74 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION.

ANO REHAEILITATION

have occurred on the basin of interest, it has been neces- Transposed stoftn on a study basin:
sary to develop a technique for transposing such storms
from the locus of their documented (rccurrence to the study Max. = 74"F @ 1000 mb: barrier =
12 hour ?"7 2600 fr
basin.
*Wp(lM mb to 200 mb) = 2.76 in.
In the selection of documented storms for transposition,
care must be taken that the historical storms are of a type
'rrIlp( 1000 mb to 2600 mb) = 0.60 in.
that could occur on the study basin. For example, it would
not be appropriate to transpose a historical hurricane from
Florida to a basin on the westerly slopes of the RockT Storm I7, : 2.'16" - 0.60"
Mountains in Wyoming. Therefore, emphasis is placed on
careful study of the storms occurring over the study basin = 2.16 in.
and comparison with nearby historical documented storms.
Because the historical storms selected for transposition Historical storm on a documented basin:
also will be maximized, the storm rainfall-producing pa-
Max. 12 hour Ia = 70"F @ l0O0 mb; barrier = 1500 ft
rameters will be mentioned. The mechanism for precipi-
tation production is a function of the precipitable water in *W.(IOOO mb to 200 mb)
the air column and the mechanical cooling of that parcel as = 2.27 in.
it expands from its own rising or is mechanically lifted by *IUe(1000 mb to 1500 mb) : 0.41 in.
orographic effects.
There are six major storm fypes in which the moisture- Storm 17, :2.27" - 0.41"
producing mechanism is inherent. Detailed discussion of
these rypes is beyond the scope of this chapter; suffice it to : 1.86 in.
say that the type of storm selected for maximization and
transposition must be synoptically similar to the major rain- Adjustment ratio : 2.16/1.86
producing storms that have occurred over the basin of in- : l.16
terest. Historical daily weather maps, as published by the
U.S. Department of Commerce, constitute one of the best This adjustment ratio of l.16 is then used to increase the
sources for selection of the storm type to be transposed. historical depth-area-duration (D-A-D) values of the his-
Once the several historical documented storms have been torical storm as follows:
identified, the rain-producing parameters-cloud top height,
precipitable water in the air column, inflow rate at which Histoical storm D-A-D for 2AO sq miles:
air enters the storm air, rate of rise of this inflowing air,
and maximum l2-hour persisting storm dew point temper-
Duration (hours) 6 lZ 24 48
Accumulated prccip. (inches) 6.3 8.5 9.7 t l. I
ature reduced to its 1000 millibars (mb) equivalenr-must
be quantified. Several of these parameters are not mea-
Maximized stonn transposed and maximized:
sured; so the following assumptions usually are made: It is
assumed that in the case of historical storms that have pro- Duration (hours) 6t22448
duced record amounts of precipitation, the rate of inflow
Accumulated precip. (inches) 7 .3 9.9 I 1.3 t2.9
and rise of the air are very close to being maximized in the
particular event. The cloud top heights for storms in the Depth-Area-Duration. The temporal and spatial reta-
tionships of historical storm events are customarily plotted
United States are generally taken as about 40,000 feet, or
the 200-mb level. Also, any barrier to the historical storm
as a family of curves called depth-area-duration curves.
inflow must be identified. These data, for storms that have occurred in the general
area of interest and have been reduced to a family of curves,
The process of storm maximization and transposition is
best illustrated by an example. A hypothetical historical are used to determine the specific accumulations for the
storm with a maximum l2-hour dew point temperature re- study area.
duced to sea level of 70oF, and having an upwind barrier From these data the mass curve of accumulated storm
to moisture inflow of 1500 ft, has been selected as a com- rainfall for a specific basin size may be plotted. This curve
patible type, suitable for maximization and transposition to is usually plotted as accumulatcd percentage of total storm
precipitation versus accumulated percentagc of total storm
the study basin. This basin has a maximum l2-hour dew
point temperature reduced to sea level of 74.F, and a to-
pographic barrier to stonn inflow of 2600 ft. rThcse values are fiom standanl tablcs or curves of precipitable water.

duration. Thus the curve becomes generic: that is. it may
be applied to any duration and depth values to derive the
design temporal precipitation distribution. The U.S. Army
Corps of Engineers has compiled a large data base of actual
depth-area-duration statistics for various historical events.
Seasonal Storms. There are many areas in the United
States where tropical and extratropical storms provide the
] maximum rainfall intensities. The seasonal traits of these
events must be considered in selecting such a tropical storm
as a model because the resultant runoff hydrograph might
not be as critical as a winter event of heavy rainfall on
frozen ground, which possibly would produce a higher
peak, a shorter time to peak, and a greater ntnoff volume.
In other areas, the warm weather thunderstorm event is
the major flood producer. Care must be taken in the sea-
sonal selection of such an event as to the superpositioning
of the storm on the annual snowmelt hydrograph, or as to
the state of growth of the vegetation in the basin. Ancillary
to the consideration of the seasonal storm to be used in
spillway design, but nonetheless important, are the addi-
tional hydrologic parameters specific to that season. For
example, a lower-intensity winter storm occurring on a
basin with frozen ground and no snow cover and bare of
leafed vegetation will produce a hydrograph with a signif-
icantly higher peak flow and greater volume than the same
precipitation on the same basin but with a significant snow
cover.
Again, a finite amount of storm precipitation in a set
time period in the spring or early summer will produce a
differently shaped runoffhydrograph, compared to the same
rainfall event in the early fall with heavy grass cover and
the foliage in full leaf.
In summary, the practitioner should be cautioned that
several historical rainfall-runoff flood scenarios for differ-
ent seasons should be investigated in order to obtain the
controlling flood for design considerations.
Areal Distribution. Point rainfall data measured by
gages are used to compute the average depth of precipita-
tion over a drainage area either for an individual storm or
on a seasonal or annual basis.
Aithmetic Method. The most direct approach is to use
the arithmetic average of gaged quantities. This method is
satisfactory if the rain gages are uniformly distributed
around the basin, the topography is flat, or the variation of
rainfall in the watershed is small. The arithmetic method
considers all the gages to have equal weight for the drain-
age area.
Thiessen Method. Another method of areal distribution of
rainfall gives a weighting factor to each gage by the area
HYDROTOGY 75
of the watershed nearest to the gage. The area is deter-
mined by drawing polygons whose sides are the perpendic-
ular bisectors of lines connecting the gages. This method
allows for nonuniform distribution of gages but is still more
useful in fairly even terrain because it does not account for
orographic effects. This is an approach used for thunder-
storm events
Isohyetal Method. Isohyetal maps can be prepared for a
basin to interpolate areal rainfall depths. Contours of equal
precipitation are drawn on the map, and the average pre-
cipitation between two adjacent isohyetal lines is then
weighted by the ratio of the area between these lines over
the total area. This is the most accurate method, but its
accuracy is highly dependent on the skill of the analyst in
judging the topographic characteristics of the basin as well
as the storm characteristics. This method is highly recom-
mended for mountainous regions such as California.
Figure 3-8 shows graphical representations of the three
methods of areal distribution of rainfall.
Tempora! Distribution. To compute the flood hydro-
graph for a given design storm, it is necessary to specify
the time sequence of the precipitation. Usually, the esti-
mate of the design storm is derived by 6-hour increments.
These increments should be arranged in a sequence that
will result in a reasonably critical flood hydrograph. Ide-
ally, the design storm sequence should be modeled after
historically observed storrns if such storms show that major
storm rainfalls have a predominant pattern.
If a predominant rainfall pattem is not evident from past
records or has not been developed, a number of guides are
available for arranging the rainfall into patterns consistent
with the meteorologic processes involved to produce rea-
sonably critical hydrographs. One such guide, used for the
probable maximum precipitation (PMP) in HMR 36 and
HMR 43. is as follows:
1. Group the four heaviest 6-hour increments of the
PMP in a 24-hour sequence, the next highest four
increments in a 24-hour sequence, etc.
2. For the maximum 24-hour sequence, arrange the four
6-hour increments ranked 1,2, 3,4 (maximum to
minimum) in the order4,2, 1,3. Otherdays may be
arranged in similar order.
3. Arrange the 24-hour sequences such that the highest
period is near the center of the storrn, and the second,
third, etc., arc distributed in a manncr similar to step
2 above.
4. The 6-hour increments may be further subdivided into
l-hour increments by determining the increme ntal dif-
ferences from a depth-duration plot (mass curve) of
 76 AOVANCED DAM ENGINEERlNG FOR DESIGN, CONSTRUCTION, ANO REHABILITATION

2.10 l2.E{ + 2.72 r 2.8O + 4.te 3.04 ln.

t2t
2.Ea

2-7t'

(!, ARITHMETIC MEAN ( Unllormly spacod 9!gos, no topogrephlc lnllu.ncc! )

(t, . (5, Polygon Ob3orued Arer Porcrnt Wclght!d

2.t 0- PreclP. 1sq.6;.1 Tot.Araa Prcclp.
4.76'
(il 2.ro 171.4 15.0 .33
l2t 2.84 t 54.3 13.8 .39
(3t 2.72 328.7 29.4 .80
l2l
(41 2.80 460.6 41.2 1.t5
2.84'
,,1 1 8.0 100.0 2.67 In
2.72.'

(bl THIESSEN METHOO ( Uneventy rpscod gag.s, no topographlc lnlluoncas I

lsohyet AYorego Aroa Porcent Welghtod

Preclp. l!ohyot Tot.Arm Procl p.

2.0-2.5 2.30 335.4 30.0 .69

2.5-3.0 2.70 679.7 60.8 't.64

3.0-3.S 3.25 7r.6 6.4 .21

t2t
3.5-,1.0 3.70 31 .3 2.8 .10
2.84'
,1 r 8.0 r 00.0
l,
'o.. 1 2.6rr in.
(3t .
2.72"

{cl ISOHYETAL METHOD ( Unevanty spacod gag€s and topogrsphlc or oth€r lnfluence! I

Fig. 3-8. Estimating arcal depth of precipitation. Source: U.S. Army Corps of Engineers.

the total PMP storm. The six l-hour increments
ranked l, 2, 3, 4, 5, 6 (maximum to minimum)
should be arranged in the order 6, 4,2, l,
Typical rainfall distribution patterns applicable in Cali-
fornia and the northwest states are shown in Fig. 19. In
some other parts of the country the time distribution pattern
suggested in the Standard Project Flood Determinationsao
may be used.
In Hydrometeorological Report (HMR) No. 52, the PMP
for all durations within a 72-hour storm requires that the 6-
hour'increments be arranged with a single peak (Fig.
3-10). The 24-hour period is chosen to include the most
rain bursts in major storrns, and this is set as the length of
rain bursts for the PMP, giving three 24-hour periods in a
72-hour period. Based on results from examination of the
3, 5. 28 storms studied by the National Weather Service for the
report, guidance follows for arranging 6-hour increments
of PMP within a 72-hour period. To obtain PMP for all
durations in HMR 52, the following guides are suggested:
l. Arrange the individual 6-hour increments such that
they decrease progressively to either side of the
greatest 6-hour increment. This implies that the low-
est 6-hour increment will be at either the beginning
or the end of the sequence.
2. Place the four greatest 6-hour increments at any po-
sition in the sequence except within the first 24-hour
 HYDROLOGY 77

a a
!-a !
-a
T t oa ar ara .ro lxto o. tta 9a
E a
3r 3r
a -
o o
a2a!OLalaa!aaO oa12f,l.toIa2{ta61b
trIC rl iorrat tm acatitts oa ttotl Yttf tt trt tto. atarfl - l't
t rtol

to to

3' :'
!r a
9a
, 5t3 5r2
5 a.
re .a
0 o
ra ta !o !a a2 aa 3a o a 12 ra l. !o ta .a aa ta ao x t2
lrrt rx xcuts Fnor gEortiilc of 3lfir trrc rr r;ort3 tail !€eqrrr3 oa srilr bl

ro fetqrrnncs .ta c*au.arf ooo-ta xJ*fs

3'
a
9.
aa
a
a
aa

o
ra2.!o!3a2.aL
rrrE rt rcrrs rtor a€GHrto of Srotr

Fig. 3-9. Sample PMP time sequences. Source: U.S. Weather Bureau. HMR 36. t96l

period of the storm sequence. Studies made by the

National Weather Service of major storms (exceeding
48-hour duration) show that maximum rainfall rarely
occurs at the beginning of the sequence.

