the
section 4.1 can be used. The problem here is the pre- hydration degree.
diction of the adiabatic temperature rise curve. There
are few models in the literature that are able to predict reactions take place at the same time and models these
the kinetics of concrete hydration. One can mention, several reactions taking as input the mineral phases of
as an example, the comprehensive multiphase model of the cement. Within the framework of this model, the
Maekawa et al. (1999), which considers that several main reactions are governed by the mineral phases C3S,

905

Figure 7. Normalized Young’s modulus as a function of the
hydration degree.
C2S, C3A, C4AF, slag and fly ash, which are modeled
separately, and then are combined to represent the
overall hydration phenomenon. The problem of apply-
ing such models to Brazilian mass concrete is that the
cement used in Brazil is rarely pure Portland cement,
for which the mineral phases can be easily found,
e.g., by mapping the chemical composition using
Bogue’s formulas. The cement used for mass concrete
construction in Brazil is generally a mix with a great
percentage of slag or other pozzolans, for which
the identification of the mineral phases is not an
easy task.
Hence, we developed a model, based on neural net-
can be exploited, i.e., it is able to process a new input
set resulting in a predicted output set.
For the problem at hand, we used as input set the
following variables, referenced as {(x(k)), k
1.14}:
• x(1)
Cement consumption – (kg/m3)
• x(2)
Slag consumption (kg/m3)
• x(3)
Fly ash consumption (kg/m3)
• x(4)
Natural pozzolans consumption (kg/m3)
• x(5)
Water content (kg/m3)
• x(6)
Aggregates consumption (kg/m3)
• x(7)
Chemical additive consumption (kg/m3)
• x(8)
CaO – mass content in the cement (%)
• x(9)
SiO2 – mass content in the cement (%)
• x(10)
Al2O3 – mass content in the cement (%)
• x(11)
Fe2O3 – mass content in the cement (%)
• x(12)
SO3 – mass content in the cement (%)
• x(13)
Placing temperature (°C)
• x(14)
Blaine fineness (cm2/g)
To define the output set, a previous analysis was
performed aiming to express the adiabatic tempera-
ture rise curves by means of an approximate formula
with limited number of constants. The following
function, called the Hill function, was found to be a
reasonable approximation of the adiabatic tempera-
ture rise curves:
(10)
where T%ad is the asymptotic value of Tad (defined
works, capable to predict the adiabatic rising curve of
such concretes (Faria 2004). We used the data bank
composed of 260 adiabatic tests carried out by the TCD
of FURNAS (Andrade 1997). These tests, performed
for the last 30 years, concerns the most important mass
before formula (7)), and n and 0 are constants.
Hence, the output set was established as being
composed by these three constants, referenced as,
{(y(k)), k
1...3}, which are listed below:
• y(1)
T%ad (°C)
concrete constructions in Brazil, such as Itaipu hydro-
power plant (11,000,000 m3 of concrete, with a produc-
tion capacity of 12,600 MW, the largest hydropower
plant in operation in the world), Tucurui hydropower
plant (6,000,000 m3 of concrete, 8,000 MW of produc-
tion capacity), Xingó hydropower plant (1,300,000 m3
of concrete, 3,000 MW of production capacity), and
several other mass concrete used for the construction of
hydroelectric and nuclear power plants.
An Artificial Neural Network (ANN) is a computa-
tional structure that is inspired by observed processes in
natural networks of biological neurons in the brain. It
consists of simple computational units, called neurons,
that are highly interconnected, and generally arranged
in an input layer, hidden layers and an output layer.
The use of ANNs comprises two phases: a training
phase and an exploitation phase. In the training phase
the weights of the given interconnections are adjusted
according to some learning algorithm that operates
on a data set generating a model that maps the input
neurons to the output neurons. Once trained, the ANN
906
• y(2)
0 (days)
• y(3)
n (dimensionless)
The general structure of the artificial neural net-
work is shown in Figure 8.
As it was demonstrated by the several examples
and error calculations presented in Faria (2004), the
ANN approach constitutes an useful tool for the pre-
diction of the adiabatic temperature rise curve. To
illustrate this approach we present in Figure 9 and
Figure 10 the best and of the worst fitting respec-
tively, showing the evolution of the variation of Tad
with time in a semi-log graph.
5 OPTIMIZATION WITH GENETIC
ALGORITHMS
The optimization of the construction of massive dams
is a cost optimization problem that involves the cost
of the raw material and construction costs associated
with placing, cooling, formwork, lift height and time

Figure 8. General structure of the network.
Figure 9. Best fit, comparing the experimental results with
the fitting of the Hill function and the ANN approach.
Figure 10. Worst fit, comparing the experimental results
with the fitting of the Hill function and the ANN approach.
intervals. Therefore, we developed an integrated pro-
cedure that systematizes the solution of this problem
using: (i) the thermo-chemo-mechanical and numeri-
cal frameworks described above and (ii) a genetic
algorithm procedure to optimize construction costs.
Genetic algorithms provide effective solutions to
discrete optimization problems, search for the global
optimal point and can be modified to incorporate con-
straints. For these reasons, genetic algorithms have
gained widespread acceptance, and several applica-
tions in structural design optimization have been
reported in the last few years (see, for example, a bib-
liographic survey in Fairbairn et al. 2004).
5.1 Main characteristics of the genetic algorithm
We used a generational genetic algorithm with elitism
of the best individual, tournament selection scheme,
907
single point crossover and mutation genetic opera-
tors. The control parameters are the population size
(N), the crossover probability (Pc), the mutation
probability (Pm), and the tournament size for tourna-
ment selection (Nt). The design variables are encoded
as binary strings that compose the chromosome (or
individual), where each bit represents the chromo-
some’s genes. The population size (N) indicates the
number of chromosomes for each generation, which
is considered to be constant during the evolution
process. It should be large enough to guarantee the
diversity of the population, although the simulation
will run more slowly if a large population is used. The
initial population is chosen randomly to obtain maxi-
mum diversity. The selection of progenitors for the
descendent generation is inspired by Darwin’s evolu-
tionary theory, where the fittest individuals are more
likely to be selected to transmit their genes. Generally,
the pairs of individuals are directly selected for repro-
duction from the population and their offspring will
constitute the next generation. The biologically-inspired
tournament selection consists of two basic steps: (i) a
set of Nt (Nt " 2) individuals is randomly selected
from the population; and (ii) a tournament is carried
out and the fittest individual is selected to reproduce.
The tournament selection is then repeated as many
times as necessary to find the total set of parents that
will procreate the next generation. Together with tour-
nament selection, elitism is used to ensure that the
best performing chromosome survives to the next
generation.
The selected individuals will be paired randomly
to procreate and crossover will be carried out with a
crossover probability Pc. Thus, if a pair is selected to
procreate, the genetic operator will create two new
individuals from the genetic material of the selected
parents. Otherwise, the two parents are repeated in
the next generation. The one-point crossover operator,
which mixes the genes of two parents using a ran-
domly chosen point on the chromosome, is used.
The genetic diversity of the new population is
ensured by the application of the mutation operator,
applied with a small probability Pm. We use the bitflip
mutation, which produces a minor perturbation in the
chromosome, changing one randomly-selected gene.
5.2 Design variables and cost function
The design variables here considered for the opti-
mization of massive concrete structures are discrete
variables defined as: the type of concrete (tc); the
placing temperature (pt); the height of the lifts (hl);
and the placing frequency (pf ). The vector of vari-
ables, designated by x, can then be formally defined
as xT
{x1, x2, x3, x4}
{tc,pt,hl,pf }.
We use a normalized variable 0 !c̃(x)  1 for the
unit cost that varies with the variables defined above.
Since the geometry of the structure is given, the cost
function is established for a fixed total volume of
concrete VC as follows:
(11)
~ (ECrlim(t)), are not fully penalized allowing that this
where: C (x) is the total cost; cRM(tc) is the unit cost of
the raw material, which is a function of the type of con-
crete; cCC(pt) is the unit cost of concrete cooling, which
is a function of the placing temperature; and cPO(hl,pf )
is the unit cost of plant operation, which varies with the
total construction time, which in turn depends on the
height of the lifts and the placing frequency. This cost
includes leasing and operation of equipment, concrete
treatment, consolidation and placing (with the excep-
tion of cooling) and so on. The subscript max stands for
the maximum unit cost. Details on the calculus of the
costs can be found in Silvoso (2003) and Fairbairn et al.
(2004).
5.3 Objective function and fitness function
The objective function can be expressed as f (x)

~
c (x). If we define a variable, ECr(x)#[0,1] as a meas-
ure of the extent of cracking, taken as the relative
number of finite elements that cracks (plasticizes)
after an analysis with the finite element code
described in section 3, the optimization problem can
be written as:
• Minimize f (x)
• Under the constraint defined as ECr(x)
0
The constraint, i.e., the rejection of cracked struc-
tures, is handled by a penalty scheme. A fitness func-
tion, set out below, is therefore introduced:
(12)
Figure 11. Flowchart of the genetic algorithm optimiza-
tion procedure.
908
F
f(x)  P(ECr(x),t) for a cracked structure where
the penalty P(ECr(x),t) is a function of both ECr(x),
and t, which represents the generation.
The penalty function is bilinear such that, in the
first half of the generations (i.e., until t
Ng/2, Ng
being the number of generations) the individuals that
present cracking under a certain cracking threshold
individuals may be able to procreate. For generations
after Ng/2, the penalty becomes static and all cracked
structures are penalized by the same value, what guar-
antees that the optimal solution will not crack at all.
In Figure 11 it is presented a flowchart of the opti-
mization procedure described above.
6 EXAMPLE
In this section, we present an application of the pro-
posed optimizing procedure, to stress the potentiality
of the framework presented in this paper. This appli-
cation is the optimization of the construction phase of
a concrete dam for a small hydropower plant. The
concrete dam is 10 m high and its total concrete vol-
ume is 3000 m3. It is a typical project, taken from the
Brazilian Manual of Small Hydropower Plants Study
and Design. The main geometric characteristics of the
dam are shown in Figure 12.
The design variables for this application are
described below:
Type of Concrete (tc) – Eight types of concretes
were used, all taken from the TCD of FURNAS
(Andrade 1997). Its compositions are given in Table
1, and the main properties together with the estimated
unit cost are given in Table 2, while the curves of the
adiabatic temperature rise are given in Figure 13.
Placing temperature (pt): This variable is defined as:
pt(°C)&{10,11,12,13,14,15,16,17,18,19,20,21,
Figure 12. Geometric characteristics of the dam.
22,23,24,25}, where 10°C is the minimum cooling
temperature available for the present application, and
25°C is the average ambient temperature.
Height of the lifts (hl): The values used in the pres-
ent application are:
hl(m)&{0.5,0.75,1.0,1.25,1.5,1.75,2.0,2.5}
Placing frequency (pf ): This variable was given a
range of values:
pf(days)&{6,7,8,9,10,11,12,13,14,15,16,17,18,19,
20,21}
A minimum value of 6 days was chosen because it
was assumed that 5 days is the minimum period of
time needed to cure the concrete and prepare the hor-
izontal joint and the formwork for the new lift.
Table 1. Composition (kg/m3) of the eight types of
concretes.
Fine
tc Cement Fly ash Slag W agg.
The unit costs for the several schemes of placing
temperature and construction schedule have been
estimated and detailed in Fairbairn et al. (2004).
Figure 14 shows the evolution of the fittest indi-
vidual. From this Figure we can conclude that the use
of a penalty function that allows for a certain amount
of cracking in the first generations was effective in
avoiding stagnation in the evolutionary process.
The analysis showed that the minimum cost is
attained with a construction scheme described by the
following optimal values:
tc
8; pt
19°C; hl
1.25 m; pf
5 days
Some results obtained for this optimal set are given
in Figure 15 to Figure 17 (temperature fields for sev-
eral construction steps), and Figure 18 to Figure 20
(principal stress fields for several construction steps).
Coarse
agg.

1 13 17 16 62 131
2 33 57 19 66 105
3 29 50 18 70 106
4 33 18 74 109
5 33 16 60 119
6 32 17 85 108
7 12 23 16 65 116
8 23 80 17 62 130

Table 2. Main properties and unit costs.

C k  fc, E cRM
tc (J.kg/K) W/(m.K) (106) (MPa) (MPa) (US$/m3)
Figure 14. Evolution of fitness of the best individual.
1 1017 2.65 13.0 29.9 21.7 24
2 1109 2.64 10.8 28.9 30.6 35
3 1134 2.64 10.4 24.8 25.9 31
4 1084 2.64 10.6 30.2 26.0 35
5 1059 2.64 12.0 27.3 22.4 35
6 1092 2.24 9.9 23.9 23.2 33
7 1063 2.26 12.5 25.4 24.0 27
8 1050 2.49 12.1 25.2 17.1 28

Figure 13. Adiabatic temperature rise curves for concretes

types 1 to 8. Figure 15. Temperature fields for 2 days.

909
Figure 16. Temperature fields for 12 days.
Figure 17. Temperature fields for 37 days.
Figure 18. Principal stress fields for 2 days.
910
Figure 19. Principal stress fields for 12 days.
Figure 20. Principal stress fields for 37 days.
7 CONCLUDING REMARKS
We presented a comprehensive framework for the sim-
ulation of thermal stresses in concrete dams, together
with a procedure to optimize the costs of the construc-
tion phase. The framework encompasses developments
in thermo-chemo-mechanical modeling, numerical
analysis, experimental analysis, and data modeling
using data mining techniques such as neural networks
and genetic algorithms. Since this is a computer-
intensive method, the next steps comprise the compu-
tational implementation in parallel architectures.
The procedures here presented are already imple-
mented and operational, having a great potential to help
the design engineer in the simulation and optimization
of the construction phase of concrete dams, and
reduce the costs of hydropower plants installation.
ACKNOWLEDGEMENT
The authors acknowledge the financial support of the
Brazilian Agency for Electrical Power (ANEEL) and
the Hydropower Company of the Central Eastern
Region of Brazil (FURNAS). The authors are also
indebt for the support of the Brazilian Agencies
CAPES and CNPq.
REFERENCES
Andrade, W. P. 1997. Concretes: mass, structural, shotcreet,
and roller compacted – tests and properties. São Paulo:
Editora PINI. (in Portuguese).
Bureau of Recamation. 1976. Design of Gravity Dams.
Denver: US Department of the Interior.
Bureau of Recamation. 1992. Procedure for Temperature
rise of concrete-USBR 4911–92. In Concrete Manual
Part II. Denver: US Department of the Interior.
Byfors, J. 1980. Plain concrete at early ages. Technical
report S-100 44. Stockholm: Swedish Cement and
Concrete Research Institute.
Carvalho, A. G. 2002. Activation energy of concretes: mod-
eling and experimental analysis. M.Sc. thesis. Rio de
Janeiro: Universidade Federal do Rio de Janeiro.(in
Portuguese).
Demirboga, R., Turkmen, I., Karakoc, M. B. 2004.
Relationship between ultrasonic velocity and compres-
sive strength for high-volume mineral-admixtured con-
crete., Cement & Concrete Research 34: 2329–2336.
ELETROBRAS. 2000. Manual of Small Hydropower Plants
Study and Design. Brazil: ELETROBRAS. CD-ROM (in
Portuguese).
Emborg, M. 1998. Models and methods for computation of
thermal stresses. In R. Springenschmid (ed.) Prevention
of thermal cracking in concrete at early age. London:
E&FN Spon.
Fairbairn, E. M. R. 1994. The Brazilian experience on the
use of Maxwell chain model for solving the thermo-
mechanical problem of concrete dams. Annales de
l’ITBTP 520 série: théorie et méthodes de calcul 343:
150–179 (in French).
Fairbairn, E. M. R., Silvoso, M. M., Tolêdo Filho, R. D.,
Alves, J. L. D. and Ebecken, N. F. F. 2004. Optimization
of mass concrete construction using genetic algorithms.
Computers & Structures 82 (2–3): 281–299.
911
Faria, E. F. 2004. Exothermy prediction of concrete hydra-
tion reaction by thermo-chemical and data modeling.
M.Sc. thesis. Rio de Janeiro: Universidade Federal do
Rio de Janeiro.(in Portuguese).
Gadja, J. & Vangeem, M. 2002. Controlling temperatures in
mass concrete. Concrete International 24 (1): 59–62.
Hellmich, C. 1999. Shotcrete as part of the new Austrian tun-
neling method: from thermochemomechanical material
modeling to structural analysis and safety assessment of
tunnels. Ph.D. thesis. Wien: Technischen Universitä Wien.
Jansen, R.B. 1988. Advanced dam engineering. New York:
Van Nostrand.
Laplante, P. 1993. Mechanical properties of hardening con-
cretes: compared analysis of normal and ultra-high per-
formance concretes. Ph.D. Paris: École Nationale des
Ponts et Chaussées. (in French).
Luna, R. & Wu, Y. 2000. Simulation of temperature and
stress fields during RCC dam construction. ASCE
Journal of Construction Engineering and Management
126 (5): 381–388.
Maekawa, K., Chaube, R., Kishi, T. 1999. Modeling of con-
crete performance. Hydration, microstructure formation
and mass transport. London: E & FN Spon.
Sercombe, J., Hellmich, C., Ulm, F.-J., Mang, H. 2000.
Modeling of early-age creep of shotcrete I: Model e
model parameters. ASCE Journal of Engineering
Mechanics 126(3): 284–291.
Silvoso, M. M., Fairbairn, E. M. R., Toledo Filho, R. D.
2005. Early-age analysis of a foundation slab: sensitivity
to creep parameters. In Pijaudier Cabot et al. (ed.) Creep,
Shrinkage and Durability of Concrete and Concrete
Structures, Proceedings of CONCREEP 7. Paris: Hermes
Science Publishing.
Silvoso, M. M. 2003. Optimization of the construction
phase of concrete structures regarding the hydration
effects by means of genetic algorithms. Ph.D. thesis. Rio
de Janeiro: Universidade Federal do Rio de Janeiro.(in
Portuguese).
Ulm, F.-J. Coussy, O. 1995. Modeling of thermochemome-
chanical couplings of concrete at early ages. ASCE
Journal of Engineering Mechanics 121(7): 785–794.
Ulm, F.-J. Coussy, O. 1996. Strength growth as chemo-
plastic hardening in early age concrete. ASCE Journal of
Engineering Mechanics 122 (12): 1123–1131.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Control of water head in the vertical drain

A. Djehiche
LGCU Amar Telidji, Laghouat, Algeria

Z. Derriche
LPCM, I C I (U.S.T. Oran), Oran-El-Mnouar, Algeria

K. Kotchev
Polytechnique, Sofia, Bulgaria

ABSTRACT: One of the major problems encountered when designing earth dams is the choice and design of
systems of drainage that are able to protect the dams from undesirable effects. Although the existence of a num-
ber of satisfactory drainage systems allowed the construction of many projects, the lack of control of seepage
flow and the position of saturation curve in the drain may threaten the security of these constructions and ren-
der them uneconomical. The paper presented herein reports the results obtained from the experimental study of
a homogeneous earth dam. Relations have been obtained which can be help in the control of water head in the
vertical drain, which permit a better management of earth dams.

1 INTRODUCTION impervious foundation. Sand has been used as a perme-

Dams are very important for the economic develop-
ment of a country, therefore we devoted this study to
the search of solutions of problems encountered in the
earth dams after their construction. The principle dif-
ficulties for the earth dams are the infiltration of water
through it which leads to the piping phenomenon and
the migration of fine particles outside the earth dam,
what causes the slip of the slope downstream of the earth
dam and compromises the stability of the structure.
Therefore, it is necessary to develop special processes
such as the drains and the filters and to choose the type
of the most effective drain to limit the progression of the
piping phenomenon. We performed a study on a reduced
model, of an homogeneous earth dam with vertical drain
on an impervious foundation, and we proposed a cor-
relation to determine the best position of the drain in
the homogeneous earth dams that gives the water level
in the drains. Finally a comparative study of the exper-
imental data with results obtained by numerical simu-
lation performed with a commercial software [SEEP]
(Duncan, J. M., 1970) was carried out.
able medium for the body of the dam, provided that its
permeability is such as the flow remains laminar and
that there is not any effect of distortion by capillarity
(the grains should not be lower than 0.7 mm) (Mallet &
Pacouant, 1951) and of gravel for the drain. The piezo-
metric prickings laid out on the two zones with dimen-
sions of the tank make it possible to know the actual
values of the head of water along the trajectory of flow
and highlight the burden-sharing of water in the seep-
ages (Bear 1972 and Harr, 1962) (see figure 1).
3 EXPERIMENTAL DEVICE
3.1 Model of dam earth on an impervious foundation
The model is built in a glazed tank which length is
180.5 cm, width 17.8 cm and height 60 cm. There are
Piezometers

drains
2 PRINCIPLE OF THE TEST

A small-scale model was built; which is geometrically

similar to the real system. This model represents a Figure 1. Homogeneous embankment on impervious
homogeneous earth dam with a vertical drain on an foundation.

913
14 piezometers located along the tank. Moreover, one Table 1. Homogeneous embankment on impervious
established in the other side 4 piezometers for follow- foundation.
ing the flow well, and with injections of a dye at the
point of intersection between the free surface of water n Ld * (cm) H (cm) h** (cm)
and the slope upstream to plot the curve of saturation.
3.0 104.5 22 7.3
Upstream and downstream from the dam of the devices 3.0 104.5 24 11.0
are designed to maintain at the ends of the tank the 3.0 104.5 26 15.5
desired load (Djehiche, A., 1993). 2.5 97.5 22 5.7
2.5 97.5 24 9.2
2.5 97.5 26 13.5
4 DETERMINATION OF THE MATERIAL 2.0 91.0 22 4.1
CHARACTERISTICS 2.0 91.0 24 7.0
2.0 91.0 26 10.3
One determined the characteristics of materials used
* Ld  position of the drain.
in this model (sand for the body of the dam and gravel ** h  the height level of water at the drains (experimental).
for the drain) such as the vertical and horizontal
permeability.

4.1 Vertical permeability

Phreatic line
It is given according to the Darcy’ law:
1/n
Hm hd 1/m
(1)
&
where Q  quantity of discharge; S  cross-sectional
area of flow; I  hydraulic gradient; kv  coefficient l1 l2
of vertical permeability. Ld
We obtain, kv  4.9(m/day)  5,67.10
5 (m/s).
Figure 2. Homogeneous embankment on impervious foun-
4.2 Horizontal permeability dation with a vertical drain.

This permeability is given according to the formula of

Dupuit:
(2)
where Q  quantity of discharge; H1  the head of
water upstream; H2  the head of water downstream;
L  the length of the sample; b  the width of the
sample; kh  coefficient of horizontal permeability.
We obtain kh  43.2 (m/j)  5.10
4(m/s).
For each test one imposed the head of water upstream
(H) and noted the height level of water at the drains
(h). That was carried out by maintaining the slope of
the upstream (1/n) constant. All the data are presented
in the table 1.
5 DETERMINATION THE POSITION
OF THE DRAINS
One can determine the best position of a vertical drain
in a homogeneous dam according to the maximum
head of water, the slope of the upstream and the criti-
cal hydraulic gradient of the material to be used in the
dam, for our case one has for sand fine Icr  0.38
(Volkov, 1986). Assuming that the curve of saturation
(phreatic line) has a linear shape (see figure 2), we
proposed the following relationship.

4.3 Comment (3)

We changed the slope of the upstream by keeping the
same average hydraulic gradient, One notes that the
water level in the drain increases with the increase in
the slope by what we have an increase in the cross-
section of water stream discharge.
where Hm  maximum head of water; hd  height of
the drain; Icr  critical gradient of material used;
n  slope of the upstream; Ld  position of the drain.

914
6 WATER LEVEL IN THE DRAINS gradient material to use in the dam under the follow-
ing condition:
We can determine the water level in the drains for a
given head of water by using the same procedure and
the same assumptions, i.e., the curve of saturation has
a linear form (see figure 3) and the critical hydraulic
Iadm – allowed infiltration gradient (Volkov, 1986).

(4)
Phreaticline
 (5)
H 1/m
1/n
h
&

l1 l2
(6)
Ld
where h  water level in the drain; H  water head;
Figure 3. Homogeneous embankment on impervious foun- Icr  critical gradient of material used; n  slope of
dation with a vertical drain. the upstream; Ld  position of the drain.

n=3,0 n=2,5
16
18
16 14

14 12
12 10
h (cm)
h (cm)

10
8
8
6
6 exp exp
4
4 formule formule
2 sep 2
sep
0 0
21 2 23 24 25 26 27 21 2 23 24 25 26 27
H(cm) H(cm)

n=2,0
12

10

8
h (cm)

4 exp
formule
2
sep

0
2 1 2 23 24 25 26 27
H(cm)

Figure 4. The dots represent the experimental results of the tests, the square represents the results obtained with equation (6),
and the triangle represents the numerical results.

915
6.1 Discussion
We observe a good agreement between the curves
obtained by the empirical formula, the experimental
data and the numerical results obtained with “SEEP”
(Duncan, 1970). However, if we have I  Icr i.e. for a
weak head of water the real gradient is lower than the
critical gradient and one can not use this relation.
The variation of the water level in the drain (h)
according to the head of water (H) given by the three
procedures of calculation are well adjusted except for
the case n  2.5 where there is a small shift between
the numerical results and the two others.
7 CONCLUSIONS
The models developed in this study make it possible to
design the most effective position of the drains in the
earth dams and the water level in the drains. Moreover,
these equations are simple to apply and can be used to
design and analyze any homogeneous dam with a ver-
tical drain. These very encouraging results enable us
to consider the prediction of the infiltrations through
the earth dams as well as the piping phenomena which
are often at the origin of many dramatic accidents. One
of the originalities of this work is to study the influence
916
of the slope on calculations of water level in the drains
in an earth dam.
REFERENCES
Bear, J. 1972. Dynamics of Fluids in Porous Media, New York:
Elsevier.
Casagrande, A. 1973. Seepage control in earth dams.
J. Wiley & Sone.
Djehiche, A. 1993. Comportement des barrages en terre
avec cheminée filtrante sous l’action de l’infiltration.
Thèse Magister, Algeria: USTO, pp 121 (in Arabic).
Djehiche, A. & Kotchev, K. 1996. L’infiltration à travers les
barrages en terre avec drain vertical. CMM 96. Algeria:
Ghardaïa, 23–26 Mars 1996.
Duncan, J. M. 1970. SEEP, A computer for seepage with a free
surface or confined steady flow. University of California.
California: Berkeley.
Dunglas, J. & Loudiere, D. 1973. Nouvelle conception des
drains dans les barrages en terre homogènes de petite et
moyenne dimensions. La Houille Blanche , 5(6): 461–465.
Harr, M. E. 1962. Groundwater and Seepage, McGraw-Hill
Book Company, NewYork.
Loudiere, D. 1972. Elément théorique sur le drainage dans
les barrages en terre homogènes. C.T.G.R.E.F., Nov.
Mallet, Ch. & Pacouant, J. 1951. Les barrages en terre.
Edition Eyrolles.
Volkov, V. 1986. Ouvrages hydrauliques. Guide de Thèse,
ENSH, Blida, Algeria: 120–128.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Dam-break flood sensitive analysis. Case study in the

“Confederación Hidrográfica del Ebro”

G. Cobos
Dep. Ingeniería del Terreno, Technical University of Valencia, Spain

M.A. Eguibar
Dep. Ingeniería Hidráulica y Medio Ambiente, Technical University of Valencia, Spain

L. Bañuls
Technical University of Valencia, Spain

ABSTRACT: Actual criteria about dam security in Spain, force to classify them by their potential risk due to a pos-
sible fall. This work is based on failure simulation of Vadiello dam in the “Confederación Hidrográfica del Ebro”.
FLDWAV model has been used in this analysis to simulate dam break and flood wave propagation through the down-
stream valley. Flood wave sensitive analysis to the most important parameters of the model has been carried out.
Flood properties sensitivity to time of failure, breach shape, and river roughness has been studied, under both dry and
flood scenarios. Some important conclusions have been obtained. For locations near the dam, short time of failure
can have a dramatic influence. However, sensitivity of flood peak properties diminish as the dam-break wave propa-
gates downstream. As the value of the roughness coefficient increases, computed peak flow depths increase too, due
to the lower velocities. Finally, a comparison with Wetmore and Fread simplified method has been realized. This
model fails in the region well downstream from the dam, so its use is not recommended for irregular river systems.

1 INTRODUCTION The most used is FLDWAV model, developed in the

1.1 Emergency planes in Spanish dams
Actual Civil Defense Guideline criteria about dam
security in Spain, force to classify them by their
potential risk due to a hypothetical dam break. This
Instruction establishes that floodplain definition, wave
propagation times, damaged areas and risk land analy-
sis, must be developed studying a hypothetical dam
break. “Dirección General del Agua” water authori-
ties have developed a detailed guideline named “Guía
Técnica para la Elaboración de los Planes de Emer-
gencia en Presas”.
This kind of studies requires lot of information to
simulate the flood wave, due to model properties and
uncertainty about flooded region. Analysis developed
in this study is based on the failure simulation for
Vadiello dam, a medium size one in the “Confed-
eración Hidrográfica del Ebro”.
1.2 FLDWAV model
One-dimensional unsteady flow simulation model is
required by water authorities in this kind of studies.
middle of 1980’s by the U.S. National Weather Service,
which solves the complete one-dimensional Saint-
Venant equations of unsteady flow. The flow may be
either subcritical or supercritical or a combination of
both and it can vary in space and time from one to the
other. The system of equations is solved by an itera-
tive and nonlinear implicit finite-difference method.
The NWS FLDWAV model is a combination of the
NWS DAMBRK and DWOPER models. The Dam-
Break model was developed to be used for real time
flood forecasting of dam break floods, natural floods,
dam breach flood analysis, and floodplain inundation
mapping. The Dynamic Wave Operational Model
(DWOPER) is a powerful tool to simulate water
movement in rivers of varying physical features, such
as irregular geometry, variable roughness parameters,
off-channel storages, bridge contractions and expan-
sions, lateral inflows and lock operations. FLDWAV
model combines the capabilities of DWOPER and
DAMBRK models, and provides features not con-
tained in either of these models. The FLDWAV model
is actually one of the most important tools to simulate
transient open channel and river flows.

917
1.3 Purpose
The main purpose of this work is to check how some
parameters used in the model may influence the results
of flood wave routing, as soon as to know the uncer-
tainty of results when limited information is available.

2 METHODS

2.1 Sensitive analysis

The parameters analyzed in this study are: time of
failure, shape of the breach which is equivalent to the
dam typology, and river roughness.
The study was applied to the hypothetical failure
of Vadiello Dam, the characteristics of which are:
Dam height 70.5 meters, crest dam length of 128.8
meters, spillway design flood 377 m3/s, maximum flow
discharge in fixed gates 37 m3/s, reservoir storage
15.27 Hm3.
In order to find the proper boundary condition,
simulation has been carried out downstream from the
dam. A simulation river branch of 152.43 meters,
across Guatizalema, Alcanadre and Cinca Rivers, up
to Ribarroja Reservoir, has been considered. Ribarroja
Reservoir, an A category dam, has been taken as
downstream boundary. Model uses 109 intermediate
cross sections, except for the interpolated ones.
The sensitive analysis includes different simula-
tions, all of them obtained starting from a real river
system and varying dam’s characteristics.
3 TIME FAILURE ANALYSIS
3.1 Case studies
Sensitive analysis of time of failure is based on the
simulation of Vadiello Dam failure, which corresponds
to 15 minutes (-0 hypothesis), as requires the Technical
Guideline for gravity dams. A set of different time-
break values has been considered too: 10, 20 and 50
minutes, corresponding to -1, -2 and -3 hypothe-
sis, respectively.
Dry and flood scenarios have been considered in
this study, in order to analyze the influence of differ-
ent conditions on results, as requires the Dam Tech-
nical Guideline.
3.2 Dry scenario
Dry scenario is assumed together with the four hypoth-
esises -0, -1, -2 and -3. As important conclusion
was observed that the lower is the time of failure, the
higher is the breach flood.
Peak flow evolution along the river branch is shown
in the Figure 1.
Figure 1. Flow evolution comparison along the river. Case
study -0, -1, -2 and -3.
Actually, for -1 hypothesis, which corresponds to
the lowest time of failure (10 minutes), the peak flow
from the dam is 26075 m3/s. Comparing -1 hypothe-
sis with -0, it can be noted that a difference of 5 min-
utes in time of failure produces an increase of 12.37
percent in peak flow value (which is 23204 m3/s for
-0 hypothesis). Furthermore, time of failure of -3
hypothesis (50 minutes) generates a peak flow of
9871 m3/s, which corresponds to a decrease of 57.46
percent, compared with -0 hypothesis.
These results clearly indicate that lowest time of
failure values have a bigger effect on the area closer to
the dam.
Again, the flood peak for -0, -1 and -2 hypoth-
esis is greatly attenuated as it advances downstream.
Difference in peak flood values for these hypothesises
at kilometre 13.8 is less than 2 percent. On the con-
trary, the peak flow for hypothesis -3 is similar
attenuated at kilometre 53.36.
Ribarroja reservoir inflow at kilometre 152.43 down-
stream Vadiello Dam is illustrated in the Figure 2.
Due to the long distance from the dam, the attenua-
tion of peak discharge is insignificant. There is no dif-
ference in the discharges and only exist a temporal
variation in peak flow of 24 minutes between time of
failure 15 minutes and time of failure 50 minutes.
These results indicate that the parameter time of fail-
ure only influence the flood properties in the nearby
of the dam.
Flood travel time for -1, -2 and -3 hypothesis
is shown in the picture below. Six intermediate cross
sections every 30 km along the downstream river are

918

Figure 2. Ribarroja reservoir inflow hydrograph in case
study -1, -2 and -3.
Figure 3. Hydrograph attenuation along time. Case study
-1, -2 and -3.
represented in the picture. Total time of routing is 40
hours. Again, it should be noted that the four com-
puted curves represented in the picture below are sig-
nificantly different up to travel time 2 hours. However,
only the curve representing hypothesis -3 maintains
an important difference.
Propagation effect along the downstream river, such
as outflow hydrograph and attenuation of flood wave
can be observed in the Figure 3.
Finally, peak flood elevations downstream are shown
in the Figure 4. The higher elevation value, 42 meters
at kilometre 1.24, corresponds to -1 hypothesis, due
to the greater peak discharge. From kilometre 30 there
is no significant difference in elevation values.
3.3 Flood scenario
Peak discharge profile along the 152.43 km of the
river branch has been studied. Inflow hydrograph in
919
Figure 4. Flood depth in case study -1, -2 and -3.
Figure 5. Ribarroja inflow hydrograph at boundary con-
dition downstream. Case study -1, -2 and -3.
Ribarroja reservoir is shown in the picture above.
Sensitivity of the computed downstream peak dis-
charges to variations in the selection of time of failure
is illustrated in the Figure 5. Again, the lower is the
time of failure, the higher is the breach flood.
Actually, for -1 hypothesis, which corresponds to
time of failure 10 minutes, the peak flow from the
dam breach is 27894 m3/s. Comparing hypothesis -1
with -0, it can be noted that a difference of 5 minutes
in time of failure produces an increase of 11.6 percent
in peak flow value (which is 24992 m3/s for -0
hypothesis).
Furthermore, time of failure of -3 hypothesis, 50
minutes, generates a peak flow of 11108 m3/s, which
corresponds to a decrease of 55.55 percent compared
with -0 hypothesis. Again, these result indicate that
a lowest time of failure have a greater effect on the Outflow from the breach depends on breach shape,
area closer to the dam. as it can be observed for &-1 hypothesis. In this case,
As under the dry scenario, the flood peak for -0, corresponding to an arch dam, a complete failure
-1 and -2, is greatly attenuated as it goes through occurs. As result, the breach section is bigger.
the downstream river. Difference in peak flood values Peak outflow for &-1 hypothesis is 37183 m3/s.
for these hypothesises at kilometre 14.71 is less than Comparing with -0 hypothesis peak flow (23204 m3/s),
2 percent. On the contrary, the peak flow for hypoth- it can be noted an increase of 60.24 percent. For
esis -3 is similar attenuated at kilometre 69,10. The hypothesis -1, the peak outflow is 16958 m3/s, which
more rapid attenuation of the peak discharge is due to represents a decrease of 26.92 percent respect to -0
a bigger volume of the outflow hydrograph. hypothesis. Due to the rapid and completely breach,
Ribarroja reservoir inflow at kilometre 152.43 is &-1 hypothesis produces the bigger outflow and there-
shown in the picture above. Due to the long distance fore represents the most unfavourable case.
from the dam, the attenuation of the peak discharge is Peak flow attenuation effect increases for &-1
insignificant. There is no difference in the discharges hypothesis. As a matter of fact, flood value diminish
and only exist a temporal variation of peak flow of 24
minutes between time of failure 15 minutes and time
of failure 50 minutes (as under dry scenario). Table 1. Dam types and breach geometries analyzed.
Comparing these results with the ones of dry sce-
nario, it should be noted that the outflow downstream Type Break time Break type Section
of the dam is greater due to the lateral flows. For this Gravity 0.25 Partial Rectangular
reason, peak occurrence time is significantly lower Arch 0.083 Total Trapezoid
under flood scenario. Earthen 0.32 Partial Trapezoid
As a matter of fact, for dry case study, peak flow
takes 21.5 hours after breach has formed to reach
Ribarroja Reservoir. In flood case study, this value
diminishes to 16.95 hours. However, temporal varia- Table 2. Breach geometry hypothesises.
tion in peak flow discharge is still the same.
Hypothesis Bank slope (z) Wide (Bw)
Summing up, dam-break under flood scenario pro-
duces a lower travel time of flood wave. However, -0 0 40.8
temporal variations of peak flows values do not vary &-1 0.47 34
in none of case studies. -1 1 0

4 BREACH SHAPE ANALYSIS

4.1 Case studies

The shape of the breach is determined by the type of
dam, as affirms the Dam Technical Guideline. This
means, it can be studied typology of dam instead of
breach shape. Three different types are analyzed:
gravity concrete dam, arch concrete dam and earthen
dam. All of them present the same dimension than the
original one (Vadiello gravity dam).
These hypothesises were obtained by varying time of
failure values and breach geometry. Breach geometry
is defined by side slope parameter (z) and terminal
bottom width parameter (Bw). Different values of “z”
and “Bw” used in the analysis are shown in the table 2.