Storm Centering and Orientation. For design storms

f 'r**-l ,a^r-*.1
Fig. 3-10. Schematic example of one temporal sequencc allowetl for 6-
hour increments of PMP. See rcferencc 40 lbr resrrictions placed on al-
lowed sequences. Sourcc: U.S. National Weather Service. HMR 52.
such as the PMP, an isohyethal map of PMP amounts may
be shifted to any position over the basin consistent with the
meteorologic conditions on which it is based. Several storm
centerings should be considered in order to determine the
most critical condition. In areas where a specific oval-
shaped isohyetal pattem is used to estimate the design
storm, placing the storm centcr near the downstream end
of the drainage area produces the most critical condition
for peak inflow but not for maximum volume.
HMR 52 recommends centering the isohyetal pattern
(Fig. 3-ll) over a drainage to obtain the hydrologically
most critical runoff volume. For many drainages that are
not divided into subbasins for analysis, the greatest peak
 78 ADVANCED DAM ENGINEERTNG FOR DESIGN. CONSTRUCTTON, ANO REHAEIL]TATION
o t0 20 30 a0 50 MtLEs
SCALE: t:1,000,000
RATIO 2.5:l
Fig. 3-l l. Standard isohyetal pattern recommended for spatial distribution of PMP east of the l05th meridian. Source: U.S. National Weather Sen ice,
HMR 52.
flow will result from a placement of the isohyetal pattern
that gives the greatest volume of rainfall within the drain-
age. Hydrologic trials to determine the greatest volume in
-
the drainage may result in a placement that does not coin-
cide with the geographic center of the drainage, particu-
larly in irregularly shaped drainages. Centering of the iso-
hyetal pattern as described in HMR 52 applies to the
incremental volumes determined for each of the 6-hour
PMP increments, each of which will be centered at the same
point. A computer model has been developed to perform
the PMP storm computation required by HMR 52.a7
For some drainages, it may be hydrologically more crit-
ical to center the isohyetal pattem at some location other
than that which yields the greatest volume. That is, recog-
nizing that any location other than drainage-centered may
result in less volume of rainfall in the drainage, it may
nevertheless be possible to obtain a greater peak flow by
placing the center of the isohyetal patterns nearer the drain-
age outlet. Characteristics of the particular drainage and
project being analyzed are important factors in considering
these trial placements of isohyetal patterns. Runoff volume
is usually the most critical variable in reservoir perfor-
mance studies.
Storm Centering for Multiple Reservoir Sys-
tems. Average storm rainfall decrcases as the size of the
tributary area increases. Therefore, if design rainfloods
computed for various tributaries of a stream system are
routed and combined at a downstream point, the resulting
flood would represent a higher level of severity than the
severity of the components because the rainfall is not re-
duced for increased area size. One way to obtain a com-
ISOHY€T AFEAS
ISOHYET AREAS NOT SHOWN
A- !0 Mr. H- 700 o-!oooo ur.?
8- 25 l-r000 P-t 5000
c- 50 J-l 500 o-25000
o-100 t(-2150 R-40000
E-rr5 L-3000 s-60000
F-3oO tt-a 500
G- .50 N-6500
parable flood downstream is to recompute all of the up-
stream flood hydrographs for each successive point
downstream, using design rainfall amounts for the larger
area tributary to the downstream point. However, if a large
number of successive downstream points require design
values, there would be several repetitions in the computa-
tions. In addition, there is the need to distinguish contin-
uously between the design flood for a given location and
the smaller floods at that location that contribute to the de-
sign floods at downstream locations.
The U.S. Army Corps of EngineersaE describes a tech-
nique used in developing design flood hydrograph com-
putations for a stream system which provides a systematic
approach that is easily computerized (see HEC-tae capa-
bilities). It consists essentially of computing four or five
base floods from rainfall of uniform severity over the entire
river basin. The rainfall severity would range from lowest
amounts representing design rainfall for the largest areas
of interest to highest amounts representing design rainfall
for the smallest areas of interest. The size of the area csr-
responding to each of the four or five base-storm rainfall
amounts is related directly to that amount. Four or five base
floods are then computed for every pertinent location in the
river system, and the design flood for each location is then
interpolated on the basis of drainage area size from the base-
flood hydrographs that reprcsent drainage-area sizes near-
est the drainage-area sizc oI that location.
Base-Storm Rainfall Patrerns. If normal storm rainfall in-
tensity or rainfall potential does not vary appreciably over
a river basin, depth-area-durarion relationships will be suf-
ficient as a basis for obtaining rainfall patterns that are bal-

anced in time for each of the four or five selected arca sizes.
lf normal storm rainfall intensity does vary within the basin,
the depth-area-duration curves should be expressed as a
ratio to a base areal pattern of rainfall intensity. The depth-
area-duration relationship and time pattern of storm rain-
fall are derived for standard project rainfall, probable max-
imum rainfall, or rainfall of any specified frequency.
It is usual for rainfall depth-duration relationships to
change with area size. In small areas, very high short-time
intensities can occur, but they do not extend over large areas
simultaneously. Accordingly, rainfall time patterns of the
same degree of severity usually have higher proportions of
the rain in short periods for small areas than for large areas.
Thus, the time distribution of total rainfall ordinarily should
be different for the four or five base storrns, with the larger
storm-total amounts (representing rain over the smaller
areas) having a greater concentration of rainfall in short
periods. This would be a direct result of using the derived
depth-duration relations for each selected iirea size.
For areas where an elliptical pattem of design storm is
given, such as in HMR 52, the contribution for each sub-
basin in a stream system is easily estimated because they
already are areally reduced. For PMP determination in or-
ographic areas such as those in HMR 36 and 43, the reports
do not go into how the computed average depths of PMP
(either for the total storm or for increments of it) for any
basin can be distributed areally. For these areas, the sug-
gestion to users is to distribute the average PMP depths in
accordance with the isohyetal panem as a "base" of one
of the following: (a) that of a major stolrn over the basin
of interest, (b) that of the l0-year 3-day or 100-year 24-
hour rainfall, or (c) that of the mean annual precipitation-
in that orderofpreference. In any ofthe cases, the isohyets
of the selected "base" are proportional to the determined
PMP (average basin PMP divided by the average value of
base is used to multiply isohyets of base). Such areal pat-
terns can be used for each time increment of PMP.
Flood Interpolation. Runoff computations for stream sys-
tem design floods proceed in a direction from upstream to
downstream. At each location where the four or five base
floods are computed, two are selected whose precipitation
amounts correspond to drainage-area sizes nearest to the
drainage area at that location, one larger and one smaller.
A direct interpolation on the basis of the logarithms of the
drainage areas is made between these two base flood hy-
drographs in order to obtain the design hydrograph for that
location.
It should be noted particularly that the sum of design
floods on streams immediately above a confluence would
be larger than the design flood immediately below the con-
fluence. Of course, the sum could not be considcred as a
design flood because the maximum precipitation has been
centered on each upstream component, and it could only
HYOROTOGY 79
physically center over one of the components at any onc
time. When thc runoff characteristics differ grcatly for the
differcnt tributaries, the interpolation process could cause
the interpolated flood below the confluence to be smaller
in some respect than one of the tributary floods, which is
a physical impossibility. Accordingly. it is advisable to
check peak flows and volumes for various durations of the
hydrograph below the confluence with those on each trib-
utary. and, if any one tributary value is greater. the down-
stream hydrograph should be adjusted to equal the tributary
hydrograph with regard to that value.
These procedures have been computerized as one of the
options in HEC-l.ae'50
SNOW AND SNOWMELT CONSIDERATIONS
Flood flows in many parts of the United States frequently
depend on the rate and volume of melting from snow that
has accumulated during the winter months. The volume of
water available in such form for flood runoff depends on
the depth, density, and area of snow accumulation. The
rate of melt depends on meteorologic factors, such as tem-
perature, cloudiness, wind movement, and humidity, and
on basin physiographic factors, such as elevation, shape,
orientation, and type of vegetation. The months in which
the greatest snowmelt occurs will vary from one locality to
another and from one year to another. depending on the
geographic location, the prevailing climate, and meteorol-
ogic variations of the season. However. in most westem
states, major floods resulting from snowmelt occur be-
tween April I and June 30.
Design floods involving snowmelt fall within two gen-
eral seasonal categories. Winter rain-on-snow floods in-
volve evaluation of the snowmelt as an added component
of runoff. generally less than the rainfall amounts. Spring-
time snowmelt floods are usually much longer in duration
than winter floods and involve melting of the entire win-
ter's accurnulated snowpack. Rainfall is usually of minor
consequence in spring snowmelt floods. For some regions
there may be overlapping of flood characteristics within
these broad groupings.
Optimum meteorologic and hydrologic conditions (i.e.,
conditions most favorable to runoff) for design flood syn-
thesis are established in Corps of Engineers practice for
two classes: probable maximum flood and standard project
flood. A procedure uscd in developing a design flood should
bc rational and should represent all processes affccting run-
off within the ranges that may be expcrienced for a given
flood magnitude. For snowmelt design floods, the primary
problem is evaluation of, snowmelt by a rational procedure
that essentially represents the physical processes of heat
transfier in terms of appropriate meteorological parameters,
considering the characteristics of the basin. In most cases
a simple temperature index cannot be relied upon for de-
 80 ADVANCED DAM ENGINEERING FOR DESIGN, COITSTRUCTION, ANO REHAEIUTATION
termining snowmelt for design floods, because of: (l) the
lack of uniformity among basins of different environments;
(2) the significant changes in snowmelt rates that may oc-
cur within a given basin due to factors other than air tem-
p€rature; and (3) the danger of extrapolating to conditions
beyond the limits to which the index applies. For snowmelr
design floods, consideration must also be given to the effect
of snowpack conditions on runoff.
Factors lnvolved in Snowmelt Design Floods
Evaluation of specific conditions pertinent to either winter
rain-on-snow or springtime snowmelt design floods in-
cludes the following considerations:
l. Initial snowpack characteristics.
o Snow cover (area covered).
o Snowpack water equivalent and distribution with
respect to elevation.
o Snowpack condition with respect to temperafure
and free water, and their variation with elevation.
o Albedo of the snow surface (for basins with sig-
nificant open areas).
2. Determination of critical sequence of meteorological
factors affecting melt.
3. Determination of rainfall.
4. Determination of snowmelt rates, utilizing appropri-
ate general equations.
5. Determination of loss and runoff conditions.
6. Synthesis of all factors affecting runoff into a design
flood hydrograph, utilizing basin storage or unit hy-
drograph routing methods.
Antecedent Snowpack. The primary parameter of
snowpack of interest from a snowmelt flood standpoint is
the maximum accumulation before the start of the snow-
melt season. Maximum accumulation will not ordinarily
occur at all points simultaneously, as melt is.greater in
lower latitudes, at lower elevations, and on the sunny slopes
of the ground; but measurcments at a number of points in
a basin can be used to estimate the maximum simultaneous
accumulation for the basin.
Frequency studies of maximum water equivalent of
snowpack at a point or a basin can be developed in the
same manner as frequency curves of rainfall or runoff, and
can be used to determine the snowpack corresponding to
any specified frequency and to make some estimate of max_
imum snowpack potential. The maximum snowpack poten-
tial ordinarily is not determined by integrating maximum
snowfall during a winter season because of the great un-
certainties in estimating the frequency and sizes of storms
that can occur and the losses that occur through evapora-
tion and intermiuent melt during the accumulation season.
Elevation Effects. Because the snowpack exhibits its
principal variation with elevation, there are two general ap
proaches to the problem of computing the runoff from
snowrovered areas. The first is to divide the drainage basin
into bands of equal elevation and to compute the snowmelt,
rainfall, and losses separately for each band. The second
general approach treats the basin as a unit, making correc-
tions for non-snow-covered areas or other noncontributing
areas. In general, the first method is more adaptable for
winter rain-on-snow situations, whereas the second method
is usually preferable for springtime clear-weather snow-
melt.
Critical Meteorological Sequence. Temperarures and
winds associated with extreme hypothetical floods are two
important snowmelt factors amenable to generalizations for
snowmelt computations.'The sequencing of these meteor-
ological events may follow the same time distribution as
the precipitation events.
For combined rain and snowmelt flood determinations,
a sequence of high temperatures for several days prior to
rain is generally the most critical situation. Hence, the
highest temperatures observed prior to major storms in the
region may be determined as a guideline in estimating these
antecedent temperatures.
Snowmelt
Daily quantities of basin snowmelt may be determined by
general snowmelt equations or by derived basin snowmelt
indexes. In basin applications for design floods, the former
are more appropriately used, because of the requirement
for making a direct rational evaluation of all factors affect-
ing snowmelt and extending them to the given design con-
dition. This involves detailed computations of major scope,
but they are justified for the design of major water control
projects. For daily streamflow forecasting uses, however,
a simple snowmelt index usually is adequate, considering
the overall accuracy of forecasts and time limitations in
their preparation.
The influence ofthe optimum antecedent snow coveron
flood runoff, by addition of snowmelt to the hypothetical
storms and by temporary storage and release of water as
the snowpack is melted away, can be computed by a ra-
tional m-ethod developed by the U.S. Army Corps of En-
gineers.'' The basin is usually divided into elevation bands
o[ equal increments, such as 1000-ft intervals, as long as
the air temperature lapse rate corresponds to the change in
elevation within the zones. Temperatures are reduced by
the lapse rate in degrees per increment of elevation zone.
Because surface air tcmperature is an inverse function of
elevation, the rate of snowmelt decreases with elevation.
If the freezing isotherm is below the snowline, there is no

melting within the basin. Therefore, temperaturc at an in-
dex station must be considered in conjunction with the ex-
tent of snow cover in estimating snowmelt. The mean daily
surface air temperature in mountainous regions varies from
3 to 5'F per 1000 ft of incrcase in elevation.
The computer prcgram HEC-lle uses two methods of
snowmelt equations. One is the "degree-day" method and
the other the "energy-budget" method. These equations
are taken from the U.S. Army Corps of Engineers publi-
cation Runofffrom Snowmeh.sl Other computer Programs
for snowmelt simulation are shown in a later section.
Degree-Day Method. The degree-day method uses the
equation:
M=K(T-C)
where:
M = daily snowmelt in inches
K = melt coefficient in inches per degree-day
T : air temperature lapsed to the midpoint of the
vation zone
C : temperature at which snow melts
Values of the degree-day factor, K, generally range from
near zero to O.2 in./degree-day Fahrenheit, with values
between 0.05 and 0.1 in. /degree-day Fahrenheit being
most common. For some practical purposes, K may be as-
sumed equal to 0.07 in./degree-day Fahrenheit as an av-
erage value.
The temperature C is generally assumed equal to 32"F
although variations are warranted. The computer program.
HEC-I, can obtain a reconstituted value of C (metric or
English units) from a rainfall/snowmelt-runoff study.
Energy-Budget Method. Snowmelt by the energy-bud-
get method is performed in HEC-I for English or metric
units with the aid of equations 20 and 24 (English units
example) of reference 50 for rainy and rain-free periods of
melt, respectively. For a rainy period, the following equa-
tion is used:
Klo.og + (0.029 + o.oo5o4 I/
M =
+ o.oo7 P)(r^ - c)l
During rain-free periods in partly forested areas, the fol-
lowing equation is used:
u: x10.002 I(t - A)
+ (0.0011 I/ + 0.014s)(TA - c)
+ 0.003e v(rD - c)l
HYDROLOGY 81
wherc:
M = daily melt in inches
Tt = air temperature in degrees Fahrcnheit
/ : wind speed at 50 ft above the snow, in miles per
hour
, = estimated insolation (solar radiation on horizontal
surface) in langleys
P : precipitation
^d = albedo
Ip = dewpoint temperature in degrees Fahrenheit. This
is lapsed at the rate of 0.2 of the air temperature
lapse rate to the midpoint of the elevation zone.
C : freezing temperature in degrees Fahrenheit
K= dimensionless coefficient to account for variation
(34) from the general snowmelt equation in reference
51.
COMPUTATTON OF RUNOFF FROM STORMS
ele-
Historical Antecedent Condition
Studies of historical storms in certain regions indicate that
it is possible to have significant rainfalls ocurring before or
after the major flood-producing storrns. Such meteorolog-
ical sequences should be considered in srudies involving
hypothetical floods up to the probable maximum flood level
where several reservoirs exist. As a general rule, the crit-
ical rainstorms in a small basin result primarily from ex-
tremely intense small-area storrns, whereas in large basins
the critical rainstorms usually result from a series of less
intense large-area storms.
Design Antecedent Condition
Several routing studies have to be performed to determine
the controlling inflow design flood. Once the month to be
used as the time of occurrence of the inflow design flood
has been selected, a study should be made to determine the
pmbability of antecedent rainfall. The amount of rainfall
to exceed the infiltration capacity of the study basin is site-
specific and usually must be estimated. Once the amount
and duration of this rainfall has been estimated, the prob-
ability of the event occurring in the selected month should
(3-s) be determined. Rainfall depth, duration, and frequency
values are available as isopleths, together with monthly ad-
justment factors, and thus provide a good source for ante-
cedent rainfall occurrences.
In addition to considering the probability of antecedent
rainfall and its effect on thc proposcd inflow dcsign flood
hydrograph, the streamflow occurring at the onset of this
flood must be quantified. This can be accomplished by
(3-6) prorating streamflow data on the study stream to the site
 82 ADVAT{CED DAM ENGINEERING FOR DESIGN, CONSTRUCTION. ANO REHABILITATION
and preparing a monthly or seasonal flow duration curve.
From the flow duration curye an average flow can be se-
lected that is equaled or exceeded a percentage of time that
represents a degree of consewatism or reasonableness. It
should be noted that the theory of combined probability of
partially independent hydrologic events can escalate the
overall safety factor to a high level. For example, a stream-
ffow at the onset of a storm of I in 25 years combines with
the flood resulting from a l-in-1000-year rainfall event to
give an event with a l-in-25,000-year chance of occur-
rence. One must carefully assess the conservatism that re-
sults from the combined probabilities of independent
events, in order to avoid the tendency to compound safety
factors and thus add considerably to project cost with little
practical commensurate increase in project safety.
A number of National Weather Service studies cover the
time-sequencing of storms. For areas not covered by these
studies, it is often considered that the pMF is preceded 3
to 5 days earlier by a flood that is 40 to 60To ofthe principal
flood. Assumed antecedent conditions generally provide
wet and saturated ground conditions prior to the occurrence
of a PMP.
Other Coincident Events
Other meteorological events that are superimposed in the
determination of hypothetical floods are the antecedent
snowpack, coincident snowmelt with its melt parameters,
and wind movement. These events are discussed elsewhere
in this chapter.
Rainfall-to-Runoff Computations
Various hydrologic processes contribute to the formation
of a runoff hydrograph resulting from rainfall and snow-
melt on a watershed. Study of these processes and deter-
mination of the key parameters affecting them give insight
into hydrograph production. This section describes certain
methods of deriving fundamental hydrologic parameters
from observed events, and suggests techniques for utilizing
these deduced parameters in the hydrologic analysis of
dams. (Much of the information in this section was ob-
tained from rcference 52.) Some highly useful and up-to-
date procedures concerned with hydrograph analysis are
presented, with emphasis devoted to areas where the quan-
tity of hydrologic dara is limited. Several of these proce-
dures are illustrated in sufficient detail to facilitate a rhor-
ough understanding, not only of the principles and
procedures, but of application and management of the basic
data as well. Although the emphasis in this discussion is
placed on computer-oriented techniques, it is recognized
that these same techniques may not be so useful when elec-
tronic computers are not readily available. Microcomputers
or electronic calculators also can be used to perform these
analyses. Generalized hydrologic engineering computcr
programs that are useful to the engineer engaged in water
resource studies are described in a later section.
This section is not intended to be a compendium of
available methods. Those presented have been selected for
their applicability to the more frequent types of problems
encountered in dam safety analysis. Although it is known
that many of these techniques contain assumptions (such as
linearity) that do not accurately describe the processes ac-
tually occurring in nature, experience has shown that these
assumptions need not be a major handicap, considering the
quality of the basic data thar are naturally available, and
provided that the techniques are applied with judgment and
an understanding of the assumptions. In addition, many of
the functions described in this section are based in part on
the fact that rhe hydrologic quantities utilized in hydro-
graph analysis are averaged or..lumped" for computarion
purposes. This assumption can severely limit the tech-
niques used if the temporal and spatial units analyzed are
too lar,ee for the process being simulated.
The land-surface runoff process can be separated into
four basic hydrologic componenrs: (a) precipitation; (b) in-
terception and infiltration; (c) rainfall/snowmelt excess
transformation to runoff: and (d) baseflow. The other major
shaping factor for a hydrograph is flood routing, which is
discussed in a later section.
Precipitation. Precipitation is the general term for all
forms of moisture emanating from clouds and falling to the
ground. Estimates of intensity, depth, and areal distribu-
tion of precipitation are discussed here.
Limitations in the application of precipitation data are
largely related to statistical sampling inadequacies. The ex-
isting precipitation network in the United States and most
other countries ordinarily is not sufficiently dense to define
storm precipitation for average depth over areas of a size
suited for hydrograph analysis. In fact, it is known that
many "cloudbursts" occur that are not recorded at any ob-
servation station.
The nature of storm precipitation and the uses for which
precipitation data are intended should determine network
density, as the probability that a storm center will be de-
fined adequately varies with the network density. A rela-
tively sparse network of stations often will suffice for stud-
ies of large general storrns or for determining long-term
averages over large areas of level terrain, but a dense net-
work is rcquired to delineate the rainfall pattern in small-
area storrns. Radar is currently being used in some areas to
determine the relative spatial variation in precipitation. Be-
cause radar data only indicatc relative precipitation inten-
sity, ground gages are necessary to determine absolute
rainfall intensities. The radar measurements are correlated
with the ground gages, at their locations, to estimate the
corresponding absolute intensities of the total radar image.