4.2 Dry scenario

Peak flow evolution obtained for the three hypothe-
sises is illustrated in the Figure 6. The less is time of
failure, the great is the peak outflow from the breached
dam. This result is due to the implicit relationship Figure 6. Flow comparisons between -0, &-1 and -1
between dam typology and time of failure. cases studies.

920
from 37183 m3/s to 28192 m3/s in 1.5 km. Due to the
greater flood, the slope of the discharge-distance curve
gets higher, although from kilometre 16 the &-1 and
-0 flood values are practically the same. Results
obtained for -1 hypothesis indicate that outflow
value is sensitive to time of failure and breach shape,
which produces a slower flood attenuation effect.
The difference between N-1 and N-2 hypothesis is
26.5 percent, which corresponds to 9 meters. A bigger
resistance to flow causes a velocities decrease within the
channelbank and in the floodplain. This means greater
flow elevations. N-2 hypothesis corresponds to a lower
Manning Number and as a result produces lower flow
elevation and higher velocities.

5 FRICTIONAL RESISTANCE COEFFICIENT

ANALYSIS

5.1 Case studies

Manning coefficient “n” is used in the model to
describe the frictional resistance to flow. The big uncer-
tainty associated with the selection of the Manning
number is inevitable for natural river systems. Best
results are obtained when “n” is adjusted to reproduce
historical observations of stage and discharge.
In order to better appreciate peak discharge values,
Vadiello dam break is analyzed in this dry case study.
Three hypothesises are used in the analysis, as shown
in the table 3.
Figure 7. Discharge evolution comparison along the river
at N-1, N-2 and N-3 case study.
5.2 Dry scenario
Evolution of peak discharge values along the river
branch is illustrated in the Figure 7. Although the ini-
tial peak discharge values are the same, curves do not
converge, as in previous cases.
As the Manning number within the channelbank
and in the floodplain decreases, the magnitude of peak
flow increases substantially.
Cinca River inflow is shown in the Figure 8, in
kilometre 123. Both peak flood value and peak occur-
rence time result very sensitive to the Manning num-
ber coefficient.
Obtained results are illustrated in the table 4.
There are important differences in peak occur-
rence time values, i.e. 4.25 hours between N-1 and
N-2 hypothesis.
As the Manning number decreases, the peak occur-
rence time diminish too.
Moreover, it is observed that the greater is the
Manning coefficient, the higher is peak flow eleva- Figure 8. Hydrograph comparisons at Cinca river with
tion value. N-1, N-2 and N-3 case study, in kilometre 123 downstream
dam break.
Table 3. Frictional resistance hypothesises.

Roughness coefficient Table 4. Flow results in N-1, N-2 and N-3 hypothesis.
Hypothesis Break time Flood plain River Hypothesis Flow (m3/s) Max. wave time (h)

N1 0.25 0.080 0.035 N-1 951 21.1

N2 0.25 0.060 0.030 N-2 1136 16.85
N3 0.25 0.090 0.045 N-3 829 24.75

921
 Table 5. Results comparison between FLDWAV model and simplified Wetmore & Fread model.
Simplified model
Km Q(m3/s) y(m) Tmax(h)
3.2 31143 22.70 0.309
14.1 26352 26.55 0.320
6 SIMPLIFIED DAM-BREAK MODELS
6.1 Wetmore and Fread simplified model
The most important simplified dam-break model was
developed by Wetmore and Fread (1981). In produc-
ing the dam-break flood forecast, the model computes
the maximum outflow at the dam, identified by the
following formula:
Where: “As” means reservoir area (m2); “br” means
breach width (m); “H” is the water surface dam height,
and “T” means the time when breach is opened (h).
According to the model, relationship between out-
flows Qx at a distance to the dam is represented as:
Where the parameters of the formula are obtained
solving internal model equations.
6.2 Vadiello case study
In order to analyze the difference between simplified
break model and FLDWAV model results, the Vadiello
Dam case study is presented. Comparison of two
methodologies will indicate suitability of the simplified
model as soon as the error produced. The results
obtained for Vadiello Dam are presented in the table 5.
6.3 Comparisons and conclusions
More highly sophisticated unsteady flow routing mod-
els, such as the FLDWAV model, always are more suit-
able to forecast peak outflows and maximum elevation.
However, the capacity for providing results quickly
and efficiently, makes the simplified model a useful
forecasting tool in a dam failure emergency.
922
FLDWAV model
Q(m3/s) y(m) Tmax(h)
22059 26.55 0.29
11082 15.74 0.78
Comparing the results of the two models, it should
be noted that the difference between peak flow values
is of 140 percent, which means that simplified model
produces higher peak flow values. This difference
increases as the flood wave advances through the down-
stream channel. As authors already observed, the model
error increases when the river channel gets wider.
However, differences in peak flow values are acceptable
and conservative near vicinity of the breached dam.
On the other hand, simplified model produces lower
flood elevations. At kilometre 3.2 a difference of 3.5
meters is noted. At kilometre 14.41 difference in flood
elevation gets greater.
Regarding to the peak occurrence time, a difference
of 1 minute is produced at kilometre 3.2 and of 27 min-
utes at kilometre 14.41.
In closing, a uniform geometrical representation of
downstream channel is required to accurately predict
flood wave with simplified model.
7 CONCLUSIONS
Sensitivity analysis has demonstrated that selection of
parameters such as time of failure, shape of the breach
and river roughness introduces a varying degree of
uncertainty in the results. The most accurate results
are produces when the most realistic data are entered.
Peak outflow results very sensitive to failure time
parameter. As mentioned previously, a lower flood is
produced by selecting a higher time of failure. Sensi-
tivity of flood peak properties reduces as the dam-break
flood propagates through the downstream river/valley,
due to the greater attenuation of bigger flood wave.
Dry scenario hypothesis produces a slower moving
flood wave. This means that under a flood scenario a
less amount of warning time is available.
Regarding to the dam typology, greater damages
are caused by mass concrete dam failures. Peak out-
flows produced by a arch concrete dam break could
be twice the ones produced by an earthen dam failure.
Gravity dam failure generates intermediates peak out-
flow values. However, sensitivity of flood peak prop-
erties diminish as the dam-break wave propagates
downstream, due to the greater attenuation of outflow
produced by an arch concrete or gravity concrete dam
break. Travel times of flood wave are smaller for
earthen dam.
In conclusion, for locations near the dam, breach for-
mation parameters can have a dramatic influence.
For locations well downstream from the dam, conse-
quence depends significantly by dam characteristics,
and especially by water surface elevation.
The nature of the river system will determine the
separation between these two areas. That is, it should
be possible to simulate the closer river reach with an
unsteady flow routing model and the other river reach
with a simplified model.
Simulation results very sensitive to the Manning
coefficient. As the value of “n” is increased, computed
peak flow depths increase too, due to the fact that a
higher Manning Number value means more resistance
to flow. Consequently, this increases the travel time of
the flood wave and generates uncertainty about warn-
ing time.
Finally, Wetmore and Fread simplified model pro-
duces acceptable results only in the near vicinity of
the dam and fails when great variations in the river
channel cross-area occur, such as sudden enlargements.
923
REFERENCES
Abbot, M. B. 1979. Computational Hydraulics: Elements of
the theory of free surface flows. Pitman, London.
Binnie and Partners. 1989. Estimation of potential flood
damage following Dam failure. Redhill, U.K.
Chaudry, M. H. 1987. Applied Hydraulic Transients. Van
Nostrand Reinhold, New York.
Chaudry, M. H. 1993. Oppen Channel flow. Prentice Hall,
Englewood Cliffs, New Jersey.
Chow, V. T. 1959. Oppen Channel Hydraulics. McGraw-Hill,
New York.
Kundu, P. K. 1990. Fluid Mechanics. Academic Press,
Elsevier Science. San Diego, California.
Dirección General de Obras Hidráulicas y Calidad de
Aguas. 2001. Guía técnica para la elaboración de planes
de emergencia de presas. Ministerio de Medio Ambiente.
Madrid.
Fread, D. & Lewis, J. 2000. FLDWAV User’s Manual. U.S.
National Weather Service.
Mahmood, K. & Yevjevich, V. 1975. Unsteady Flow in Open
Channels. Water Resources Publications, Fort Collins,
Colorado.
Pejovic, S. & Boldy A. P. 1987. Guidelines to hydraulic tran-
sient analysis. Gower Publishing Group. Vermont.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Analysis of earthquake responses for Jiudianxia concrete face rockfill dam

Zhen-zhong Shen
College of Water Conservancy and Hydropower Engineering, Hohai University, Nanjing, China

Xu-yu Wen & Sheng-xi LV

Gansu Hydroelectric Investigation Design and Research Institute, Lanzhou, China

ABSTRACT: The Jiudianxia concrete face rockfill dam is the highest one in Gansu province China with the
height of 136.5 m, which is located at a very complicated valley. It has overburden layer with the depth of about 36 m
and a big landform on the right bank. A computation model is set up for analyzing its dynamic behavior under the
action of design earthquake and permanent deformation of dam body caused by earthquake by using three dimen-
sional non-linear dynamic finite element method. The result shows that the earthquake induced permanent defor-
mation settlement of the dam is about 331 mm under the design earthquake with peak acceleration of 257 gal, which
is about 0.19% of the maximum height of dam (including the thickness of overburden layer). The calculation analy-
sis demonstrated that the design of the dam is rational and safety, and the design scheme is feasible. The result can
be used as the theoretical bases for design, construction, running and maintaining of the dam.

1 INTRODUCTION maximum height 136.5 m. The installed plant capacity

There are three ways of calculating earthquake induced
permanent deformation (Chi et al, 1998). The first is
sliding block displacement method based on rigid
body slide surface hypothesis and yielding accelera-
tion concept by Newmark (Newmark, 1965). The sec-
ond is global deformation method based on strain
potential concept by Serff and Seed (Serff et al, 1976).
The third is direct non-linear analysis method by using
the elasto-plastical model to obtain the plastic deforma-
tion. Because of the difficulty of obtaining the param-
eters of elasto-plastical model, the third one is not used
usually. Here the global deformation method is used
to set up a three dimensional finite element dynamic
analysis model for Jiudianxia concrete face rockfill
dam to evaluate its dynamic characteristics based on the
usually used the relationship of dynamic stress and
residual strain (Zhao et al, 2003, Taniguchi et al, 1983,
Guo et al, 2001).
Jiudianxia water project is located on the Taohe
River, which is a branch of Yellow River in Gansu
Province China. Its main functions including supplying
water, agricultural irrigation, generating electricity,
flood control etc. The normal water level of the reservoir
is 2202.00 m, and the check flood level is 2205.11 m,
the total reservoir capacity is 9.43  108 m. The water-
retaining dam is concrete face rockfill dam, with the
is 300 MW. The river way of upper dam site is straight,
with the width of valley bottom about 40
50 m, and
the down dam site is sinuous. The valley of dam site is
very narrow, whose left bank is an excavated steep slope
with the rate of slope 1:0.25, and there is a big mesa on
the right bank. The overburden layer of the riverbed is
very thick, with the maximum thickness about 54 m.
The plane toe slab is set up on the excavated overburden
layer. Therefore, the very complicated landform of the
dam site is a great disadvantage to the deformation of
dam body, the deformation of peripheral joint, and the
stress of concrete face slab etc.
2 EQUIVALENT NODAL FORCE
According to the cycled tri-axial test and by static and
earthquake dynamic analysis, the calculated residual
strain of each element of the dam body during earth-
quake should be transformed into the strain compo-
nent in orthogonal reference frame. The conversion
rule is that the principal axis direction of the residual
strain is consistent with the one of static stress, which
means the permanent deformation expands along the
surface of maximum shear stress. Thus the conver-
sion of the residual strain into the strain component in

925
Table 1. Parameters of Duncan-Chang model of rockfill.

 0 o

Material kN/m3 o K n Rf Kb m  Kur

Cushion layer 22.34 58.1 1750 0.43 0.768 1200 0.41 14.5 2250.0
Transition layer 22.05 54.1 1500 0.55 0.907 1250 0.0 10.5 2150.0
Main rockfill 21.56 50.9 1400 0.53 0.919 1000 0.0 8.5 2050.0
Secondary rockfill 21.31 50.6 1200 0.51 0.839 900 0.0 7.5 1750.0
Over-burden layer 20.48 46.4 700 0.31 0.798 510 0.28 5.8 1500.0

Cartesian coordinate system can be expressed as Table 2. The dynamic characteristic of main rockfill.
following:
3  200 kPa 3  200 kPa

 G/Gmax   G/Gmax 

0.0000061 100 1.64 0.00000465 100 1.38

0.0000088 99.31 1.87 0.00000607 99.88 1.51
0.0000127 96.97 1.9 0.0000138 97.94 2.01
(1)
0.0000209 88.33 2.26 0.0000186 97.52 2.19
0.0000563 74.87 2.51 0.00005 86.12 2.95
0.000104 66.68 3.92 0.0001 75.28 3.09
0.000257 53.65 4.93 0.0002 66.69 3.69
0.000558 42.16 6.16 0.0005 52.41 4.45
where pv is residual volumetric strain, p residual 0.0008391 34.48 7.96 0.0011 38.18 5.75
shear strain, oct octahedron shear stress, and p aver- 0.00185 22.42 8.69 0.0014 32.69 6.42
age principal stress. Then the equivalent static nodal
force can be obtained.
20
(2) 10
gal

0
0 1 0 2 0 3 0 4 0
where [B] is geometric matrix and [D] elastic matrix.
Ay/

-10
Let the equivalent static nodal force act on the dam
body, the earthquake induced permanent deformation -20
Time/s
is obtained. (a) Up-down stream direction
20
3 RESIDUAL STRAIN MODE
10

3.1 Residual shear strain

gal

0
0 1 0 2 0 3 0 4 0
Ay/

According to the test, the relationship of the rockfill -10

between residual shear strain p and residual axial -20
strain pa can be written as following Time/s
(b) Dam-axis direction

(3) 20

10
where  is dynamic Poisson’s ratio. According to the
gal

0
test result, the relation between residual axial strain 0 1 0 2 0 3 0 4 0
Az/

-10
and dynamic shear strain ratio can be expressed as by
power function -20
Time/s
(c) Vertical direction
(4)
Figure 1. Input earthquake acceleration curve.

926
where Ka, na are test coefficient and exponent which 5.1 Earthquake record curve
are determined by effective consolidation stress 3 ,
The input earthquake record curve is shown as in Fig. 1,
consolidation ratio Kc and vibration frequency N. The
which the peak acceleration is magnified to design
residual axial strain is expressed by percent (%), dyna-
value, along the horizontal direction 257 gal and the
mic shear stress
 and effective consolidation stress
vertical direction 171 gal. The step of calculation is
3 use the same dimension.
0.02 s.

3.2 Residual volumetric strain

5.2 Calculation result
According to the result of the large-scale dynamic triax-
ial test, the relationship between residual volumetric Assume that the dam is suffered to the design earth-
strain pv and dynamic shear strain
 can be expr- quake under design condition, id. the reservoir water
essed as level is 2202.00 m. Some main calculation results are
described as follows.

(5) 5.2.1 Acceleration response

The dam body’s acceleration response in up-down
stream and dam axis direction are comparatively inten-
where pv is residual volumetric strain with unit percent sive. The maximum absolute acceleration of rockfill in
(%),
 dynamic shear strain, and Kv, nv are test coeffi- up-down stream direction is about 9.76 m/s2, magnifi-
cient and exponent which are determined by effective cation coefficient 3.87, and the one of facing slab is
consolidation stress 3 , consolidation ratio Kc and about 9.82 m/s2, magnification coefficient 3.90. The
vibration frequency N. The dynamic shear stress
 maximum absolute acceleration of rockfill in trans-
and effective consolidation stress 3 use the same
dimension.
4 CALCULATION PARAMETER
First of all, the static stress of dam body must be cal-
culated before dynamic analysis. Here the Duncan-
Chang (E–B) model is used for rockfill of dam body,
whose parameters are shown as in Table 1.
The equivalent non-linear viscoelastic model is used,
in which the rockfill and overburden layer are assumed
to be viscoelastic body. The two parameters of the
equivalent shear modulus G and equivalent damping
ratio  are taken to describe the relationship between
soil’s dynamic stress and strain, and are expressed as the
relationship between the shear modulus and damping
ratio and the dynamic shear strain scope. The key of the
model is to confirm the relation between the maximum
dynamic shear modulus Gmax and average effective
stress 0 , and between the dynamic shear modulus G
and dynamic damping ratio  which can usually be
obtained by experiment. As an example, the test result
of the main rockfill is shown as in Table 2.
5 ANALYSIS OF CALCULATION RESULT
The calculation coordinate system sets that the X-axis
represents up-down stream direction, directing to down-
stream, dam axis as its zero point, and the Y-axis repre-
sents dam axis direction, directing to left bank, and the
Z-axis represents vertical direction, directing upward,
coincident with the elevation.
927
versal stream direction is about 8.67 m/s2, magnifica-
tion coefficient 3.44, and the one of facing slab is about
6.73 m/s2, magnification coefficient 2.67. The maxi-
mum absolute acceleration of rockfill in vertical direc-
tion is about 9.48 m/s2, magnification coefficient 3.76,
and the one of facing slab is about 7.84 m/s2, magni-
fication coefficient 3.11. Those maximum values
occur near the dam crest corresponding to the maxi-
mum height of dam. As the river valley is narrow and
twisted, the acceleration response is the smallest in
dam axis direction and the maximum in up-down
stream direction.
The maximum absolute acceleration response dis-
tribution on section of dam crest is shown as in Fig. 2.
5.2.2 Displacement response
The maximum displacements response of dam body are
99.2 mm in up-down stream direction, 64.2 mm in dam
axis direction, and 104.3 mm in vertical direction near
the dam crest corresponding to the maximum height of
dam. As the river valley is narrow and twisted the dis-
placement of the dam body is small.
5.2.3 Stress response
The stress response of rockfill is comparatively small.
The maximum first principal stress response is
759.4 kPa, the maximum second one is 655.0 kPa, and
the maximum third one is 599.6 kPa.
The stress response of facing slab is most strong in
up-down slope direction, less in dam-axis direction and
least in vertical facing direction. The maximum dyn-
amic stress response in up-down slope direction occurs
in the middle-upper part of the facing, with the maxi-
mum dynamic compression stress 2466.5 kPa and the
 2 20
20

2180 2 150

2160
2 10

2140

2 05
210

210
-20 -150 -10 -50 0 5 0 10 150

208 (a) Up-down stream direction

206
2 20

204

2 150
0 2 0 4 0 6 0 8 0 10 120 140 160 180 20 20

2 10
(a) Up-down stream direction

2 05

20
-20 -150 -10 -50 0 5 0 10 150

2180
(b) Dam-axis direction
2160

2140 20

210
2150

210

0 12
208

206 05 2

204
0 2- - 051 0 1- 05- 0 05 01 1 05
0 2 0 4 0 6 0 8 0 10 120 140 160 180 20 20
(c) Vertical direction
(b) Dam-axis direction
Figure 3. Earthquake induced permanent deformation on
section 0  118.50 (mm).
2 20

2 180
2 20

2 160

2 150
2 140

2 120 2 10

2 10
2 05

2 08
-20 -150 -10 -50 0 5 0 10 150

2 06

Figure 4. Maximum shear stress on section 0  118.50 (kPa).

2 04

0 2 0 4 0 6 0 8 0 10 120 140 160 180 20 20

(c) Vertical direction maximum dynamic tensile stress
2289.2 kPa. In dam
axis direction the maximum dynamic compression
Figure 2. Maximum absolute acceleration response distri- stress is 849.7 kPa and the maximum dynamic tensile
bution on section of dam crest (m/s2). stress
762.8 kPa. In perpendicular to facing direction

928
the maximum dynamic compression stress is 72.8 kPa
and the maximum dynamic tensile stress
84.1 kPa.
5.2.4 Peripheral joint and facing joint response
The maximum displacement response of peripheral
joint caused by earthquake is as following. The shear
displacement in joint direction is 13 mm, and the shear
displacement in vertical joint direction 15.6 mm, and
the tensile of joint 21 mm.
The maximum displacement response of facing joint
caused by earthquake is as following. The shear dis-
placement in joint direction is 17 mm, and the shear
displacement in vertical joint direction 0.02 mm, and
the tensile of joint 13 mm.
Obviously the responses of peripheral joint and fac-
ing joint are comparatively small and it will not cause
damage to the water seal in joint.
5.2.5 Earthquake-induced permanent deformation
The Fig. 3 shows the permanent deformation distribu-
tion of the dam body on maximum section 0  118.50,
including the up-down stream direction, dam axis direc-
tion and vertical direction. It is shown the maximum
horizontal displacement of dam body after earth-
quake is 280.3 mm in up-down stream direction and
29.9 mm in dam axis direction, and the maximum set-
tlement is 331.1 mm. The maximum dam height is
about 172.5 m with the thickness of overburden layer,
so the ratio of settlement of dam is about 0.19%.
The Fig. 4 shows the maximum shear stress distribu-
tion of rockfill on maximum section 0  118.50. The
maximum shear stress response during earthquake is
360.2 kPa.
6 CONCLUSION
(1) By use of the whole deformation calculation
method and the normally used relationship
929
between dynamic stress and residual strain, a cal-
culation analysis model is set up to evaluate the
earthquake induced permanent deformation for
Jiudianxia concrete face rockfill dam. Some laws
and conclusions of dynamic response behavior of
the dam are obtained, and it can be referenced to
design and construction.
(2) Under the design earthquake, the maximum perma-
nent settlement of Jiudianxia dam is about
331.1 mm, which is about 0.19% of the dam height.
(3) The displacement responses of peripheral joint and
facing joint are small, and it will not cause damage
to the water seal in joint. According to the 3-D
dynamic FEM analysis, the design of Jiudianxia
concrete face rockfill dam is feasible in technique.
REFERENCES
Chi Shichun & Lin Gao & Kong Xianjing. 1998. Influence
of residual volumetric strain of rockfill material on cal-
culated permanent deformation of concrete faced rockfill
dams. Journal of hydroelectric engineering 60(1): 59–67.
Guo Xing-wen & Wang De-xin & Yan Li-qun & Xie Neng-
gang & Yu Yu-mang. 2001. Analysis of earthquake induced
permanent deformation for high concrete face rockfill
dams. Journal of Hohai University. 29(6): 56–60.
Newmark N M. 1965. Effects of earthquakes on dams and
embankments. Fifth rankine lecture, Geotechnique.
15(2): 139–160.
Serff N & Seed H B & Makdisi F I & Chang C K. 1976.
Earthquake induced deformations of earth dams. Report No.
EERC/76–4, Earthquake engineering research center,
University of California. Berkely.
Taniguchi E & Whiteman R V & Warr W A. 1983. Prediction
of earthquake-induced deformation of earth dams. Soils
and foundations. 23(4).
Zhao Jian-ming & Wang Wen-shao & Chang Ya-ping & Chen
Ning. 2003. 3-D authentic nonlinear method for dynamic
analysis of high CFRD. Journal of hydraulic engineering.
(09): 12–18.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

3D non-linear dynamic response of rock-fill dam

V.J. Mircevska, V. Bickovski & M. Garevski

Institute of Earthquake Engineering and Engineering Seismology, univ. “Ss. Cyril and Methodius” Skopje, F.Y.R.
Macedonia

ABSTRACT: The risk of possible damage of large dams should be defined and reduced to minimum. It is
therefore necessary to have adequate theoretical and experimental knowledge on the phenomena affecting their
stability. Dams constructed of local materials are characterized by complex behaviour in both static and
dynamic conditions. Treated in this paper is the problem of non-linear behaviour of the built-in materials
according Mohr-Coulomb yielding criterion. Three-dimensional mathematical model is used, for purpose that
the theoretical achievements be brought closer to engineering practice. Single lift analysis has been performed
and the pore pressures and effective stresses have been defined in conditions of established stationary regime of
filtration. Contact elements are placed between the dam and the rock mass to model support conditions.
Dynamic response is based on the direct “step by step” linear integration method. For the purpose of providing
unconditional numerical stability, the Wilson-' method with the value of constant '  1.4 has been used.

1 AUTOMATIC GENERATION OF 3D system “XG-YG-ZG” are defined by transformation of

MATHEMATICAL MODEL coordinates of the plain model on the local coordinate
system “xl-yl-zl” into the local coordinate system “XL-
Automatic generation of 3D mathematical models YL-ZL” where at YCL  0, XCL  0 and ZCL  0 if the
required the database on topology of the terrain, pos- absolute Z coordinates are used in definition of the
ition of the axis of the dam crest at the base, fig. 1, and plain model
the shape of the characteristic central cross-section of
the dam, fig. 2. The database on topology of the terrain
has been created in a global coordinate system, digit-
alizing the izolines, so each izoline is presented with (1)
a series of equations of second order curves passing
through three neighboring points on it. The main central
cross section fig. 2, should be defined in its local coord-
and transformation of the coordinates from the local
inate system. The coordinates of any point that belongs
system “XL-YL-ZL” into the global system “XG-YG-
to the plain model in respect to the global coordinate
ZG”, where at coordinate XL  0.

(2)

Figure 1. Position of the dam at the base. Figure 2. Central cross-section of the dam.

931

Figure 3. Cumulative presentation of the selected levels.
Figure 4. 3D mathematical model of substructures.
At each altitude, the coordinates of characteristic
intersection points with the boundary lines of plain
model are defined, fig. 2. Drawn through these points
are straight lines parallel to the dam crest axis. So
obtained in this way are the cross sections of the dam
body with the terrain at each altitude. For definition
of the 3D model adopted for the analysis we should
select only the characteristic cross sections, otherwise
we will have a considerably dense substructure and
F.E. mesh, that will result in an increased value of
matrix band. Fig. 3, provides a cumulative presenta-
tion of only selected horizontal cross sections that are
used for definition of the 3D mathematical model
presented in fig. 4. The program further performs
U0,
U&0 U&&0 – incremental values of vectors of
automatic generation of F.E. mesh with required dens-
ity. It also, automatically links the substructures. That
results in a certain initial value of the matrix band.
Elaborated is a subroutine for reducing the band by
20%. The adopted 3D mathematical model has a total
number of substructures of 212, external substruc-
tures’ nodes of 6250, internal substructures’ nodes of
2122 and matrix band of 2200.
2 DYNAMIC RESPONSE OF THE DAM
Used for the performance of the dynamic analysis for
determination of the dynamic response of the dam,
were the methods of modal analysis as well as direct
“step by step” linear integration (linear analysis) and
932
direct “step by step” linear integration (non-linear
analysis) with incorporated law on non-linear behav-
iour of soil media. Comparing the results obtained by
modal analysis and linear “step by step” direct inte-
gration, both methods have been verified, first of all,
because the computer program for “step by step” linear
direct integration (linear analysis) serves as a basis for
preparation of the computer program for non-linear
analysis. Within the frames of each finite element, the
iterative procedure “Load Transfer Method” is applied,
where at elimination of the vector of excessive stresses,
i.e., corresponding residual forces defined in accord-
ance with the Mohr-Coulomb’s failure criterion is
done iteratively. The first step in this method is solv-
ing the equation of dynamic equilibrium within the
frames of each “i”-th time step and each iteration:
(3)
Applying the substructure concept, the differential
equation of motion refers only to the external points
of the mathematical model. Defined in that way are
the incremental vectors of displacement, velocity and
acceleration at the external points of the system. The
dynamic response at the end of each time step is
defined by summing up the dynamic response from
the beginning of the time step and the effect from the
iterations performed in it.
(4)
where:
iter – number of iterations within the frames of each
time step;
· ·
U0, U&0, U&&0 – initial vectors of displacement, veloc-
ity and acceleration;
· ·
displacements, velocity and acceleration.
Using the incremental displacement vector, defined
within each iteration is the vector of incremental strains
and the corresponding vector of incremental stresses
for each finite element. Herewith, the vector of incre-
mental displacements of each finite element is defined
by superposing of part of the vectors of incremental
displacements for the external and the internal points
of the finite element. The incremental vector of dis-
placements of the inner nodes obtained using the
Guyan’s transformation. For each finite element, the
total vector of strains and stresses at the end of each
iteration is defined as follows:
(5)
where :
iter – number of iterations within the frames of each
time step;
0, 0 – initial vectors of strains and stresses;
0,
0 – incremental vectors of strains and stresses. between the passive forces sustaining the motion and
At the end of each iteration, the stress state is
reviewed for each finite element. Selected are only
those finite elements for which the stress state is in
the plasticity zone. Defined for these finite elements
are the excessive stresses as a difference between the
manifested and the ultimate stresses. Determined for
such defined excessive stresses are the corresponding
residual forces as follows:
(6)
Solving again the incremental differential equation of
dynamic equilibrium only by consideration of the
effect of the defined residual forces from the previous
iteration, the new vectors of incremental displacements,
strains and stresses are obtained in the next iteration.
Since the residual forces are applied on a system with
unchanged stiffness matrix, the excessive stresses exist
at each iteration but their intensities are decreased with
the increase in the number of iterations, i.e., the iterative
process converges. Successive iterations are done until
the excessive stresses and the corresponding residual
forces are higher than the tolerance of the iterative pro-
cedure. The damping matrix, in explicit form, accord-
ing to the Rayleigh’s damping concept, is defined as
follows:
t  0.02 sec.
(7)
(8)
For the purpose of defining coefficients
and  as
competent coefficients for the energy dissipation, the
first two mode shapes of natural vibrations with fre-
quencies of 1  4.48 rad/sec and 2  6.28 rad/sec
and modal dampings of
1  10% and
2  15 % of the nonlinear analysis gives another picture of the
have been adopted.
In the case when non-linear analysis is applied,
according to the Mohr-Coulomb’s criterion, the mani-
fested maximum shear strength of the finite elements
that are in the plasticity zone is reduced down to the
level of the ultimate shear stress, so that the mobilized
strength acquires a unit value. It can be concluded that
the mobilized strength in the case of non-linear analysis
shall have a value equal to unity.
933
The stability of the finite elements that have exerted
a plastic behaviour should be judged on the basis of the
manifested plastic deformations in the domain of such
finite elements. The defined safety coefficient against
sliding, gives an information about the relationship
the active forces that tend to cause motion of certain
potential shear planes in a certain zone of the dam. The
safety coefficient against sliding represents an average
evaluation of the stability of a certain potential shear
surface and is defined as follows:
(9)
The following figures in the text, are obtained from
the dynamic analysis of the dam using prepared com-
puter program package that is written for WINDOWS
operative system by use of FORTRAN 90, DIGITAL
VISUAL FORTRAN compiler and library for graphic
support PLOT88 for WINDOWS.
3 RESULTS AND DISCUSSION
Dynamic analysis has been performed for the effect of
harmonic excitation with frequency of ( o  5.2 rad/sec,
peak acceleration A0  0.3 g and time duration of
T  20 sec. The harmonic excitation has been applied
only in the direction of the global X-axis of the system.
The time step of direct integration is
Such a selected harmonic excitation whose fre-
quency is close to the first fundamental mode of free
vibrations of the system has a dominant dynamic factor
of participation in the system response. For the same
reasons, the dynamic factor of participation of the
remaining frequencies shall be lower, which is con-
firmed by the fact that the responses obtained by the
modal analysis, in which only the first mode of the sys-
tem is included, and the response obtained by direct
integration method (linear analysis), point towards good
correlation, particularly referring the response in the
global X-axis.
In contrast, the dynamic response obtained by means
stress-strain state of the dam body.
The dynamic response is presented through individ-
ual finite elements at selected cross-sections Y  266 m
immediately next to the right support and Y  150 m
representing the central part of the dam.
Fig. 6 and fig 7 present the time histories of the
developed response of relative displacements as well as
histories of developed plastic deformations in the three
global directions and the time histories of relative
Figure 5. First two mode shapes.

velocities and absolute accelerations developed only

in the global X direction that is direction of applied
dynamic force. The time histories of relative displace-
ments point out that the system is out of a transient
state of vibration and enters into a steady state after
the first two to three periods of the system’s response.
Such a fast transition from a “transient” into a
“steady state” vibration state results from the small
difference between the frequencies of the exciting
force and the frequency of the first fundamental mode
of free vibrations of the system. At the cross-section
Y  150 m representing the central part of the dam
characterized by a greater flexibility, the transition
from a “transient” into a “steady state” vibration state
is faster compared to cross-sections Y  266 m which
is situated in the vicinity of the support.
The difference in the relative displacements between
the linear and nonlinear analysis (direct integration) for
cross-section Y  266 m, immediately next to the right
support, in a finite element of the contact between the
stone prism and the filtering layer, on the upstream side
of the dam, is 35%–40%. The maximum moment plas-
tic deformations are Up, x  0.0205 m in X direction,
Up, y 
0.034 m in Y direction, and Up, z  0.028 m
in Z direction.
The element tends to undergo plastic deformation in
X direction, i.e., in the direction of excitation action,
with a tendency for vertical displacement (settlement).
Comparing the displacement response obtained by
modal analysis and direct integration (linear analysis),
deviation in all three directions, particularly the global
Y and Z directions is evident at this cross-section. The
reason is that the participation of the only first mode
shape in the modal analysis is not sufficient for this sec- Figure 6. Time histories for selected F.E. as indicated.
tion. The difference between the relative displacements
obtained by linear and nonlinear analysis (direct inte- The element has the tendency to be plastically
gration) for cross-section Y  150 m, the central part of deformed in the direction of excitation action, with a
the dam, in a finite element close to the crest, amounts tendency of vertical displacement (settlement). Com-
to 20% in X direction and 43–56% in Z and Y direction, paring the displacement response obtained by modal
respectively. The maximal moment plastic deform- analysis and direct integration (linear analysis) at this
ations amount to Up, x 
0.28 m in X direction, Up, cross-section, it can be noticed that there is a very good
y  0.098 m in Y direction and Up, z 
0.12 m in Z agreement of the displacement in the global X direc-
direction. tion. The central part of the dam as the most flexible

934

Figure 7. Time histories for selected F.E. as indicated.
part of the structure has the most intensive dynamic
response, whereat the first fundamental mode of free
vibrations of the system has a dominant effect upon
the response in the global X direction. According to the
nonlinear analysis, the dynamic amplification factor
of the dynamic effect at the cross-section Y  266 m
for the chosen finite element is DAF  1.08. while for
the finite element at the dam crest it is DAF  1.36 (it
is not presented). According to the nonlinear analysis,
the dynamic amplification factor of the dynamic effect
at the cross-section Y  150 m at the dam crest is
935
Figure 8. Time histories of principal stresses.
DAF  4, while at 2/3 of the core height, it is
DAF  2.4, (it is not presented). The dynamic amplifi-
cation factor of the dynamic effect obtained through
nonlinear analysis is smaller than that obtained by the
linear analysis.
The residual plastic deformations in the dam body
are obtained by superposing the vector of residual
displacements in the course of the iterative processes
within the frames of all the time steps, i.e., the plastic
deformation at each node of the model is obtained by
integration of the curve of the time history of plastic
deformations for that node. Fig. 10 shows the residual
plastic deformations only for the clayey core.
It can be concluded that after the effect of the har-
monic excitation, the clay core shall be buckled along
the dam crest, with maximum plastic deformation in
X direction Upx, max 
0.44 m and maximum plastic
deformation in Z direction Upz, max 
0.29 m. The
residual plastic deformation in Y direction, in the upper
third of the core shows the tendency of being com-
pressed toward the central part Upy, max 
0.16 m.
Figs. 11 and 12 show the plastic deformations at indi-
vidual cross-sections of the dam. With its upper part,
the longitudinal section xl  0 m passes through the
clayey core. The residual plastic deformation of these
cross-sections confirms the statement of flexibility of
the upper third of the core.

Figure 9. Time histories of component stresses.
Based on the residual plastic deformations, it can
be concluded that there is compaction in Z direction,
i.e., settlement of the dam as a result of its nonlinear
dynamic response. Fig. 8 and fig. 9 show the time his-
tories of the principal and component stresses for a
selected finite element. Comparison has been made
between the stresses obtained from the linear analysis
by using the direct integration method and those
obtained in the nonlinear analysis. Due to the linear
analysis, the principal stress
1 is a tensile stress, which finite elements and at different cross-sections of the
according to the Mohr-Coulomb’s failure criterion,
936
Figure 10. Plastic deformation of the clay core.
Figure 11. Plastic deformation – longitudinal section.
Figure 12. Plastic deformation of the central section.
cannot be sustained by the clay. The stress state, accord-
ing to the nonlinear analysis, is transferred into the zone
of pure compression. It is evident that there is a reduc-
tion of component shear stresses down to the level of
the allowable ones, which are in function of the mani-
fested spherical tensor of stresses and the stress path.
The time histories of principal and component
stresses that refer to finite elements located at the
base show that the bottom of the dam is under com-
pression, with high intensities of spherical compres-
sive stresses and weakly expressed nonlinearity, (not
presented). Displayed in figs. 13 and 14 are the com-
ponent shear stress-strains relationships in chosen
dam. The stresses and the shear strains are with lower
 Figure 14. Constitutive relationship (shear stress-strain).

Figure 13. Constitutive relationship (shear stress-strain).

intensity toward the supports and in the higher layers

of the dam compared to those in the lower layers.
In the course of the dynamic response of the dam, the
development of tensile strains (increase and decrease)
is monitored and hence knowledge is acquired about Figure 15. Position of the potential sliding surface.
the process of opening and closing of the manifested
cracks.
In earth-fill dams, the potential sliding surfaces are elementary triangular surfaces and integrating them,
most frequently in the shape of a shell, so they should the safety factor against sliding is defined. The time
be defined by means of a parabola system composed histories of the safety factor against sliding have been
with small triangles (planes), fig. 15. The stress tensor defined on the basis of two performed analyses –
is projected along the normal and the tangent of the linear and nonlinear analysis, fig. 16.

937

Figure 16. Time histories of safety coefficient against
sliding.
4 CONCLUSION
The central part of the dam is characterized by a greater
flexibility, so the transition from a transient state into
a steady state of vibration is faster compared with
the cross-sections, which are in the vicinity of the
abutments.
The difference in the relative displacements between
the linear direct integration calculation and nonlinear
analysis calculation, for X direction is approximately
20% for the central part of the dam and 35%–40% for
the sections towards the abutments. Whereas for the
other two directions, this percentage is higher as a result
of higher plasticization effect.
Under dynamic conditions, the clay core suffers
plastic buckling deformations, which are particularly
pronounced in the upper third of the core, because of
the slender flexible core, i.e. small dimensions in this
zone. Based on the residual plastic deformations, it may
be concluded that settlement of the dam takes place as
a result of the nonlinear dynamic response.
The stress state in the deepest zones of the dam is
in the range of pure pressure, with greater intensity of
938
spherical stresses, which results in a slightly expressed
nonlinearity.
The shear strains are of the order of 10
3. The shear-
stress/shear-strain diagrams clearly illustrate the elasto-
plastic behaviour of the soil media in accordance with
the adopted constitutive law of nonlinearity.
When cracks occur, this can be recognized by the
fact that in all the time histories of principal stresses at
the same time, the stresses reduce to the value of   0.
The safety factor against sliding defined on the
basis of nonlinear analysis is lower than that obtained
via linear analysis. This is due to the reduction of the
active shear forces down to the level of the ultimate
ones, in conditions of existence of ultimate plastic
equilibrium. In this case, any judgment about stability
should be based on the resulting plastic deformations
in the region of such finite elements.
REFERENCES
Bathe, K.J. and Wilson, E.L. (1976). Numerical methods in
finite element analysis, Prentice-Hall, Inc. Englewood
cliffs, New Jersey.
Bathe, K.J. (1982). Finite element procedures in engineering
analysis , Prentice-Hall.
Clough, R.W. (1969). Analysis of structural vibrations and
dynamic response. Japan-U.S. Seminar on matrix methods
of structural analysis and design, Japan.
Desai, C.S. (1980). A general basis for yield, failure and
potential functions in plasticity, IJNAMG., Vol. 4.
Duncan, J.M. and Chang, C.Y. (1970). Nonlinear analysis of
stress and strain in soils. Journal of Soil Mech. and
Foundations Div., ASCE, Vol. 96.
Owen, D.R.J. and Hinton, E. (1980). Finite elements in plas-
ticity: theory and practice, Pineridge Press, Swansea, U.K.
Paz, M. (1980). Structural dynamics, theory and computa-
tion, Van Nostrand Reinhold Company, New York.
Wilson, E.L. and Clough, R.W. (1962) Dynamic response
of step-by-step matrix analysis, Symposium on the use of
Computers in Civil Engineering, Proc. Portugal.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Polynomial curves and lofting. Applications to the design of an arch dam

A.H. Delgado Olmos

Universidad de Granada, E.T.S. de Ingenieros de Caminos, Canales y Puertos. Departamento
de Expresión Gráfica Arquitectónica y en la Ingeniería, Spain

M.L. Márquez García & J.C. Olmo García

Universidad de Granada, E.T.S. de Arquitectura. Departamento de Matemática Aplicada, Spain

ABSTRACT: Polynomial curves controlled by points offer a great freedom, far from the obstacles that it
bears the use of conventional curves, for the design of curves of any shape. The technique of the Lofting, in turn,
allows to generate surfaces that include a series of given curves. The simultaneous use of both instruments of
geometric design allows to generate the form that determines each one of the faces (upstream facing and down-
stream facing) of an arch dam. In the present report the geometric calculation is presented involved in the gen-
eration of both surfaces and its treatment by computer as well as a practical example of its use. Key words:
polynomial curves, lofting, arch dam, Lagrange’s polynomials.

1 INTRODUCTION

The design of an arch dam goes fundamentally by the

geometric definition of the surfaces that form the
upstream and downstream facings. These, except for
exceptional cases, are not classic surfaces whose equa-
tions are known, but rather it is necessary to design
them of agreement, fundamentally, with the structural
requirements of the work.
A way to approach the problem would be to con- Figure 1. Horizontal arch.
sider the arch dam like an aggregation of horizontal
arches, each one of them with a variable form and thick-
ness, according to the solicitations it will be subjected previously described thing and that will be developed
to (Figure 1). later.
Each one of these arches is defined by means of The calculations and obtaining of the 3D models
the two curves located in each one of the arch dam fac- have been implemented by means of the software
ing. Therefore each one of the parameter can be consid- Mathematica.
ered like a surface that includes all the curves of the
arches located in it.
In turn each one of these curves can be known
(classic curve), in which case we have their analytic 2 ALGORITHM OF ARCH
expression, or, what gives bigger design freedom, that CURVES GENERATION
it is a curve controlled by points. Anyway the equations
of all the curves of the intrados and extrados can The curves that determine the arches have been
always be obtained of each one of the arches that form, obtained as polynomial curves controlled each one of
in their group, the arch dam facing. them, by four points. The analytic expression of this
Starting from the group of all those curves the def- curves (Figure 2) will be:
initions of both arch dam facing can be obtained and
therefore their geometric definition.
The technique of the lofting, generates an algo- (1)
rithm that is shown perfectly appropriate to make the

939
 Figure 3. Surface that includes the curves group C0.……Cn.
Figure 2. Curve controlled by four points.

Chart 2
Chart 1
u L0(u) L1(u) L2(u) L3(u) L L Ln(u)
t f0 (t) f1(t) f2(t) f3(t)
u0  0 1 0 0 0 L L 0
t0  0 1 0 0 0
u1  1/n 0 1 0 0 L L 0
t1  1/3 0 1 0 0
u2  2/n 0 0 1 0 L L 0
t2  2/3 0 0 1 0
u3  3/n 0 0 0 1 L L 0
t3  1 0 0 0 1
M M M M M L L M
M M M M M L L M
un  1 0 0 0 0 L L 1
where fi(t) are functions that have to complete the
conditions reflected in the Chart 1 for the curve P(t)
to go by the four points P0, P1, P2 and P3.
The Lagrange’s polynomials complete these condi- 3 ALGORITHM OF GENERATION OF THE
tions so that they are suitable for their use. Their ana- SURFACE INCLUDING THE CURVES
lytic expression is:
The surface equation (Figure 3) that includes all the
curves of one of the parameters would have the form:

(2)
(4)

Where the functions Li(u) have to complete the con-

By introducing the values of the equation (2) in the
ditions reflected in the Chart 2.
equation (1) one will have the vectorial equation of
For the surface P(t,u) to include the curves C0(u),
the curve that, removing it in their components, it will
……, Cn(u).
give the parametric equations of this:
Similarly to that expressed Lagrange’s polynomials
complete these conditions and therefore the functions
Li(u) can be expressed as:

(3) (5)

940
Figure 4. Horizontal arch of the dam formed by two curves.
Figure 5. Curves corresponding to the downstream facing
of the arch dam.
By introducing the values (5) in the equation (4)
one would have the vectorial equation of the surface
that, removed in their components, it would give the
parametric equations of this.
4 APPLICATION OF THE METHODOLOGY
TO THE DESIGN OF AN ARCH DAM
It is wanted to design an arch dam of which four arches
have been defined and each one of them (Figure 4) is
formed by two curves (located on the upstream and
downstream parameters) controlled, each one, by four
points.
By introducing the cartesian coordinates of each one
of the points that define the arches, the following curves
corresponding to each one of the arches are obtained.
This way in the figure 5, the corresponding curves
located in the downstream facing the arch dam appear.
941
Figure 6. Surface that includes the curves located in the
upstream facing of the arch dam.
Figure 7. Curves corresponding to the upstream facing of
the arch dam.
The surface that includes all the curves located on
one of the facings gives place to the corresponding
facing. Figure 6 reflects the surface that includes the
group of curves located on the upstream facing of
the arch dam.
Similarly, Figure 7 shows the curves located in the
upstream facing of the arch dam.
Figure 8 gives a perspective of the surface that
includes the curves located in the upstream facing of
the arch dam.

Figure 8. Surface that includes the curves located up in the
upstream facing of the arch dam.
Figure 9. Perspective of the group formed by the two sur-
faces that define the upstream facing and downstream facing
of the arch dam.
The group of both surfaces gives us the geometric
definition of the arch dam. In the figure 9 a general
perspective is picked up with both surfaces.
5 CONCLUSIONS
The geometric form of an arch dam is defined by the
surfaces that form its upstream facing and downstream
942
Figure 10. Perspective of the arch dam from another point
of view with flat texture.
facing, being these such surfaces that cannot be assim-
ilated to well-known surfaces. It is needed, therefore,
a creation of these ways that usually need to define a
series of arches and later on to generate a surface that
includes them.
These requirements are completed by the method-
ology exposed in this report due to it gives absolute
freedom to design the arches and the surface that
includes them.
The employment of curves controlled by points
as well as functions like the Li(u) allow, through the
algorithms here pointed out, to generate the functions
that define the geometry of the curves and necessary
surfaces.
Although the example has been solved with the
employment of 16 control points, for each one of the
facings, the general geometric position that has been
made allows to work with networks of any number of
points.
REFERENCES
Delgado Olmos, A. ; “Modelado de superficies polinomiales
y su aplicación a la técnica”. Universidad de Granada
1995. Tesis Doctoral.
Delgado Olmos, A.; “Diseño de superficies de acuerdo.
Propuestas de solución”, Bilbao (España) IX Congreso
Internacional de Ingeniería Gráfica, Departamento de
Expresión Grafica y Proyectos de Ingeniería UPV/EHU
1997. D.P.:BI-788-97.
Delgado Olmos, A.; Cobos Gutierrez, C. “Diseño de super-
ficies de borde fijo”, Pamplona (España) VI Congreso
 Internacional de Expresión Gráfica Arquitectónica,
T.G. Ediciones S.L. Navarra .1996. ISBN: 84-921319-
718-5.
Blachman, N.; “Mathematica. Un enfoque práctico” Ariel
Informatica, Barcelona.1993. ISBN:84-344-0478-8.
Bohm, W.; Peters Wellesley, Massachusetts.1994. “Geometrics
Concepts for Geometric Design A.K”.
Farin, G.; “Curves and surfaces for computer aided geomet-
ric design” Academic Press, INC.1988.
943
Gasca, M. ; “Calculo Numerico”, UNED 1990.
Cordero Valle, J.M.; Cortes Parejo, J.; “Curvas y Superficies
para Modelado Geométrico”. RA-MA Editorial, Madrid
2002.
Cordero, L.A.; Fernandez, M.; Gray, A.; “Geometría
Diferencial de Curvas y Superficies con Mathematica”.
Addison-Wesley Iberoamericana, 1995.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Simultaneous effect of height and shear strength parameters on

optimization of embankment dams – two case studies

M. Veis Karami
Dep. of Civil Eng., Shiraz University, Shiraz, Iran (Former Researcher of the University of Guilan)

M.A. Mehrdad & A. Eslami

Dep. of Civil Eng., The University of Guilan, Rasht, Iran

ABSTRACT: This paper is focused on investigation of simultaneous effect of geomaterials shear strength
parameters and earth dam geometry. Safety factor obtained from slope stability analysis of embankment dams
in the worst state of loading is supposed to be the criterion to compare and assess the effect of shear strength
parameters selected to perform analysis and design. In this paper, Finite Element and finite difference based
computer programs, such as SLOPE/W of Geo-Slope office package, STABL and PCSTABL, were used. Two
case studies of embankment dams in Iran were selected and a parameter study was performed to model and ana-
lyze the dams with different geotechnical parameters, in the range of geotechnical investigation reports. The
results show that selection of precise values of geomaterials strength parameters which depend on the dam geom-
etry should be considered. For large dams, internal friction angle has more critical role in stability analysis than
cohesion parameter.

1 INTRODUCTION
1.1 Type area
Earth and Rock fill dams’ construction have been
extensively developed since 1980. The most important
reasons for this approach are the common technology
that involves using ordinary and handy materials (raw
soil and rock) and independency of the particular shape
of the valley, i.e., independent of geologic and geo-
morphologic aspects. Geometric design of embankment
dams depends on barrowed soil or rock materials, sub-
surface conditions and type of construction. Conse-
quently feasible design can cause significant reduction
on construction time, materials and costs. Since the
geotechnical parameters of such materials have a
great role in analysis and design of earth and rock fill
dams, the main aspect of this paper is focused on
these parameters and the methods of slope stability of
earth and rock fill dams as far as using different types
of computer base programs to perform a suitable and
reliable analysis along with a true selection of geo-
technical parameters of the materials (Mehrdad et al.,
2002).
The slope stability analysis of embankments, as the
greatest part of the design, is based upon parameters
such as the shear strength parameters of dam’s body
and foundation materials, reservoir water level, region
seismic properties, dam’s geometry, topography of
dam construction site and economical considerations
of design (Sherard et al., 1962). Thus, selection of these
parameters, obtained from suitable geotechnical tests,
may lead to logic and optimum body for earth and rock
fill dams. Slope stability analysis of embankment dams
should always be carried out using effective stress
method in long-term analysis. It is recommended to
use total stress approach for rapid or dynamic loading
on dam body. It is also recommended that the analysis
must be checked using residual strengths, and the high-
est possible pore water pressure, with a factor of safety
of at least 1.1 for extraordinary conditions. This is par-
ticularly important where large differential strains may
be encountered, or the dam may be damaged by earth-
quake. The foregoing rules are emphasized by National
Research Council (1983) and US Corps of Engineers
as quoted the table 1 (Fell et al., 1992).
Accurate parameters can use as precise data for
finite element and finite difference studies to perform a
reliable analysis of dams. Many different methods have
been developed for slope stability analysis of embank-
ment dams, in case of static and dynamic loading.

945
Table 1. Requires factor of safety factors and strength
conditions for embankment dams (Fell et al., 1992).
Required
Loading safety Shear strength for
# condition factor evaluation*
1 Steady seepage at 1.5 S* strength
high pool level
2 Rapid drawdown 1.2 Minimum composite
from pool level of R* and S
3 Earthquake reservoir 1.1 R tests with cyclic
at high pool for loading during shear
downstream slope
reservoir to
intermediate pool
for upstream slope
* S  Effective stress shear strength from CU or CD shear
tests; R  Total stress shear strength from UU or CU.
Among many important phases in design of dams, as
well as control of seepage through dam and foundation,
control of deformability, the slope stability analysis is
a very significant phase that can influence strongly on
the volume of dam body and as a result, in altering the
construction costs (Fell et al., 1992).
Slopes became unstable when the shear stresses on
a potential failure surface exceed the shearing resist-
ance of the soil. In the case of slopes where stresses
on the potential failure surface are high the additional
earthquake induced stresses needed to trigger failure
are low. In this sense the seismic slope stability is
dependent on the static slope stability. The most com-
monly used methods of slope stability analysis are the
limit equilibrium methods. Stress-deformation analysis,
using the finite element method, is performed rarely,
especially in the case of major projects.
Slope stability analysis is performed for static and
dynamic cases. There are many limit state equilibrium
methods for static slope stability analysis. Among
these methods, Fellenius (1936) method (circular and
log spiral failures – homogeneous soils), Bishop’s
simplified and Bishops modified (1960) methods (for
circular and log spiral failures – homogeneous soils),
Morgestern and Price (1965) method (for non circular
failures), Janbu non-circular (1968) method and
Spencer (1976) method are widely used in static slope
stability analysis. Donald and Giam (1988) proposed
that it is possible to use of finite element techniques
for analysis of the stability of slopes. This describes
the use of displacements as a guide to incipient failure,
to allow calculation of a “factor of safety” and the use
of stress distribution to better predict the critical failure
surface.
Complications arise in dynamic stability analysis
by two factors, i.e., the dynamic stresses induced by
earthquake shaking and the effect of dynamic stresses
946
on the stress stain behavior and strength of slope
materials.
2 SOIL SHEAR STRENGTH PARAMETERS
Dam geometry is the major factor in embankment
design, which strongly affects the economy of project.
Soil shear strength parameters can optimise the design
regarding volume of geomaterial, financial costs and
of construction period. Shear strength parameters of
soil can be determined by considering following main
approaches: drained or undrained, peak, softened or
residual strengths (in small and large strain conditions),
total or effective stress, normally consolidated or over
consolidated, confined or unconfined, static or dynamic
parameters, etc. (USBR, 1998).
Cohesion and internal friction angle as well as
young modulus (when a finite element based stress-
deformation analysis is performed) are important
factors that should be determined and selected carefully
for a perfect design. It is mentionable that some of these
parameters may be changed after dam construction.
This may affect the stability and deformation of the dam
as far as the computed values may be different from
observations. Some authors, suggested to perform a
geodetic measurement to verify the geotechnical param-
eters of dam in construction stage. This may help obtain
realistic values of geotechnical parameters for analysis
and design of earthfill dams (Szostak-Chrzanowsky,
2000 and Szostak-Chrzanowsky et al., 2002).
Since cohesive soils extremely used in construction
of homogeneous and cored dams the following discus-
sions concentrated on investigation of some forgoing
criteria. An undisturbed sample of soil may behave in an
over-consolidated manner at low normal stress and in a
normally-consolidated manner at high normal stresses.
This phenomena affects the pore pressure response of
the soil during shear and also the load – deformation
behavior. This is also important to use results from
effective stress range applicable to the field problem.
The p-q plot is a graph of the apex points of the
Mohr’s circles from the test results as shown in
Figure1-a. The average of C and  values from which
the p-q plot was derived is also shown in Figure1-b. It
can be noticable that using averages tends to give
larger C and lower  than using the p-q diagram. This
is generally unconservative for smaller dams and land-
slide stability because the strength is overestimated in
the working stress range. Therefore, in any slope sta-
bility analysis, it is good practice to check the calcu-
lated factor of safety for a range of strength, e.g. lower
quartile and lower bound to determine the sensivity of
the factor of safety to the assumed strength. Moreover,
engineering judgement is necessary due to poor indi-
vidual accurate test results, general curvature of the
Mohr’s circle envelope and etc. (Fell et al., 1992).
Figure 1. (a) Basis of p-q diagram, (b) Typical p-q diagrams of Triaxial test results (Fell et al. 1992).
3 ANALYSIS PROCEDURE AND EMPLOYED
SOFTWARES
It was well described that the type of software can
influence the slope stability analysis of earth and rock-
fill dams considerably (Mehrdad et al., 2005). In this
paper, the simultaneous effect of geotechnical param-
eters and dam height is studied. SLOPE/W software
of Geo-Slope Office is used to analyze these dams
(Mehrdad et al., 2004).
SLOPE/W is a software product that is applicable to
compute the factor of safety of earth and rock slopes.
The comprehensive formulation of SLOPE/W makes
it possible to easily analyze both simple and complex
slope stability problems using a variety of methods to
calculate the factor of safety, as well as Morgenstern-
Price, Spencer, Bishop, Janbu, etc. along with manual
controlling approach to specialize the sliding surface.
SLOPE/W has application in the analysis and design
for geotechnical, civil, and mining engineering projects
(SLOPE/W Manual, 2002).
SLOPE/W is a powerful slope stability analysis
program. Using limit equilibrium, it has the ability to
model heterogeneous soil types, complex stratigraphic
and slip surface geometry, and variable pore water pres-
sure conditions using a large selection of soil models.
Analyses can be performed using deterministic or prob-
abilistic input parameters. In addition, stresses com-
puted using finite element analysis might be used in
the limit equilibrium computations for the most com-
plete slope stability analysis available. The combination
of all these features means that SLOPE/W can be used
to analyze almost any slope stability problem one will
encounter. Many dams have been analyzed and
designed based on this software. Tuirial dam with the
height of 97 m is a earthfill dam which is constructed
in India in which, the SLOPE/W software is used to
analyze and design. Figure 2, shows a typical analyzed
947
Figure 2. A typical section of Tuirial dam in India analyzed
with SLOPE/W software (Bhowmik and Singh, 2004).
section of this dam using SLOPE/W (Bhowmik and
Singh, 2004).
4 CASE STUDIES
To evaluate the role of strength parameters along with
the geometry of the dam, in stability analysis, based on
computer programs two practical cases are studied.
The first case is a low height dam (height = 22 m) and
the second one is high dam (height = 113 m).
4.1 Sufisheikh dam
Sufisheikh dam is located in Golestan province in
northern area of Iran and is constructed on Gorgan-
Roud River. This is a uniform dam because of the
dominant material in the area was homogeneous mate-
rials and the height of the dam is almost low. Three
types of drains are placed in the dam body that are
chimney drain, blanket drain and toe drain. The eleva-
tion of the crest is 22 m from the ground surface and
the inclination of the slopes is 1 v: 6 h for upstream
and 1 v:5 h for downstream slopes sequentially. In pri-
mary site investigation, three types of soil strata were
distinguished. They are silty and clayey materials above
water table as A-materials, silty and clayey soils
below water table as B-materials and coarse grained
materials as C-materials. These materials were selected
to use in the main body. Some unconfined compressive
Figure 3. Typical analyzed cross-section of Sufisheikh dam
using SLOPE/W software.
Figure 4. Variation of safety factor versus friction angle
for Sufisheikh dam with different cohesion parameters.
tests were established on undisturbed samples and a
wide range of compressive strength tests performed
to evaluate different part of the dam. For Sufi- sheikh
dam the stability analysis was performed in the longest
and highest cross section of the dam and after con-
struction condition, which is the critical condition for
this dam, according to ANCOLD (1969). Based on site
investigations and laboratory testing, the variations of
cohesive strength of the materials were very little in
compare to friction angle parameter. Numerous analy-
ses with different values of cohesion and internal fric-
tion angle were performed to investigate the individual
effect of these parameters on safety factor. A typical
analyzed cross section of this dam with SLOPE/W
software is shown in Figure 3. Figure 5. Illustration of analyzed Glevard dam’s
Three sets of analyses were performed in which, any cross-section.
set of analyses is conducted based on a fixed value of
cohesion and different values of internal friction angle.
The maximum and minimum values of cohesion are Stability analysis for upstream and downstream
selected with one standard deviation from the mean slopes were performed based on Janbo and Modified
value for C of the barrowed materials. Bishop methods for several conditions; end of con-
Figure 4 shows the variation of safety factor versus struction, end of construction with seismic loads, steady
internal friction angle for different cohesion values. The state seepage with and without earthquake, rapid draw-
scatter of the diagram is a result of different critical down and maximum probable flood conditions. Along
slip surface for each set of analysis considered by the with SLOPE/W program, two different finite difference
program. The results show that, the effect of cohesion softwares, i.e., PCSTABL and STABL are used to
on safety factors is more significant than the effect of perform stability analysis of this dam. The steady state
internal friction angle. Such a result for different safety seepage with earthquake is the most critical condition
factor can affect considerably on the geometry of the for Gelevard dam through all three softwares and the
dam, i.e., using steeper slopes to obtain minimum factor of safety from Janbo and Bishop methods were
allowable safety factor can save more than 20% of the about 1.25 and 1.3 respectively, which are close to the
materials in the dam’s body (Fattahi, 2002). minimum factor of safety, required to be achieved
for this condition (1.1 is proposed by US Corps of
Engineers, 1983).
4.2 Glevard dam of Neka
A circular sliding surface was recognized as the
Glevard dam of Neka, with 113 m height, is a rockfill critical stability condition. Table 2 shows the results
dam placed on the Gelevard River in Mazandaraan of these analyses to find the critical condition. Then
province of Iran. It is a clayey core dam with concrete different sets of analysis based on different values of
face (CFRD). Due to the high seismic risk of this cohesion and internal friction angle were performed.
region, a thick vertical core is placed in this dam. An Only core and foundations were considered to have
analyzed cross section of this dam is shown in Figure 5. different values of cohesion and the C-Parameter for

948
 Table 2. Results of Glevard dam stability analysis in different conditions.
Analysis After
Program used method construction
SLOPE/W (Minimum of 2.49
all methods)
PCSTABL Spencer 2.45
Janbo 2.20
Bishop 2.40
Random 2.24
STABL Bishop 2.34
Random 2.41
shoulders was set to be about zero for all cases. For deep
slip surfaces crossing the foundation (in which the vari-
ation of cohesion parameter was significant), the varia-
tion of safety factor along with internal friction angle
with different values of cohesion was considered. The
results indicate that for this case, the variation of safety
factor is more affected by internal friction angle in com-
parison with cohesion. The argument is that a consider-
able part of slip surface is stretched through dam body,
which contains frictional materials.
Similarly, according to the wide range of strength
parameters obtained from site geotechnical investiga-
tions, selecting a proper value for of strength parameter
can affect significantly on the design procedure. Using
different geometries for the dam to obtain minimum
allowable factor of safety can minimize optimize the
volume of the dam by a factor of about 90%. This fac-
tor is obtained by using the mean value for friction
angle.
5 CONCLUSIONS
In this paper the simultaneous effect of geotechnical
parameters and dam geometry are investigated as com-
plemented factors on earthfill dams construction. Using
SLOPE/W software as a powerful computer program,
which is capable to analyze different types of rock and
earthen slopes based on limit state equilibrium theory
and finite difference method, two case studies. In the
first case, Sufisheikh dam has been studied as a low
rise dam was considered and using different values of
geotechnical parameters. Similarly, Glevard, a rockfill
dam with a height of 113 m, as a high dam was ana-
lyzed with different values of geotechnical parame-
ters and softwares.
In Sufisheikh dam the effect of cohesion was found
to be more significant on safety factor variations,
however, for Glevard dam of Neka, almost opposite
result was obtained; frictional angle plays major role.
The reason may be the considerable part of slip sur-
face in the dam body.
949
Steady Steady seepage Rapid
seepage with earthquake drawdown
2.02 1.37 2.37
1.98 1.36 2.41
1.83 1.28 1.98
1.96 1.40 2.40
1.93 1.34 2.16
1.79 1.27 1.97
1.98 1.40 2.11
Thus, the first important result is that for short
homogeneous dams, the elaborated selection of cohe-
sion may be more critical than internal friction angle
and the factor of safety is more affected by cohesion
than friction angle. However, for high rockfill dams,
the internal friction angle has almost more influence
on safety factor in direct manner.
Secondly, the precise selection of geotechnical
parameters can play an important role in dam economy,
i.e., time, cost and material savings. Thus, for both types
of earth and rockfill dams, short and high level a per-
fect geotechnical investigation and laboratory tests
should be performed followed by a precise and com-
prehensive selection of input data. This will strongly
influence the slope stability analysis and consequently,
the geometry and economy of the dam. It is also sug-
gested to verify the parameters during dam construction
using different types of monitoring and surveying, like
geodetic measurements, to continue staged construc-
tion in a revised approach.
REFERENCES
Grove, A.T. 1980. Geomorphic evolution of the Sahara and
the Nile. In M.A.J. Williams & H. Faure (eds), The
Sahara and the Nile: 21–35. Rotterdam: Balkema.
ANCOLD, 1969. Current Technical Practices for Design,
Construction, Operation and Maintenance of Large Dams
in Australia, Australians National Committee on Large
Dams.
Bhowmik, V. C. & Singh, T.S.K. 2004. Design of Tuirial Dam,
IE (I) Journal (CV): Vol.85.
Bishop, A.W. & Morgenstern, N. 1960. Stability coefficients
for earth slopes. Geotechnique: Vol. 10, No. 4, 164–169.
Duncan, J.M., Wong, K.S. & Ozawa, Y. 1980. FEADAM: A
Computer Program For Finite Element Analysis of
DAMs, Users Manual, College of Engineering, University
of California: Berkley California.
Fattahi, A. 2001. The Effect of Selective Shear Strength
Parameters for Design of Earth Dam – Investigation of
Three Case Studies in Iran, M.Sc. Thesis, the University
of Guilan, Iran.
Fell, R., Mc Gregor, P. & Stapledon, D. 1992. Geotechnical
Engineering of Embankment Dams, A.A. Balkema.
Fellenius, W. 1936. Calculation of the Stability of Earth
Dams. Proceedings of the Second Congress of Large
Dams: vol. 4, 445–463.
Geo-Slope Office 2002. Manual of SLOPE/W 5, GEO-
SLOPE International ltd.: pp.504, Calgary, Alberta,
Canada.
Geotechnical Investigations Report of Reservoir Dam of
Glevardand Other Establishments 2nd phase 1999. Water
and Soil Resources Consulting Engineers: Tehran, Iran.
Geotechnical Investigations Report of Sufisheikh Dam,
2nd phase 1999. Tehran-Berkley Consulting Engineers:
Tehran, Iran.
Mehrdad, M.A., Eslami, A., Taghavi, J. & Veis Karami, M.
2004. Geotechnical Parameters Effect on Embankment
Dam Analysis and Design-Applied to Four Case Studies,
4th Internatioanl Conference on Dam Engineering: New
Developments in Dam Engineering: 601–607. Nanjing:
China.
950
Morgenstern, N.R. & Price, V.E. 1965. The Analysis of the
Stability of General Slip Surfaces. Geotechnique: vol.
15, 79–93.
Sherard, J.L., Woodward, R.J., Gizienski, S.F. & Clevenger,
W.A. 1963. Earth and Rock Dams, John Wiley and Sons.
Szostak-Chrzanowski, A., Massiera, M. Chrzanowski, A., Le
Hoan, F. & Whitaker, C. 2002. Verification of Material
Parameters of Earthen Dams at Diamond Valley Lake
Using geodetic Measurements, FIG XXII International
Congress: Washington DC USA.
USBR 1987. Design Standards of Embankment Dams, No. 13,
Chapter 4. United States Department of Interior Bureau
of Reclamations: Colorado, USA.
USBR 1998. Earth Manual, Part I, 3rd Ed. United States
Department of Interior Bureau of Reclamations: Colorado,
USA.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Application of numerical modelling to spillways in Australia

D.K.H. Ho
Advanced Analysis, WorleyParsons Services Pty Ltd, Sydney, NSW, Australia

B.W. Cooper
NSW Department of Commerce, Dams & Civil, Sydney, NSW, Australia

K.M. Riddette & S.M. Donohoo

Advanced Analysis, WorleyParsons Services Pty Ltd, Sydney, NSW, Australia

ABSTRACT: Recent revision to design flood estimates of a number of Australian dams have required their
spillways to be upgraded to cope with increased discharge rates. Their hydraulic performance was investigated
by numerical modelling instead of using scaled physical model. For most projects, where possible, a rigorous
validation exercise using published or physical test results was performed to ensure its correctness and reliabil-
ity before embarking on further parametric study. The various analysis capabilities allowing better understand-
ing of the flow behaviour taken from eight spillway upgrade projects will be described in the paper. The benefits
and limitations were also highlighted. Some future research and development needs have been suggested. With
prudent engineering guidance, it is anticipated this emerging technology may become a standard design tool for
analysing spillway flow in the future.

1 INTRODUCTION in the aerospace, automotive and maritime industries

Recent revision to design flood estimates of a number
of Australian dams have required their spillways to be
upgraded to cope with increased discharge rates. In
coping with the increased discharges, the existing spill-
ways may face potential problems such as the gener-
ation of excessive negative pressure over the spillway
crest, erosion of unprotected cut banks, overtopping
of chute walls, and flow impact on crest bridges and
gates. Furthermore, the discharge coefficient and rating
curve will usually need to be re-evaluated for greater
operating heads.
Traditionally, scaled physical hydraulic models have
been constructed in laboratories to study these behav-
iours. However, these models can be expensive, time-
consuming and there are many difficulties associated
with scaling effects. Most models built are only kept
for a limited time.
Nowadays, with the use of high-performance com-
puters and more efficient computational fluid dynam-
ics (CFD) software, it is feasible to investigate the
hydraulic performance of full scale spillways. It should
be noted that this technology has been well established
worldwide.
This paper describes how the application of this
numerical modelling technique has benefited a num-
ber of dam upgrade projects in Australia. As this type
of spillway analysis technique was used for the first
time in this country, the need to carry out validation
was essential. A rigorous staged validation process was
conducted for the Warragamba Dam drum gate upgrade
project. In all the subsequent spillway upgrade pro-
jects, comparisons were made between computed and
measured values, using the results of physical model-
ing carried out during the original design of the dam,
where available, to raise the confidence level of the
analysis technique.
Use of numerical modelling has led to the develop-
ment of innovative devices to mitigate the impact of
flows on gate structures and concept designs to reduce
excessive negative pressure over a spillway crest. Sig-
nificant cost savings were achieved for these upgrade
projects. The benefits as well as the limitations of
numerical modelling of spillway flow will be high-
lighted in the paper. Some future research and devel-
opment needs will also be suggested.