It is often necessary or desirable to supplement incom-
plete precipitation recorrds by estimating values that are
missing at one or morc stations. One procedure that can be
used is regional analysis. This method determines by mul-
tiple-linear regression the correlation between the station
with the missing data and all other nearby stations for the
period when they have coincident records. By using the
resultant regression equation and adding a random com-
ponent, the missing record can be estimated.
A more commonly used technique for estimating miss-
ing data is the mass precipitation curve, illustrated in Fig.
3-12. Mass precipitation curves are determined by plotting
accumulative precipitation versus time. Curves are plotted
for continuous recording stations within and around the
study area, and then similar cuwes are constructed for non-
recording stations in the same area, using the recording sta-
tion curves as a guide. Stations should be compared for
possible similarities of topographic influences and meteo-
rologic conditions during the storm, and grouped accord-
ingly. The mass precipitation curves should be completed
in accordance with these groupings by interpolating the
curves between established points in such a manner as to
reflect reasonable consistency with the period of precipi-
tation at neighboring stations. Incremental values can then
be extracted from the curves for use in determining mean
precipitation over an area. Care must be used in this pro-
cedure, however, because minor smoothing of mass curyes
could change intensities greatly.
c
!
c
o
a Defined as the maximum rate at which a soil will accept
G water, the infiltration capacity is a function of soil char-
: acteristics, land slopes, vegetation. and soil moisture con-
!)
E
t ural basins, the following factors must be considered:
Orcrmbar t96a
Fig. 3-12. Mass precipitation curves, Decembcr 196{-January 1965
storm, Trinity River and Shasta Areas, Califomia. Source: California De-
partment of Water Resources.
HYDROLOGY 83
The average depth of precipitation over a specified area
is required in many hydrologic problcms. The threc most
commonly used methods for computing mean precipitation
over an area are: (l) the station-average or arithmetic
method, (2) the Thiessen merhod. and (3) the isohyetal
method. (These methods are illustrated in Fig. 3-8.) In each
of the methods, the accurdcy with which rainfall dcpth over
an area can be estimated depends on the number and spac-
ing of precipitation stations. In general, the larger the area,
the greater the number of sampling points included within
it, and the greater the resulting accuracy of average depth
determinations.
lnterception and lnfiltration. Precipitation is subjected
to a number of losses before it eventually appears as ffow
in a stream. In hydrograph analysis, losses are considered
to be the difference between the total amount of precipita-
tion that produced a hydrograph and the volume of water
in that hydrograph (not including base flow). Precipitation
will be lost by vegetation interception, evaporation, trans-
piration, and infiltration into the soil.
Infiltration is the largest of the processes diverting pre-
cipitation from immediate streamflow, and usually more
than half of the water that infiltrates is retained in the soil
until it is returned to the atmosphere by evapotranspiration.
Because it has such a major effect on precipitation con-
tributing to immediate streamflow, and all the other losses
are relatively minor, infiltration is ordinarily the only loss
that is considered in detail in hydrograph analysis. This
simplification will have some effect on the analysis, but
considering the inconsistencies and inaccuracies in precip-
itation and strcamflow measurements, the effect is rela-
tively minor.
The basic approach to determining loss-rate functions for
use in analyzing hydrographs is to develop techniques that
approximate the physical processes that are occurriog and
are still mathematically tractable. Traditionally, rhe rech-
niques are based on representing an infiltration capacity
curve, such as the typical curve illustrated in Fig. 3-13.
tent. However. in applying any loss-rate technique to nat-
o The infiltration capacity of a given soil at the begin-
ning o[ a period of rainfall is related to antecedent field
moisture and the physical condition of the soil; so the in-
filtration capacity for the same soil can vary appreciably.
o The infiltration capacity of a soil is normally highest
at the beginning of rainfall, and. bccause rainfall fre-
quently begins at moderatc rates, a substantial period of
time may elapse before the rainfall intensity exceeds the
infiltration capacity. It is generally accepted that a fairly
definite quantity of water loss by infiltration is required to
 84 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, ANO REHAEILITATION
Lcgcnd
l-l n.rnt.r .ro..r.
$l tntrr.r ro.t. rr
lnllltr.tlon. f. IIY
a tion rates should be analyzed carefully.
c
o Other techniques for interception/infiltration accounting
c have been demonstrated by Holtan et al.,tr phillip,s5 and
6 Green and Ampt.56 The Grcen and Ampt method is widely
c
6 discussed in the current literaturc and in simulation models
ar
Tlme
Fig. 3-13. Infiltration analysis.
satisfy initial soil moisture deficiencies before runoff will
occur, the amount of initial loss depending on antecedent
moisture conditions. Practical applications of estimating
runoff from moderate rainfall intensities ordinarily include
an allowance for these initial losses corresponding to var-
ious antecedent soil-moisture conditions.
o Rainfall does not usually cover an entire drainage basin
during all the time a storm is occurring with intensities ex-
ceeding infiltration capacities. Furthermore, soils and in-
filtration capacities vary throughout a drainage basin.
Therefore any loss-rate technique must consider varying
rainfall intensities in various portions of the basin in order
to determine the area covered by effective runoff-producing
rainfall.
It can be seen that loss rates vary both areally and tem-
porally. Furthermore, areal variations of precipitation,
soils, and vegetation also affect the relationship of area
rainfall to area losses. Both effects tend to cause increased
basin-mean losses with increased basin-mean rainfall. Time
intervals adopted in the analysis and basin sizes should,
therefore, be limited so that neglecting these variations will
not be serious.
Many methods have been proposed to account for rain-
fall losses. These methods range from the simple empirical
to complex conceptual models of the surface and soil sys-
tem. The simplest method is the "initial and uniform"
technique,ae which has a single soil moisture (and inter-
ception) deficit that must be satisfied before runoff can oc-
cur. Once this initial deficit is satisfied, mnoff will occur
for all rainfall intensities that exceed a given "uniform"
infiltration rate.
The U.S. Soil Conservation Service's Curve Number
technique,53 developed for determining total runoff volume
from total rainfall volume, has been widely used for incre-
mental rainfall infiltration as well. It has received much
attention because of its simplicity and bccause the curve
number (infltration rate) can be obtained from rcadity
R.
measurable geographic characteristics (soil type and land
use). The "curve number" computations neglect the ef-
fects of rainfall intensity; so when the method is applied to
storms of largely varying intensities, the resulting infiltra-
of the rainfall-runoff prccess. With its concepts of water
ponding on the surface and a wetting front moving down-
ward through the soil layers, it probably presents the most
useful descriptions of the infiltration process.
In the computer simulation methods discussed subse-
quently, several of the above infiltration methods are used.
The Hydrological Simulation PackagesT and the National
Weather Service River Forecast Systemss models employ
the infiltration method as part of a simulation of fwo soil
moisture zones and groundwater. Runoff emanates from the
surface, interflow, and groundwater sources as a function
of moisture in the various soil reservoirs.
Rainfall/Snowmelt Excess Transformation to Run-
off. The moisture available for runoff (after applying any
of the above loss methods) is then transformed into point
discharge runoff via a unit hydrograph or kinematic wave
technique.
Unit Hydrograph Transformotion Technique. The unit
hydrograptr technique has been discussed extensively in the
1iterature.23's''s This technique is used in the subbasin
runoff component to transform rainfall/snowmelt excess to
subbasin overflow.
A l-hour unit hydrograph is defined as the subbasin sur-
face outflow due to a unit (l in. or mm) of rainfall excess
applied uniformly over a subbasin in a period of one hour.
Unit hydrograph durations other than one hour are com-
mon, and the unit hydrograph must be adjusted accord-
ingly.
The rainfall excess hyetograph is transformed to a sub-
basin outflow by utilizing the general equation:
i
Q,= (3-7)
,1,uix1i-i+o
where Q1 is the subbasin outflow at thc end of computation
interval i, U, is the jth ondinate of the unit hydrograph, and
X1 is the average rainfall excess for computation interval i.
The equation is based on two imporrant assumptions.
First, the unit hydrograph is characteristic for a subbasin
and is not storm-dependent. Second, the runoff due to ex-
 HYDROTOGY 85

cess frcm different periods of rainfall excess can be linear-

ily superposed.
For computational purposes, it is highly desirable to ex-
prcss the unit hydrograph ondinates as a mathematical func-
tion of watershed characteristics and timing of the rainfall
excess. Such formulations are referred to as synthetic unit
hydrographs. The parameters for the synthetic unit hydro-
graph can be determined from gaged rainfall and runoff
data by employing parameter estimation methods. Other- Flow lo Collcclor
wise, these parameters can be determined from regional Channal
studies or from guidelines given in references for each syn-
thetic technique. Three of the main synthetic unit hydro.
Overland Flow Element
graph methods are described below.
Ctark llnit Hydrograph. The Clark method6r requires
three parameters to calculate a unit hydrograph: IC, the
time of concentration for the basin: R, a stomge coefficient:
and a time-area curve. A time-area curve defines the cu-
mulative area of the watershed contributing runoff to the
subbasin outlet as a function of time (exprbssed as a pro-
portion of IC).
Snyder Unit Hydrograph. The Snyder method62 deter-
Collector Channel Element
mines the unit graph peak discharge, time to peak, and
widths of the unit graph at 50% andT5Vo of the peak dis- Fig. 3-14. Kinematic wave flow surface runoff.
charge. The method does not produce the complete unit
hydrograph needed for computation of runoff; the complete
unit hydrograph can be drawn by using hydrologic judg- where is the friction slope, and Se is the channel bed
S7
ment, or it can be estimated using one of the other methods slope. Thus flow at any point in the channel can be com-
such as Clark. puted from Manning's formula:
SCS Dimensionless Unit Hydrograph. The Soil Conser-
vation Service (SCS) dimensionless unit hydrograph l'486
methods3 consists of a single parameter, Lu{G, which is
e : n 15t/\ (R2/3) A (3-e)

equal to the lag (houn) between the center of mass of rain-

fall excess and the peak ofthe unit hydrograph. Peak flow where Q is flow, S is channel bed slope, R is hydraulic
and time are computed as fixed functions of L1lG. The unit radius, z{ is cross-sectional area, and n is Manning's resis-
hydrograph is interpolated for a specified computation in- tance thctor. Equation (3-9) can be simplified to
tenral, and the peak flow is computed from a dimensionless
unit hydrograph. Q: aA^ (3-lo)

where cu and m are related to flow geometry and surface

Kinematic Wave Transformation Technique. The kine-
matic wave method6l seeks to employ hydraulic principles
to convert rainfall excess to runoff. In determining subba-
sin runoff by the kinematic wave method, two conceptual
elements are used: flow planes and collector channels (Fig.
3-14). These planes and channels transform rainfall excess
into subbasin outflow. This discussion deals with the ap
plication of the kinematic wave equations in HEC-l.ae
In the kinematic wave approximation of the equations of
flow, it is assumed that the bed slope and water surface
slope arc equal, and acceleration effects are negligible (pa-
rameters are given in English units for use in these equa-
tions). The momentum equation then simplifies to:
roughness. Figure 3-15 gives relations for o and m for sev-
eral channel shapes. Note tlrat in the equation for pipe flow,
the cross-sectional area, A, may exceed the pipe size if this
dimension is not monitored by the computational method.
When this occurs, the method only approximates the stor-
age characteristics of a pipe or culvert.
Because the momentum equation has been reduced to a
simple functional relation between area and discharge, the
movement of a flood wave is described solely by the con-
tinuity equation:
AA aQ=
q (3-l t )
-+
0t 0x

S/=So (3-8) where z{ is the cross-sectional area of the channel, r is the

 86 ADVANCED DAM ENGINEERsNG FOR DESlGN. CONSTRUCT]ON, ANO REHABILITATION

o
^,
cr RcuL Ae
a

m
- 0Slrtrz
- Sl1
orrc
Table

Dense growthr
Pasturcr
3-3. Effective

Surfacc
roughness parameters for
overland flow.