951
2 A BRIEF OVERVIEW OF NUMERICAL
MODELLING FOR HYDRAULIC
APPLICATION
A literature search of numerical modelling of spillways
in overseas application has revealed that it began as an
investigative tool at research institutions (Kjellesvig
1996, Savage & Johnson 2001), and it was gradually
being accepted by the hydraulic/dam engineering
community (Higgs, 1997, Yang & Johansson 1998,
Cederstrom et al. 2000, Teklemariam et al. 2002,
Gessler 2005). In terms of CFD technology in civil
engineering applications, not necessarily confined to
hydraulic engineering, a keyword search for “CFD” in
the American Society of Civil Engineers (ASCE) data-
base revealed the number of publications related to this
technology increased rapidly as shown in Table 1. It
appears this has a strong correlation with the increase
in computing efficiency over this period of time.
In Australia, computational or numerical modelling
of hydraulic performance has also been carried out at
research level. For example, Brady (2003) investigated
free surface flow for sewer overflow, and Barton
(2003) studied numerical modelling of fishways. In
terms of its application to dam spillways, this type of
modelling was not mentioned in the recent Australian
National Committee on Large Dams (ANCOLD) pub-
lication on the history of dam technology from 1850
to 1999 by Cole (2000). There has been no published
information on numerical analysis of spillways in
Australia until recently (Ho et al. 2003, 2004, 2005).
3 AN OVERVIEW OF THE NUMERICAL
MODELLING TECHNIQUE
There are a number of textbooks that explain in detail
the theory and numerical implementation of CFD
Table 1. Literature search on the ASCE publication data-
base for “CFD” till the end of 2005.
All Main topic
document Conference Journal covered in
Period types papers papers journal papers
1980–1989 0 0 0 N/A
1990–1994 3 3 0 N/A
1995–1999 13 9 3 Simulation of
fire and
smoke in the
built-
environment
2000–2004 47 28 14 Mostly
hydraulics
related
2005 10 6 3 All hydraulics
related
technology, for example, Abbott & Basco (1989),
Wilcox (1993), Versteeg & Malalasekera (1995). For
hydraulics application, the governing equations describ-
ing the behaviour of the incompressible water are the
conservation of mass (continuity equation) and momen-
tum (Navier-Stokes equation). These partial differen-
tial equations, inherently non-linear, are discretised
both in space and time and they can be solved using a
variety of numerical schemes. Due to the complexity of
turbulent behaviour, it can be simplified and approxi-
mated using an averaged approach (i.e. Reynolds-
averaged Navier-Stokes or RANS). For practical
purposes, the RNG (Re-Normalised Group) k- tur-
bulent energy dissipation model has been rather suc-
cessful and is currently an industry-standard model
for hydraulic turbulence. It is important to note that
just like any other numerical modelling, the need for
validation against prototype performance is essential.
4 APPLICATION IN AUSTRALIAN
SPILLWAY UPGRADE PROJECTS
To date, the spillway upgrade projects which utilised
numerical modelling to investigate hydraulic perform-
ance are shown in Table 2. It can be seen that a variety
of existing and proposed spillway types were analysed.
A general methodology is summarised in a flowchart
as shown in Figure 1. Note that this will vary with the
purposes of analysis and project requirements. The
complexity of the problem can vary from a simple 2D
model (Fig. 2) to a complex full 3D model (Fig. 3).
As mentioned previously, validation of the numer-
ical technique is important and therefore it formed one
of the analysis tasks in most of the spillway upgrade
projects. The use of CFD analysis to study the suction
effect on the drum gate at the spillway crest as part of
the Warragamba Dam up grade was subjected to an
extensive validation to ensure the numerical model-
ling was correct. The validation process was carried
out in a multi-staged approach. The validation of
the standard ogee spillway profile using the US Army
Corp of Engineers Waterways Experimental Station
(USACE-WES, 1952) design guides was carried out
both two- and three-dimensionally to determine the
suitability of the code. The influence of the piers was
correctly captured by the 3D analysis. Then the actual
spillway geometry in question was analysed and the
results compared with those obtained by physical test-
ing. A reasonable agreement was achieved for practical
purposes. More details are reported by Ho et al. (2003).
The CFD code, FLOW-3D®, developed by Flow
Science, Inc., was selected primarily for its ability to
accurately model free surface flow, which is essential
for modelling open-channel flow behaviour. It utilizes
a true volume of fluid (truVOF™) method for comput-
ing free surface motion (Hirt & Nichols, 1981) and

952
 Table 2. Summary of spillway project using numerical modelling.

Analysis output, scenario & flow behaviour

Spillway type
Chute
Numbers of bays
Gate type
Standard Ogee or Elliptical crest
Bridge piers
CFD geometry model
Validation against physical model
test
Re-evaluate discharge
Orifice flow
Overtopping or submerged flow
Pressure distribution
Impact on gates
Impact on pier/bridge structures
Erosion impact
Shockwave simulation
Hydraulic jump

Dam, location

Warragamba, NSW Gated Short 5 Radial & Neither ✓ Local 3D ✓ ✓ ✕ Overtop failed ✓ ✓ – – – –
drum utilising radial gate
symmetry

953
Hume, NSW/VIC Gated Short 29 Vertical- Neither ✓ Local 2D & 3D ✓ ✓ ✓ Overtop parapet ✓ – ✓ – – –
lift utilising wall & crest
symmetry bridge
Buffalo, VIC Gated Short 3 Vertical- Ogee ✓ Half 3D USACE/ ✓ ✕ ✕ ✓ – – – – –
lift model HDC
Wivenhoe – existing Gated Short 5 Radial Ogee ✓ Full 3D & half ✓ ✓ ✓ Overtop crest ✓ ✓ ✓ – – ✓
spillway, QLD 3D models bridge & raised
gates
Wivenhoe – auxiliary Fuse plug Short 3 N/A Elliptical ✓ Full 3D model – ✓ – – ✓ – ✓ – – –
spillway, QLD embankments
Goulburn Weir, VIC Gated Short 9 Radial Neither ✓ Half 3D model ✓ – ✓ Submerged ✓ ✓ ✓ – – –
Blowering, NSW Uncontrolled Long 1 None Ogee ✕ Full 3D model ✓ ✓ – Overtop spillway ✓ – – ✓ ✓ –
chute walls
Tullaroop, VIC Uncontrolled Long 1 None Ogee ✓ Full 3D model ✓ ✓ – – ✓ – ✓ ✓ ✓ –
Tallowa – proposed Gated Short 21 Radial Ogee ✓ Local 3D – ✓ ✕ Submerged for ✓ ✓ ✓ – – Drowned
upgrade, NSW utilising some cases
symmetry

NSW  New South Wales

VIC  Victoria
QLD  Queensland
MODELLING
Review drawings and topographic data
Import topographic data and spillway
geometry data.
Determine model extent and consider flow
symmetry, if any
Assign boundary conditions and select
appropriate fluid properties
Review physical
VALIDATION model report
Result comparison and
Numerical model validation analysis review result with
design engineers
ANALYSIS
Perform parametric study
e.g. various combination of headwater and
tailwater levels, gate conditions
INTERPRETATION
Post-processing and results interpretation Review results with
Flowrates, velocities, pressures, flow surface design engineers
profiles, etc. Report findings
Figure 1. Flowchart showing a general methodology.
Figure 2. 2D geometry model of the Hume Dam spillway.
Zoomed-in details of parapet wall, drop gate gap and crest
bridge shown on the right.
the fractional area/volume obstacle representation
(FAVOR™) technique to model complex geometric
regions (Hirt & Sicilian, 1985). The true VOF method
tracks the sharp interface accurately and does not com-
pute the dynamics in the void or air regions. The single
fluid approach allows faster run time.
The code’s ability to model wall roughness
(Souders & Hirt, 2002), air entrainment (Hirt, 2003)
and cavitation was also important. Other considera-
tions in the code selection process were the ease of use
(e.g. obstacle and multi-block grid creation) and cost.
It should be noted that a similar validation exercise on
a standard ogee crest spillway was conducted by
Savage & Johnson (2001) using the same code, which
provides further confidence in the analysis technique.
Based on the analyses performed to date, the fol-
lowing sections highlight some of the interesting find-
ings taken from the numerical modelling experience.
954
Figure 3. Full 3D geometry model of the Tullaroop Dam
Spillway.
It should be noted that only the steady-state flow con-
dition was of interest for these projects. For most
models, the upstream and downstream boundary con-
ditions were fixed at the appropriate head levels. After
a period of time, the analysis reached a dynamic
“steady-state” when the flow rate and other flow
behaviour could be obtained and observed.
4.1 Validation against physical models
In many of the projects, where possible, at least one
flood level was analysed so that the computed results
could be compared against old physical model test
results (see Table 3). Typically, the discharge rate, pres-
sure distribution and flow surface profile were used
for comparison purposes. In some cases, velocity pro-
files were also available for comparison.
In general, the flow rate computed by the numer-
ical model can be up to 5% greater than physical model
results for head levels equal to and greater than the
design head of the spillway. Typically, the over-esti-
mation is around 3%. Similar over-estimation has also
been reported by Gessler (2005). Yang & Johansson
(1998) also reported a similar trend of over prediction
even though different CFD code and a two-phase flow
model (i.e. water and air) were used.
Some fluctuation in pressure distribution along a
crest section may occur due to limiting grid resolution
and the way the results are extracted. In general, the
averaged trend gives a reasonable agreement. It should
be noted that there will also be accuracy resolution
issues with physical measurement. Similar to the pres-
sure distribution, the flow surface can fluctuate depend-
ing on the grid density. However, the averaged trend
gives a reasonable agreement.
4.2 Spillway discharge
One important output of most investigations is to deter-
mine the discharge efficiency of the existing spillway
Table 3. Validation summary.

Physical model scale Pressure Free surface Velocity

Upgrade projects (year of test) USACE/WES Flow rate distribution profile profile

Warragamba Dam* 1:100 (1991) ✓ ✓ ✓ ✓ ✓

Warragamba Dam** 1:100 (1991) – ✓ ✓ ✓ –
Hume Dam 1:50 (1962) – ✓ ✓ ✓ –
Buffalo Dam Not used ✓ ✓ ✓ ✓ –
Wivenhoe Dam 1:80 (1979) – ✓ ✓ ✓ ✓
Goulburn Weir Not used – ✓ ✓ – –
Blowering Dam 1:80 (1971) – ✓ ✓ ✓ –
Tullaroop Dam 1:30 (1958) – ✓ ✓ ✓ ✓
Tallowa Dam Not used – – – – –

* Drum gate bay

** Radial gate bay

81
Orifice
3D partial orifice flow would occur and this also var-
flow ied across the spillway from bay to bay. This explains
Upstream Total Head (m)

80
79
Transition
78 zone
77
76
75
10000 11000 12000 13000
Discharge (cumecs)
Figure 4. Rating curve showing the transitional flow region
between free discharge and full orifice flow.
under revised flood levels that may be several times the
original design flood level. The situation can be com-
plicated by the presence of crest structures such as
bridges and gates. In these cases, as the upstream flood
level increases, the discharging water can undergo sev-
eral stages of flow behaviour starting from a free dis-
charge, then a transitional flow, followed by orifice
flow and eventual overtopping of the crest structure.
This sequence of flow behaviour was encountered in
the Hume and Wivenhoe existing spillways.
A typical rating curve is shown in Figure 4 for the
Wivenhoe Dam existing spillway. The computed result
for the original design flood is in good agreement
(
5% over-prediction) with the physical test data. For
the free spillway flow without the influence of the
gates, the data appears to follow the power relation-
ship for higher head levels.
4.2.1 Transitional flow
By observing the transient flow of water in the 3D
model for a certain head level within the transition
zone, the water impacted on the under side of the skin
plate of the raised gates from time to time. A complex
Ungated the range of discharge computed for a particular head
spillway flow level within this zone.
4.2.2 Full orifice flow
When the head level is high enough, oscillations in the
Spillway flow, ungated
Fluctuating partial orifice flow
discharge rate cease as the flow settles into a complete
Physical model data
orifice flow where the full width of the skin plate is
impacted upon across all bays.
Depending on the raised gate and crest bridge con-
14000 15000 16000
figuration, overtopping may eventually occur when the
upstream head level is sufficiently high. In this event,
further deviation of discharge curve would result.
4.3 Spillway integrity
The concrete spillway’s integrity can be assessed in
terms of cavitation number or index and the overall
stability under high flood discharges.
4.3.1 Cavitation
When excessive negative pressure occurs, there is a
potential for cavitation to take place which can cause
significant damage to the concrete surface of the spill-
way. This can occur not only at the spillway crest, but
also at floor slabs further downstream along the spill-
way chute. Based on the computed pressure and flow
velocity distributions, the numerical model is able to
predict whether cavitation damage will potentially
occur not just in the crest region, but right through the
spillway structure including the downstream structures
such as the chute floor slabs, flip bucket, apron and
plunge pool.
When the cavitation model is enabled or with ad-
equate aeration in the analysis, flow separation can be
predicted to take place from the numerical model. The
vapour pressure will depend on the water temperature
and the elevation of the spillway site relative to the
mean sea level.

955
4.3.2 Overall stability
The pressure distribution on the surface of the spill-
way can be computed. Together with the self-weight
of the structure and any underlying uplift pressure, the
factor of safety (FOS) against overturning and slid-
ing failure modes can be calculated. Should the FOS
become unacceptable under increased flood levels,
mitigation solutions such as installation of post-tension
anchors can be considered. For example, the revised
head for the Buffalo Dam spillway is almost three
times the original design head (Newman & Foster,
2005). Although the spillway is a standard ogee pro-
file, the pressure distribution cannot be extrapolated
directly from the USACE design guides. The numeri-
cal model was able to provide this missing information.
4.4 Structural integrity
The numerical model was able to determine if the dis-
charging water under the revised flood levels would
impinge on existing gate and bridge structures. One
project examined the potential for flows to impact on
the arms of raised radial gates. The loads determined
by the CFD analysis were applied to a finite element
(FE) model of the gate to check for structural integrity
and to decide if mitigation measures were necessary.
It is generally reasonable to assume the steel gates
are relatively stiff. Therefore the use of non-deforming
obstacles or baffles to represent the gate would be
valid. Although it is possible to analyse a fully coupled
fluid-structural interaction using combined CFD and
FE analyses, the extra computing resources required
will be significantly increased and it is probably not
justifiable for these projects.
4.4.1 Drum gate
For the Warragamba Dam upgrade, the CFD analysis
was able to determine the lifting pressure due to
increased flood level on the drum gate. This gate was
originally designed to be held down in the open posi-
tion by the gate’s submerged self-weight, for a lower
design flood level. Feasibility concepts based on stabil-
ity consideration were assessed and a mitigation solu-
tion, a lock-down device, was further analysed using
a FE model to confirm the design requirements.
4.4.2 Radial gate
CFD analysis was used to determine whether the
discharging water was likely to impact on the raised
gate arms, and quantify any consequent drag loads.
These loads were then applied to the FE model of the
raised gate in order to determine if strengthening was
required.
In another scenario when the gate could not be raised
during the flood event, the analysis was able to pre-
dict the pressure on the gate skin plate as well as any
adverse impact due to the jet of water flowing over the
956
Figure 5. Flood water trajectory over a malfunctioned radial
gate.
gate on to the crest bridge and on the spillway further
downstream (Fig. 5). The pressure acting on the skin
plate was then applied to a FE model to determine
whether a plastic hinge could form causing the upper
cantilever portion of the skin plate to fail in bending
due to this overtopping discharge. A partial failure
mechanism like this may be preferable to having the
entire gate washed away downstream.
For the Wivenhoe existing spillway, it was dis-
covered that the revised higher flood level could impact
on the lower part of the skin plate of the raised radial
gates. An innovative device to deflect the water away
from the skin plate was designed based on the numer-
ical model as described in Section 4.8.
In an extreme load case for the Goulburn Weir
upgrade, the raised gates were completely submerged.
CFD and FE analyses showed the gates were not under
the most adverse condition because the head differ-
ence between upstream and downstream was not sig-
nificantly large, resulting in a lower velocity flow over
the drowned weir. The computed flow velocity also
allowed an estimation of floating debris force impact-
ing on the gate and bridge structures to be made.
4.4.3 Bridge piers
Very often there are road or service bridges on top of
spillway crests. When the flood water level is high
enough, the effects on the piers and even on the bridge
decks will need to be investigated. The drag loads and
flow velocities can be determined from the CFD model.
When the bridge piers are located upstream of the spill-
way crest – for example, Wivenhoe auxiliary spillway
and Tullaroop existing spillway – the model will need
to be extended far enough to capture the pier effects.
Depending on the grid resolution around the piers,
vortex shedding may or may not be captured. However,
Figure 6. Velocity vectors showing re-circulation of flow
in the base of the plunge pool.
it is possible to use a sub-modelling technique to fur-
ther study this effect.
Note that the influence of the stop-log slots on the
flow had been included in the models where applicable.
4.4.4 Plunge pool and stilling basin integrity
When the model includes a sufficient extent of the
downstream structure, the analysis was able to predict
the occurrence of a hydraulic jump for the appropriate
head and tail water condition.
The model can also reveal the flow behaviour in
the plunge pool. Some flow re-circulation in the
plunge pool was predicted for the Wivenhoe existing
spillway (Fig. 6). Velocity and pressure profiles can
be extracted for structural integrity assessment. For
instance, concrete floor slabs can be lifted if they are
not secured down adequately.
4.5 Overtopping of chute walls
The potential for overtopping of the existing spillway
chute walls under the raised probable maximum flood
(PMF) was investigated for the Blowering spillway.
The CFD analysis was able to model the superposi-
tion of diagonal shock waves for supercritical flow in
the long spillway chute downstream of the ogee crest.
The ability to model this behaviour correctly was con-
firmed by modelling several “classical” problems with
known solutions suggested by Chow (1959) and
USACE (1994).
From the computed flow height the extent of chute
wall raising required to contain the discharging water
was determined. If the fast flowing water is allowed to
overtop the chute walls, the water may potentially erode
the wall’s backfill and the embankment fill, thus
undermining the stability of both the wall foundation
and embankment dam. Details of this analysis can be
found in Ho et al. (2005).
4.6 Erosion
Some spillways were constructed by rock excavation in
the mountain side, and sometimes the rock cuts were
not lined with concrete for erosion protection.
Increased flood levels, combined with higher discharge
velocities, may potentially cause these unprotected
957
Figure 7. Section through centre of bay showing the baffle
deflects water away from the underside of the gate’s skin plate.
rock faces to erode. As part of the Tullaroop Dam
safety assessment, the velocity profile adjacent to the
rock face in the approach channel of the spillway was
obtained from the numerical model to aid geotechni-
cal/geological engineers to assess the erodibility of the
spillway walls. Although the code has sediment trans-
port capability to model erosion and deposition of
sediment, it was not required for this project.
It is anticipated the erosion model can be used to
study the progressive fill removal in a fuse plug spill-
way during a design flood event.
4.7 Other flow behaviours
In many of the models involving flow passing piers,
bow waves were observed to be coming off the
pier. However, their interaction was not as strong as
anticipated.
When a full 3D model encompasses upstream fea-
tures – for example, the Wivenhoe existing spillway
model – a second control section further upstream from
the spillway crest was observed from the computation.
When the tail water levels are sufficiently high sub-
merged spillway flow will occur. This submerged flow
behaviour was correctly captured for the Tallowa spill-
way. The results were found to follow the trend as
described in the USACE’s Hydraulic Design Criteria
(HDC).
4.8 Innovation
The numerical model allows design engineers to
“experiment” with innovative design to improve
hydraulic performance of existing or proposed spill-
way structures. For example, in order to prevent the
flood water from impacting the radial gate skin plate
in the raised position for the Wivenhoe existing spill-
way, different lengths of baffle plates were tested in the
model to see how the water could be deflected away
from the skin plate (Fig. 7). It was found to be feasible
and this option gave a cost saving of about $0.5 M
when compared with the solution of locking the gate
in a higher location (Gill et al. 2004).
Another example is the concept study to reduce the
excessive suction on the drum gate for the Warragamba

Figure 8. Re-profiled drum gate alleviated excessive suction
in the crest region but the resulting flow trajectory deemed not
acceptable.
Dam upgrade. A number of options such as re-profiling
the drum gate (Fig. 8), re-shaping the spillway crest,
installing a flow separator of different shapes and sizes
were investigated using the CFD model. Although some
of the concepts may provide the desired outcome for
the gate, engineering practicability is also an important
governing criterion.
5 BENEFITS
The numerical model enables engineers to gain a pro-
found understanding of the flow behaviour in the spill-
way. Obviously, this will depend on the amount of
details represented in the model.
Different “what-if ” scenarios can be performed and
depending on the speed of the central processing unit
of the computer, the results will be obtained in a rea-
sonable timeframe which is not unreasonable from the
overall project duration perspective.
In terms of cost saving, it has been reported that the
cost of numerical modelling is about 20 to 25% of the
cost of conducting a physical model testing for the
Wivenhoe Dam upgrade project (Chandler et al. 2003).
6 LIMITATIONS AND FUTURE
DEVELOPMENT
Based on the numerical modelling experience of spill-
ways, and from the practitioner’s point of view, we
have identified some limitations and suggested future
research and development needs.
Small scale or local behaviour such as formation of
eddies may not be captured in a large global model.
Refinement of the model typically leads to increased
958
run time. A sub-modelling approach may offer one
solution but the response will highly dependent on the
initial boundary conditions. Also, the time-averaged
RANS turbulent model will not accurately capture the
small scale behaviour. Therefore it is important to estab-
lish the scope of analysis and what information to
capture prior to setting up the model.
When modelling a low flood level discharge, the
volume of water involved is relatively small and the
grid resolution along the spillway must be fine enough
to capture the accurate flow behaviour. This will incur
a longer run time. One work around is to make the grid
finer in a progressive manner by utilising the “restart”
feature of the code which allows the variables to be
mapped from a coarse grid to a fine grid.
Further benchmark tests against established data or
design guides (USACE-WES, 1952) will provide add-
ition confidence of the analysis technique when apply-
ing to different situations or types of problems, for
example, an elliptical crest spillway.
Measurement of full scale performance will provide
data to validate against predictions made from the
modelling – whether using a scaled physical or numer-
ical model. However, capturing this data can be prob-
lematic because of the associated cost and limited
frequency of flood occurrence. It should be noted that
there will be a level of accuracy related to any kind of
measurement. This must be taken into account when-
ever result comparison is performed.
There are some capabilities of the analysis that have
not been fully tested to date. For example, modelling
the water trajectory from a ski jump or flip bucket,
and erosion simulation at the impact zone. It is antici-
pated future validation against physical test data will
be required.
Further investigation may include how wave action
and the direction of the upstream approach flow will
affect the spillway discharge characteristics. Also, how
air entrainment can be accurately modelled.
It is inevitable that information technology will
continue to improve in the future. Fast computers and
parallelized CFD codes will become more accessible
to engineers. The role of physical modelling will need
to be reappraised. Although physical models will still
provide valuable information, it is anticipated that
numerical models may be routinely used during the
initial phase of design or feasibility study. When the
preferred solution is selected, the physical model may
serve to confirm design expectation. This computer-
aided rapid prototyping approach is already a common
practice in the automotive and aerospace industries.
7 CONCLUSIONS
The use of numerical modelling of eight spillway
upgrade projects in Australia demonstrated that it is a
viable technology. The benefits gained from these
experiences have been highlighted. Some current limi-
tations have been identified and future research and
development suggested. It must be emphasized that
this technology must be treated like any other numer-
ical design tool or design calculation – it is not a sub-
stitute for competent engineering experience and sound
judgment.
ACKNOWLEDGEMENT
The authors wish to thank the following organisations
for their permission to publish some of the analysis
results in this paper: NSW Department of Commerce,
URS Australia Pty Ltd, State Water NSW, the Wivenhoe
Alliance, Goulburn Murray Water Corporation, and
Sydney Catchment Authority.
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 ts
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Predicting submergence effects for labyrinth weirs

B.P. Tullis
Utah Water Research Lab, Utah State University, Utah, USA

J.C. Young
MWH Americas Inc., Utah, USA

M.A. Chandler
Bowen & Collins, Utah, USA

ABSTRACT: Low-head labyrinth weir control structures installed on mild sloping channels or where the
channel downstream of the weir is constricting and/or heavily vegetated can experience submergence. Weir sub-
mergence occurs when the tailwater surpasses the weir crest elevation, causing an increase in the upstream driv-
ing head for a given discharge, relative to a free discharge condition. In 1947, James R. Villemonte published a
widely accepted method for predicting submerged head-discharge relationships for linear weirs. For lack of a
better alternative, Villemonte’s relation has more recently been recommended to predicting submerged labyrinth
weir performance. A new dimensionless submerged head relationship developed in this study is presented for
submerged labyrinth weirs. Relative to Villemonte’s relationship applied to labyrinth weirs, the new submerged
labyrinth weir relationship reduced predictive errors from 22% (maximum) 8.9% (average) to 6.8% (maximum)
and 2.6% (average), relative to the experimental data.

1 INTRODUCTION other and have been proven to a reasonable degree of

Weir structures are commonly used for discharge con-
trol in reservoir spillways. A weir structure can also
serve as both spillway and dam in low-head reservoir
applications. Typically, weirs are designed for free-flow
conditions, meaning the surface of the tailwater is
below the weir crest. When the tailwater exceeds the
crest elevation, the weir is submerged.
As would be expected, the head-discharge relation-
ship of a weir is affected by submergence. Relative to a
free-flow condition, a higher upstream head is required
to pass a given discharge in a submerged condition for
smaller upstream storage applications. In cases where
the upstream reservoir storage is extremely large, a
submerging tailwater will cause a decrease in weir
discharge, referred to here as a flow reduction factor,
with no significant increase in the upstream head.
Submergence is more likely to be of concern when low-
head control structures are installed on mild sloping
rivers or spillways with constrictions and/or heavy
vegetation downstream of the control structure.
A number of relationships exist for predicting the
hydraulic performance of submerged linear weirs.
These relationships are fairly consistent with each
accuracy. No relationship, however, were found in the
literature for accurately predicting the hydraulic per-
formance of submerged labyrinth weirs could be
found. This study provides a relationship for predict-
ing the hydraulic performance of labyrinth weirs in a
submerged condition.
2 BACKGROUND
Considerable research has been reported describing
submergence effects on the hydraulic performance of
linear weirs, however, little published information
could be found regarding the effects of submergence
on labyrinth weirs. Early researchers of labyrinth weir
hydraulics neglected detailed research of submer-
gence effects stating that such structures should not
be designed for these conditions (Taylor, 1968). The
significant increase in flow capacity of labyrinth weirs,
relative to linear weirs of the same width, however,
has resulted in a wider variety of labyrinth weir appli-
cations, including applications where submergence is
a factor. This research was inspired by just such an
application.

961

Figure 1. Free-flow and submerged weir parameters and
nomenclature.
2.1 Weir basics
The head-discharge relationship of a weir relates the
weir discharge to the upstream head require to pass
that flow rate. For free-flow conditions, this relation-
ship is influenced primarily by crest shape, upstream
depth, weir height, and weir length (Falvey, 2003). The
weir head-discharge relationship used in this study is
presented in Equation 1.
(1)
In Equation 1; g is the gravitational acceleration con-
stant; L is the weir crest length; Ho is the upstream
total head, relative to the weir crest elevation; and Cd
is the discharge coefficient, which can vary with weir
type, crest shape, and flow condition. In some cases,
Ho is replaced with ho, the upstream piezometric
head, neglecting the velocity head. For applications
with an appreciable approach velocity, the value of
the discharge coefficient can vary with upstream head
definition. When solving Equation 1 in terms of Ho for
flow rate, an iterative solution is required. The results
of this study are presented in terms of total head. The
work of previous researchers is discussed in the terms
of their definition of upstream head.
Figure 1 illustrates the free-flow and submergence
weir parameters and notations relevant to this study.
All of the head terms are defined relative to the crest
elevation. For a submerged flow condition, H* is
the total upstream head, h* is the piezometric head
upstream, and Hd and hd are the total and piezometric
downstream head, respectively. H0 and h0 are the total
and piezometric upstream heads, respectively, associ-
ated with free-flow over the weir (no submergence
effects). The results of previous investigations will be
discussed using these parameters and nomenclature.
2.2 Weir submergence
Several researchers, including Fteley & Sterns (1883),
Francis (1884), Bazin (1894), Cox (1928), and
962
Villemonte (1947), have developed relationships
describing the effects of submergence on the hydraulic
performance of linear weirs. Villemonte developed a
widely accepted and commonly used relationship for
submerged sharp-crested, linear weirs. Like that of
the other researches, Villemonte’s relationship deter-
mines a flow reduction factor, QS/Q1, for submerged
sharp-crested linear weirs as a function of a submer-
gence ratio, hd/h*. QS and Q1 are the submerged and
free-flow discharge rates, respectively, associated
with a driving head equal to h*.
Villemonte performed submergence testing on 7
different sharp-crested linear weir geometries; sym-
metrical proportional, parabolic, triangular, cusp par-
abolic, rectangular full-width, and two rectangular
contracted weirs with different contraction ratios.
Using a simplifying assumption Villemonte devel-
oped Equation 2 for predicting the hydraulic perform-
ance of sharp-crested linear weirs in a submerged
condition.
(2)
The exponent in Equation 2 was determined based on
the experimental result of the submergence testing.
Villemonte reported that, relative to his sharp-crested
linear weir experimental submergence data, Equation
2 had an accuracy of 3% in predicting the flow reduc-
tion factor.
One of the reasons given by early labyrinth weir
researchers for neglecting research of submergence
was the assumption that the effect of submergence
would be much greater on labyrinth weirs than on lin-
ear weirs, and as such, labyrinth weirs should not be
designed for such conditions. Through experimen-
tation, Taylor (1968) experimentally disproved that
assumption. In general, he found that the effect of sub-
mergence on labyrinth weir discharge was less than
for linear weirs. He also found that similar, to linear
weirs, downstream water levels do not affect the
labyrinth weir performance until reaching the crest ele-
vation. Taylor (1968) drew no further significant con-
clusions from his results.
Taylor (1968) used Equation 2 in his comparison
of submerged linear weir performance to submerged
labyrinth weir performance. In his work he suggests
that the Villemonte equation can be used in designing
a labyrinth weir where submergence may be unavoid-
able, arguing that its predictions, relative to labyrinth
weir submergence, are conservative.
Falvey (2003) further analyzed Taylor’s (1968)
experimental results to test the applicability of Equation
2 for predicting submerged labyrinth weir perform-
ance. Falvey’s (2003) analysis confirms that, in terms
of capacity (head required to pass a given flow), using
Equation 2 does indeed provide conservative predic-
tions; however, in the lower h/P where labyrinth weirs
are typically designed to operate, significant devia-
tion from data exists. As such, he recommends that
further research be conducted on the hydraulic per-
formance of submerged labyrinth weirs.
The appropriateness of applying a flow reduction
factor, such as Equation 2, to a submerged weir prob-
lem is dependent upon the amount of upstream stor-
age volume, relative to the change in volume associated
with inflow and outflow hydrographs. For example, the
water storage volume in an irrigation canal upstream
of a weir is typically minimal. If the weir becomes
submerged, instead of reducing the discharge over the
weir, the upstream head will increase to the level
required to pass the flow rate in the canal over the
submerged weir. As upstream storage capacity tends
towards infinity, the flow reduction factor becomes
more appropriate.
In practice, the discharge information for larger flow
control structures (i.e., spillways) is typically deter-
mined using hydrologic data and computer programs.
Subsequently, in hydraulic structure design, the flow
rate is often the independent variable and the corre-
sponding upstream head is the dependent variable in
the head-discharge relationship, Equation 1. As such,
the experimental results in this study, for the most part,
are presented in terms of a dimensionless upstream
head magnification, H*/Ho, rather than flow reduc-
tion for submerged linear and labyrinth weirs. It
should be noted, however, that with the proper data
and equations, it is possible to convert head magnifi-
cation factors to flow reduction factors and vice versa.
3 EXPERIMENTAL METHOD
Three labyrinth weirs of differing geometries were
tested for this study. A linear sharp-crested weir was
also tested to allow for a comparison of the methodol-
ogy developed in this study to the methodology of
previous researchers.
The three labyrinth weirs had half-round crest shapes
(the crest was rounded on the upstream and down-
stream edges with the radius of curvature equal to half
the weir wall thickness). The labyrinth geometries were
determined by varying the sidewall angle () and main-
taining a constant cycle width (w). The labyrinth weirs
tested had sidewall angles of 7°, 8°, and 20°, with
crest lengths (L) of 7.97 m, 7.03 m, and 3.07 m, respec-
tively. All other weir parameters effecting discharge
capacity were consistent between the three weirs
tested. The labyrinth weir testing was conducted in a
1.22 m wide by 0.91-m deep by 7.3-m long rectangu-
lar flume. Figure 2 demonstrates a 2-cycle labyrinth
weir like those tested in this study, and shows the per-
tinent parameters. The sharp-crested, linear weir was
963
Figure 2. Typical geometric parameters for labyrinth weirs.
0.32 m tall and was installed in a 0.91 m wide by
0.61 m deep by 7.3-m long rectangular flume.
Testing proceeded as follows. A flow rate, which
was determined using a calibrated orifice meter, was
established in the flume. The upstream water surface
then measured, and the upstream total head, Ho, deter-
mined for a free-flow condition. While maintaining a
constant flow rate, the tailwater level, hd, was increased
incrementally to create a range of submergence con-
ditions. The corresponding upstream and downstream
total heads (H* and Hd) were determined for each
submerged flow condition.
4 EXPERIMENTAL RESULTS
4.1 Linear weir results
Thirty separate submerged sharp-crested linear weir
tests were conducted. A flow reduction factor, QS/Q1,
consistent with the flow rate definitions used by
Villemonte (1947), was calculated for the experimen-
tal submergence data and compared to the results pre-
dicted by Equation 2. The experimental data correlate
well with Villemonte’s relationship.
The experimental submerged linear weir data were
also analyzed by comparing the submerged upstream
total energy, H*, normalized by Ho, the upstream total
head for the same flow rate under free-flow condi-
tions, with the downstream submergence total energy,
Hd, normalized by Ho. This provides a set of dimen-
sionless parameters for analysis. The results are pre-
sented in Figure 3.
In addition to the fact that the submerged linear
weir data for the four different flow conditions essen-
tially plot on a single curve, the shape of the curve in
Figure 3 has some intuitive features. As Hd/Ho or the
submergence level goes to zero, the tailwater elevation
approaches the weir crest elevation and the submerged
upstream head approaches the free-flow condition
(i.e., H*/Ho  1). As the level of submergence, Hd/Ho,
 5.0 5.0

4.5 4.5

4.0 4.0

3.5 3.5

3.0 3.0

H*/Ho
H*/Ho

2.5 2.5

2.0 2.0
Ho/P=0.95
1.5 RelationshpFCurv
1.5 Ho/P=0.182
AnSidewal gle=7d g
Ho/P=0.345 1.0
1.0 AnSidewal gle=8d g
Ho/P=0.542
0.5 AnSidewal gle=20d g
0.5 RelationshpFCurv
0.
0.
0. 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
0. 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0
Hd/Ho
Hd/Ho

Figure 4. Dimensionless relationship describing sub-

Figure 3. Dimensionless relationship describing submerged
merged labyrinth weir performance.
linear weir performance.