0.4-0.5
0.3-0..r
Lawnsr 0.2-0.3
q, e.91rrrz
(=.hu)"' Bluegrass sorJt* 0.2-0.5
Shon grass prairieii 0. t-0.2
m - 4/3 Sparse vegetationt* 0.05-0. l3
rRI ANGULAR
Bare clay-loam soil (erodcd)r* 0.01-o.03
Concrete/asphalt t t 0.01-0.0 r 3
-r- c = 9J.S rtrz
'Crawford and Linslcy.d
*.Woolhiscr.dl
_t m = a/3
[.-w-;
SO UARE
N. Typical values of N are shown in Table 3-3. When
a = llL stt2w-2t3 equation (3-12) is applied to an overland flow element, the
lateral inflow is rainfall excess, and the outflow is a flow
m = 5/3
l-_"_J per unit width.
An overland flow element is described by four par.rme-
RECTAN G UL AR
ters: a typical overland flow length, Z; the slope and the
roughness factor, which are used to compute o; and the
percent of the subbasin area represented by this element.
o = gs,/2As,3 (_.:C"1"'' Channel Elements. As described above, flow from the
overland flow elements travels to the subbasin outlet
through the channel element (Fig. 3-14); and a channel is
Fig. 3-15. Kinematic wave parameters for various channel shapes. defined by length, slope, roughness, shape, width or di-
ameter, and side slope (Fig. 3-15). Some computer models
use more than one collector channel in addition to a main
time, Q is the total flow through the channel, x is the lon- channel. Lateral inflow from overland flow elements into
gitudinal distance along the channel, and q is the lateral a channel element is uniformly distributed over the length
inflow per unit length ofthe channel. ofthe channel (the sum ofthe total overland flow is divided
The governing equations for either overland flow or by the channel length).
channel routing are solved in the same manner. The method The outflow from the collector channel is then the sub-
assumes that inflows, whether they be rainfall excess or basin runoff. This subbasin runoffmay be at a discrete point
lateral inflows, are constant within a time step and uni- (in the case of headwater basins) or laterally distributed
formly distributed along the element. By combining equa- along the main channel of the river flowing through a sub-
tions (3-10) and (3-l l), the governing equation is obtained basin.
AS:

Baseflow. Baseflow is generally referred to as a longer-

ff * o*^-'#: ,
Various numerical solution schemes are used by com-
puter programs to solve these equations. The user's selec-
tion of time intervals and lengths can affect the accuracy
of these numerical solution techniques; the user guidance
for each computer program should describe such limita-
tions. It should be noted that the collector channels used
for the land surface runoff are also used for kinematic wave
flood routing, described later.
Overland Flow. The overland flow element is a wide
rectangularchannel of unit width; so, referring to Fig. 3-15,
d = (1.486/N) St/2 and m = 5/3. Notice that Manning's
n has been replaced by an overland flow roughness factor,
(3-t2) term response (runoff) of rainfall excess. It is a contribution
from soil moisture and groundwater. Linsley et a1.23 de-
scribe this process. There is no uniformly accepted method
for baseflow computation. It is represented in several dif-
ferent manners by computer program simulation models
described in a later section. For large design flood studies,
it usually makes littlc conrribution to the peak flow. It may
be most important for the volume of runoff it adds to the
hydrograph routed through rcservoirs.
FLOOD ROUTTNG
Flood routing is used to simulate flood wave movement
through rivers and reservoirs. There are two general ap-
proaches to simulating this process: hydrologic and hy-
 HYOROLOGY 87

draulic. Hydrologic methods are morc empirical than hy- hydraulic friction l
draulic methods. and do not consider downstrcam bed slope r

backwater effects on the movement of the flood wave. That water surface slope I Ene rgy equation ( 3- 13 )
is. routing is accomplished on a reach-to-reach basis with- velocity head
out taking into account what is happening to the ffow in local acceleration )
the next downstream reach. The flood wave is computed
for all points in time at the downstream end of the routing prism storage \
reach, given the upstream inflow hydrograph and the pa- wedge storage
rameters of the routing method. rate-of-rise > Continuity equation (3-11)
Hydraulic flood routing takes into account all of the lateral local inflow per '

downstream resistances to flow through the use of energy unit distance J

or momentum relationships. The flow dynamics of the en-
tire channel/reservoir system (all routing reaches) are
solved at all cross sections for every time step. Hydraulic
methods are particularly important for defining the dynam-
ics of flood waves in relatively flat-sloped channels and for
dynamic flood waves such as might result from a dam
break. They are also necessary for routing flood waves
through reservoirs where a nonlevel water surface occurs.
Channel Routing
The general equations for flood routing described below
are applicable to both channels and reservoirs. They are
described here for channels, and then relevant changes for
application to resenvoirs are discussed in the next section.
Both hydraulic and hydrologic methods are presented,
based on the general equations of flow.
The complete representation of unsteady flow (known as
the Saint Venant equations) consists of two equations: en-
ergy and continuiry, as shown below:6s
The various methods for solving these two simultaneous
equations give rise to the various hydraulic and hydroloeic
flood routing techniques. The general basis of the methods
will be discussed, and then their advantages/disadvantages
will be summarized.
Full Saint Venant Equations (Hydraulic). This is the
most comprehensive description of flood wave movement.
The two equations may be solved by implicit or explicit
methods,65 and several computer prcgrams are available to
solve them for natural and simplified river/valley geome-
tries. Often referred to as the full unsteady flow equations,
this method is most often used in routing the dam-break
flood.
Zero lnertia or Diffusion Method (Hydraulic). In this
simplification of the Saint Venant equations. the inenial
terms (velocity head and acceleration) are assumed to be
zero, and the energy equation is:

a!'
-y
a@:/2il _ d_r
sr:
' so
ox- ox - got (Energy Eq. 3-13) sr: so
d.r
(3-15)

Equation (3-14) is the continuity equation.

"",il#L--l
Sterdy
gndually varicd flo*
Kinematic Wave (Hydraulic or Hydrologic). This
simplification of the Saint Venant equations assumes that
UnsteadY
Sndu.lly va.ied ,.-l the friction slope
bed slope So:
Sy can be fully described by the general

0u 0v 0v
A-*uB-*B=:Q
0x 0x 0t
(Continuity Eq. 3-ta)
S/=sn (3-16)

where 57 is the friction slope, 56 is the channel bed slope,
y is the depth of water, .r is the longitudinal distance along
the channel, r.r is the mean velocity of flow in the cross
section, g is the acceleration due to gravity, r is thc time,
I is the cross-sectional area of the water flow or channel.
I is the width of the channel at the top of the water surface,
and q is the lateral inflow per unit length of channcl.
The five terms reading from left to right in equation
(3-13) and the four terms in equation (3-14) are known suc-
cessively as follows:
Equation (3-14) is the continuity equation.
Modified Puls or Storage Routing (Hydrologicl. In
this simplification of thc energy and continuity equations,
it is assumcd that therc exists a unique relationship between
tlood wave storage in a reach and the outllow from the
reach. A rangc of stcady-state water surface profiles is typ-
ically computed to determine the storage-discharge rela-
tionship. The water surface profiles may be computed using
several cross sections with detailed representation of the
 88 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
channel and overbank geometry (e.g., computer program
HEC-2tr); or a single representative cross section may be
used together with reach length, slope, and hydraulic
roughness (e.g., normal depth routing in computer pro-
gram HEC-lae;. Having that relationship, the continuity
equation is solved in the following form:
+.[*.+)-o,:[t . +)
(3-17)
where / is inflow, O is outflow, S is storage in the reach,
and Ar is the time interval. The (S/Ar + O/2) term is
known as storage indication; it is plotted against outflow,
O, and used to solve equation (3-17).
Muskingum (Hydrologic). This method makes a simi-
lar simplification in the energy and continuity equations.
The continuity equation is written as:
Oz: Or + Cr(/r - O,) + CzQ2 - It) (3-18)
where:
C.: zK(tAt - X)
2At
cr: zK(t ZlC(
- X) + ar - + Ar
K and X are panrmeters related to travel time and storage
in the reach, respectively. The Muskingum method is the
same as the modified Puls method if the storage-discharge
relationship is linear. Recent improvements in the Muskin-
gum method have incorporated channel geometry and hy-
draulic characteristics to better define the C coeffi-
cients.67'6E
Averaging and Lagging (Hydrologic). Several empir-
ical methods such as Straddle-Stagger and Tatum have been
found useful in some flood routings. The methods essen-
tially compute outflow from a reach as a function of aver-
age inflows over a number of periods and then delay that
average by some time increment.
Table 34 lists the relative advantages and disadvantages
of these flood routing methods, and an excellent summary
of flood routing methods and their development ro present-
day capabilities is given by Fread.6e Several computer pro-
grams utilizing these routing techniques are described in a
later section.
Reservoir Routing
The computation by which the interrelated effects of the
inflow hydrograph, reservoir storage, and discharge from
the reservoir are evaluated is called reservoir routing. Gen-
erally, such routings assume a level pool within the reser-
voir. However, for long, narrow reservoirs some adjust-
ment for so-called wedge srorage during rapidly rising pool
levels may be necessary.
lnitia! Reservoir Storage. It is difficult in most cases to
estimate the initial reservoir level that is likely.to prevail
at the beginning of a hypothetical flood, except when the
storage space is so small as to assure frequent filling. If a
long period of streamflow records is available, hypotherical
routing studies will provide some index to reservoir ele-
vation probabilities, but even these computed relations may
be greatly altered in the future if changing conditions result
in substantial alterations in the river or regulation plan.
For projects where the flood control storage space is ap-
preciable, it may be appropriate to select starting water sur-
face elevations below the top of flood control. storage for
routings. The U.S. Army Corps of Engineers often as-
sumes that 50% of the available flood control storage is
filled at the beginning of a spillway design flood. Conserv-
atively high starting levels should be estimated on the basis
of hydrometeorological conditions reasonably characteris-
tic for the region and flood release capability of the project.
In view of the uncertainties involved in estimating initial
reservoir levels that might reasonably be expected to pre-
vail at the beginning of a hypothetical flood, it is common
practice, particularly for small and intermediate-height
dams with a single low-level outlet, to assume that the res-
ervoir is initially filled to the "normal full pool level."
This reservoir level should be in'accordance with the op-
erational practice for the season of occurrence of the hy-
pothetical flood.
Leve! Pool. In order to perform a flood routing, whether
by hand or by one of several available computer prcgrams,
the engineer must assemble a data base that includes the
following:
r A spillway and other outlets rating curve for the pro-
posed configuration, which relates discharge capaci-
ties to reservoir water surface elevation.
oA reservoir volume curve, which relates active reser-
voir storage to reservoir water surface elevation.
. The inflow hydrograph'to the reservoir for the design
flood.
o The reservoir rule curve, which defines the target re-
leases, elevations, and volumes in storage tsward
which the reservoir will be operated.
o Desired freeboard allowances for the dam and any ap-
purtenant structures on its upstream side.
With these data in hand, a trial-and-error process of
solving thc following basic equation is performed. The
successive approximation approach is necessary because the
head on the various outlets changes as water is released.
O:/-A.S (3-19)
 HYDROTOGY 89

Table 3-4. Comparison of flood routing methods.

Mcthod Advirntages Disadvantages Pnmary applications

a. Completc solution of bsic A complete analysis of the hydmulics
equations of energy and of flow and includcs all energy
continuity-Saint Venant componcnts (potcntial, prcssure,
equalions kinctic, inenial). plus continuity
(hydraulic) integnted in both time and space.
ltteasurcs the impact of changc's in
floodplain stocrgcs directly in temts
of the response of discharge and
*ater surlhce elevation.
No coefficients required other than
hydraulic roughness values.
Zero inertia or diffusion Adcquately describes most flood
(hydnulic) routing hcause inertial temrs are
usually small.
Solution techniques are more stablc
than full Saint Venani equations.
Kinematic wave Uses basic hydraulic principles.
(hydraulic or hydrologic) Good estimates of llood wave travel
time. Stable computational methods.
d. Storage or modified Puls Effectively accounts for flo<xl peak
(hydrologic) a(enuation caused by floodplain
slorage.
Requircs much computcr timc. Rivcn or rcscrvois.
Requircs a dctailcd dcscnption of Dambre-ak or othcr dynamic
gcomctry (r-scctions and rtach lltxxl wavcs
lcngths) and hytkaulic nrughncss
valucs in thc channcl and
overbanks.
Numcrical solutionr of thc Saint
Venlnt equiltions oticn bcconto
unstable. rcquiring signifi cant
expcnise in nrathcmatical
hy'draulics to rcctity thc problem.
Less accurutc in predicting thc Most riven
stage in channcl transitions
where critical depth would
occur.
Rcquires more computation tinle
than hydrologic methods.
ls limired to simpliticd pnsmatic Rivcrs with littlc fl<ndplain
channel shapes. Does not storage and sulficicnt slopc.
provide attenuation associated
*ith floodplain stomge.
Is dilficult to use in ungaged Rivers or reservoin.
areas (need to calibrate to known
floods of a similar size).

Fast and stable computations. Does not account for

downstream backwater effects.
Emplo;-s some hydraul ic principles.
e. Muskingum Simple analytical expression and Requires calibration to obsen'ed Rivers with little floodplain
(hydrologic) computationally fast and stabte. events- storage.

Linear relationship that cannot

account for nonlinear effects of
floodplain storage.
f. Averaging and lagging Simple and fast Docs not consider storage. Rivcrs with little floodplain
(hydrologic) storilse.
Implies knowledge of both
energy and storage.

Implies knowledge of hydraulics

of wave itself.

where: used directly. Computer programs like HEC-I cannot ac-

O = outflow volume for a discrete time interval
/: inflow volume for a discrete time interval
AS : change in reservoir storage volume for the same
time interval
On gated spillways, the spillway rating curve combines the
calculated discharge of the gates as a function of the amount
of opening and the reservoir elevation.
Computer programs (e.g., HEC-l{e) are availablc to
solve this equation for various outlet, spillway and top-of-
dam flow conditions. Orifice-flow equations are used for
low-level outlets and weir-flow equations are used for flow
over the spillway and over the top ol the dam; or. a r.lting
curve for the total flow through and over the dam may be
count for dynamic gate operation during a flood. unless the
gate operation can be represented by a single rating curve.
To use such models for dynamic gate operations. the sim-
ulation must be terminated when the gate opening is
changed, and restarted with the new gate-opening rating
curve. That procedure is repeated each time the Sate oPen-
ing is changcd. Dynamic epcration of rescrvsir releases
(depcnding on rescrvoir stofttgc and/or downstream flow
conditions) is bcttcr accomplished using a rescrvoir oPer-
ation simulation modcl likc HEC-5.7{
Unsteady Flow. [n reservoirs where the water surface
elevation is changing rapidly, as in the case of a large in-
flowing flood wave or a rapidly developing dam breach,
the more detailed unsteady flow (equations 3-13 and 3-14)
90 ADVANCED DAM ENGTNEERING FOR DESIGN. CONSTRUCTION, AND REHABILTTATION

reservoir routing must be used. Cross sections of the rcs-
ervoir geometry are required to determine the flow areas
and depths as the flood wave passes through the reservoir
pool. Flow out of the reservoiroutlets and spillway is com-
puted by the eneryy equations for the particular shapes in-
volved. The DAMBRK and DWOPER computer models
of the U.S. National Weather Service,To'7r described later,
can be used to accomplish this dynamic (unsteady) reser-
voir flood routing.
FREEBOARD ALLOWANCES
The estimated maximum reservoir surcharge level that
might be attained during the inflow design flood represents
the minimum dam crest elevation required to prevent
overffow of the embankment. However, because of wind
movement, determination of wave heights and runup on the
embankment along the shoreline usually is also a concern
in connection with evaluating the design of a dam. Such
evaluation is necessary in order to provide some freeboard
allowance above the maximum level attained during the
inflow design flood. This height is necessary to prevent
overtopping, which might (a) endanger the security of the
dam, O) require excessively expensive repairs, or (c) cause
serious public alarm as to the safety of the structure.
Most dams and appurtenant facilities are designed to
withstand a substantial amount of wave splash or overwash
for a limited period of time without danger of structural
failure or hazardous embankment erosion. Accordingly, it
is current practice to estimate freeboard allowances for
wave action above the maximum reservoir surcharge level
to be equal to the computed height of runup of the signif-
icant wave (H5) as computed from adopted wind criteria.
These criteria are based on the assumption that overwash
resulting from waves exceeding FI, (which include approx-
imately 13% of the total number of waves in a spectrum)
would not endanger the integrity of the dam or otherwise
cause sufficient damage to warrant provision of higher free-
board allowances.
Wind Criteria
Winds for wave prediction are normally obtained from
either direct observations over the fetch, projection of val-
Studies have indicated that the fastest-mile windspccd
values are obuined from a short time p€rid generally less
than 2 minutes in duration.T3 It is most probable that on a
national basis many of the fastest-mile windspeeds have
resulted from short-duration storms such as those associ-
ated with squall lines or thunderstorms. Therefore, the fast-
est-mile measurement, because of its short duration, should
not be used alone to determine the windspeed for wave
generation. On the other hand, lacking other wind data. the
measurement can be modified to a time-dependent average
windspeed using the following procedure.
To use the procedures for adjusting the windspeed dis-
cussed later, which are ultimately used in the wave fore-
casting models, the fastest-mile windspeed must be con-
verted to a time-dependent average windspeed, such as the
l0-, 25-, or 50-minute average windspeed. Figures 3-16
and 3-17 allow conversion of the fastest-mile to the aver-
age windspeed. Reference 72 gives guidelines in develop-
ing a wind-velocity-duration relationship.
If the fastest-mile windspeed observations are available
at one-hour increments, the procedure may be used to com-
pute hourly average winds or some fraction thereof. If a
duration of more than one hour is needed, the hourly av-
erage values may then be averaged to achieve the desired
duration.
120
Qot q 110
s
s
5 f,
o'43 E- 100
@ o
o
o
o
e
Eos Eso
; ;
o o
3ss >80
o o

ues over the fetch from observations over land, or esti- ro28 ,I 70

mates based on weather maps. HMR 36 and 43 provide

wind criteria for snowmelt coincident with the probable
maximum precipitation, which can be adapted for use in
wind wave calculations. The wind estimates pre.scnted in
reference 72 may be used with proper adjustments for wind-
velocity-duration relationships.
t3L 40
20 30 40 50 E0 70 0o 90
Duration-Averaged Windspeed. Windspeed is fre- Durarion Time. t (sl
quently observed and reported as the fastest-mile or ex- Fig. 3-16. Duration of the fastest-mile windspeed. Souree: U.S. Army
treme velocity (considered synonymous). Corps of Engineers.
 HYDROLOGY 91

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o
O
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ge
i
l;"
E
a
9g a,l,
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E= .=
Fi: E
tt-!
.ne,
l+-j o=
HJ 9.=
EE: oE'lJ
O'!
E 9E
Eo
Eo B
F
t
a
U
_E ii
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=
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.=; f
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e
= oz
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? = ];
=
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- -i
:= =
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a
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=
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-- a
= :
!

-= o:
o!
\_
= :
.9
= i:

c
o.= ,
.?
a
T
6
.*
r
 92 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION

Windspeed over Water. Often overwater wind data are Fetch

not available, but data from nearby land sites are. It is pos-
sible to translate overland winds to overwater winds if they
are the result of the same pressure gradient, and the only
major difference is the surface roughness.T3 The relation-
ship between overwater winds and nearby overland winds
is given for neutral stability by Rs in Fig. 3-18. This can
be used as an appmximation for other areas. Thunder-
storrns and squall lines are small-scale phenomena and vi-
olate the assumption that overland winds and overwater
winds are from the same pressure gradient. If the ane-
mometer site is adjacent to shore, winds blowing off the
water require no adjustment for location effects: that is, R1
- l.
Coefficient of Drag. The wave growth formulas and
nomograms are expressed in terms of wind-stress factor U,{
(adjusted windspeed). After the appropriate windspeed
conversions are made, the windspeed is converted to a
wind-stress factor by the following formula:
u; : o.589ur'2r (uin mph)
A fetch is the continuous area of water over which the wind
blows in an essentially constant direction (sometimes used
synonymously with fetch length); it is also termed the gen-
erating area. Fetch length is the horizontal distance (in the
direction of the wind) over which the wind blows.
According to the Corps of Engineers ..Shore protection
Manual,"73 when early usen of SMB (Sverdrup-Munk-
Bretschneider) curves applied them to resen'oirs and small
lakes, calculated wave heights were much targer than ob-
served wave heights. It was thus assumed that the narrow-
ness of the fetch was affecting wave growrh. The concept
of an effective fetch was introduced, which reduced fetch
length to account for the narrowness of the fetch. The ad-
justment provided improved wave estimates. When the
growth curves presented in the 1984 edition of the '.Shore
Protection Manual" were applied to similar situations, the
effective fetch calculation resulted in wave hei_ehts that were
too low, while a straight-line fetch provided wave heights
closer to observed values. Data from inland reservoirs were
checked by computing H5 based on an effective fetch and
on the straight-line fetch. The latter shows reasonable
(3-20) agreement with the growth curves.