Table 1. Accuracy of H*/Ho  f(Hd/Ho) compared to

using the Villemonte relationship, Equation 2, in predicting
increases, the value of H*/Ho asymptotically approaches
total upstream head on a submerged labyrinth weir.
the 45° angle line, shown in Figure 3. When the sub-
mergence data coincide with the 45° angle line in Error
Figure 3, the upstream head, H*, will be equal to the
downstream head, Hd, and the submerged weir will no Villemonte’s H*/Ho  f(Hd/Ho)
longer function as a control. Labyrinth relationship relationship
For a submerged flow condition, the data in Figure weir side-
3 can be used along with a known flow rate and tail- wall angle Max (%) Avg (%) Max (%) Avg (%)
water depth to determine the corresponding upstream
total head and flow depth. Even though Equation 2 is 7° 18.5 12.5 "4.9 "1.9
8° 22.8 10.6 "6.8 "2.6
presented in terms of a flow reduction factor, the same 20° 10.9 4.8 3.4 2.0
calculation can be made using Equation 2. H* values
predicted using either Villemonte’s method, Equation
2, or the method developed in this study, Figure 3, had
maximum errors of approximately 2%, relative to the As previously mentioned, to date, Equation 2 stands
experimental data. as the only suggested method for predicting submerged
labyrinth weir performance. As such, for comparison
purposes, it was used to calculate an upstream head
corresponding to the experimental labyrinth weir dis-
4.2 Labyrinth weir results
charge and tailwater data. Table 1 summarizes the errors
Submergence tests were conducted for each labyrinth associated with predicting submergence (H*) using
weir configuration (i.e., 7°, 8°, and 20°) for various both Equation 2, and the dimensionless submerged
flow rates and submergence levels. The experimental head relationship shown in Figure 4.
submerged labyrinth weir data were also analyzed Figure 5 shows the dimensionless submerged head
using the same dimensionless submerged head param- relationships developed in this study for both the
eters used with the linear weir. The results are pre- labyrinth and the linear weirs. The relationships are
sented in Figure 4. very similar. Consistent with Taylor’s findings (Taylor
The submerged labyrinth weir data plotted in Figure 1968), the data in Figure 5 suggest that the labyrinth
4 show similar features to the submerged linear weir weir appears to be less influenced by submergence
data in Figure 3, in that submerged upstream head than the linear weir. The data in Figure 4 show little
approaches the free-flow head as the submergence variation in submergence effects between the 7°, 8°,
level, Hd/Ho, goes to zero (no submergence effects) and 20° sidewall angle labyrinth weirs. As the labyrinth
and the tailwater depth approaches the head water depth weir sidewall angle approaches 90°, the submergence
as the submergence levels increase. With a sufficient performance will approach that of the linear weir.
level of submergence, Hd will equal H* and the To use the labyrinth or linear weir dimensionless
labyrinth weir will cease to function as a control. submerged head relationships presented in this study,

964
 4.0
3.5
3.0
2.5
H*/Ho
2.0
1.5
1.0
RelationshpWrLby
0.5 RelationshpWrL
0.
0. 0.5 1.0 1.5
Hd/Ho
Figure 5. Comparison of labyrinth and linear weir relation-
ships.
a free-flow head-discharge relationship for that weir
is required. Significant amounts of data have been
published regarding sharp-crested linear weir head-
discharge relationships under free-flow conditions,
including Rehbock (1929). Tullis et al. (1995) pre-
sented a method for determining free-flow head-dis-
charge relationships for labyrinth weirs.
5 APPLICATION
5.1 Lake Brazos Dam
Recently, a method for accurately predicting submer-
gence effects on labyrinth weirs was need for a project
on the Brazos River in the state of Texas, USA. Project
engineers for the Lake Brazos Dam Replacement
Project selected a labyrinth weir spanning the entire
width of the river channel to replace an existing
embankment dam and gated spillway. The site is such
that submergence of the dam occurs frequently. The
reservoir created by the dam runs through the middle
of the City of Waco, TX. Thus, accurate predictions of
the water level upstream of the dam were very impor-
tant for flooding purposes. Experimentation for this
project was used to predict the effects of varying
degrees of submergence on headwater elevations. For
purposes of demonstration a hypothetical design prob-
lem has been developed in which the methodology
presented in this paper is used to predict the effects of
submergence in such a situation.
5.2 Design problem
Given: A large river runs along the outskirts of a metro-
politan area that is surrounded by a farming community.
Just downstream from the metropolitan area the river
channel becomes considerably wider and has been
dammed by local farmers for flood control and irriga-
tion purposes. On the crest of the dam is a labyrinth
weir. The design storm has a flow rate of 280 m3/s and
will require an upstream depth of 0.6 m relative to the
weir crest. The weir height is 3 m and the upstream
apron width is 92 m wide. The downstream channel
has been narrowed recently due to alterations by
encroachment of local businesses. Preliminary calcu-
lations indicate that the tail water may rise to a depth
of 0.25 m above the crest of the labyrinth weir. The
upstream river channel will allow the design storm to
pass with approximately 0.6 m of freeboard in a free
2.0 2.5 3.0 3.5 4.0 discharging situation. The farmers want to know if the
submerged condition on the weir will cause the river
to exceed its bank.
Solution: The total upstream head in a non-
submerged condition is calculated by dividing the
total flow (Q  280 m3/s) by the cross-sectional area
((3  0.6) x 92)m2. The resulting velocity is 
0.85 m/s, which corresponds to a velocity head
(v2/2 g) of 0.036 m. The free-flow discharge total
head (Ho) is 0.636 m (0.6 m  0.036 m). The down-
stream head (Hd) is given as 0.25 m. The ratio of
downstream head (Hd) to upstream free-flow head
(Ho) is 0.25/0.636  0.39. This value of Hd/Ho can be
found on Figure 5 to correspond with an H*/Ho of
approximately 1.02. Therefore a value for H* can be
calculated by multiplying 1.02 by the Ho value of
0.636, which yields an H* value of:
(3)
After solving for H*, the solution to find water sur-
face elevation becomes iterative. By substituting the
original velocity head and total energy head (H*) just
solved for, as a first guess, into the equation:
(4)
The resulting value of h* (upstream piezometric
head) is h*  0.615 m (H*  0.651 m, v  0.85 m/s).
This value is then placed in the flow equation:
(5)
Where Q  280 m3/s and A  ((3  0.615) x
92)  332.58 m2. The resulting velocity value is v 
0.842 m/s. After iterating the velocity converges to
0.842 m/s. This results in a velocity head (v2/2 g) of
0.036 m, with a corresponding piezometric head (h*)
of 0.615 m. The resulting change in the upstream
reservoir depth, due to submergence, is 0.015 m. This
increase in upstream water surface elevation is rela-
tively small and leaves 0.585 m of freeboard in the
channel upstream.
965
6 CONCLUSIONS
Methods developed in this study, using dimensionless
submerged head parameters, can be used to predict
submerged linear and labyrinth weir head-discharge
relationships. Based on the results of this study, the
following conclusions can be made:
– The dimensionless submerged head relationships
developed in this study are consistent with the find-
ings reported by previous researchers (Taylor 1968),
in that submergence does not begin until the tail-
water exceeds the crest (Hd/Ho>0).
– As the tailwater continues to increase, eventually the
tailwater will equal the headwater and the structure
will no longer function as a control (Hd  H*).
– The dimensionless submerged head relationships,
shown in Figure 3, developed for sharp-crested lin-
ear weirs, predict submergence conditions with an
accuracy equivalent to that of the Villemonte rela-
tionship (Villemonte, 1947), Equation 2.
– Villemonte’s submerged linear weir relationship
(Villemonte 1947), Equation 2, does not accurately
predict submerged labyrinth weir performance (22%
maximum and 8.9% average errors).
– Submerged labyrinth weir performance can be
accurately described (6.8% maximum and 2.6%
average errors, relative to experimental data) using
the dimensionless submerged head parameters
H*/H0 and Hd/H0. This relationship appears to be
relatively independent of labyrinth weir sidewall
angle, based on the geometries tested (i.e., sidewall
angles 7° to 20° with half-round crest shapes). As
the sidewall angle increases, however, the sub-
merged labyrinth weir performance must eventu-
ally approach that of the linear weir, as shown in
Figure 5.
– The dimensionless submerged head relationships
provide a more intuitive description of many sub-
merged weir applications, relative to the flow reduc-
tion approach. With the exception of submerged
weirs with very large upstream impoundments, once
equilibrium has been reached, the submerged flow
rate will equal the free-flow discharge and the
upstream head, H*, will increase to pass the required
flow rate.
– The range of variation in the dimensionless sub-
merged head relationship for labyrinth weirs with
966
sidewall angles between 20° and 90° is bracketed
by the difference in the labyrinth and linear weir
relationships, as illustrated in Figure 5. As the side-
wall angle of a labyrinth weir increases, the sub-
mergence performance should eventually approach
that of a linear weir.
Additional research is recommended to investigate the
appropriateness of the dimensionless submerged head
method to other weir structures, such as ogee-crest
and broad-crested weirs. The influence of variations
in labyrinth weir crest shapes on submergence, though
assumed to be small, should also be further investi-
gated.
ACKNOWLEDGMENT
Funding for the study was provided, in part, by the
State of Utah through the Utah Water Research
Laboratory and Freese and Nichols, Inc., Austin, TX.
REFERENCES
Bazin, H. 1894. Experiences nouvelles sur l’ecoulement en
deversoir. Annales des Points et Chaussees, Memoires et
Documents (7e Serie) Tome VII.
Cox, G.N. 1928. The submerged weir as a measuring device.
Bulletin of the University of Wisconsin, Engineering
Experiment Station (Series No. 67): 153.
Falvey, H.T. 2003. Hydraulic design of labyrinth weirs.
Virginia: ASCE Press.
Francis, J.B. 1884. Experiments on the flow of water over
submerged weirs. American Society of Civil Engineers
Transactions 13:303–312.
Fteley, A. & Stearns, F.P. 1883. Description of some experi-
ments on flow of water made during the construction of
works for conveying water of Sudbury River to Boston.
American Society of Civil Engineers Transactions 12:
101–108.
Rehbock, T. 1929. Hydraulic laboratory practices: 111–242.
New York: American Society of Mechanical Engineers.
Taylor, G. 1968. The performance of labyrinth weirs. PhD
thesis, University of Nottingham, Nottingham, England.
Tullis, J.P., Nosratollah, A. & Waldron, D. 1995. Design of
labyrinth spillways. American Society of Civil Engineering,
Journal of Hydraulic Engineering 121(3): 247–255.
Villemonte, J.R. 1947. Submerged weir discharge studies.
Engineering News Record December: 866–869.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Badoosh dam-break hypothetical using HEC-RAS

Ali Hussein Dahir

Chief Engineer, Hydrological Studies Center, Ministry of Water Resources, Iraq

ABSTRACT: Catastrophic flash flooding occurs when a dam is breach and the impounded water escapes
through the breach into the downstream valley. Usually the response time available for warning is much shorter
than for precipitation-runoff floods. Dam failures are often caused by overtopping of the dam, due to inadequate
spillway capacity during large inflow to the reservoir from heavy precipitation-runoff. Dams failure may also be
caused by seepage or piping through the dam or along internal conduits, slope embankment slides, earthquake
damage, and any other reasons. In this study HEC-RAS 3.1.3 is used to simulate the unsteady flow for Badoosh
Dam-Break, obtaining the flood parameters, such as, max. discharges, max. flood elevations, rescue boundary,
and warning time curve for selected cross-sections downstream Badoosh dam.

1 INTRODUCTION

When a dam fails the impounded water is released, and

catastrophic flooding occur in the downstream valley.
The U. S. Army Corps of Engineers has estimated that
within the United States there are approximately 50,000
dams with heights greater than 7.6 m (25 ft.) or storage
is excess of 62,000 m3 (50 acre-ft.) (French, 1985).
They further classified 20,000 of these dams as beings
located, such that the failure of the dam would result in
loss of human life and/or significant property damage.
In many countries, so as in Iraq, law demands the
determination of the wave parameters, that would fol-
low the collapse of the wave parameters, that would
follow the collapse of every large dam, in order to
organize the defense of inhabitants and structures in
the vally downstream. Figure 1. Badoosh dam location.
Badoosh dam is located on Tigris River, approxi-
mately 40 km. downstream from existing Mosul Dam Keeping in mind, this is the first time applying
and approximately 15 km. upstream of the city of HEC-RAS program for studying the unsteady flow
Mosul, as shown in Fig. (1). It comprises earth fill dam, and forecasting the flood due to dam-break in Iraq.
and concrete structure with a spillway, bottom outlets,
power plant, and fish ladder. Badoosh dam was planned 2 HEC-RAS
to serve the purpose of flood production against the
effect of the potential Mosul dam failure and to be The U. S. Army Corps of Engineers River Analysis
used for power generation. System (HEC-RAS) developed by the Hydrologic
The objectives of this study are to determination of Engineering Center. This software allows to perform
peak discharge, and peak flood elevation that would one-dimensional steady flow and unsteady flow cal-
follow a hypothetical collapse of Badoosh dam using culation (HEC, 2002).
HEC-RAS program, and to determine the rescue ele- HEC-RAS is an integrated system of software,
vation for the 64.5 km. river reach from dam axis to designed for interactive use in a multi-tasking envi-
Tigris-Greater Zab junction through Mosul city. ronment. The system is comprised of a Graphical User

967
Interface (GUI), separate hydraulic analysis compo-
nents, data storage and management capabilities, graph-
ics and reporting facilities.
HEC-RAS can be used to model both overtopping
as well as piping failure breaches for earth fill dams.
Additionally, the more instantaneous type of failures
of concrete dams (generally occurring from earth-
quakes) can also be modeled. The resulting flood wave
is routed downstream using the unsteady flow equa-
tions (HEC, 2002).

3 BREACH FORMATION

An overtopping breach was assumed with final for-

mation data as in below:
Figure 2. Badoosh dam-break initial condition.
Final bottom width: 348 m.
Final bottom elevation: 229 m.a.s.l.
Breach side slope: 1 V: 1.04 H.
Dahir studies Badoosh breach formation and found
that the earth fill embankment will erode horizontally
at the rate of (1.6 m./min.) and vertically erode at a rate
of (0.25 m./min.), that’s lead the total required time
for final breach formation will be about 5.5 hr. start-
ing from elevation 312 m.a.s.l. which is the dam top
elevation (Dahir, 2000).

4 STUDY REACH AND CROSS-SECTIONS

The study reach is approximately 64.5 km. only, begin- Figure 3. Badoosh dam-break upstream boundary condition.
ning from Badoosh dam, ending in the junction of the
Greater Zab river, include 29 cross-sections, which
have been, used in the computation, they are located at
average distance of about 2200 m. with Manning’s
roughness coefficients (0.027) for the main channel
and (0.04) outside main channel, (Dahir, 2000). Addi-
tional cross-section will be generated during program
running.

5 INITIAL AND BOUNDARY CONDITIONS

5.1 Initial condition

In case of the analysis of effects arisen on the down-
stream reach due to the Badoosh dam-break, the initial
condition is the minor importance because the initial
values have been surpassed, at least, for the order
of magnitude when such a flood wave is emerging.
Therefore, Fig. (2) shows the initial condition assumed
to be equal to 3210 m3/sec (Dahir, 2000).
5.2 Boundary conditions
The upstream boundary condition is specified hydro-
graph at the reservoir inlet for instantaneous total
Figure 4. Badoosh dam-break downstream boundary
condition.
dam-break. The outflow hydrograph shown in Fig. (3),
which is represents the upstream boundary condition
for this study.
While, Fig. (4) is represents the downstream
boundary condition for this study, which is the rating
curve at the end of the reach.

968
Table 1. Resulting data for selected cross-section.

Time to
Distance from Max. flow Time to Max. Max. W.S3 Max. W.S
R.S1 C.S2 Dam (km) Location (m3/sec) flow (hr:min) m.a.s.l. (hr:min)

29 1 0.000 Dam axis 439999 5:30 270.57 5:32

19 11 22.388 Beginning of Mosul City 396310 6:14 247.64 7:20
17 13 28.438 Mosul City 380743 6:32 244.09 7:32
15 15 32.288 End of Mosul City 373519 7:14 242.54 7:38
9 21 44.546 Al-Hammam Cement Plant 370635 7:46 225.94 7:52
7 23 47.816 Al-Hammam town 369562 7:54 222.08 7:58
2 28 60.781 Thermal power station 366653 8:30 213.22 8:30
1 29 64.220 End of study reach 366566 8:30 205.75 8:30

1 R.S: River Station starting from the end of study reach to the dam direction.
2 C.S: Cross-Section number.
3 W.S: Water Surface elevation.

Figure 5. Discharge-elevation hydrographs for tigris river Figure 7. Water surface profiles – part 1.
at Mosul city.

hydrographs at the middle of Mosul city, can be shown

Figure 6. Maximum water surface elevation.
6 RESULTS AND CONCLUSIONS
The discharge and water surface elevations results for
selected cross-sections on Tigris River (study reach)
are present in Tab. (1) (in the end of paper).
While, the discharge-elevation hydrographs at cross-
section no. 13 (R.S no. 17), which represent the
in Fig. (5).
While, Fig. (6) represents the maximum water sur-
face elevation for the study reach.
Fig. (7) shows the water surface profiles for the
study reach at different times (0, 2, 4, and 6) hr after
breach start forming. On the other side, Fig. (8) shows
the water surface profiles at (8, 10, 12, and 14) hr
after breach formed.
From results above, one may notice that maximum
water level do not occur at the same time of peak dis-
charges, and due to a pronounced drop in maximum
water level can be observed at local narrow places.
Maximum wave height, which is defined as differ-
ence between maximum water level and normal water
level, and contraction in cross-section cases the flow
to accelerate.
The most important thing, that the situation of Mosul
city, which is the second bigger city in Iraq, from those
results we can see that the maximum water surface will
be at 244.09 m.a.s.l., which is mean that the water sur-
face will rise about 19 m. above the river bank, that’s
lead to flood most of Mosul city after about 7.5 hr.

969
 REFERENCES

Dahir, Ali H., 2000, “Hypothetical Failure of Sennacherib

Dam”, M. Sc. Dissertation, Baghdad University,
Engineering College.
French, R. H., 1985, “Open Channel Hydraulic”, McGraw-
Hill, Inc., USA.
HEC, 2002, “HEC-RAS River Analysis System User’s
Manual”, US Army Corps of Engineers, Hydrologic
Engineering Center, Davis, CA 95616, USA.
Swiss Consultants, 1984, “Mosul Flood Wave”, Limited
Distribution.

Figure 8. Water surface profiles – part 2.

Rescue levels is an elevation that is considered safe

from flooding. It is usually taken from 1 to 4 meters
above the maximum computed water level, (Swiss
Consultants, 1984). Two meters were selected and
rounded to the next full meter for the area down-
stream of Badoosh dam on the study reach.

970
 ts
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New seepage-related design graphs for rock-fill dams

A. Soleimanbeigi
Department of Civil Engineering, Shiraz University, Shiraz, Iran
Department of Embankment Dam Design, Moshanir Company, Tehran, Iran

F. Jafarzadeh
Department of Civil Engineering, Sharif University of Technology, Tehran, Iran
Department of Embankment Dam Design, Moshanir Company, Tehran, Iran

ABSTRACT: Seepage analysis serves as one of the most significant stages in the design process of an
embankment dam. In two-dimensional (2D) seepage analysis of embankment dams, little or no attention is paid
to the widthwise flows from side abutments. Moreover, the role of grout curtain extensions into the side abut-
ments and abutment material properties are inevitably neglected when performing seepage analyses in 2D
plane. In this paper, two and three-dimensional (3D) models of a rock-fill dam are generated and several
unsteady and steady state seepage analyses are performed using finite element method (FEM). The results
obtained from 2D and 3D seepage analyses were compared with measurements from the instrumentation sys-
tem installed in the dam body and foundation. It is concluded that for embankment dams to be constructed in
narrow valleys, 2D seepage analysis results are far from the reality and considering 3D modeling of such dam
sites is vital. Several design graphs were developed to calculate 3D discharge rates and hydraulic gradients from
those obtained from 2D seepage analysis.

1 INTRODUCTION 2 MATERIAL AND SITE CHARACTERISTICS

The study of 77 embankment dam failures occurred in The dam considered in this study is an earth core rock-
the United States until early 1980s indicates that seep- fill dam (ECRD) called Masjed-E-Soleiman (MES)
age piping accounts for approximately 50% of all dam dam located in South-West Iran. The dam is 177 m high
failures the majority of which progress within the dam with 490 m crest length. Figure 1 shows an aerial view
embankment and foundation (Engemoen, 2003). When of the dam at the end of first impounding and Figure 2
seepage rates or hydraulic gradients increase unex- illustrates the typical cross section of the dam.
pectedly undesirable conditions may prevail to progress
the piping or internal erosion that leads to dam insta-
bility or ultimate failure. Despite several measures
incorporated in the design process to control seepage
and piping, inaccurate assessment of seepage rates,
pressure heads and hydraulic gradients lead to improper
design of seepage controlling elements. In this case
study, two and three-dimensional model of a rock-fill
dam were developed and several unsteady and steady
state seepage analyses were performed. Variation of
pressure heads, discharge rates, hydraulic gradients and
water levels in downstream parts were investigated and
the data acquired from the instrumentation system were
utilized to verify the obtained results. In addition, a
comparison was made to evaluate the quantitative dif-
ference between two and three-dimensional analyses
results and actual data measured by different instru- Figure 1. Masjed-E-Soleiman rock-fill dam during first
ments installed in the dam body and foundation. impounding.

971
Figure 2. Typical cross section of MES dam.

Figure 3. Longitudinal profile of grouting curtain for MES dam.

The foundation treatment method for seepage con-

trol consists of a grout curtain constructed along the
dam axis in two lines grouting boreholes with 1.5
meter spacing illustrated in Figure 3.
The monitoring of the dam behavior was based on
the measured data from various instruments installed
in the dam body and foundation. Some instruments,
mainly those installed in upstream part of clay core,
malfunctioned or were damaged during construction
or first impounding (noted in Report on Review of
Masjed-E-Soleiman Dam Behavior). Most seepage
instrumentation systems are installed in four cross
sections, A, B, C and D of the dam except Groundwater
observation wells, GOs, and Casagrande piezometers,
CPs, as illustrated in Figure 4. Table 1 summarizes the
location of Stand-pipe piezometers, SPs, installed in
the foundation.
The permeability of rock mass as a function of depth
were investigated by carrying out 106 Lugeon tests in
five boreholes. A total of 41 tests were performed at
depths of less than 50 m, 31 tests at depths of less than Figure 4. Instrumentation plan for seepage analysis.

972
Table 1. Locations of seepage instruments installed in the Table 3. Permeability coefficient of embankment materials.
dam body and foundation.
Material Permeability (m/sec) ky / kx
Chainage Offset Elevation
Number Instrument (m) (m) (m) 3A/C 1  10
3 1
3B 1  10
5 1
1 SP-1 105.1 25.0 U/S* 217.0 2C 1  10
5 1
2 SP-2 105.2 17.0 D/S* 230.0 2A/B 1  10
5 1
3 SP-3 123.4 23.0 D/S 250.3 Core 1  10
8 0.1
4 SP-4 160.0 20.0 U/S 231.0 Grout Curtain 5  10
7 1
5 SP-5 160.0 20.0 U/S 205.0
6 SP-6 160.0 18.0 D/S 214.0
7 SP-7 160.0 21.0 D/S 232.0 are determined as summarised in Table 3. Volumetric
8 SP-8 210.0 15.0 U/S 200.9
water content of clay core material,  , at zero pressure
9 SP-9 210.0 23.0 D/S 191.2
10 SP-10 260.0 12.0 U/S 168.2 head for the unsteady state analysis is considered 0.6
11 SP-11 260.0 6.0 U/S 178.2 that is the same as the soil porosity when the degree
12 SP-12 260.0 26.0 U/S 192.5 of saturation is 100%. The coefficient of volume
13 SP-13 260.0 9.0 D/S 206.0 compressibility, mw, was assumed to be 0.0001 for the
14 SP-14 310.0 13.0 U/S 209.3 saturated parts of the core.
15 SP-15 310.0 20.0 D/S 220.0
16 SP-16 359.8 17.0 U/S 225.1
17 SP-17 339.4 35.0 D/S 229.0
18 SP-18 359.9 17.0 U/S 199.2 3 THEORY
19 SP-19 359.9 24.0 D/S 218.1
20 SP-20 419.9 19.0 U/S 224.6 Seepage condition underneath or through an earth dam,
21 SP-21 420.2 14.0 D/S 230.7 is initially unsteady, however, after elapse of enough
22 SP-22U 446.5 13.6 U/S 255.4 time steady state seepage condition is eventually estab-
23 SP-22D 446.9 18.3 D/S 255.4 lished. The governing uncoupled formulation for
24 SP-23 478.7 28.3 U/S 338.1 unsteady state condition in 3D space is given by:
25 SP-24r 473.0 16.5 D/S 338.0
26 SP-25 491.0 40.0 U/S 335.2
27 SP-26 492.3 32.6 D/S 335.3
28 SPF-27 530.0 25.1 U/S 295.6
(1)
29 SPF-28 530.0 1.5 D/S 311.2
30 SP-29 572.4 15.8 U/S 335.3
31 SP-30 572.7 17.2 D/S 335.2
32 SP-31 620.0 29.7 U/S 335.2
33 SP-32 620.2 18.7 D/S 335.2 where kwx, kwy, kwz  hydraulic coefficients of perme-
34 SP-33 700.0 27.2 U/S 336.2 ability in x, y and z directions, respectively; hw  total
35 SP-34 700.1 16.8 D/S 336.1 head; Q  external applied flux;   volumetric water
content, the ratio of water retained within the soil struc-
*U/S  Upstream, D/S  Downstream.
ture to the total volume, and t  time.
Equation 1 states that net rate of flow into a soil ele-
Table 2. Permeability coefficient of foundation materials. ment plus the external applied flux is equal to the rate
of change in the volumetric water content with time.
Permeability Coefficient (m/sec) Zienkiewicz et al. (1966) and Finn et al. (1967) applied
the finite element method (FEM) to solve seepage
Depth (m) Average Median problems in dams. The finite element (FE) formulation
for unsteady state seepage in three dimensions has
50 4.0  10
6 2.5  10
6 been derived using the Galerkin principle of weighted
50–100 1.0  10
6 5.0  10
7 residuals applied to the governing differential equa-
100 1.0  10
6 1.0  10
7
tion (Papagiannakis and Fredlund, 1984):
100 m and 34 tests at depths of more than 100 m. Per-
meability coefficients with respect to depth are pre-
sented in Table 2. The median results are more reliable (2)
than the average values since the effect of individual
very large results is excluded. Moreover, from labora-
tory investigation of the embankment materials, the where [B]  gradient matrix; [C]  element hydraulic
permeability coefficients for various zones of the dam conductivity matrix; {h}  vector of nodal heads;

973
  mww; mw  /uw; uw  w(hw
y); y  is
elevation; N T N   [M]  mass matrix; {h},
t  h/t  change in head with time; q  unit flux
across the faces of an element; N   vector of inter-
polating function. By solving Equation 2, hydraulic
heads at nodal points of finite elements are obtained.
The hydraulic head gradients in the x, y and z direc-
tions are computed for an element by taking the deriv-
ative of the element hydraulic heads with respect to x,
y and z, respectively. Finally the element flow rates are
obtained from the hydraulic head gradients.
4 MODEL DEVELOPMENT
upstream to downstream. This figure also shows
seepage paths from the reservoir into the upstream
abutments passing over the grout curtain and exiting
to the downstream shell and riverbed. The concentra-
tion of seepage paths at the downstream toe accounts
for the higher hydraulic gradient in comparison with
that obtained from two-dimensional analysis, dis-
cussed later in this section. Figure 6b shows the water
free surface and flow lines resulted from seepage
analysis of the 2D model.
Figure 7 compares the measured and calculated
water elevation in the locations of Stand-Pipe (SP)
piezometers installed in the foundation. In the majority

The MES dam was modeled in two and three-

dimensional space using Seep3D software version 1
(Geo-SlopeTM, 2002). The software is able to model
many classes of seepage problems that were impossi-
ble before. First different zones of the dam body were
assembled according to their geometry. Since based
on in-situ tests there are three successive layers of dif-
ferent permeabilities, abutment zones were added and
extended to depths of 50 m, 100 m and beyond 100 m.
The initial condition to perform an unsteady state
analysis included zero water head at all upstream faces
and potential seepage conditions over all downstream
surfaces. Boundary conditions applied to the model for
steady state analyses comprised of 165 m water head
over upstream faces of abutments and dam. Potential
seeping boundary conditions were assigned to the
downstream shell and abutments. In order to perform
the 3D finite element analysis the model was dis-
cretized into basic tetrahedron elements and mesh
refinement was made until no considerable change in
the seepage analysis results was observed. Figures 5a
to 5c show the constructed 3D model of the dam, its
finite elements and 2D model of the highest section.
Reservoir filling was started on January 2001 and
after six months, in June; the water level reached to the
current operating elevation of 370 m. The unsteady
state FE analysis was performed at two-month interval
time steps after the first impounding. The unsteady state
seepage analysis results in this paper correspond to the
time step number 21, representing May 2004, until
when the instrumentation data were available. The
steady state condition prevailed at time-step number
36, when the change in downstream discharge rates
was negligible.

5 RESULTS AND DISCUSSIONS

Figure 6a shows a view of the water surface from down-

stream part corresponding to the reservoir normal
water level. It is illustrated from the figure that the side Figure 5. 3D model of MES dam (a) its finite elements (b)
grouting curtains have lowered the water surface from and 2D model of the highest section (c)

974
of SP piezometers, the water elevations obtained from much higher than the measured ones. This is due to the
the FE analysis agree quite well with those obtained previously known malfunctioning of most upstream
from the measurements. Water elevation heads for measuring devices in which these piezometers are
piezometers SP-1, SP-8, SP-10, SP-12, SP-14, SP-16, installed. This malfunctioning was confirmed by the
SP-18 and SP-20 obtained from the FE analysis are numerical investigation. The comparative results have
been categorized to downstream water elevations, dis-
charge rates and hydraulic gradients:

5.1 Water elevation

Figure 8 shows measured water level in the downstream
shell together with the water levels obtained from two
and three-dimensional FE analyses for unsteady and
steady state seepage conditions. At downstream dis-
tance of 100 m from the dam axis the observed water
level stands at elevation of 235.6 m while the FE analy-
sis for the unsteady and steady state seepage indicates
that downstream water levels in that position are
237.4 m and 249.7 m for 3D model and 207.9 m and
214 m for 2D model seepage analysis; respectively.
The results are summarized in Table 4. As indicated,
the measured water level nearly coincides to the water

40
2DSteady(FEM)
2DTransiet(FEM)
3DSteady(FEM)
Water Elevation (m a.s.l.)

350 3DTransiet(FEM)
MeasurdWtLvl
DamCore
30 DamShel
Riverbd

250

20

150
0 10 20 30 40
Distance (m)
Figure 6. Phreatic surface around the dam structure and
distribution of water flow lines from 3D seepage analysis (a) Figure 8. Comparison between 2D and 3D water levels for
and those from 2D seepage analysis (b). unsteady and steady state seepage conditions.

50
CALUTED
450
Piezometric Water Level (m)

MEASURD
40
370
369.2

365.2
36.5

36.1

361.28
358.04

350
35.09

356.08
352.47
351.2

349.65

350.18
345.6

346.

342

342.1
340.

341.

34.6
35.8

34.8

34.96
3.1

32.1
30.94
328.6

327.8

328.6
312.5
310.6

310.4

30
305.6

30.4

30.9

304.72

301.2

302.8
279.0

27.8
275.14

271.3

270.9

271.4
269.1

267.
263.7
260.4

261.97

260.59

260.7
260.14

250
256.13

256.3
25.96

250.3
250

249.3
245
24.73

243
239.16

239.61

238.

238.06
234.9

237.16

237.18

235.
23.9

20
150
10
50
0
2

5
S -P 6
7

0
1

3
1
1

14
1
1
1

19
2
2

27

30
3
32
3
S P-

S P-

S P-
SP-1
SP-2
SP-3
SP-4
SP-5
SP-6
SP-7
SP-8
SP-9

S -2UP
S 2DP-

S PF-
SP-10
SP-

SP-13
SP-
SP-
SP-

SP-18
SP-

SP-

SP-

SP-25
SP-26

SP-29
SP-
SP-
SP-

SP-34
SP-24r

28SPF-

INSTRUMENTATION

Figure 7. Measured and predicted piezometric water elevation for Stand-Pipe piezometers.

975
Table 4. Comparison between seepage analysis results obtained from 2D and 3D analyses.

2D 3D

Seepage Condition Observed Unsteady state Steady state Unsteady state Steady state

Water elevation at D/S offset of 100 m 235.6 207.9 214 237.4 249.7
Percent change –
90
70 6 37
Hydraulic gradient at D/S toe – 0.102 0.110 0.422 0.495
Discharge (Lit/sec) 8.40 5.12 6.88 8.90 12.90

level obtained from unsteady state seepage analysis.

This predicts the fact that water flow has not yet reached
to the steady state condition in the core and water dis-
charge rate from the core is negligible. Therefore, the
discharge rates from foundation and downstream side
abutments account for the existing water level in the
downstream shell.

5.2 Discharge rate

The measuring weir (MW) installed at the downstream
toe shows an average total discharge rate of 8.4 lit/sec
from the core, part of foundation and side abutments.
3D Finite element model analysis results in the total
downstream discharge rate of 8.9 and 12.9 lit/sec for
unsteady and steady state conditions; respectively. Total
2D downstream discharge rate obtained from seepage
analyses of several cross sections of the dam are 5.12
and 6.88 lit/sec for unsteady and steady state condi-
tions; respectively, indicating that the water discharge
rate from the downstream side abutments to the down-
stream shell is 3.78 and 6.02 lit/sec for the two respec-
tive seepage conditions.

5.3 Hydraulic gradient

Hydraulic gradients at downstream toe obtained from
three-dimensional seepage analysis are 0.422 and 0.495
for unsteady and steady state conditions; respectively
while two-dimensional analyses renders hydraulic gra-
dients of 0.102 and 0.110 for the respective seepage
conditions; that are nearly one-forth of 3D gradients. As
demonstrated in Figure 6a, the concentration of flow
lines from the side abutments to the riverbed is attrib-
uted to the higher gradients in the downstream toe of
the dam.
Figure 9a shows the variation of 3D downstream dis-
charge rate and 2D downstream discharge rate per unit
length of the highest section, with variation of abutment
equivalent coefficient of permeability, 3.5  10
7 m/s,
for the steady state seepage condition. Figure 9b illus-
trates the variation of 2D and 3D hydraulic gradients at
downstream toe with variation of abutment equivalent
coefficient of permeability. In order to illustrate the
effect of side grouting curtain on downstream discharge
Figure 9. Variation of 2D and 3D downstream discharge
rate (a) and 2D and 3D hydraulic gradient at downstream toe
(b) with abutment coefficient of permeability.
rates and hydraulic gradients, Figures 10a, b were also
developed.
Since creating 3D model of a dam site, especially
with foundation layers of different permeability might
be highly time-consuming, in order to facilitate the
task of obtaining accurate results when performing
two dimensional seepage analyses two parameters are
defined:
Flux ratio (FR): The ratio of 3D discharge rate,
with m3/sec unit, from the downstream shell to the
discharge rate per unit length, m3/sec/m, obtained
from the conventional 2D seepage analysis.

976
Figure 10. Variation of 2D and 3D downstream discharge Figure 11. Variation of FR (a) and GR (b) with abutment
rate (a) and 2D and 3D hydraulic gradient at downstream toe material permeability.
(b) with grouting curtain coefficient of permeability.