2.0

Use Ra= 0.9

for Ug > 18.5 m/s mph)
uw
R, = -E'1Lp!'-z_
' uL
-
1.0

Windspeeds are relerenced

to 10-meter level

0.5
10 25 m/s

l0 r5 20 25 30 35 40 45 50 55 60 mph

10 15 20 25 30 35 40 45 kn
uL
(alter Hesio & vincenl, 1977b)
Fig. 3-18. Ratio, R., of windspced over wrter. Ury. to winrlspcerl over lanc.l, U1. as a iunction of wintlspeerl over lancl. U1.. Source: U.S. Arnry Corps
of Engineers.
 HYOROLOGY 93

Shorelines are usually irregular, and a more general
method for estimating fetch must be applied. A recom-
mended procedure for determining the fetch length consists
of constructing nine radials from the point of interest at 3-
degree intervals and extending these radials until they first
intersect the shoreline. The lengths of radials are measured
and arithmetically averaged. Although 3-degree spacing of
the radials is used in this example, any other small angular
spacing could be used.
impermeable. Lahrratory tcsts of many sloprss. wave con-
ditions, and embankment porosities providc sutficicnt data
to make valid estimates of wave runup on a prototypc em-
bankment.
Figure 3-19 shows runup for pcrmeable nrbble (rock)
slopes when the fronting water depth exceeds three times
the deep-water height. This figure is appropriate for esti-
mating runup on rockfill embankments.
Runup R,. in feet. on an earth embankment annored with
riprap can be estimated by the following:

Wave Runup Rr_ ( 3-21 )

Most dam embankments are fronted by deep water, have HS 0.4 + (Hs/h)r"r cot o
slopes between I on 2 and I on 4, and are armored with
riprap. Rockfill dams are considered as permeable rubble where H5 is the significant wave height in feet measured at
slopes, and earthfill dams with riprap armor are considered the toe of the slope, la is the deep-water wavelength in

H SLOPE

RUBELE. MOUND SLOPE

0.9
0.8
0.7

;t
R
0.6
0.5

0.4

R = runup in feet.
H5 = deep-water wave height in feet.
g -- 32.2 ft/sec/sec.
T = wave period in seconds.

0.0004 0.0006 0.001 0.001 5 0.002 0.003 0.oo4 0.006 0.00r] 0.01 0.01 5 0.02

HL
gT2

Fig. 3-19. Runup on permeable rubble sk-rpes. Source: U.S. Anly Corps ot'Engineers
 94 ADVANCED OAM ENGINEERING FOR DESIGN, CONSTRUCTION. AND REHABILITATION
feet, 0 is the slope of the embankment with the horizontal,
and the water depth at the toe exceeds three times the wave
height. This equation should not be used for slopes flatter
than I on 5.
Most reservoirs have relatively deep water compared
with the wind-generated wavelength. If the water is deeper
than one-half the wavelength, the wave is unaffected by the
reservoir floor. The deep-water wavelength is:
h: 5.1272 (3-22)
where l'is the wave period in seconds, and /, is the wave-
length in feet.
Figures 3-20 and 3-2 I are nomograms of deep-water sig-
nificant wave (I/,) prediction curyes as functions of wind-
speed, fetch length, and wind duration.
Runup may also be estimated usin-e Figs. 7-8 through
7-12 and Figs. 7-14 through 7-16 of reference 73.
Wind Setup
The action of wind blowing toward a structure will pile up
water and create an elevated water surface at the structure.
This elevated water surface is the stillwater level on which
the wave is superimposed. This wind setup is generally very
small in reservoirs. It may be calculated with the modified
Zuider Zee formula presented in reference 72:
^Ur 1400D
(3-23)
where:
S = wind setup in feet
U : average wind velocity in miles per hour over water
F = wind fetch in miles which can be considered equal
to twice the "effective" fetch
D = average depth of water in feet along the fetch line
The quantities U and F are defined here as they are pre-
sented in the reference. Adapting the definitions used in
wave runup calculation will not alter the answers signifi-
cantly. In other words, use of the wind-stress factor as well
as a single straight-line fetch will not produce a significant
difference in reservoirs.
Wave Overtopping
In evaluating an existing dam for a flood larger than it was
designed for, the allocated freeboard is encroached by the
higher stillwater level of the hypothetical flood. [n such
cases, it is possible that the structure could be overtopped
by the wind-generated runup. Chapter 7 of thc 1984 edition
of the "Shore Protection Manual"73 of the U.S. Army
Corps of Engineers presents procedures and various charts
to determine the overtopping rate per unit length of the
structure.
RESERVOIR RULE CURVES
Regulation for flood control is similar to that for other res-
ervoir purposes in that the operation functions ordinarily
follow rule curves of elevation or storage capacities as a
function of the time of year. Flood control operations must
also consider antecedent precipitation. The rule curves and
allowable release rates are developed from a study of the
streamRow record for the periods most critical with respect
to the desired operdtion. They are considercd to be general
guides to best regulation. Ungated reservoirs make releases
strictly as a function of water surface elevation and can be
simulated using one of the reservoir routing methods de-
scribed earlier. Gated reservoirs make releases as a func-
tion of water surface elevation and downstream flood con-
ditions. Gated reservoir operations can be simulated by
routing prescribed releases downstream using a hydrologic
model such as HEC-1, or by actually sirnulating opera-
tional criteria with a computer model such as HEC-5.71
For projects where economic or physical considerations
prevent the provision of adequate separate storage capacity
for all the desired functions, or where added benefits can
be obtained with slight calculated risk, use of the same
space is attempted for flood control and other purposes at
different seasons ofthe year. For successful design and op-
eration of such projects, major ffood occurrences must be
confined to one or two seasons of the year, and the runoff
characteristics must be such that the conservation storage
space can be filled during the latter part of the period of
major floods. In the normal case where seasonal use of
storage is possible, a certain minimum capacity is allocated
to the several uses, and this is supplemented whenever pos-
sible during other seasons by making additional storage ca-
pacity available. The amounts and variation in allocated
capacity are based on analysis of benefits, costs (increased
clearing, relocations, etc.), types of areas being protected
from floods, and past hydrologic records and consideration
of regional hydrologic characteristics. The regulation
schedule for the conservation phase usually consists of a
rule or guide curve indicating elevations that may not be
exceeded at any particular time except for the purpose of
storing floodwaters. Zones can be designated within the
conservation allocation, and criteria can be established to
govern release of indicated storage for power production
or low-water regulation. Flood control regulations arc nor-
mally the same in multiple-purpose reservoirs as for sepa-
rate flood control projects, unless the flood storage capacity
is insufficient to control the design flood for some partic-
ular season of the year, in which case releases may have
to be varied on a seasonal basis. Regulations shoulcl require
that storage for flood control above the rule curvc be emp-
tied in a reasonably short period of time after the necessity
for flood storage has ended.
In some cases where the major flood season is due pri-
marily to runolT from melting snow, the amount of seasonal
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96 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEIttTATION

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storage to be provided for flood control may be varied from
year to year on the basis of snow surveys or other indexes
of anticipated runoff. Where rainfall is an important factor
in determining flood volumes, and particularly in the case
of relatively small drainage basins, varying the seasonal
stordge requirements on the basis of forecasts is not feasi-
ble.75
Figure 3-22 shows a sample of a reservoir regulation
curye.
DAM SAFETY EVALUATION
Dam Safety Evaluation before a Flood
Many different standards have been described for design of
spillway capacities. These range from the most conserva-
tive probable maximum flood method to floods of a set
probability, say l% or the 100-year return interval flood.
The methods for storm computation and determination of
subsequent flood runoff have been described in previous
sections of this chapter.
A summary of current spillway design practices in the
United States is given in a recent study by the National
Research Council.E The downstream hazard is certainly a
key factor in setting the spillway capacity.
Whatever spillway design standard was used for a dam,
it is also important to understand the historical flood poten-
tial at the dam site. The best measure of this is comparison
with maximum recorded floods in the region. Floods at an
individual site may not be a good indication of the actual
potential flood threat because of the limited observations.
Therefore, design standards which circumvent the prob-
lems of inadequate data (short or nonrepresentative rec-
ords), such as the PMF, came into being. Also by using
envelope curves such as Creager's or Crippen's (Fig. 3- I ),
the regional estimate of the maximum discharge at a dam
site can be determined with reasonable judgment.
Dam Safety Evaluation during a Flood
For dam safety purposes, it is crucial to know when the
capacity of the spillway (together with all other outlets)
will be exceeded. This can be accomplished through the
use of the mathematical simulation models for flood fore-
cast and reservoir operation simulation models. For com-
plex multiresenroir systems, it may be necessary to use a
comprehensive reseryoir systcm operation modcl such as
HEC-5.7't For simpler systcms, stor.lge routing. simplc op-
erating rules, or direct input reservoir rclcases will be sat-
isfactory.
During a flood, continuous simulation of the runoff and
reservoir operation will indicate when the design capacity
of the dam will be exceeded. Rainfall might be included in
varying amounts to anticipate the impact ol rainfall mea-
HYDROTOGY 97
surement erors as wcll as future storm runotf. Imprcvcd
flood forecasts and rescrvoir opcrations can significantly
enhance the safcty of the dam and may bc uscd as a porcn-
tial trade-off to increased storagc or spillway capacity.
Forecasting and Warning
Flood tbrecast systems are necessary both for the effectivc
operation of reservoiru to control floods and for cvacuation
of people and propeny subject to floodin-e. Rc.servoirs that
can be operated for flood control typically have large
(greater than 1000 kml; tributary drainage areas and are
owned and operdted by local, state, or federal agencies.
These a_sencies forecast the inflow to their reservoir(s) as
well as local runoff downstream of the reservoir so that the
reservoirs can be operated to minimize downstream flood-
ing. This section emphasizes forecasts of inflows to reser-
voirs; many of these sanre techniques are used for down-
stream, local-runoff forecasts as well.
The U.S. National Weather Service (NWS) has the fed-
eral responsibility for making flood forecasts and issuins
flood warnings. The forecasts are used by man;- federal and
state agencies as well as private dam owners. Other agen-
cies, such as the U.S. Army Corps of Engineers, make
tbrecasts for their projects in areas not covered by the NWS.
Many times NWS and the Corps work together in river
forecast centers. Private dam owners make use of these
forecasts if available, or make forecasts of their own.
Several analytical methods are used to forecast inflows
to reservoirs. They range from simple empirical procedures
to sophisticated mathematical models. Some procedures use
only precipitation that has already been measured. whereas
others try to forecast precipitation (and temperature in the
case of snowmelt floods) that is expected to occur. The
spatial distribution of precipitation (as estimated from point
-sages) represents probably the least accurate data available
to the forecaster. Many attempts to improve the definition
of the spatial distribution of precipitation are now being
made with radar and satellite observations.
The intportance of precipitation forecasts and measure-
ments is determined by the size and responsiveness of the
tributary basin and the time needed to put emergency op-
erations into effect. Sonre forecast systems need only to
measure streamflows and route those observed flows to the
reservoir and dswnstrearn. Other forecast systenrs depend
upon having as rnuch lead tinre as possible. and thus utilize
prccipitation gages and forccasts.
Thc U.S. National Weather Scrvice uses an empirical
antecedcnt precipitation indcx (API) nterhod in somc areas
and a sophisticatcd mathenlatical modclT6 in others. The
API method inctlrporatcs extcnsive histtlrical rainfalll
snowmelt data into enrpirical relationships to estinratc the
runoff. The watershed runoft is then routed through the
channel network.
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98