Gradient ratio (GR): The ratio of 3D gradient at

downstream toe to that obtained from 2D seepage
analysis.
Figures 11a, b represent the variation of FR and GR
with respect to variation of abutment permeability. FR
and GR increases with increase in abutment coefficient
of permeability to 3.5  10
8 m/s. Between perme-
abilities of around 3.5  10
8 m/s and 3.5  10
6 m/s,
FR remains constant while GR decreases indicating
that 2D hydraulic gradient increases from a small value
to a higher one while 3D gradient increases from a
much higher value compared to the 2D one when the
abutment permeability increases.
For a V-shaped valley and based on the two-
dimensional seepage analysis of the highest section, the
discharge rate from the downstream shell per unit
length and hydraulic gradient at downstream toe is
obtained. The two parameters are multiplied by FR
and GR; respectively, to give 3D downstream dis-
charge rate and hydraulic gradient that are much
nearer to reality. Figures 12a, b show the variation of
FR and GR with the variation of grouting curtain per-
meability, respectively. FR and GR remain constant
when permeability of grouting curtain decreases to a Figure 12. Variation of FR (a) and GR (b) with grouting
very low value and remain constant again when the curtain coefficient of permeability.

977
grouting curtain permeability approaches to that of
abutment material permeability.
6 CONCLUSION
In this paper several two and three-dimensional finite
element analyses for unsteady and steady state seepage
conditions were performed on an earth core rockfill
dam. The results including pressure heads, discharge
rates and hydraulic gradients were compared to those
obtained from measurements of seepage instrumenta-
tion system installed in the foundation and dam body.
Agreement between calculated and measured pressure
heads for most of the instruments verified the suit-
ability of selected parameters and the model structure
for the seepage analysis. Due to the widthwise water
flows from the side abutments into the downstream
shell, the real water level, discharge rates and hydraulic
gradients are much higher than those obtained from the
two-dimensional seepage analyses. For the analysis
results of the considered case study, 3D steady state
hydraulic gradient at downstream toe is 0.495 that is
about 4 times higher than its 2D hydraulic gradient of
0.11. Total downstream discharge rate from 3D steady
state seepage analysis is 12.9 lit/sec, nearly 2 times
higher than 6.88 lit/sec obtained from sum of the
2D seepage analysis results of several cross sections.
Therefore, in order to have more accurate seepage
analysis results for an embankment dam located in a
narrow valley, three-dimensional modeling of the dam
site is vital. Several FEM based graphs were developed
to calculate 3D discharge rates and hydraulic gradients
from those obtained from 2D finite element seepage
analysis.
978
ACKNOWLEDGMENT
The authors are highly grateful to Manasazeh Corpo-
ration for providing Seep3D software and Moshanir
Company for providing initial information of the case
study to accomplish the investigation. Authors also
would like to thank the anonymous reviewers of this
paper for their suggestions and comments.
REFERENCES
Engemoen, W.O. 2003. Assessing the risk of a seepage-
related dam failure by means of failure mode identifica-
tion risk analysis and monitoring practices. Seminar on
Safety Evaluation of Existing Dams, U.S. Bureau of
Reclamation.
Finn, W.D.L. 1967. Finite element analysis of seepage
through dams. Journal of Soil Mechanics and Foundation
Engineering, ASCE, 93(6): 41–48.
Papagiannakis, A.T. & Fredlund, D.G. 1984. A steady state
model for flow in saturated-unsaturated soils. Canadian
Geotechnical Journal, 21(13): 419–430.
Review of the Masjed-E-Soleiman dam behavior. 2004. Iran
Water and Power Resources Development Organization.
Geology and rock parameters for Godar-E-Landar hydro-
electric power project. 1993. Iran Water and Power
Resources Development Organization.
Seep3D User’s guide. 2002. Calgary, Alberta: GEO-SLOPE
International Ltd.
Segerlind, L.G. 1984. Applied finite element analysis. New
York: Wiley.
Zienkiewics, O.C., Mayer, P. & Cheung, Y.K. 1966. Solution
of anisotropic seepage by finite elements. Journal of
Engineering Mechanics, ASCE, 92(1): 111–120.
Zienkiewics, O.C. & Taylor, R.L. 1989. The finite element
method in engineering science. London: McGraw Hill.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Service life of leached concrete dam structures

T. Ekström
Carl Bro AB, Malmö, Sweden

ABSTRACT: The paper presents an investigation of a leached concrete wall at a hydropower station. Models
are presented for water flow and leaching, both for homogenous and for cracked concrete. Two examples on
leaching are given; one through a wall mentioned above and one through cracks in a buttress dam. The study
shows how the concrete properties changes due to leaching.

1 INTRODUCTION 2 EXAMPLE 1: LABORATORY ANALYSIS OF

A CORE TAKEN FROM A WALL IN AN
1.1 Background INTAKE TO A HYDROPOWER STATION
Many concrete dams are old and in a state of degra-
A intake construction, made of concrete, at an old
dation due to leaching. As all concrete is more or less
hydropower station in the south of Sweden have laid
soluble in water, care must be done to estimate the con-
in water for 98 years and it is very leached. A core
dition and remaining service life of the structures
was drilled out from one of the sidewalls in the intake.
due to lime leaching. As the dams, often incorporated in
The core was firstly split in two halves whereupon
hydropower schemes, are very valuable, owners need
the split strength was received (Figure 1). The two
to have such estimations so proper maintaining plans
halves were then cut in a number of slices. Each slice
can be made.
was then measured concerning volume, density, total
The hydration products contained in the concrete,
porosity and a chemical analysis of the remaining con-
and sometimes also in the aggregate, vary in their water
stituents of Ca, K, Na, Fe, Al, Mg, S and Si.
solubility. Since calcium is present in such large
The volume, density and total porosity of the slices
amounts in concrete made of Portland cement and is
were determined by measuring the weight over and
also present in many readily soluble compounds, such
under water and after drying in oven +105° C for 5 days.
as calcium hydroxide, for example, the degradation of
It was assumed that the core was totally water satu-
concrete by the dissolution by water is often called
rated after the 96 year in water. The measured density
lime leaching or simply leaching. By “lime” is meant
and porosity (Figure 2) were lower respectively higher in
different calcium-based compounds, expressed in terms
the upstream end of the core, which have been exposed
of CaO.
to the water. The content of calcium was lower in the
upstream end of the core (Figure 3). The measured
1.2 Aim of the paper and calculated content of aggregate fit well with each
other (Figure 4).
The aim of the work is to propose a procedure for mate-
rial investigations and numerical modeling of leached
concrete dams.

1.3 Methods
The methods are:
• Examining leaching damages by means of labora-
tory experiments on cores drilled out from one
structure.
• Calculation by means of numerical models of future Figure 1. The out-drilled core was split and cut in halves
degradation of the same leaching damage. and slices.

979
Figure 2. Total porosity Pc in the tested body at year 2004 Figure 5. The on measurements based calculated paste
and calculated for year 1908 for different w/c-ratio and type porosity Pp in the tested body at year 2004 and the calculated
of aggregate. for year 1908 with the assumption w/c  0.55.

• Approximately 100 kg calcium (Ca) per m3 concrete

has been leached between year 1908 an 2004, which
Figure 3. Content of calcium in the tested body at year
2004 and calculated for year 1908 for different w/c-ratio and
type of aggregate.
Figure 4. The ratio between volume of stone and concrete
with the assumption w/c  0.55.
The result is based on several estimations as
described in appendix 1. The result shows that:
• In the concrete cast 1908 a w/c-ratio of about 0.55
has probably been used.
• A rather quarts poor aggregate with a relatively
low density (2550 kg/m3) and a relatively high sol-
ubility (5% in HNO3) has probably been used.
• Approximately 420 kg cement per m3 concrete seems
to have been used.
980
means that about 74/40  100  185 kg Portlandite
(Ca(OH)2) has been leached per m3 concrete, which
is the same as a leaching rate of 51%. By leaching
rate means how much Ca that has been leached
compared to the initial content.
The paste porosity is shown in Figure 5.
3 EXAMPLE 2: FEM-CALCULATIONS OF THE
WALL AT THE INTAKE
To do an estimation of how the leaching has propagated
historically and how it will propagate in the future a
theoretical model was used. Here the FE-models
described in appendix 2 are used. The models are com-
pared to the measured values from section 2. The math-
ematical equations used are shown in appendix 2.
Parameters used are shown below.
Figure 6 shows the calculated and measured content
of calcium in the upstream end of the wall. The meas-
ured content is only given for the first 57 mm because
the total core was only 57 mm long. As can be seen,
the content of Ca has decreased much in the concrete
between year 1908 and 2004, especially at the upstream
end. The measured and the calculated result fit well. Of
course the calculated curves depends on the chose of
parameters. However, due to the physically based on
coupled balance equations in the calculations, reason-
able values can rather quickly be reached in an iteration
procedure.
Figure 7 shows the split strength in the upstream end
of the wall during the years 1908 to 2108, calculated
with equation (8.24) and based on the calculated con-
tent of Ca from above and the following calculation of
porosity from equation (8.19). The calculated strength
at 2004 fit very well with the measured split strength
(2) in the figure from section 2. The strength is com-
pared to the calculated stresses, horizontal line in the
figure, in the same wall. A service life, i.e. the time until
 Table 1. Parameters used in the FE-analysis.

C (kg/m3) (–) c0 (mole/m3) s (kg/m3) Vair (m3/m3) L (m) Ac (m2) pw (m)

420 0.9 4686 2350 0.01 1.8 1 6

Table 2. Parameters used in the FE-analysis.

! (m) 0 (m) share (–) Part (–) rw (–) K1 (–) ki (m2/s) kis (m2/s) k (–)

10
6 10
4 10
3 0.1 10
2 10
3 10
11 10
13 eq. (8.16)

Table 3. Estimated initial (year 1908) content of c0 (Ca) in

the concrete.

Distance from surface (m) c0 (mole/m3)

0    0.020 280
80*  /0.020

0.020   0.050 200
20*(
0.02)/0.030
  0.050 180

Figure 7. Calculated split strength fct,sp in the upstream end

of the wall between year 1908 and 2108. 2)  Measured
split strength 0.90 MPa at year 2004. 3)  principal statisti-
cal distribution of the strength and the stress in the location
of the core.

Figure 8 shows the calculated leaching ratio in

Figure 6. Calculated remaining content of Ca in the core
for year 1908 and 2004, compared to the measured content
given in Figure 3.
the strength is still larger than the stress, can be esti-
mated. At (3) in the figure a principal statistical dis-
tribution of both the strength and stress is shown. In
reality more samples must be tested for the determi-
nation of the statistics.
4 EXAMPLE 3: FEM-CALCULATION OF
LEACHING IN A CRACK IN A FRONT
PLATE IN A BUTTRESS DAM
In this calculation the same models as used in section 3
are used. The aim was to estimate leaching in the crack
and the tensile strength loss in the upstream end of the
front plate. Parameters in Table 4–Table 6 were chosen.
the upstream end of the front plate at year 1966. The
result was not so sensible for different chose of the
parameters in Table 6. All of calculation cases (a) to
(g) fit quit well to the data measured by Halvorsen
(1966).
Figure 9 shows the calculated concentration of Ca
in the outlet of the crack on the downstream end of the
front plate. The result fit well to data measured 1966
and 1986 (Halvorsen 1966, Melander 1997). As can be
observed the concentration decreases during time. This
is because the crack walls became exhausted in easy
soluble Ca. New Ca must diffuse from the interior to
the crack before it can be transported away by the flow
of water. The leaching became a diffusion governed
process.
Figure 10 shows a 2D-picture of the leaching ratio in
the concrete near the crack after 100 year (year 2054).
It can be seen that it is only a relatively thin layer of
concrete that is leached.
Figure 11 shows the calculated tensile strength in the
upstream end of the front plate. As can be seen has the

981
 Table 4. Parameters used in the FE-analysis.

C (kg/m3)  (–) c0 (mole/m3) s (kg/m3) Vair (m3/m3) L (m) Ac (m2) pw (m)

340 0.9 3794 2350 0.01 2 1 33

Table 5. Parameters used in the FE-analysis. “-” means that the parameter is not used.

! (m) 0 (m) share (–) Part (–) K1 (–) ki (m2/s) w (m)

– – – – –10
9 10
6

Table 6. Variables used in the calculations.

Case k (mole/m3) kis (m/s) rw (–)

a) 1  10
6 1  10
10 0.1

b) 1  10
6 1  10
11 0.1
c) 1  10
6 1  10
10 0.06
d) 1  10
7 1  10
10 0.06
e) 5  10
7 5  10
11 0.06
f) 5  10
7 3  10
11 0.06
g) 5  10
7 1  10
11 0.06

Figure 9. Calculated concentration (g/l) of calcium in the

water flowing out of the crack on the downstream end.

Crack

A B
A thin
leached layer

Figure 8. Calculated leaching ratio (1
Ca(t  1986))/

Ca(t  1954), i.e. leached Ca in relation to the origin 1.0.

Water
strength not decreased very much on the level where reservoir
the reinforcement bars are. The bars are probably still
good bonded to the concrete. Leaching is therefore
not in this case estimated as a severe damage.
Front plate in
5 DISCUSSION AND CONCLUSION dam

The in section 2 presented method for testing leach- Figure 10. Calculated total porosity Pc after 100 years in
ing damages is straightforward and rather easy to the front plate near the crack.

982
 (kSi(aq  1 ⇒ from cement only and kSi(aq)  0 ⇒
from aggregate only)
6. Assume the initial content of Air (%) that was
mixed in the concrete.
7. The volume of air is calculated Vair  Vc Aair
(m3) for each slice.
8. The content of silica (Si) in each slice is calcu-
lated as mSi(aq)  cSi  Vaq (kg), där cSi is meas-
ured concentration of Si in the HNNO3-solution
and Vaq is the volume of the solution.
9. The content of silica mSi(t0) in the cement is nor-
mally received from the cement supplier.
10. The remaining solid rest mrest (kg) in the bottom
of the solution is measured by weight.
11. Assume a w/c-ratio for the concrete.
12. The initial (at the casting) content of cement C in
Figure 11. Calculated tensile strength (MPa) at the surface each slice is estimated as
of the concrete against the water reservoir.

perform. So far, the method has proven be reliable for

a number of tested concretes. It gives the properties (8.1)
that are important when doing a structural analysis.
The presented numerical method of analysis of
leached structures has its main advantage of the fact
that it is based on physical sound fundamental bal- C is summarized for the whole core.
ance laws and that it can be used for the most type of 13. The initial (at the casting) content of Ca in each
concrete, any geometry and most type of boundary slice is estimated as
condition. In this paper, no chemical reaction among
other constituents than calcium is calculated, but this (8.2)
is rather easy done with a few more coupled balance
equations. For example is the carbonation reaction Ca is summarized for the whole core
when leached Ca meets CO2 interesting to model. 14. The current volume of aggregate Va (m3) is
estimated as
6 APPENDICES

6.1 Appendix 1: A proposal of laboratory (8.3)

method concerning leached concrete
When doing assessments of leached structures it is
important that right properties, in right locations and where magg  aggregate (kg) taken from the sample
in the right directions are investigated, so the data before it was dissolved in HNO3.
found in this investigation can be used in a later cal- 15. The initial paste volume Vp (m3/m3) is estimated as
culation of load effects for comparation. A core of
concrete that are split and cut in slices, see section 2,
is investigated. (8.4)

1. The volume Vc (m3) for each slice is received from

measuring the weight under and above water. 16. The initial porosity of the concrete Pc,0 for each
(Archimedes principle). slice is estimated as
2. The total volume Vc,tot (m3) for each core is sum-
marized from the slices. (8.5)
3. Assume the density a (kg/m3) for the aggregate.
Based on measurements in Ekström (2004).
4. Assume the solubility Sa (-) for the aggregate in where (Vp)a  volume (m3) of pores in aggregate
HNO3. Based on measurements in Ekström (2004). Va  Pa and (Vp)p  initial volume (m3) of pores in the
5. Assume the part kSi(aq) (-) in the HNO3-solution paste. Porosity of the aggregate Pa is assumed to
that comes from cement or from aggregate. approximately 2%.

983
17. Assume the current hydration ratio
.
18. The initial pore volume of the paste is estimated as
(8.6)
19. The current porosity of the concrete Pc is esti-
mated by measuring the weight before and after
drying in oven +105° C.
20. The initial porosity of the paste Pp0 is estimated as
(8.7)
21. The current porosity of the paste Pp is estimated as
(8.8)
22. The initial volume of aggregate Va0 (m3) is esti-
mated as
(8.9)
where C  density of cement, assume 3100 kg/m3.
23. The volume leached material is estimated as
(8.10)
6.2 Appendix 2: FE-model of leaching
6.2.1 General
By doing calculations as described below, stresses in
the structures is received and can be compared to data
of the concrete properties (strength, E-modulus).
Flow of water and leaching of calcium is calculated
with coupled FE-models. Flow in homogenous con-
crete without cracks is here calculated using 1D-models
and flow in cracks is calculated with 2D-models, see
figure 12.
6.2.2 Flow of water
The present model used for leaching in homogenous
concrete concerns the homogenous percolation of water
through cement-based materials. Although the calcu-
lations are performed on the bulk cross section area,
they are based on the assumed presence of microscopic
984
Figure 12. Principal leaching through a concrete dam,
both through a crack and through the homogenous part.
flow tubes in the material. The flow of water and ions
is to take place in a number of tubes of a particular
diameter and degree of connectivity. Tortuosity effects
and intermolecular effects on the flow of water and ions
are dealt with by use of simple models. The calculations
on a metric scale are done by assuming there to be a
particular number of these tubes per cubic or square
meter of the specimen or structure. The water flowing
into the material is assumed to be deionised. When the
water washes out the initial content of calcium, more
calcium is dissolved from solid C-S-H and solid CH
in the walls of the tubes.
The dissolving reactions are assumed to arise when
Ca2+ and OH- are dissolved from CH, C-S-H and CAF
compounds. Hydroxide ions stemming from potassium
hydroxide (KOH) and sodium hydroxide (NaOH) are
assumed to have already been washed out by the water.
Thus the concentration of OH- when the calculations
begin, corresponds to a pH-value of about 12.5-12.6,
or 40 mole/m3. This corresponds to a concentration of
Ca of 20 mole/m3.
Flow of water through the concrete is calculated as
(8.11)
(8.12)
where a  term describing the increase in kw due to
larger flow tubes due to leaching.
(8.13)
 The capillary porosity in the paste is calculate as

(8.14) (8.20)

6.2.3 Flow of ions

Flow of ions in water filled cracks or in pore solution
is calculated with The current porostity of concrete is estimated as

(8.15)
(8.21)

7.4 STRENGTH MODELS

(8.16) This models are used in FE-analysis of leaching degra-

dation of concrete. Based on the increase of porosity
due to leaching a number of relations are presented
below. When the porosity increases it is assumed that
the strength and modulus of elasticity decreases. The
(8.17) compressive strength is here estimated as

6.3 Change of the solid
The content of calcium in concrete is received from
the laboratory data or assumed as
(8.18)
where c0  Total amount of calcium in not leached
concrete (kg/kg); and C  amount of cement (kg).
The saturation level of calcium (Ca) is assumed to be
20 mole/m3.
The paste porosity is assumed to increase when
material is leached away from the concrete as
(8.19)
(8.22)
where fpc  compressive strength of the cement paste
(Pa); f0  compressive strength of defect free paste
(Pa); Pp  total porosity of paste (m3/m3); and K1 
empirical parameter, often between 2 and 3.5 (-). It is
supposed that the strength of the concrete depends of
the strength of the paste and on the w/c-ratio (Ekström
2004):
(8.23)
where fcc  compressive strength of the concrete (Pa);
a  curve-fit-parameter, a  1.2 to fit Ysberg (1979);
b  curve-fit-parameter, b  0.5 to fit fcc in Ysberg
(1979); w/c  water to cement ratio (kg/kg); and

hydration ratio (-); f0  strength of defect-free paste,
210 MPa to fit Ysberg 1979.
The split strength is assumed be related to the com-
pressive strength as (Möller et al 1994):

(8.24)

where Pp(t)  paste porosity year t (m3/m3); (Vp(t)) 
volume of the pores in the paste year t (m3/m3); Vp 
paste volume (m3/m3); c0  initial content of Ca
(mole/m3); ct  content of Ca year t (mole/m3); MCH 
mole weight Ca(OH)2 (kg/mole); and C  density of
cement (kg/m3).
where fct,sp  split tensile strength (Pa); and A, B 
empirical constants (0.27–0.28 respectively 2/3 for
“normal” concrete (-). The tensile strength is assumed
as (Möller et al 1994):
(8.25)

985
where fct  centric tensile strength (Pa); and C,
D  empirical constants (0.24 respectively 2/3 for
“normal” concrete (-).
REFERENCES
Ekström, T. (2003), “Leaching of concrete – the leaching
process and its effects”, Report TVBM-1020 avd. för
Byggnadsmaterial, LTH, Lund.
Halvorsen, U. (1966), “Corrosion of steel and leaching of
lime near cracks in concrete structures” (in Swedish),
986
Bulletin 1, Div. of Building Technology, Lund Institute of
Technology.
Melander, R. (1997), “Betongdammars kondition och
beständighet”, Division of Hydraulic Engineering, KTH,
Stockholm.
Möller, G., Petersons, N., Elfgren, L. (1994), Strength, (in
Swedish), The concrete Handbook Material, Svensk
Byggtjänst, Stockholm.
Ysberg, G. (1979), “Connection between water cement
ratio/water-air-cement ratio and compressive strength”,
report Ra 3:79, Swedish Cement and Concrete Research
Institute, Stockholm.
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Flood management system for controlled releases

J. Gras, P. García Rubí & R. Rollán

Department of Hydraulics, Infraestructura Y Ecología, S.L., Spain

ABSTRACT: The present paper presents a flood evacuation procedure from floodgates regulated dams. This
procedure limits the evacuated flows according to the existing downstream damage thresholds taking into
account the safety of the dam and downstream assets. The system can be used automatically and be calibrated
using the existing historical hydrologic data in order to produce acceptable flood lamination. In the case of the
system being used with live data, it can be optimised to manage floods by transmitting data in real time to the
dam operator. The system allows the integration of the dam operation in the natural floods management systems
in partially regulated streams, to minimise the impact of these natural phenomena by defining the flooding areas
for distinct return periods and the hazards associated to each areas. Moreover, the procedure characteristics
allow the modification of the adopted reservoir shelter and the different flows of controlled releases, according
to the existing social demands (water supplying, protection against floods, environmental demands or others),
always respecting the dam safety.

1 INTRODUCTION The general procedure developed is based on the

The REGULATION ON THE SAFETY OF DAMS
AND RESERVOIRS introduces the concept of inte-
gral safety of the dam, based on the compromise
between the structural safety itself and the functional
safety. According to this concept, it is not sufficient to
maintain the structure itself in safe conditions, but the
properties located downstream of same near the river
also have to be assured.
Following this idea, it therefore becomes obliga-
tory, on the one hand, to classify the dams in terms of
their potential risk and the later drawing up of EMER-
GENCY PLANS, where applicable, and, on the other
hand, to prepare OPERATION RULES which will
establish among other things … the precautions to be
adopted to avoid the inopportune evacuation of flows
which could cause harm downstream of the dam.
It is obvious that these precautions have to be put
into effect via OPERATION RULES during the
floods and that these have to be based on all the infor-
mation available regarding the hydrology (both his-
toric data and data captured in real time), hydraulics
(the capacities of the river downstream) and the quali-
fication of damage (damage functions). On the other
hand, it is absolutely necessary to make these OPER-
ATION RULES compatible with the uses assigned to
the dam, in such a way that the guarantees of supply
of the demands for which the service is provided are,
in general, not reduced.
support studies which are necessary for a precise
characterization of the floods which may be expected
in the various periods of the year and for determin-
ing the different hydraulic capacities of the course
throughout the section under study.
A precise summary is given below both of these
support studies and the methodology itself of the
Flood Management developed.
2 SUPPORT STUDIES
2.1 Study of the hydraulic capacity of the river and
a qualification of the potential risks
One of the first pieces of basic data necessary for
establishing these flood management rules is undoubt-
edly the values of the flow which place the population
and properties located downstream of the dam in a
particular risk situation. With regard to this, it is con-
venient to make the following observations:
In general, in the majority of the sections of river
which are located downstream of the dams in Spain,
human pressure has, in fact, produced an invasion of
the natural flood plains and, on occasions, even the
old habitual course of the rivers. This fact very signifi-
cantly conditions the rules for operating the dam and
may even make the traditional uses of the reservoir
incompatible with the protection of these properties.

987
 This basic fact causes the OPERATION RULES not 2.2 Flood studies
to be considered definitive, while there is no advance
As it is the floods which produce the damage and
in fixing the limits of the Hydraulic Public Domain. In
which cause certain rules for action to be established,
this sense, the LINDE Program (M.M.A) 1 should be
it is absolutely vital to analyze the floods which may
developed at least in parallel with the studies for the
be expected in a reservoir and downstream of same in
OPERATING RULES and, where this is not possible,
detail.
studies should be undertaken directed at placing limits
Likewise, as in the majority of hydrological studies,
on the area which can be flooded by a Maximum
it is intended to obtain peak flow values for dimen-
Ordinary Flood (MCO).
sioning a particular work and it is usual also to count
In general, there exist a number of thresholds
on some safety coefficient for an increase in these
which define different risk cataloguings (for example,
flows, these studies must reproduce the real behaviour
the Alert threshold, the Emergency threshold or the
of the basin as faithfully as possible, since these floods
Misfortune threshold). These flow thresholds which
are going to directly condition the freeboards to be
run in different sections of the river have to be inte-
adopted and the flooded areas downstream of the
grated in the flood management rules in such a way
dams. Therefore, it is necessary to discriminate the
that the probability of their being exceeded can be
floods possible in the different periods of the year
assigned depending on the flood return period.
(seasonal study) and base the hypotheses adopted on
It may be assumed, for example, that in general, a
historical registrations of rainfall or flow.
certain threshold will not be exceeded, but if the flood
It is usual to use a rainfall-runoff models for study-
flowing in to the reservoir has a return period above
ing floods, which makes the simulation of a great
a particular value, the fact that it can be exceeded
number of hypotheses possible. However, the use of
is admissible. In this sense, different strips of land
these models requires a detailed analysis of all the
adjoining the river should be established, whose can
elements involved, such as:
be ordered in accordance with this probability (for
Division of the basin into smaller sub-basins. The
example, an area of the habitual course, an area which
division of the basin into smaller sub-basins with
is flooded in ordinary flooding and an area which is
homogeneous hydrological behaviour is, logically, one
flooded in extraordinary flooding).
of the basic elements of the model. In the case of the
These studies tend to be undertaken with the aid of
HEC-HMS model (Hydrologic Engineering Center)2,
HYDRAULIC MODELS developed from detailed
the adoption and later calibration of the Soil Con-
cartography expressly obtained (maps with a scale of
servation Curve numbers assigned to each sub-basin
1/2000 are normally used with equidistance between
together with the parametres which define the unit
level curves of 0.5–1.0 m). The use of these models
hydrograph (retention coefficient and concentration
permits a high number of simulations of the circulat-
time) are determining factors in the result obtained.
ing flow which, together with a consideration of the
With regard to this, it should be mentioned that the
properties affected for each simulation, allows these
antecedent moisture condition of the soil (AMC) (Soil
qualitative damage thresholds or, in a wider manner,
Conservation Service)3 can and must be modified in
the damage functions which relate the circulating
terms of the season of the year concerned.
flows to the damage produced to be established.
Spatial distribution of the precipitation. The spatial
It is essential for these MODELS to be previously
rain distribution and, therefore, the amount of the pre-
calibrated with known flow and level values and that
cipitation introduced in the model is perhaps the most
they should also be capable of reproducing the circu-
determining factor. An analysis of the historic data
lation of flows which are not very high, as in the
registered in the pluviometric and gauge stations is very
majority of cases, these damage thresholds are located
useful for the adoption of certain coefficients relating
around the Maximum Ordinary Flooding and not the
the rainfall in some areas to others. For large basins
extraordinary flooding.
(1,000 km2, considering a return period of homoge-
It is also necessary to consider all the structures
neous rainfall in the entire basin cannot be assumed
in the MODEL (bridges, flood walls, protection
and it is necessary to consider different simultaneity
breakwaters, waterwheels, etc.) existing in the course,
coefficients (World Meteorological Organization)4.
with the object of taking into account any alteration
If the precipitations in extreme storms are
produced in the water levels and determining the
observed in historic times in the basin and these are
limits from which they would be considered out of
compared with the flows registered in the different
service.
seasons for measuring, the following are frequently
The use of bathymeters for large rivers may be
observed:
essential if reliable results are to be obtained. There is
no sense in recurring to very complex MODELS if no – There is no correlation between the return period
detailed definition of the course or data for calibra- for the rainfall and that of the flows generated and
tion are available. therefore if it is required to generated floods with a

988
 particular recurrence period it is necessary to ana-
lyze different return periods for the precipitations.
– In general, there is a great diversity in the return
periods for the precipitations registered with dif-
ferent pluviometers, these only being intense in a
very limited area of the basin.
– For this reason it is necessary to consider the spa-
tial division of the return periods for precipitations
calculating a desing storm which will not corres-
pond to a homogeneous return period for same
under any circumstances.
Table 1 shows, as an example, an analysis of storms
with extreme rain registered in the basin of the river
Orbigo (Hydrographic Basin of the Duero, Spain) and
the basin area which could represent the design storm.
Design hyetograph. The temporal distribution of
the rainfall in each area characteristic of the MODEL
is another of the basic factors for achieving results
which may be considered reliable. However, in the
majority of basins, this important information is not
available, for which reason the use of the MODEL
itself may be questioned.
Nevertheless, and thanks to the fact that registra-
tions of flows generally exist (above all in reservoirs),
it is possible to deduce certain hyetographs which will
generate the historical floods registered via an itera-
tive comparison process with the model. Once it has
been possible to adjust one or more hyetographs for
the different areas of influence, the MODEL allows
complete hydrograms to be generated on the main
confluences and points of interest, thus fully justify-
ing the use of this type of tool.
Logically, the hyetographs deduced are different
for the various historic floods simulated which are
selected as representative of the different periods of
the year. Figure 1 shows a simulation of an historic
flood and the deduction of the corresponding hyeto-
graph as an example.
The application of the MODEL, as it has been con-
ceived, finally permits the hydrographs for the different
hypotheses adopted to be deduced (historic envelope
storm for a particular return period, uniform precipita-
tion in particular areas associated with a return period).
3 FLOOD MANAGEMENT SYSTEM (SGA)
FOR CONTROLLED OUTFLOWS
The procedure developed is based on the concept
stated before of making the protection of properties
located downstream of the dam compatible with the
safety of dam as a structure and the guarantee of sup-
ply for the demand associated with the reservoir. The
admissible outflows are calculated jointly with the
freeboards, according to the limitations existing in
the river course and the importance of the floods
which can be expected in the dam and in the sub-
basins downstream of it.
The methodology suggested is as follows:
Below a certain level of the reservoir, called the
Volumetric Routing Level (NLV), the risk to the
safety of the dam is considered non-existent and, as a
consequence, it is possible to limit theat flows con-
sidering the values for the maximum flow admissible

Table 1. Envelope Historic Storm in Órbigo River (León, Spain). Maximum Precipitation in 24-hours (P24 h, mm)

6-days Maximum Envelope

4-days storms 3-days storms storms
Gage P24 h Return period
code NOV-63 NOV-74 DIC-89 MAR-62 DIC-78 NOV-82 DIC-87 NOV-89 DIC-80 FEB-85 (mm) (years)

1221A 64.5 82.0 65.0 82.0 12.0

1539 57.0 35.0 56.4 64.0 64.0 19.0
1540 110.8 68.0 110.8 61.4
2685A 58.1 40.0 57.3 63.0 59.5 33.1 42.9 28.2 28.0 63.0 24.3
2686 10.3 41.0 86.2 45.1 67.0 20.0 49.0 63.5 43.0 86.2 50.4
2687 24.7 50.0 48.0 60.0 39.0 47.0 70.0 57.0 40.5 70.0 45.6
2688 58.8 59.5 39.0 63.5 49.0 84.3 38.6 83.2 47.7 43.4 84.3 19.0
2689 57.0 22.5 31.0 78.0 30.0 78.0 31.2 37.2 42.7 38.2 78.0 14.4
2691 62.5 65.0 85.0 62.0 53.0 110.0 118.0 148.0 57.4 34.0 148.0 341.6
2692 50.4 24.2 41.0 75.0 14.2 70.2 34.0 65.0 51.0 35.0 75.0 18.6
2693 58.0 55.0 38.0 48.0 38.0 80.3 58.5 80.0 50.0 32.4 80.3 20.1
2694 122.4 33.4 55.3 126.5 65.6 96.0 35.3 81.5 85.5 22.8 126.5 33.1
2695 60.0 62.5 70.0 100.8 46.0 75.2 50.0 35.3 100.8 27.0
2696 89.9 54.0 62.0 94.5 51.3 72.4 38.0 34.0 94.5 53.6
2697 48.5 84.0 83.0 59.0 94.0 79.5 90.0 87.0 26.0 36.5 94.0 22.3
2698 76.5 34.5 58.0 85.0 30.0 85.0 1.2
2702 43.0 64.6 65.0 40.3 65.6 75.0 106.0 50.0 21.0 33.5 106.0 99.5
2704 80.0 52.0 54.0 52.4 80.0 35.1
2710 35.0 52.0 80.1 60.0 11.2 16.8 10.2 12.3 19.6 16.8 80.1 11.7

989
Figure 1.
and the data registered in real time at certain gauge
stations downstream, located for this purpose, in such
a way that they do not endanger the properties located
downstream. For this, the flood gates will be opened
using the following criteria:
– In ordinary floods, the maximum flow circulating
in the river, a combination of that which has passed
t”.
through the floodgates and the natural hydrograms
generated by the sub-basins downstream, will not
exceed the flow of the first risk threshold (ALERT).
– In extraordinary floods and when the NLV is not
exceeded, the outflows, in combination with the
t) provides the vol-
natural hydrographs downstream, will be increased
in stages, as the level of the reservoir reaches cer-
tain pre-established values – indicative levels –
without actually exceeding the flow of the EMER-
GENCY threshold.
The calculation for the admissible opening of the
floodgates at each moment of decision is made using
t necessary for
a forecast of the flows generated by the lower inter-
basins at the time that these are combined with the
opening of the floodgates.
These forecasts are made after an analysis of the
historic hydrographs corresponding to the floods
which serve as a reference for each seasonal period,
t  n. If the increase Qs is linear, each
t
attention being paid to the slope registered and the
maximum anticipated flow, or by using the HYDRO-
LOGICAL MODEL with data provided in real time.
Once the NLV has been exceeded, the peak flows
generated in the river after the flood gates have been
opened will not exceed the MISFORTUNE threshold
under any circumstances, even for the maximum
floods associated with a particular return period (for
example 500 years). The flow drained off is increased
according to the Available Volume Evaluation Method
(MEV) (F. Girón)5, so that the Maximum Level
990
Admissible (NMA) in the reservoir is not exceeded,
but without the flows registered at any moment down-
stream being taken into account.
The MEV provides the flow to be passed when the
floodgates are opened at all times in terms of the level
registered in the reservoir taking into account the
“volume necessary for filling the reservoir (Vd)” and
the “volume entering the reservoir in the interval
The following idea has been developed for this:
– At a moment (t), the difference between the input
flow (QE) and the output flow (QS) by the interval
of time in reading the level (
ume that has come into the reservoir. The volume
available for routing the flow at this moment Vd
divided by this value
(1)
is the number of intervals of time
filling the reservoir, if the net value of the input
flow (QE
QS) is maintained.
– If it is considered that when the reservoir is full the
Qs must equal the QE to avoid overflowing, the out-
put flow QS must increase until it reaches QE in the
time
has to be increased by the following amount:
(2)
The output flow at each moment will be given by:
(3)
The freeboards which have to be respected in each
period of the year are calculated by applying the
Figure 2. Flood Management System (SGA) with controlled outflow applied to the top of conservation design in Riaño reser-
voir (León, Spain).

Figure 3. Flood Management System (SGA) applied to a registered flood in Borbollón reservoir (Cáceres, Spain).

entire procedure described above to different initial
levels of the reservoir so as to satisfy the conditions
initially expressed.
Figures 2 and 3 are included as an example of the
routing produced by this method for a characteristic
flood in the Riaño dam (Duero River Basin) and a his-
toric flood registered in the Borbollón dam (Tajo
River Basin).
The dimensioning of the outflow stages – flows
and indicative levels, freeboards, NLV and NMA is
performed jointly analyzing the worst floods which
can be expected in the reservoir and the different
qualitative thresholds of effects on the course.
In this sense, it is necessary to stress the need for
adapting these parametres to the knowledge acquired
on the basin, the reservoir and the course downstream,

991
all these studies being an integral part of the proce-
dure itself which will have to be adapted to each par-
ticular case.
4 CONCLUSION
The Flood Management System (SGA) developed is
based on in-depth knowledge of all the factors included
in the process: (i) inflowing floods, (ii) the hydraulic
capacity of the course, (iii) the minimum volumes
required, (iv) the circulating flows at all moments of
decision by the Gauge Stations to this aim.
Although the decisions to be taken at any moment
depend on information provided in real time, both the
defining parametres for the procedures and the free-
boards themselves are dimensioned according to the
existing historic information.
While the reservoir evolves under the so-called
Volumetric Routing Level (NLV) controlled oper-
ations of the floodgates are produced in such a way that
the hydraulic capacity of the course at certain points is
not exceeded. Once the NLV has been exceeded, the
so-called Volumetric Evaluation Method (MEV) is
applied which administers the volume available at all
times in terms of this and of the estimated time for
reaching the Maximum Admissible Level (NMA).
992
The complete procedure can be easily automated
by a SOFTWARE PACKAGE, both for the routing
process in the reservoir and the hydrological and
hydraulic models, providing the flows to be freed by
opening the floodgates and giving information on the
possible effects which may be produced as a conse-
quence of opening these floodgates and of the hydro-
logical situation of the basin.
REFERENCES
Ministerio de Medio Ambiente (MMA). Proyecto LINDE.
Delimitation of the Hydraulic Public Domain in rivers
where a human pressure has been identified.
HEC, 2001. HEC-HMS Hydrologic Model System. User’s
Manual.
Soil Conservation Service. U.S.A., 1985. Water Resources
publications. National Engineering Handbook. Hydrology.
WMO no 332, 1960. Manual for estimation of the Probable
Maximum Precipitation. Operational Hydrology Report
no 1.
F. Girón, 1998. The evacuation of floods during the operation
of reservoirs. SIXTEENTH CONGRESS OF LARGE
DAMS (QUESTION 63, R-75). SAN FRANCISCO.
U.S.A.
 ts
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reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Safety review of dams of the Catalan Water Agency. Practical cases:

La Baells, La Llosa del Cavall and Sant Ponç dams. Detected
problems and adopted solutions

J.M. Dieguez & C. Aguilar

Agencia Catalana del Agua, Spain

J. Gras & P. García Rubí

Infraestructura y Ecología, S.L, Spain

ABSTRACT: The present paper presents some works performed by the Catalan Water Agency to conform its
dams to the REGLAMENTO TÉCNICO DE SEGURIDAD DE PRESAS Y EMBALSES, and in particular with
regards to hydrologic-hydraulic safety. The publication of the actual REGLAMENTO and the following Technical
Guidance documents of the Large Dams National Committees, induced an immediate review of the project and
extreme floods of the existing dams, which, in general, were larger than those considered in the initial projects.
Some measures were adopted during the redaction of the Operation Rules (maximum levels, shelter, procedures
for the management of floods), to insure the level of safety set by the Guidance documents. However, these
measures not always are sufficient, because of the guidance’s strict requirements, or the lack of existing infra-
structures. Thus, in some cases, it has been necessary to construct additional structures. In this address, two concrete
cases, in which such type of measures were adopted, are presented. The problematic and the adopted solutions
are also indicated.

1 GENERAL ASPECTS that drain directly in the Mediterranean Sea within

Reservoirs of the Internal river Basins of Catalonia,
like those of the rest of the Spanish East, have an
enormous facility to undergo times of floods and
drought as a result of the torrential pattern of its
contributions.
Therefore the operation of these dams has to con-
jugate the necessity to cover certain guarantees of
demands with satisfaction at drought periods with the
exigency of security at times of floods.
In this sense, in the Catalan Water Agency, works
of security of dams were taken up again in 2001 writing
the Operation Rules of Dams and Reservoirs, First
Safety Review of Dams and Emergency Action Plans,
adapting the existing operation ways to the most recent
norms.
Next, the development of the works will be detailed,
the problematic ones detected and the adopted con-
clusions and solutions.
1.1 Normative context
Dams of the Catalan Water Agency are located in the
Internal River basins of Catalonia, i.e. those river basins
their territorial limits, taking into account intracom-
munitarian river basins.
In 1995, it is published in BOE the guideline
Directriz Básica de Planificación de Protección Civil
ante el Riesgo de Inundaciones (DIRECTRIZ), by the
Department of the Interior in which, criteria are deter-
mined to classify the dams based on their potential
risk and the Emergency Action Plans of Dams are
defined in view of their hypothetical breakage or
incorrect operation.
This law demanded the accomplishment of studies
for the classification of all Spanish dams, later to
demand to those that supposed a risk for the popula-
tion, the writing of an emergency plan in view of its
possible breakage or damages, in order to mitigate its
danger.
Later, in 1996, the Dirección General de Obras
Hidráulicas (Hydraulic Work Main directorate) devel-
ops and publishes the regulations: Reglamento Técnico
de Seguridad de Presas y embalses (REGLAMENTO),
which partially modifies the previous Instrucción
para el Proyecto, Construcción y Explotación de
Grandes Presas (INSTRUCCIÓN) of 1967 and gathers
the concepts raised in the DIRECTRIZ.

993
 The scope of application of the REGLAMENTO INSTRUCTION, according to the category of the dam,
finally published, it was restricted to the existing dams summed as follows (Table 2):
of the State in the Intracommunitarian River basins Since the three dams are Category A, due to the
and all those dams that will be constructed in any point importance of the potential damages existing down-
of the territory since its publication date. stream, the guide (GUIA) recommends to consider the
Therefore, with exception of the dams La Llosa del maximum floods, when the existing dams have been
Cavall and Ciurana, whose title corresponds to the normally designed as the INSTRUCTION marked as
State, in the rest of the dams that are managed by the project flood, corresponding to a 500 years of fre-
Catalan Water Agency can clearly be reached the con-
clusion that it is solely being applied the INSTRUC-
CION of 1967 and the 1995 DIRECTRIZ. Table 1.
However, from the beginnings of the works pre-
sented here, Catalan Administration already showed La Baells Dam
its will to raise the safety levels until then demanded River: Llobregat
with the norm and therefore to adopt the application Municipality: Berga (Barcelona)
End year: 1976
of the Reglamento Técnico de Seguridad de Presas to
Type: Arch
all the dams in which it exploits, regardless of whether High (m): 102.35
the owner of the dams is the State or the Generalitat Crest Length: 302.38
of Catalonia. Reservoir volume (hm3) 109.43
On the other hand and after the publication of the Spillway (type) Compuertas (3)
REGLAMENTO that is very generalist and, in view of Capacity with NMN (m3/s) 421.5
the lack of precise definition of many technical details Capacity with NAP (m3/s) 740.1
regarding the design of the dams, the Spanish National Spillway Total Q with NMN (m3/s) 589.38
Committee of Big Dams (CNEGP), has elaborated sev- Spillway Total Q with NAP (m3/s) 759.54
Project Flood (original) (m3/s) 650
eral guides, Guías Técnicas de Seguridad de Presas
Max. Historic Flood (m3/s) (11/82) 1256
(GUIAS), that develop, partly, general contents of the Project Flood (New) (m3/s) 1675
REGLAMENTO and constitute, at the present time, the
basic technical reference in matters of dams in Spain. La Llosa del Cavall Dam
River: Cardener
Municipality: Navés (LLeida)
1.2 Characteristics of dams End year: 1996
The dams La Baells, La Llosa del Cavall and Sant Ponç, Type: Arch
High (m): 122.30
are located in the upper and middle river basin of the Crest Length: 326.00
Llobregat, constituting together with the Ter System, Reservoir volume (hm3) 79.40
the supply source to the Metropolitan Area of Barcelona Spillway (type) Fixed crest
and other important municipalities. Capacity with NMN (m3/s) 0.00
They are two Arch dams of great dimensions (La Capacity to NAP (m3/s) 281.20
Baells and La Llosa del Cavall, latter of recent construc- Spillway Total Q with NMN (m3/s) 142.86
tion) and a Gravity dam (Sant Ponç) finished in the 50s. Spillway Total Q with NAP (m3/s) 425.78
The next table (Table 1) indicate their most impor- Project Flood (original) (m3/s) 625.00
tant characteristics: Max. Historic Flood (m3/s) (11/82) 510.00
Project Flood (New) (m3/s) 523.00
Sant Ponç Dam
2 SAFETY REVIEWS CONTENT River: Cardener
Municipality: Clariana (LLeida)
2.1 Hydrologic–hydraulic safety End year: 1954
Type: Gravity
Hydrologic and hydraulic studies have been reviewed High (m): 59.50
in depth as those contained in the original projects Crest Length: 311.00
as the later studies (specially the recently developed Reservoir volume (hm3) 24.40
ones for the writing of the Operation Rules, adapting Spillway (type) Gate (3)
new Project and Extreme Floods according to estab- Capacity with NMN (m3/s) 716.57
lished by the REGLAMENTO and the safety dam Capacity with NAP (m3/s) 733.78
guides of the CNEGP (specially num. 2 “Criteria for Spillway Total Q with NMN (m3/s) 764.51
dam projects and their attached works” and num. 4, Spillway Total Q to NAP (m3/s) 781.75
Project Flood (original) (m3/s) 1000
“Flood Project”).
Max. Historic Flood (m3/s) (11/82) 510.00
As it is known, these new Guides establish recom- Project Flood (New) (m3/s) 435.00
mendations, generally more restrictive that the former

994
quency period, or even (as in the case of Sant Ponç)
the INSTRUCTION was not applicable.
However, and as well as to the flood to consider, it
is necessary to consider its lamination at the reservoir
and the safety maximum levels adopted in every dam,
as it will be seen, this circumstance only represents a
problem in one of the three analyzed dams.
2.2 Geological-geotechnical and seismic
characterization
The existing geological-geotechnical information, both
in the constructive projects and in the later reports
Table 2. Floods to consider – frequency period (years).
Dam Category Project Flood Extreme Flood
A 1000 5000–10000
B 500 1000–5000
C 100 100–500
Table 3. Geological-geotechnical threshold.
Minimum threshold
Element Condition
Vessel Materials
Knowledge:
– General, about vessel geology
– Qualitative, about permeability
– Qualitative, about behaviour faced
with erosion
Site dam Materials
Knowledge:
– General, about the site dam geology
– General, about geotechnical
characteristics of materials
– General, about characteristic
parameters of permeability and
resistance
– Qualitative, about the behaviour
faced with erosion
Dam Materials
Knowledge:
– General, about used materials for
each dam element (nucleus,
riprap, filters, protection
breakwaters… and its space
distribution)
– General, about geotechnical
characteristics of materials.
– General, about characteristic
parameters of permeability and
resistance
– Qualitative, about the behaviour
faced with erosion
995
during the phases of construction and exploitation, is
generally enough to characterize suitably the reservoir
vessel as well as the dam site.
However, in case of old dams (such as Sant Ponç),
is obvious that this information is not easy to localise,
existing a lack of information that in some cases can
be important.
In order to analyse the existing safety degree as far
as the knowledge is required, thresholds have fixed
(minimum and optimal) that allow to catalogue the exist-
ing information and to decide on the convenience of
making new deep investigations.
These knowledge thresholds have been the follow-
ing (Table 3):
As far as the seismic information, every data of
earthquakes registered in the dams surrounding area
were compiled by the Cartographic Institute of
Catalonia (ICC). Data registered by the ICC, usually
show the earthquake magnitude in the scale of Richtter,
and intensity in the scale EMS (MKS update). What
Optimum threshold
Condition
Knowledge:
– Detailed, about vessel geology (geological cartography)
– Deep, about permeability (permeability trials of every
material)
– Deep, about behaviour faced with erosion trials
Knowledge:
– Detailed, about the site dam geology (drillings)
– Deep, about geotechnical characteristics of materials.
(Angle of internal friction, cohesion and density)
– Deep, about characteristic parameters of permeability
and resistance (Cutting resistance, shear resistance,
compression resistance, permeability trials
– Deep, about the behaviour faced with erosion trials
Knowledge:
– Detailed, about Detallado de los materials utilizados
para cada elemento de la presa (nucleus, riprap, filters,
protection breakwaters… and its space distribution and
its final geometry disposición
– Deep, about geotechnical characteristics of materials.
(Angle of internal friction, cohesion and density,
Atterberg limits, expansivity, etc.)
– Deep, about characteristic parameters of permeability
and resistance (Cutting resistance, shear resistance,
compression resistance, permeability trials
– Deep, about the behaviour faced with erosion trials
Table 4. Seismic intensity and magnitude.

Intensity
Mercalli Horizontal Personal
(MKS) acceleration (g) feelings

I– II 0,003 Difficult to perceive

II– III 0,005 Vibration as if a truck
passes close
IV–V 0,020 Small objects turn over.
Sleeping People awake
VI–VII 0,077 Difficulty to stay
standing up. Damages
in brick constructions
VII–VIII 0,153 General panic. Some
wall falls
IX–X 0,612 Massive destruction.
Great slidings Figure 1.
XI–XII 2,450 Total destruction.
Waves in the surface of
the ground are seen being enough to corroborate the fulfilment of the ini-
tial data of these calculations.

2.4 Safety of electromechanical equipment

population feels, according to the intensity of the earth-
quake is summed in table 4:
Independently of the consulted historical records,
it is necessary to consider the calculation accelerations
included in Norma Sismoresistente NCSE-02 that is
now in force, for the extraordinary hypothesis con-
sidered in the Technical Guide num. 2 of the CNEGP
(see figure 1).
According to Technical Guide num. 3, for Category
A dams, must be considered the following earthquakes:
1 Project Earthquake (TP)
– Frequency: T  1000 years
– Calculation acceleration ac  1.3.ab
2 Extreme Earthquake (TE)
– Frecuency T  5000 years
– Calculation acceleration ac  2.ab
2.3 Structural safety
In the case of the dams La Baells and La Llosa del
Cavall, existing structural calculations are relatively
recent and complete, since it is about Beam dams neatly
projected and constructed. Nevertheless, since the max-
imum security levels for La Baells dam were modified,
during the writing of the Operation Rules, it has been
necessary to recalculate the dam, applying a model of
finite elements in order to assure that even with these
new levels it still has the requirable safety coefficient.
On the other hand, in the case of Sant Ponç, since it
is a very old dam, it was made a simple stability cal-
culation in order to verify its coefficients.
In La Llosa del Cavall dam was not necessary to
repeat the structural calculations since the attached
document of the project is very recent and complete,
Firstly, the operation and maintenance manuals of the
different hydro-electro-mechanical equipments were
reviewed, as well as the operations of preventive main-
tenance anticipated in the Dam Exploitation Norms.
On the other hand, the basic information was com-
piled during the inspection made by the Inspection
Team, whose results were summed up in the reports
called “Primera Revisión de Seguridad. Informe de
Inspección del estado actual de las instalaciones”.
As well as to verify that the operations are made
according to the manufacturer specifications, its work
was reviewed making operation tests to every mechan-
isms, filling up the inspection reports developed to
this end.
2.5 Safety of installations, accesses and others
The following installations were reviewed in detail:
– Auscultation System
– Electrical systems and communications
– Accesses, buildings and others
2.6 Exploitation safety
The situation of the dams was analyzed regarding to
which can be called active security, that is, in regard-
ing to preparation level to face the operation and main-
tenance, as in ordinary situations as extraordinary.
For that reason the content of the existing Operation
Rules and its fulfilment was reviewed in detail.
On the other hand, a detailed review of the
REGLAMENTO articles was made, filling a ques-
tionnaire about it, which was introduced in a Data
Base of Access.

996
2.7 Development of specific studies
In addition to make inspections, revisions and oper-
ation tests, some specific studies, considered essential
to complete the evaluation, were developed.
The most important studies were:
– Hydrologic studies to determinate the foreseeable
floods.
– Flow curves calculation of the outlets.
– Lamination studies in the reservoir and downstream.
– Structural calculations
– Safety thresholds study (hydrological, structural,
etc.) to consider in Emergency Action Plans of dams
– Analysis of the downstream flooding areas at par-
ticular certain emergency situations
3 PHASES OF THE WORKS
3.1 Revision of Technical Archives
First step of the works was an exhaustive revision of
all the existing documentation in the Technical Archives
of the Dams.
Although these archives are already computerized,
fact that without question facilitates this work, we
wanted to emphasize the importance of maintaining
these archives alive, for not losing the technical infor-
mation that is very extensive in almost all dams,
which would force to make works, sometimes repeti-
tive, due to the lack of technical memory.
People, who formerly developed certain works, are
frequently retired or simply they are not accessible for
the Inspection Team. This fact forces, in many occa-
sions, to make real investigation works to get the
information that already existed.
In case of these dams, it was taken in advantage the
personal knowledge from the Inspection Team, with the
engineer designers (of 30 years back) and the undeni-
able contribution of people employed in the dam, real
alive memory of all the phases through which the dam
has passed (project, construction and later exploitation).
Despite it is necessary to articulate the procedures in
order to maintain this memory, independently of the
people who hold certain positions.
3.2 Preparation of Inspection Bulletin
Once the projects and studies relating to the dam were
reviewed, the Inspection Bulletins were developed,
specifically for each dam, in order to collect “in situ”
all information required for later analyses.
These Bulletins were structured in the following way:
1 Dam and Reservoir:
– Accesses to the dam
– Dam and reservoir
– Dam site and downstream river
997
– Dam structure (Crest and shapes)
– Inspection galeries in different levels
2 Auscultation devices
3 Outlets
– Spillway inspection
– Botton outlet inspection
– Middle botton outlet inspection
4 Auxiliary Facilities
– Main power generating set inspection
– Secondary power generating set inspection
– Inspection of the electrical system
– Telecommunication system inspection
– Visual inspection of buildings and auxiliary means
3.3 Accomplishment of “in situ” inspections
Once all the technical information was compiled and
the inspection bulletins prepared as a check-list specif-
ically developed for each dam, a multidisciplinary
team, consisted of specialists in the diverse involved
disciplines, was moved to the installations.
The inspections and operation tests of the following
elements were made:
– Inspection of dam and reservoir (dam structure, gal-
leries, foundations, banks of the reservoir)
– Inspection and operation tests of all the outlets
– Inspection and operation tests of auscultation devices
– Inspection and operation tests of the auxiliary
installations (electrical systems, communications,
accesses, buildings and others).
The inspection of some elements is not always feas-
ible due to the existing exploitation conditions. This it
is the deep case of the intake of deep outlets, inside of
the pipes or other elements normally flooded.
Nevertheless the Safety Review constitutes a good
opportunity to favour the inspection accomplishments,
which are impracticable in a routine way. That was the
case of the Stilling Basin of the Sant Ponç Dam, whose
operation was already unsatisfactory assumed. Taking
advantage of this review it was decided to make an
extraordinary draining (by means of pumping) to inspect
in detail the structure condition, that after many floods
it was assumed to be damaged.
In the attached figures (Figure 2 to 4) it is included
the report corresponding to this draining and the later
inspection.
4 DETECTED PROBLEMS
In this section it is synthetically summarized the main
results of the revisions carried out, paying special
attention to the most important aspects.
Independently of these global conclusions, inspec-
tions clearly detected a great number of small defi-
ciencies easily reparable by the common operation
equipment, are not detailed in this section.
Figure 2.

998
Figures 3 and 4.

999
 Summary according to the affected component
(hydrological, structural security, electromechanical
equipment, operation, etc.).
4.1 La Baells dam
4.1.1 Hydrological safety
The original project flood (650 m3/s), it is far below to
some of the registered historical floods, being the
greatest the one in November of 1982 that reached a
maximum flow of 1256 m3/s and a volume of 89.6 hm3.
From new hydrological studies recently made, the
new project and extreme floods have been increased
up to 1675 m3/s and 48 hm3, for the 1000 years of fre-
cuency period. However, these values (although more
elevated than those of the original project), are still
considered rather low, mainly in which it concerns to
the flood volume.
The Dam Operation Rules, recently written up,
tried to solve this problem by adopting bigger safety
maximum levels and increasing the maximum per-
missible level during floods of 631,5 (old NAP) to
633,70 (new NAP).
In spite of having verified that the structure still
has an acceptable safety factors (in the structural revi-
sion), it should be considered that the present outlets
(spillway, gates, water-drainage channel, energy dis-
sipators, etc.) have been designed for a design load
lower than the present, reason why its operation will
not be optimal when the project flood is draining.
On the other hand, the doubts arisen about the under-
estimation of the flood project volume and the enor-
mous difference between the design flow of spillway
(650 m3/s) and the present floods, advise to consider
the possibility of enlarging the present spillway.
4.1.2 Exploitation safety
In the auscultation equipments was detected a lack of
maintenance that should be reviewed in order to adapt
them to the present time.
4.2 La Llosa del Cavall dam
Since it is a recent dam, the design criteria adopted in
project can be perfectly assumed after the publication
of REGLAMENTO and GUIAS.
However, in the review some aspects have been
detected, and they should be corrected, such as the
high breakage of the rocky massif of the right emback-
ment (both upstream and downstream of the dam), that
causes frequent loosening of stone blocks.
In the report it is recommended to stabilize this
embackment to avoid accidents.
4.3 Sant Ponç dam
After draining the stilling basin, it could be observed
the high-level deterioration that undergone throughout
1000
the years, reason why it is necessary to repair it in
depth.
During the review of the dam structure it was pro-
ceed to reopen the access to the foundation gallery that
was plugged.
This access through a well (from the upper gallery)
turns out inadequate to start tasks to maintain and
control this gallery, reason why it is advisable to open
a new access.
On the other hand, it was detected a high-level
decomposition in the concrete which constitutes the
dam structure (after more than 50 years being on duty),
reason why was recommended the extraction and trail
of test tubes from the dam structure and later decision
making.
In addition it was proposed to implant a new aus-
cultation system (practically nonexistent nowadays).
5 UNDERTAKEN ACTIONS
Every study made by the Catalan Water Agency on the
occasion of the Dams Safety program, have formed
the Actions Plan of the Catalan Water Agency in the
matter of Dams.
The aim of this Actions Plan is to solve all those
safety deficiencies detected by the different studies
and consequently, the radical improvement of their
safety.
This plan fundamentally gathers two types of actions.
Firstly, the development of the Emergency Plans,
written up by means of the execution of the implanta-
tion projects, that are still in writing process and
which will provide the dams, reservoirs and the
Catalan Water Agency itself with the infrastructure
necessary to be able to effectively execute the emer-
gency plans. These projects, not only include the
establishment of warning devices for population and
the necessary improvement of the communications
(both in quantity and in quality), but also includes
improvements in the dam itself so that it reinforces
and improves all those indicators on which the acti-
vation of the emergency plans in each of its scenarios
depends. Therefore, the automation of the ausculta-
tion elements reliable enough and the later safe trans-
mission of its data is one of the routes which will be
advanced in the next years.
On the other hand, the plan gathers all those pro-
posed actions in the first review of the dam’s safety in
order to reduce the probability of the structure failures.
In this sense, and expecting to include the definitive
information of the dams Sau, Siurana and Susqueda,
it is necessary to emphasize two actions.
First of them has relation with the spillway of the
La Baells dam, already evaluated as insufficient in
the writing works of the exploitation norms and later
confirmed in the studies of the first safety review. For
that reason, the study of alternatives and execution
project for its extension has begun.
Secondly, and not less important, it is necessary to
emphasize the writing of the project for the safety
improvement of the Sant Ponç Dam. This project
includes the solution to all the deficiencies detected in
the Sant Ponç Dam, such as the recovery of the Gallery
n° IV, the drainage system recovery and the execution
of a new stilling basin that stabilizes the closest chan-
nel to the dam.
6 CONCLUSIONS
We wanted to present, in this document, the work
regarding to the Dams’ Safety, affecting specially its
1001
hydrological safety, carried out during the last years
in the Catalan Water Agency.
These studies have shown how, can be established,
with the fulfilment of the Spanish norm, a system to
improve the dams’ safety in its two dimensions: dan-
ger and damages.
The thorough periodical inspection of infrastructures
allows to detect the increase (although it is at qualita-
tive level) of its danger, due to the normal aging of the
dam, in order to program and carry out the later actions
which restore the initial safety levels, or, as far as we
concern, increase the level of safety by means of the
adaptation to new norms, more and more demanding
in safety subjects.
 ts
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New technology for the regrouting of joints in a vault dam with epoxi resins

F. Rio
Endesa Generación, Spain

R. Fernandez
A.T.I. S.A., Spain

A. Gonzalo
HCC S.A., Spain

ABSTRACT: The performance of Susqueda arch dam has been minutely monitored since its construction began.
The knowledge gained from such monitoring has shown that the arch is structurally working in a less than suitable
way, with repercussions that should be rectified. Various studies carried out on such performance coincided in the
need to re-grout the joints. The conditioning factor lead to develop, a new grout methodology. The work was car-
ried out in two campaigns, whilst endeavouring to impact the dam’s operation as little as possible, to guarantee
maximum filling of certain joints, to avoid any environmental impact and to limit the cost to that of a more usual type
of grout. Traditional cement grout injection methods were therefore discarded and replaced by an epoxide resin
formulation based technique. Tests and the first grout campaign, the most important from the structural standpoint,
were carried out in 2005. This article recounts the work undertaken and provides the first data on the dam’s per-
formance whilst such work was being carried out.

1 BACKGROUND 510 m crest length. Its foundations are built on granite

Located on the river Ter about 30 kms from the city of
Girona in north-west Spain, the Susqueda dam creates
a 233 Hm3 capacity reservoir at maximum operating
level, with a dual purpose: to supply water and gener-
ate power. This is a three centred, double curvature
arch with a height of 135 m above foundations and a
Figure 1. Susqueda dam.
porphyry and hornfels with different degrees of frac-
turing and jointing but, in general, highly competent.
Construction work commenced in 1965 and the dam
came into service in 1968.
A vitally important phase in a dam’s construction is
the process for injecting vertical joints between blocks
that has to be undertaken before the dam is put under
load, with appropriate concrete mass temperatures.
In 1967, with the dam unfinished and its contraction
joints still not injected, a flood occurred which put the
dam partially under load and had slight repercussions
on the structure.
When the joints were injected, with the dam now off
load, the concrete’s temperatures were still high in cer-
tain areas, due to the construction process used, pre-
cisely in fact to improve safety in flood conditions.
Drops in temperature subsequent to joint grout came to
exceed 10°C.
This led to joints opening later when temperatures
reached their cyclical equilibrium process.
In 1988, fine horizontal cracking was detected in the
dam’s top gallery (G1), which ran without a break
from the upstream face to the gallery’s side wall, and
contained barely perceptible amounts of water but
which affected practically all the blocks. In general, the

1003
dam’s behaviour, thoroughly monitored from when it
was brought into service until the date when cracking
was detected and there beyond, has been adequate; it was
not therefore necessary to change the operating condi-
tions although some actions were taken, which, more-
over, is a logical thing to do after almost forty years in
service.
Having detected the horizontal cracking, an extensive
programme of analyses and studies was commenced to
find an explication for the cause and define the pertinent
preventive and/or corrective measures to be taken.
After various studies had been made from differ-
ent viewpoints and by also different experts, they all
coincided in recommending two measures to be taken,
without haste, which would contribute to keeping the
dam in ideal service conditions. The two measures
involved re-injecting the vertical joints and then deal
with the horizontal cracking. Another series of actions
were also proposed involving foundations, drainage,
monitoring itself, etc., that have been undertaken in
sequence.
There is one aspect of particular interest in behav-
iour in connection with the grout work which is the
subject of this article: a certain evolution in the joints’
openings has been observed (they open in their two
lower thirds when the reservoir’s level drops, at the
same time as the concrete heats up) which occurs
increasingly with higher reservoir levels. It is also seen
that tensions from the mid-high arches are transmit-
ted to the crest arch and its proximities which naturally
become overloaded. This evolution has been a decisive
factor in the decision taken to tackle the grout work at
this time, even though the structure’s safety is in no
way compromised and overall, the dam is behaving
properly.
We shall be concentrating in this paper on the aspect
of vertical joint re-injecting which was largely per-
formed in 2005 and is continuing in 2006.
2 GENERAL CONSIDERATIONS
Re-injecting the joints of a dam like Susqueda, needs to
be able to answer two basic questions: how?, and when?
The first reply to how would seem simple: like it was
injected the first time and with cement grout, as has
always been done; we shall be seeing later on that there
is, in fact, another answer.
As regards when, the ideal aim is to inject each
enclosure at the optimum time, which would be when it
is as most open as possible, in general but not always.
As they are not all open at the same time, it becomes
necessary to draw up a schedule of suitable dates for
each set of enclosures with similar characteristics. In
the case of Susqueda, the suitable dates cover from
December to September, although work is concentrated
between the end of winter and middle of summer.
1004
Correctly determining the right time to inject each
enclosure is decisively important when ensuring that
the overall structural behaviour as a result of the grout,
not only does not cause unwanted effects but achieves
the degree of monolithism sought. Changes occurring
in the structural behaviour as injection work progresses
may lead to variations in this work as scheduled for
other subsequent areas.
Although the joints of an arch injected at the right
time should theoretically never open after the grout
operation, there are many reasons why reality departs
from theory. When openings occur in joints, they usu-
ally appear with low reservoir loads, at the same time
as shrinkage of certain levels in blocks and non-
shrinkage or expansion in other levels of these blocks.
With this behaviour in mind and in order to increase the
structure’s monolithism to a maximum, it is advisable
to have a low reservoir load when injecting. Otherwise,
when that low load occurs in the future, the joints now
injected will open again. Obviously, the requirements of
a low loaded arch have a limit; on the one hand, oper-
ation has its emptying requirements and limits; on the
other, the increase in load below a certain storage level
is so small that its influence may well be negligible.
It could be deduced that, having taken the storage
load to a sufficient minimum level, the factor that
should most be taken into account when determining
the right time to inject a joint would have to be the con-
crete’s temperature, and this is so, but it manifests in
such a complex way that actual movements in the joints
must be turned to in order to exactly determine the time
for injecting each enclosure. To ignore this factor will
make most of the effort involved in making an injection
useless. The grout operation must be carried out at the
time of the year when the concrete shaping the enclos-
ure is coldest and, in fact, the joint’s opening must be
seen to be at its widest.
The outside temperature takes a while to penetrate
into the centre of the block, so the time when the con-
crete is at its coldest will always lag behind the time
of the year when the lowest ambient temperatures are
recorded. This lag particularly depends on the concrete
block’s thickness and the exposure of the surfaces
transmitting heat. This is why the time of maximum
opening occurs in the top of the dam every year before
than at the bottom. The joint gauges installed confirm
this behaviour in general.
An idea of the complexity of the injection schedule
can be seen in figure 2, which shows the work sequence,
where 2 campaigns and 7 phases have been included.
3 INJECTION PROJECT CONDITIONING
FACTORS
As stated, the uniqueness of a project of this type lies in
the importance of determining the right time to perform
Figure 2. Scheme showing how work campaigns and phases are distributed.
the grout, which has to conform to the following main
aspects:
• The repercussion that injecting a certain area of the
dam will have on the structure’s behaviour.
• The time when the joints are open at their widest and,
therefore, are in optimum condition for grout.
• The areas of the dam it is advisable to most reinforce
and, therefore, inject at the optimum time, those less
structurally important that may be injected later or
earlier and, finally, those it is not advisable to
reinforce at all.
In attention to the foregoing aspects and based on
knowledge of the arch, an injection design was drawn
up, in campaigns and phases, whose initial scheme is
given below. The shaded areas show the areas of the
dam that are to be injected at different times of the
year and in a certain order.
In determining these campaigns, it was sought to
strongly reinforce the arches at the level of galleries
G3 and G4, to also reinforce the remaining arches but
yielding more to the conditioning factors involving
operation or the best time, and not to reinforce the arch
running from G1 upwards which has been forcing the
arch dam to move, supporting a large part of the load,
particularly from the end of winter onwards. Susqueda
dam has an extensive monitoring system which has
enabled the ideal approach to be worked out; however,
undertaking the grout work in fact needed better data.
This is why it was decided to supplement it by also
increasing the number of external joint gauges dissem-
inated over less controlled areas and adding provisional
controls at each access point to a joint from the galleries.
Mechanical, corrosion resistant comparators with
one hundredth of a millimetre accuracy were placed. A
1005
pair were installed in each enclosure on either side of
the gallery and have been providing information as
from two months before work commenced. Thus pre-
cise, reliable information of what is happening in each
and every one of the dam’s enclosures has been obtained
and not only in those which previously had instruments
installed. The system has shown that in many cases,
differences occur between the upstream and down-
stream openings of one and the same joint. This com-
parator measuring system is very convenient and
accurate, but also exposed and liable to make occa-
sional mistakes. The more tedious to read, classical joint
gauges enabled the necessary corrections to be made.
A laser thermometer was used as a supplementary
monitoring item which, taking advantage of drill holes
bored for investigation or provided for grout, have
enabled temperatures to be measured inside the con-
crete in areas close to the joints. These temperatures
corroborate and supplement those given by the dam’s
actual instruments themselves.
The methodology and materials to be used in verti-
cal joint re-injection were defined whilst taking into
account the following considerations:
• The work would have to be undertaken in two cam-
paigns in order to inject each set of enclosures
at the most suitable time, both from the standpoint
of their having a sufficient opening and from that
of impacting on operation as little as possible
(Susqueda is a fundamental element in Barcelona’s
water supply).
• Certain of the dam’s levels need their enclosures very
much filled in order to obtain greater rigidity to the
hydrostatic head; in others, this conditioning factor is
of less importance.
• It was highly foreseeable that filling certain enclos-
ures which had maximum openings of a very few
tenths of a millimetre, might prove impossible with
cementitious products.
• Traditional joint grout work using cement produces
abundant waste calling for the use of processing
and removal systems which may involve signifi-
cant costs in a construction of the size here in
question.
This initial approach involving campaigns and
phases as shown in figure 2 has undergone a “fine
adjustment” over time. In fact, several months before
the work was due to commence, each joint was pro-
vided with opening controls, as stated earlier, to cor- Figure 3. Diagram of an enclosure. The grout, reconnais-
respond with the galleries. An analysis of all these data sance and subsequent control drill holes and the area injected
are represented.
enabled the right time for injecting each enclosure to be
more accurately established. It must be pointed out that
injecting operations in the arch of gallery G3 where arose in the tests carried out to the effect, which also
grout began, could not commence until the beginning of led to this method being rejected.
July since joints continued opening until that date. This Firstly, as the joint is a ruled, warped surface, it was
demonstrates the great importance of the dam’s thermal practically impossible to have the new drill hole contain
lag and the complex way in which the thermal phenom- the joint in its whole length in its mid plane. The second
enon manifests in Susqueda since minimum tempera- problem was that the choked area would be reduced to
tures had occurred quite some time earlier. the thickness of the original water-stop.
The extraordinary drought in 2005 allowed unusually As a result of the foregoing, it was decided to make
low storage levels to be reached, which turned out to be drilling patterns, oblique to the joint’s surface, that
very convenient for the grout process without affecting would cut the enclosures in an evenly distributed way
the dam’s operation. This situation of a hydrostatic over the whole of each enclosure (see figure 3).
head close to the historical minimum led to the joint
openings in the aforesaid intermediate arches, in July
and August, when most of the grout work was under- 5 CHANGE IN GROUTING TECHNOLOGY
taken, being such that it will be rare for them ever to be
exceeded in the future but, if they are, they will have a Numerous tests were made before making the deci-
minimum, if any influence on the structure. sion to change the traditional cement grout system to
a resin injection one, culminating in the complete
injection of two joint enclosures. The following are
4 PRELIMINARY TESTS questions which may be highlighted from those
which had to be answered in order to hammer the
The enclosures still had the original grout and bleed methodology into shape:
conduit. Firstly, samples were taken to assess the possi-
bility of re-using it for the new campaign. It was imme- • Can/should the dam’s original injectors and collect-
ors be used to carry out the re-grouting?
diately seen that, as was to be expected, this conduit was
The answer has already been partially given. It has
unserviceable, mostly blocked up with cement grout.
been proved that making a ring of drill holes (rotary and
Cleaning it out was discarded, apart from the difficulty
with core extraction), not in the joint plane but secant, is
and cost involved but also because this did not guaran-
essential for finding unfilled areas of joints and, there-
tee that the injection valves would be operable as they
fore, allowing them to be re-injected. This also serves to
would also most likely be grout blocked with no possi-
make multiple checks on the status of the joint in each
bility of refurbishment (according to historical informa-
enclosure. Moreover, this type of access to the joint
tion, before the first injection, most of them had already
makes the use of cementitious products even more
been made useless by the concreting grout). In addition,
difficult.
even with opened joints, it is precisely around the said
valves where grout is most effective, the grout is denser • Does the whole of the enclosure need to be filled?
and, therefore, the better the closure it effects. The purpose of the grout is to achieve a mechan-
Having discarded the possibility of using these old ical connection between blocks which will ensure that
injectors, the possibility was discussed of drilling new the structure works in the most monolithic way pos-
ones in the joint’s actual plane itself. Two problems sible, when they come under load. The enclosures’s

1006
impermeability to the reservoir was guaranteed
beforehand at Susqueda. Trying to guarantee complete
filling of each enclosure called for the existing water
stops to be tested for leak tightness and resistance.
The problem having been raised, it was estimated that
extensive but partial filling sufficiently guaranteed
structural union (advantage was taken of the excellent
compressive strength and low modulus of elasticity of
the resins provided) and very much simplified the
injection work. A ring of drill holes was therefore made
and, after due tests with water, only central areas of
each enclosure were filled. An added advantage was
limiting the amounts of material to be injected into each
enclosure. A large central ring was formed, as shown in
figure 4, and was deemed sufficient. A further advan-
tage is that, even if the water stops are in a bad condi-
tion, injection can be effected with no problems of
leaks or the latter will at least be controllable.
• Is the injection product stable?
Epoxy resins are extraordinarily stable, and undergo
slight, exclusively surface alterations when permanently
exposed to the weather. In this case, as happens in
crack injections, the material is going to be located in an
inert environment protected from external aggression.
Epoxy resins do not show any ageing symptoms under
these conditions according to experience and as shown
in the abundant bibliography existing on the subject.
At the time when the study on re-injecting Susqueda
dam’s contraction joints was being prepared, Endesa
Generación already availed of wide experience in using
resins in injecting cold horizontal joints and cracks in
dams and had carried out major grout operations in
dams such as Canelles and Mequinenza. On their part,
HCC and ATI were able to provide extensive practical
experience in this type of work.
The use of resins was proposed as an alternative in
attention to the foregoing considerations and to meet the
other difficulty as mentioned above, i.e., to successfully
re-inject the limited opening some joints displayed.
The difficulties that could arise in using this prod-
uct were deemed to derive from the need to employ
relatively high injection pressures and from the final
cost of the work as resin is a much more expensive
product than cement grout.
An epoxy resin was designed tailored to require-
ments, fundamentally a low modulus of elasticity, easy
to inject and that, as far as possible, would not transmit
tensions. Having suitably defined and lab tested the
resin, injection tests were then carried out in two rela-
tively disparate dam enclosures.
The test results were highly positive and a deter-
mining factor in the final decision to re-inject with
resin.
The maximum movements recorded were very
limited and far below the limits as laid down. A max-
imum opening of 0.30 mm was noted in the injected
1007
Table 1. Table of the resin’s mechanical characteristics.
Average
Variable Value Units
Tensile strength 80 Kp/cm2
Bending-tensile strength 100 Kp/cm2
Compressive strength 400 Kp/cm2
Modulus of Compressive 3,000 Kp/cm2
Elast
Modulus of Tensile 1,500 Kp/cm2
Elasticity
joint and closures between 0.02 and 0.01 mm in adja-
cent ones, with no movements in the levels above and
below the filling in the injected joint.
Including preparatory work, the work yield was good
and, as an additional advantage over cement grouting,
dealing with waste proved far cleaner and much easier.
No resin leak to the outside of the enclosure occurred
although water was observed to flow out in the prior
washing tests.
By extrapolating the volume injected in the tests to
all the enclosures to be injected, a cost similar to that
expected for cement injection was estimated.
6 CHARACTERISTICS OF THE RESIN
A specific formulation was designed for Susqueda,
with physical-chemical characteristics in accordance
with the stresses to which it will be subjected.
According to tests performed at the Madrid Civil
Engineers’ University School, the material’s most rele-
vant characteristics are shown in Table 1.
7 FIRST RESULTS
The most interesting results observed in the re-injection
operations performed, which are provisional in nature
as the work is still in progress, are as follows (see
figure 4).
The joints in G3 (fourth gallery counting from top to
bottom) were injected at the time of their widest open-
ing, somewhat lagging behind of what was expected
from the thermal point of view and their opening was
enlarged in the injection process. After injection, there
is some closure, which was expected, the explanation
for which may have various origins: the end enclosures
of this level have still not been injected and are still clos-
ing; the resin is compressing subjected to the forces
exerted by the blocks expanding through heating; there
are enclosures that have been less injected and close
more, etc. The joints in G4 and G5 behaved in a similar
way to G3’s. Openings occurred in the still not injected
G2, caused by injecting lower enclosures and, therefore,

Figure 4.
Figure 5. Grouting with a high pressure resin injection pump.
the opening maximums were lagging behind in time
but artificially opened.
The increase in G6’s opening, processed at the end of
the graph, is due to the injection work.
The maximum openings follow one after the other
beginning at the top, with greater exposure to heating,
1008
downwards and, therefore, the grouting process which
this succession has followed is deemed to be correct.
Injections in top arches delay the appearance of max-
imum lower arch openings in time, and thus grouting
operations may be prolonged artificially (for example,
the G3 injections delayed the maximum opening
appearing in G4, G5, etc).
The closures occurring in joints adjacent to those
injected are almost negligible and maximums of a few
thousandths of a millimetre were recorded. Closures
occurring in second joints, counting from the one
injected, are not appreciable.
8 CONCLUSIONS
Re-injecting an arch-dome dam is one of the most com-
plicated, laborious tasks in a dam’s structural consolida-
tion. Joints have been injected with a material other than
cement for the first time in this country, which also
involved a modification of the technology employed.
As against the traditional system with cement that
involved water filling numerous enclosures near to that
injected and having water stop sealing equipment on
permanent alert, work is being performed with less risks
and greater effectiveness.
The process in traditional injecting affects the whole
structure due to the extremely large forces mobilised. In
the system used here in this work, however, the process
is more local, almost exclusively affecting the enclosure
being injected at any time, with practically nil repercus-
sion on the adjacent ones, as can be seen in the opening
control monitoring.
The prior study carried out and constant deformation
monitoring have enabled an intervention schedule to be
drawn up extraordinarily tailored to optimum injection
times. Only with a change in grout technology enabling
injection operations to be performed in a few weeks,
taking advantage of the right joint opening time, can
the work specifications and schedule required be met.
The cement grout method, the one we could call
traditional, has a major labour component and low cost
material as characteristics. In epoxy resin injection, just
the opposite occurs. The costs involved in using one or
the other method, which were similar in Susqueda, are
heavily conditioned by the dam’s characteristics, the
condition of its joints and sealing, gallery dimensions,
accesses and many other factors which is why it is not
possible to extrapolate the results obtained at Susqueda
to other dams. The best option must be analysed in each
case, without forgetting the added value that using a
highly durable material with excellent mechanical
properties involves.
 ts
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© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Study of historical hydraulic structures of Shushtar under

extreme loadings

F. Khoshnoudian & R. Tavakoli

Lar Consulting Engineers, Tehran, Iran

ABSTRACT: A historical hydraulic structures of SHUSHTAR in the south-west of IRAN is the most ancient
historical of this kind over the word. They were built more than 2000 years ago, although they were retrofitted
during these years. As a part of the earthquake reconstruction program, the government of shushtar decided to
seismically retrofit the structures. The project was divided in two phases of design and execution. This paper dis-
cusses the evaluation and design procedures recommended for execution. The historical hydraulic structures were
modelled using SAP2000 software. The results of analysis show the unsafely of certain structures under extreme
loadings. We propose some solutions for retrofitting of these structures such as strengthening of main body by
increasing of foundation. These prepositions could provide sufficient safety factor and stability of structures.

1 INTRODUCTION Gargar dam is the down side of Mizan dam and

constructed as Mizan dam. The aim of Gargar dam
In the last decades, vulnerability of masonry struc- construction is get up the water level and conducted
tures to earthquakes have focused the attention of the water to tunnels. The figure 5 presents Gargar dam.
researchers, especially historical structures, according
to importance of historical structures and also after
Bam earthquake that Argeh Bam suffered significant 2 DAMAGE DOCUMENTATION
damage during the M7.2 bam earthquake of 2004 in
IRAN. Past earthquake demonstrated the especially old Original drawing for the structures was not available;
stone masonry buildings suffered severe damages due fresh measured drawing was prepared. The survey was
to poor seismic resistance of the shear wall (Chiostrini, conducted to identify the areas of severe, moderate and
Ealano and Vignoli, 1998). Shushtar is situated in the minor damages. The principal damages during these
south-west of IRAN. The city is famous for its histor-
ical events and it was built two thousands years ago. It
is located on the banks of the KARUN river. The most
important point of this city is the existence of hydraulic
structures such as small gravity dams, bridges, and irri-
gation tunnels. Mizan dam is situated in the initial part
of one of the KARUN river’s branches. Gargare dam is
located in the down side of Mizan dam for controlling
of Tail water. Mizan dam constructed from stone and
mortar “SARUJ”. It includes three parts:
– The first part is rectangular section with 6 m to 9 m
height.
– The second part is probably continent two retaining
walls.
– The last part is unknown.
In this paper, we focus only in the first part of Mizan dam
(Figures 1, 2, 3, 4) Figure 1. General plan.

1009
Figure 2. Mizan dam plan. Figure 6. Flood effect on Mizan dam.

Figure 7. Erosion of Mizan dam.

Figure 3. Mizan dam view

Figure 4. Mizan dam dimension.

Figure 8. Chemical effect of Mizan.

Figure 5. Gargar dam. Figure 9. Human effect on Mizan.

1010
Figure 10. Damage due to settlement on Mizan dam.
Figure 11. Erosion of Gargar dam.
Figure 12. Chemical effect on Gargar dam.
Figure 13. Human effect on Gargar dam.
1011
Figure 14. Physical effect on Gargar dam.
years provides in dams (Mizan, Gargare) includes fol-
lowing reasons:
1. Water flow on stone and mortar
2. Physical and chemical Phenomena
3. Human affects during these years
4. Flood and earthquake induce the major damages
3 STRUCTURAL ANALYSIS
3.1 Design parameters
For structural engineers a main problem is the mechan-
ical characterization of old masonry structures, i.e.,
shear strength and tensile strength. Knowledge of the
textures and the properties of stones and mortar are
often insufficient to these previsions, so experimental
test should be performed on this topic. There are a few
kind of test such as tensile strength or diagonal com-
pression and direct shear tests, but due to time limit, it
wasn’t possible to do its. Therefore, we had only the
results of ordinary test:
According to Euro code, the compression strength is:
The tension and shear strength of material is around
10–15% of compression strength and therefore:
 Table 1. Water level.

Mizan Upstream Down stream

Q (m3/s) W.S.Elev (m) W.S.Elev

10.0 37.2 36.6

46.0 38.5 37.7
108.0 39.8 39.6
144.0 40.9 40.7
186.0 41.8 41.8
221.0 43.08 –
258.0 44.56 –
280.0 45.47 –
Figure 15. Transverse section of Mizan dam. 313.0 46.30 –
665.0 46.62 –
700.0 47.10 –
760.0 48.97 –
810.0 50.92 –

Table 2. Earthquake acceleration.

(PGA)v (PGA)h Period year Earthquake level

0.18 0.27 500 (D.B.L)

0.23 0.36 1000 (M.D.L)
0.36 0.45 2500 (M.C.L)

(4)

Figure 16. Effect of different loads.

(5)
3.2 Stability analysis of the existing structure
(6)
In this paper, we only present the study of Mizan dam,
the geometry and the water level and earthquake The following basic loading conditions are gener-
results were presented in figures 15,16 and tables 1,2 ally used in gravity dam designs:
respectively.
First of all, we study the stability of Mizan dam 1. Load condition No. 1-Unusual loading condition-
under usual, unusual and extreme loadings. The Us Construction
army code was used. The dam has to resist against dif- 2. Load condition No. 2-Usual loading condition-
ferent loads such as: Normal operating Construction
3. Load condition No.3-Unsual loading condition-
1. Dead load flood discharge
2. Headwater and Tail water pressure 4. Load condition No.4-Extreme loading condition-
3. Uplift Construction with operating basis earthquake (DBL)
4. Earthquake forces 5. Load condition No. 5-Unsual loading condition-
4.1 Inertial force due to earthquake (V 
W) Normal operating with operating basis earthquake
4.2 Hydrodynamic force 6. Load condition No. 6-Extreme loading condition-
Normal operating with maximum credible earth-
(1) quake (MCE)
7. Load condition No. 7-Extreme loading condition-
Probable maximum flood
(2) The basis stability requirement for Gravity dam for
all conditions of loading are:
1. That is be safe against overturning at any horizontal
(3) plane within the structure, at the base, or at the plane
below the base

1012
Table 3. Stability factors.

EM 1110-2-2200

Resultant Mininum
Load location sliding
condition at base FS

Usual Middle 1/3 2.0

Unusual Middle 1/2 1.7
Extreme Within base 1.3

The sliding factors of safety (FS) are based on a compre-

hensive fold investigation and testing program.
Figure 17. Finite element modelling of a part of Mizan dam.

2. That is be safe against sliding on any horizontal or

near horizontal plane within the structure at the base
or any rock seam in the foundation.
The stability criteria for gravity dams for each load
condition are listed in table 3.
Safety factor against overturning for different load
combinations (Mizan dam with 9 m height) are:

Figure 18. Maximum principle stress of Mizan dam due to

Load comb.2:
load combination No.3.

Load comb.3:

Load comb.4:

Load comb.5:

Load comb.6: Figure 19. Minimum principle stress of Mizan dam due to
load combination No.3.

Load comb.6:
The results show the stability of Mizan dam against
overturning.
Safety Factor against sliding could determine by The result demonstrate the instability of it against
the following formula: sliding.
The results of Mizan dam with 6 m and 9 m height
show the Mizan dam with 6 m has sufficient safety
against overturning and sliding but the safety factor is
Load comb.2: under allowable value proposed by Us Army for Mizan
dam with 9 m height. Also the result of Gargar dam
Load comb.4: shows the stability of it against usual, unusual and
extreme loadings.

1013
Table 4. Value of stresses.
Load combination Smax
1 0.30
2 0.315
3 0.325
4 0.24
5 0.18
SAP2000 software. The structure is modelled by solid
element and the model and the result of analysis are
Smin illustrated in the following figures. These figures show
the critical condition in the main body under extreme
1.68
loadings.
1.54
1.82 Also we present the maximum and minimum prin-
1.56 cipal stress due to the load conditions and the table 4
1.65 illustrate these value. The maximum principal stress
is larger than allowable stress. Therefore this structure
must be retrofitted by acceptable method.

4 METHODOLOGIES FOR RETROFITTING

AND CONCLUSIONS

The results of analysis show the stability of Mizan

dam with 6 m of height, but the safety factors are not
sufficient for stability of Mizan dam with 9 m height
and therefore this structure cannot be resist against
strong earthquake and we propose to use enlargement
of foundation dam towards down stream. Also we
must retrofit the local damage by using special mate-
rial such as material used in Italy.
Figure 20. Retrofitting by using reinforcement of structures.
Totally, for all structure in historical hydraulic
SHUSHTAR, we have to use the material that doesn’t
change the appearance of structures such as using
special injection that used in Italy.
The following Figures show certain methods that
proposed for retrofitting and these methods could be
evaluate in second phase of study while the base is
complete.

Figure 21. Retrofitting by using special injection.

3.3 Modeling and analysis of the existing structure REFERENCES

It was recognized that there were approximations
in the modelling of the materials and the structure. In
reality the dams were not made of homogenous materi-
al. The modulus of elasticity considered was an
approximation based on subject literature and was not
established separately for this structure. Therefore the
modelling after obtaining the result of test and for the
second phase of study of the hydraulic historical
SHUSHTAR, the finite elements model with actual
behaviour of material is possible. In this following we
present the simple model Mizan dam by using
Sheth, Alpa. et al. 2004. Seismic retrofitting of Mani Mandir
complex at Morbi, Gujarat, India. 13th WCEE, Vancouver
Canada.
Khan, Ejaz. et al. 2004. Seismic retrofitting of Mani Mandir
complex at Morbi, Gujarat, India. 13th WCEE, Vancouver
Canada.
Laezza, Gianfranco. et al. 2004. Stochastic damage analysis
of masonry structures. 13th WCEE, Vancouver Canada.
Faella, Ciro. Et all. 2004. Tuff masonry walls strengthened
with a new kind of C-FRP sheet.
Sengupta, Amlan K. et al. 2004. Seismic analysis and retro-
fit of existing multi-storeyed buildings in India.

1014
 ts
res R dna m D v srio nE d a seit coS , 12 eht ni m or v rutneC g
reB Ð y )sde( la t
© 60 2 T a F & roly r puorG sicna 1 3240 5 NBSI ,nod L

Flow resistance and design guidelines for embankment stepped chutes

C.A. Gonzalez
Water Engineering section, Cardno Pty. Ltd, Australia

H. Chanson
Department of Civil Engineering, The University of Queensland, Australia

ABSTRACT: Recently the design flows of many dams have been re-evaluated, resulting in spills often larger than
the original ones. In many cases, occurrence of revised flows would result in dam overtopping because of insuffi-
cient storage and spillway capacity of reservoirs. Embankment dams whilst common are more likely to fail than
other dam types when overtopped in an uncontrolled manner because of breaching or complete erosion of the down-
stream face of the embankment. Despite the catastrophic effects of dam failure, dam overtopping constitutes still
most identified collapses. Stepped chutes with moderate slopes represent a convenient embankment overtopping
protection because of its large energy dissipation potential and its compatibility with recent construction methods
(RCC, rip-rap gabions). New experimental flow resistance results are presented herein to help designers to predict
accurately energy dissipation on moderate slope stepped chutes. Some recent advances in design guidelines are
also discussed.

1 INTRODUCTION new construction techniques and materials have also

Before the 1980’s, overtopping counter-measures con-
sisted mainly of increasing either reservoir storage or
spillway capacity. Lately overtopping protection sys-
tems have gained acceptance because they safely allow
controlled flows over the dam wall during large flood
events (Figure 1).
There are several techniques to armour embank-
ment slopes, including paving, rip-rap gabions, rein-
forced earth, pre-cast concrete slabs and roller
compacted concrete (RCC). With RCC and gabions,
placement techniques yield embankment protections
shaped in a stepped fashion. The introduction of such
led to the development of new applications for stepped
chutes (e.g. re-aeration cascades, fish ladders and
stepped channels for river training) allowing cheaper
construction and increased interest in staircase channels.
Despite these recent interests, the characteristics
and performances of stepped chutes flows with mod-
erate slopes are not yet totally understood mainly
because most earlier studies were focused on flows
down steep chutes ('
45°). Up to date, no analytical
model is able to predict the properties of the highly
turbulent two-phase stepped chute flow.
This study details an experimental investigation of
the hydraulic performances of moderate-slope stepped
chutes. It aims to understand the turbulent air-water
flow energy dissipative processes occurring down
stepped chutes. It also provides new, original insights
into air-water stepped spillway flows not foreseen
in prior studies and it presents a new design criterion
for stepped chutes with moderate slopes typical of
embankment dams.

2 EXPERIMENTAL SETUP

This study involved large, near full-scale physical

modeling of stepped spillway flow with moderate
slopes based upon a Froude similitude. Measurements
Figure 1. Melton dam secondary spillway (Australia, 1916). were conducted at the University of Queensland in

1015
Table 1. Experimental flow conditions.
Flow
qw Flow air-water ∆x
Channel '° (m2/s) h (m) dc/h regime Remarks interface
Rxx
Channel 1
16 0.075 0.1 0.6 transition L  3.3 m
to to and W  1m 1
Rxy
0.22 1.5 skimming
0.5
16 0.02 0.05 0.7 transition L  3.3 m
to to and W  1m
0.2 3.2 skimming Rxy max/2
0
Channel 2 ∆t T ∆T t
22 0.1 0.1 1.1 skimming L  3.3 m
to to W  1m Figure 2. Air-water flow velocity and turbulence intensity
0.18 1.5 measurement technique.

Note: L: chute length; W: chute width; ': chute slope; h: step

height; dc: critical depth at crest; qw: discharge per unit width.
two large physical models: a 3.15 m long, 15.9° slope
stepped chute with two interchangeable step heights
(h  0.1 m and h  0.05 m) and a 2.5 m long, 21.8°
slope stepped channel with 0.1 m step height. A broad
range of discharges within transition and skimming
flow regimes was investigated (Table 1).
The size of the models (h  0.1 m and 0.05 m,
W  1 m) corresponded to a geometric scaling ratio
of about Lr  3 to 6 for a typical prototype step
height h  0.3 m that is a common geometry for RCC
and gabion overflow embankment spillways. The large
size of the experiments ensured the extrapolation of
model results to prototype with minimum scale effects.
Boes (2000), Chanson et al. (2002) and Gonzalez and
Chanson (2004a) discussed scale effects in air-water
x is the distance between tips and T is the
stepped chute flows and emphasized the need for large-
size models.
Experiments included detailed air-water flow prop-
erties measurements obtained using a double tip con-
ductivity probe (Ø  0.025 mm). The probe output
signals were scanned at 20 kHz for 20 s per sensor
(Toombes, 2002, Gonzalez, 2005). The probe transla-
tion in the direction normal to the flow was conducted
using a digital ruler within 0.1 mm.
Measurements were conducted with the double-tip
T is a time scale corresponding to half of the
probe located on the channel centreline at and between
each step edge. In the direction normal to the flow,
t is a time scale for which the nor-
measurements were conducted from y  0 up to the
spray region. In the flow direction, measurements were
performed at step edges and in between at dimensionless
distances X0  0.25, 0.5 and 0.75 where X0  x/Lcav,
x is the distance from the upper step edge to the
probe-tip and Lcav is the distance between step edges.
2.1 Data processing
The probe consisted of two tips, aligned in the flow
direction that detect the difference in conductivity
between air and water and record the number of air
bubbles striking both tips sequentially (Fig. 2). The
resulting voltage signals allowed measurement of air
concentration, bubble count rate, air-water flow veloc-
ity and turbulence intensity.
The air concentration C is the proportion of time
that the leading tip is in air and the bubble count rate
F is the number of bubbles impacting the probe tip.
Velocity measurements were based upon the time delay
for bubbles successively striking both leading and
trailing tips. A cross-correlation technique was used
to calculate velocity (Crowe et al., 1998).
(1)
where
time for which the cross-correlation Rxy is maximum
(Fig. 2).
The turbulence intensity was deduced from the
standard deviation of the velocity as:
(2)
where
maximum value of the normalized cross-correlation
function Rxy and
malized autocorrelation function Rxx equals 0.5 (Fig. 2).
3 BASIC AIR WATER FLOW RESULTS
Flow over a stepped cascade is divided into three sepa-
rate flow regimes depending on the flow rate for a given
stepped chute geometry: nappe, transition and skim-
ming flow regimes with increasing flow rate. In this
study, transition and skimming flows were investigated
although the main focus was on skimming flows.

1016
 Transition flows were observed for the lowest range
of investigated discharges. Strong hydrodynamic
fluctuations, splashing and spray near the free surface
were the main features of this flow regime. Different
sized air cavities alternating with fluid-filled recircu-
lation vortices were observed between step edges below
the mainstream of the flow. To date transition flow
properties cannot be predicted accurately as very little
information is available.
Skimming flow was observed for larger discharges.
In skimming flow regime the water skims over the
pseudo-bottom formed by the step edges as a coherent
stream. Beneath the pseudo-bottom intense recircula-
tion vortices fill the cavities between all step edges
(Chamani and Rajaratnam, 1999). These recirculation Figure 3. Prediction of flow regime on stepped chutes.
eddies are maintained by the transmission of shear
stress from the mainstream and contribute signifi-
cantly to the energy dissipation. Visual inspections
highlighted their three-dimensional nature. Three to
four spanwise recirculation cells were observed across
the channel width. The findings were consistent with
observations by Matos and Yasuda (Pers. comm.) on
steeper chutes. The vortices are related to streamwise
coherent structures in the mainstream.
Skimming flows exhibit an appearance similar to
flows down a smooth chute. The upstream end has a
smooth and transparent look characteristic of clear-
water flow. However next to the upstream inlet of the
chute a boundary layer develops. When the outer edge
of this boundary layer reaches the free surface, the Figure 4. Experimental air concentration distributions.
turbulence induces natural aeration giving the flow its
white, foamy appearance. This point is called the point Table 2. Symbols for Figures 4 to 7.
of inception of air entrainment. Immediately down-
'  16°, h  0.1 '  16, h  0.05 '  22°, h  0.1
stream the point of inception, rapid flow aeration is
observed and the flow varies gradually until it becomes  step 8  step 10  step 9
fully developed, further downstream the flow reaches  81  step 11  91
equilibrium and its properties do not vary with longi-  82  92
tudinal distance.  83 93
For stepped chutes with flat to moderate slopes,
Chanson (2002) and Ohtsu et al. (2004) proposed Note: 81, 82 and 83 denote positions X0  0.25, 0.5 and
a further subdivision of skimming flows: subregime 0.75 in between step edges 8 & 9 respectively. 91, 92 and 93
SK1 for the lowest range of discharges and a sub- denote similar positions between step edges 9 & 10.
regime SK2 for the upper range. In SK1, a wake
forms downstream of each step edge with a recircu- Figure 3 summarises criterions provided by Chanson
lating vortex underneath. The wake and the vortex do (2002) and Ohtsu et al. (2004) to predict changes in
not extend over the full step length and the water flow regimes on stepped chutes depending on discharge
impacts in the horizontal part of the step. Skin friction and step geometry. They are based on large-size exper-
drag occurs on the step. The water surface is paral- iments.
lel to the horizontal part of the steps. For SK2, the
3.1 Air concentration and velocity
wake and the recirculating eddy region extend the full
length of the step sometimes interfering with the devel- Detailed measurements of air-water flow properties
oping wake of the subsequent step, preventing skin were conducted downstream of the point of inception
friction drag on the step to occur. The water surface is of air entrainment. Figure 4 presents typical air concen-
parallel to the pseudo-bottom formed by the step tration distributions obtained at and in between step
edges most of the time. In this study, a SK1 flow regime edges in both channels, where Y90 is the characteristic
was observed for all investigated conditions in both flow depth at C  0.9 and V90 the corresponding
channels. velocity. The symbol description is given in Table 2.

1017
 It can be observed that void fraction data obtained
above the pseudo-bottom (y  0) were similar for all
configurations and followed closely an analytical solu-
tion of the advective diffusion equation (Chanson 1995,
2002). Data obtained at the downstream end of cavi-
ties suggested a greater overall aeration of the cavity
flow (y  0) between step edges. Matos et al. (2001)
reported a similar finding. Additionally, the comparison
of data for two different step sizes (channel 1) demon-
strated that air concentration distributions were prop-
erly scaled with a Froude similitude.
Chanson and Toombes (2002) hypothesized that
inertia forces acting on air bubbles trapped in the core
of the recirculating vortices enhanced cavity aeration
and led to higher air content in between step edges.
Present results support such a hypothesis.
Figure 5 presents typical air-water velocity data
collected at and in between step edges in both chutes
operating with skimming flows. Data profiles obtained
at step edges followed closely a power law:
(3)
where V90 is the characteristic velocity at y  Y90.
For skimming flows (1.1  dc/h  1.5) the values
of the exponent “n” oscillated between 7.8 and 11.8.
Measurements between step edges exhibited sig-
nificant differences particularly for y/Y90  0.3, sug-
gesting greater flow velocities immediately above the
recirculation zone. Results highlighted the effects of
the developing shear layer downstream of each step
edge on the air-water flow, both in the recirculating
cavity region and the mainstream flow (Gonzalez and
Chanson, 2004a). Good agreement was also observed
with data obtained using a smaller step size ('  16°,
h  0.05 m) demonstrating that velocity distributions
were properly scaled with a Froude similitude (Chanson
and Gonzalez, 2005).
Figure 5. Experimental air-water flow velocity distributions.
1018
3.2 Turbulence intensity and bubble count rate
Air-water flow turbulence intensity (Tu) profiles for
both channels are presented in Figure 6. The data
indicated very high turbulence levels, with maximum
values above 100%. These values were consistent with
turbulence intensities in wake flows between rocks
obtained by Sumer et al. (2001) and in the clear water
zone of skimming flows by Ohtsu and Yasuda (1997)
and Amador et al. (2004). The data suggested higher
turbulence in stepped chute skimming flows than in
smooth chute clear-water flows.
Turbulence data collected between step edges also
suggested an increase in turbulence towards the down-
stream end of the cavity (X0  0.5). For example, in
Figure 6, maximum turbulence levels Tumax were about
80, 110 and 140% for X0  0.25, 0.5 and 0.75 respec-
tively. The findings were consistent with visual obser-
vations of cavity fluid ejection and replenishment,
taking place primarily in the downstream half of the
cavity. At the upstream half of the cavity (X0  0.5)
turbulence data showed significantly different trends
to data obtained in the downstream half. The influ-
ence of the developing shear layer and the transfer of
momentum between mainstream and cavity recircula-
tion were believed to cause the differences.
Chanson and Toombes (2002) hypothesized that
the high turbulence levels were directly linked to the
number of entrained bubbles/droplets and may be
attributed to a number of factors, including particle
collisions, break-up and coalescence affecting the
interfacial velocity field. It is also believed that high
flow resistance associated with form drag generated
by the steps, contributed to strong turbulent mixing
throughout the entire flow yielding to high turbulence
intensity levels (Gonzalez, 2005).
In Channel 1 ('  16°), differences in turbulence
intensities were consistently observed between h 
0.05 & 0.10 m, with lesser maximum turbulences for
the smallest step height (h  0.05 m). This is illus-
trated in Figure 6 and highlight some scale effects in
Figure 6. Air-water flow turbulence intensity distributions.
terms of turbulence intensity with a Froude similitude
(Gonzalez and Chanson, 2004b)
Dimensionless bubble frequency F*dc/Vc distribu-
tions are presented in Figure 7 where F is the bubble
count rate and dc and Vc are the critical flow depth
and velocity respectively.
Bubble count rate data were similar for both chutes
with large step sizes (h  0.1 m). However significant
differences were observed in terms of bubble count
rate distributions. In channel 1, lesser bubble count
rates (by about 30 to 50%) were observed for the small-
est step height (h  0.05 m). This is illustrated in
Figure 7. The findings imply significant scale effects in
terms of number of entrained bubbles and bubble sizes.
3.3 Energy dissipation
In smooth channel energy dissipation occurs predom-
inantly through friction loss. On stepped cascades,
additional energy dissipation mechanisms exist, includ-
ing cavity recirculation vortices beneath the main-
stream, momentum exchange between the main flow
stream and the mixing layer formed downstream of
each step edge and skin friction at the downstream
half of the steps. These mechanisms cause significant
form drag in stepped spillways.
Despite their limitations, Darcy-Weisbach formulas
were utilized in this study to estimate the form losses
in the stepped channel because they are still widely
used for open channel design. For uniform equilibrium
flow in a wide channel, the boundary friction counter-
acts the gravity force component in the flow direction
and the flow depth and velocity may be determined
from the momentum principle
(4)
where 0 is the average shear stress between the skim-
ming flow and recirculating fluid underneath, Pw is
the wetted perimeter, Aw the water flow cross-section
area and ' is the mean bed inclination angle. In
Figure 7. Experimental bubble countrate distributions.
1019
dimensionless terms, and for a wide channel with
free-surface flow aeration, Equation 4 becomes:
(5)
where fe is the equivalent Darcy friction factor for air
water flow, C the local void fraction, y is the flow
depth measured normal to the pseudo-invert, Uw is the
mean flow velocity with Uw  qw/d, qw is the water
discharge per unit width, Cmean is the mean air con-
centration and d is the equivalent clear water depth:
(6)
In gradually varied skimming flows, the average
shear stress between the mainstream and the cavity
recirculation must be deduced from the friction slope.
For a wide channel, the energy equation yields:
(7)
where g is the gravity acceleration, and Sf is the fric-
tion slope. Since both channels utilized in this study
were relatively short, the flow did not reach uniform
equilibrium status at the downstream end and flow
resistance estimates were based upon Equation 7.
Equivalent Darcy friction factors based upon data
collected at step edges are presented in Figure 8.
Results comprise data obtained in both channels, as
well as experimental data collected by Chanson and
Toombes (2001) in the same facilities, and experi-
mental data obtained in 11.3° and 19° slope stepped
channels (h  0.025, 0.0393, 0.05 & 0.0785 m) by
Yasuda and Ohtsu (1999). Results are also compared
with a rough, non-physical fit corresponding to 188
Figure 8. Friction factors for skimming flows in moderate
slope stepped chutes.
Table 3. Symbology for Figure 8. Skimming flow is recommended to pass large
water discharges while nappe flow is best to achieve
Chute geometry Reference maximum energy dissipation rate. Transition flows
should be avoided as they might produce dangerous
'  16°, h  0.1 m  (Gonzalez, 2005)
dynamic loads to the structure. It is important that the
'  16°, h  0.05 m (Gonzalez, 2005)
'  16°, h  0.1 m  (Chanson and Toombes, 2001) designer not only account for the design flow rate but
'  22°, h  0.1 m  (Gonzalez, 2005) also smaller flow conditions.
'  22°, h  0.1 m
(Chanson and Toombes, 2001) When designing a stepped spillway, the dam height,
'  22°, h  0.1 m (Chanson and Toombes, 2001) the downstream slope of the dam and the design water
'  22°, h 5 0.1m  Yasuda and Ohtsu (1999) discharge are generally given. Parameters to be cho-
Eq. 4 for '  16°, sen are the type of flow and the step height. However,
h  0.1 m the designer is often limited to select a step height (h)
within the values determined by the dam construction
technique (h  0.2 to 0.9 m with RCC or gabions).
experimental data obtained in flat slope laboratory
The first step is then to calculate the critical depth
models (Chanson et al., 2002):
at the crest.

(8)
(9)

where fm is a friction factor obtained from laboratory

Secondly, the step height should be selected to
data with flat slopes and DH the hydraulic diameter.
ensure that the chute will operate with skimming flow
Overall, the friction factor data for skimming flows
conditions (Fig. 3).
were consistent with the re-analysis of Chanson et al.
The position of the point of inception should be
(2002). For the largest step height in channel 1 (' 
located to ensure that free-surface flow aeration occurs
16°, h  0.1 m), present data averaged fe  0.12 while,
in the upstream end of the chute to achieve uniform
for channel 2 ('  22°, h  0.1 m), the data averaged
flow conditions before the toe of the chute. Its coordi-
fe  0.19 suggesting that flow resistance increased
nates might be calculated as:
slightly with channel slope, within the range of mod-
erate slopes as previously proposed by Ohtsu and
Yasuda (1997).
For the smaller step height in channel 1 ('  16°, (10)
h  0.05 m), the average flow resistance was fe  0.18.
The finding suggests that, although the geometrically
similar models were scaled with a ratio of only Lr  2,
the flow resistance was larger for the smallest step
height (h  0.05 m). It must be noted that this conclu- (11)
sion is based upon a limited data set but illustrates
potential scale effects.