The NWS mathematical model of a watershed rcsponse
to rainfall was developed by Burnash.'u It is often referred
to as the Sacramento model or NWSRFS (NWS River
Forecast System). The model emphasizes detailed account-
ing of soil moisture so that the runoff potential (as related
to ground wetness) of a watemhed can be determined at
any point in time when a storm is going to occur- Data for
the various soil moisture stomges are difficult to measure
in the field. and the model can only be used w'ith calibration
by a person knowledgeable about both the model functions
and the corresponding natural counterparts.
Considerable effort is necessary to calibrate the
NWSRFS model because it is a comprehensive simulation
of both flood and drought conditions. After calibration, a
simpler version of the model is used for real-time flood
forecasts. The NWS has also set up this model in a package
with precipitation and streamflow gages for use in small-
area flood forecasts by local (county or state) flood control
districts. The package of hardware (gages. communica-
tions, and comPuter) and software (computer pro-qrams to
monitor gages and make forecasts) is called ALERT'77
The U.S. Army Corps of Engineers opeftItes numerous
reservoirs for flood control, many of which are not in-
cluded in the NWS forecasts. The Corps has two general-
ized flood forecast systems: the SSARR' Streamflow Syn-
thesis and Reservoir Regutation,Ts continuous streamflow
model, and the HEC-lF Flood Hydrograph Package, Fore-
cast Version,Te single-event streamflow model. The SSARR
model is similar to the ITIWSRFS except that the SSARR
has a simpler conceptualization of the soil-moisture ac-
countinS. HEC-1F operates underthe concept that the cor-
rect parameters for a flood event can be determined during
that event through an iterative process of simulation, ob-
servation, and model calibration.
All of the detailed and simpler models have the same
limitations with respect to errors in estimating the spatial
variation of precipitation and soil moisture. and those er-
rors usually cause the differences between the computed
forecast and the actual observation. All of the models have
some means of adjusting their response functions and/or
input in order to have the computed flows agree as well as
possible for those times where gage readings are available'
Of course, those gage readings are available as the flood
event proceeds until finally the entire flood is gaged'
Flood Emergency PreParedness
Flood emergency preparedness and warning systems can
be used to compensate for inadequate spillways at existing
dams or as a trade-off to larger-spillway design for ncw
dams. The preparedness and warning systems can bc effec-
tive only if property designed and maintained' Plan main-
tenance is essential, or a false sense of security can make
the flood hazard even worse than if there were no warning
and preparedness plan.
HYDBOTOGY 99
Federal Guidelines for Dam Safety.o Thesc guidc-
lines treat organizational managemcnt and managemcnt oI
site investigation and design. construction' and oper:rtion
and maintenancc. A portion of thc guidelines for managc-
ment of operation and maintenance deals with cmergency
action plans and addrcsscs the following points:
o Evaluation of emergency potcntial:
o Determination of mode of dam failurc'
o Inundation maps.
o Classification of inundation areas'
o Time available for response.
o Actions to prevent faiture or minimize effects of fail-
ure:
. Development of emergency action plan'
o Notification plans.
o Evacuation plans.
. Stockpiling rePair materials.
r Locating local repair forces.
o Training operdting Personnel.
o Increasing inspection frequency-
r Actions upon discovery of a potentially unsafe con-
dition:
o Notification of supenisory personnel.
o Initiation of predetermined remedial action'
o Determination of need for public notification'
The principal components of dam emergency plans as
describid in "Flood Emergency Plans"8o are described in
the following sections.
Emergency ldentification Subptan. The object of this
subplan is to describe procedures and means for assuring
reliable identification and evaluation of existing or poten-
tial emergencies. The major elements of the subplan are:
o Listing of the conditions that could indicate an exist-
ing or potential emergencY.
o Description of the data and information collection
sys-
procedures'
tem, monitoring arangements' inspection
and other provisions for early detection of conditions
indicating an existing or potential emergency'
o Procedures, aids, instructions, and other provisions for
interpreting information and data to assess the severity
anil magnitude of any existing or potential emergency'
Emergency Operations and Repair Subplan. The ob-
jcctives of this subplan arc to guide imrncdiate operational
clecisions in thc cvent of various typcs of emergencics:
identify the need for equipnlent. matcrial, labor, and other
nccessities for carrying out emcrgcncy repairs; and dc-
scribe the procedurcs for sccuring and enrploying needed
equipment. matcrial, labor, and other necessities' The ma-
jor elements of the subPlan are:
 1OO AOVANCED DAM E'{GINE€RING FOR OESIGN, CONSTRUCTION. AND REHABILITATION
r ldentification of the appropriate response to the type
and severity of existing or potential emergency.
o Reservoir dewatering plan.
o Description of equipment and materials to be stock-
piled for use in carrying out emergency operations and
repairs.
o Listing of nearby contracton and other sources of
needed equipment, material, and labor. and descrip_
tion of procedures for securin_9 their assistance on an
emergency basis.
Notification Subplan. The objective of this subplan is
to describe the procedures and means for prompt notifica_
tion of appropriate parties concerning existing or potential
emergencies. The major elements of the subplan are:
o Inundation maps that show the area likely to be in_
undated and time of onset of dangerously high flows
for each emer_qency condition for which plans are
made.
r Listing of vital services and facilities outside the area
of inundation that will or may be disrupted by the level
of inundation associated with each emergency condi-
tion for which plans are made.
o Listing of major secondary problems resulting from
the level of inundation associated with each emer_
gency condition for which plans are made.
o Evacuation maps that show:
o All areas that should be evacuated because of in-
undation, secondary problems, loss of services, iso-
lation, or other reasons associated with each emer-
gency condition for rvhich plans are made.
o Majorevacuation routes.
. Areas requiring priority in evacuation.
. Potential obstacles to timely evacuation.
o Listing of persons to be notified about each emergency
condition for which plans are made and procedures for
notification includin_q description of primary and sec_
ondary means of communication to be used, listing of
telephone numbers, and addresses, and other infor_
mation needed for reliable and prompt contact for:
o Notification internal to the dam owner's organiza-
tion.
o Notifications from the owner to principal local of_
ficials.
. Notifications from the owner to other federal offi-
cials.
.
Distribution of warnings from the owncr to officials
responsiblc for dissemination to the gcneral public.
o Disscmination of wamings by thc owner directly to
' the general public in the immeciiate vicinity of the
dam and reservoir.
o Exarnple'press releases for each emergency condition
for which a plan is prepared and instructions for ad-
aptation before their use as to thc spccifics of an emcr-
gency situation, including but not limiterJ to:
r Exact nature ofcmergency and degree ofdanger.
r Remedial acrion under way.
o Expected course of events antl timing.
o Appropriate action for public to take.
o Description of the procedure and means for dissenti-
nation of warnings directly to the general public in the
immediate vicinity of the dam and reservoir.
Evacuation Subplan. Local community officials are ro
be encouraged to develop evacuation subplans as a com_
plement to the portion of dam emergency plans prepared
by the owner. The objectives ofthe evacuation subplan are
to provide for the timely and safe evacuation of threatened
areas and the minimization of property damage. The major
elements of the subplan are:
r Description of traffic control arran,qements to expedite
evacuation and passage of emergency vehicles and
prevent accidental travel into dangerous areas.
o Provisions for any necessary assistance to evacuees
such as transpoftation and aid to invalids.
. Arrangements for shelterin_s, feeding, and other care
of evacuees.
o Description of actions to be taken to reduce damases
and other losses.
. Arrangements for security of evacuated areas.
. Arran_gements addressing other aspects as required for
the case at hand.
An example "Emergency plan" for a Corps reservoir
project has been developed by the Hydrologic Engineering
Center of the U.S. Army Corps of Engineers.s' lt applies
the aforementioned guidelines to an aciual dam and shou.s
an inundation map package and emergency identification.
operations and repair, and notification subplans. An ex-
ample "Plan for Evacuation" of a community downstream
of that Corps reservoir was also developed.s:
The emergency plan and the evacuation plan are carried
out for three levels of flood emergencies. The intent is to
have emer-Eency operations that react to the severity of the
flood. The worst and final level of emergency occurs when
the dam fails.
COMPUTATIONAL METHODS
Prcsent. computational techniques in hyclrologic engineer-
ing for dam salety utilize two kinds of mctho<.ls: cnrpirical
mcthods and computer mcthocls. Howevcr, bccause of ad-
vances made in computer technology, ernpirical mcthods
are not utilized as olten as they used to be. When a com_
puter is available, the more sophisticate<1 hydraulic/hy_
drologic computer models are used. In instances where
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102

economics of the dam owner dictate. the empirical methods
still have a place in dam safety evaluation. Applicarion of
such techniques should be done by experienced hydrologic
engineers who can apply considerable judgment in their
use.
Several dam-break modeling capabilities have been re-
viewed in the literature. The capabilities reviewed include
both mathematical computer models and empiri-
cal/graphical/manual methods. The National Research
Councillo briefly summarizes and assesses seven methods,
and the U.S. Army Engineer Waterways Experiment Sta-
tion made a detailed analysis of six methods in its military
hydrology project.s3
Empirical Methods
Prior to the development of curent rainfall-runoff tech-
niques based on unit hydrograph and flood routing. a lar,ee
number of empirical formulas were used to estimate flood
flows for design purposes. The formulas make use of sev-
eral combinations of factors such as drainage area, average
width of the basin, average basin slope, rainfall frequency,
and some drainage basin constant. These formulas have
only local application, but they may be helpful in extend-
ing the available data for extrapolation purposes.
A method of empiricism still practiced today is the en-
velope curve method,s in which a plot is made for a given
region of all known maximum discharges in cubic feet per
second per square mile against drainage area in square
miles. The method is primarily used as a basis for com-
parison, to check the reasonableness of an estimate of a
hypothetical flood. Figure 3-l shows a sample of envelope
curves for a given region.
In dam-failure analysis, a method used by Hagens com-
putes a dam-failure discharge hydrograph using recorded
historical dam-break flood data. The method also assesses
several other safety and hazard factors and computes a rel-
ative index of risk.
Simplified hand calculation and graphical methods are
also available. The Soil Conservation Service's TR-66E5
method computes a peak discharge using historical dam-
failure data, and estimates downstream peak discharges and
stages using a combined storage/kinematic routing method.
Sakkas86 estimates downstream flood depths using dimen-
sionless depth and distance graphs. The graphs are repre-
sentative of the results achieved from numerous dam-breach
flood routings (using full Saint Venant unsteady flow equa-
tions) for various sizes of dams and downstream gcome-
tries.
Computer Methods
Many computer prograrns have been written to analyze
most of the aforementioned dam safety evaluation meth-
ods. These programs can be used on a variety of machines.
HYDROLOGY 103
many on the personal computer (PC)-size machines. Some
of the programs have bcen written spccifically for dam
safety analyses. while many of thc progmms arc traditional
hydrologic and hydraulic analysis tools. Table 3-5 empha-
sizes those models with specific dam safety features but
also shows models (HECWRC, HSPF, TR20, HEC-2. and
DWOPER) typical of many models thar can be used to per-
form standard hydrologic and hydraulic analyses associ-
ated with dam safety investigations.
Because of the rapid developments of both sofirware and
hardware in the computer industry, the authors of the pro-
grams should be contacted to find out the latest capabilities
of their programs.
Many of the models cited in Table 3-5 offer sophisticated
solution techniques for dam safety evaluation. The tech-
nologically advanced programs also require a technologi-
cally advanced user to apply them correctly. Use of a so-
phisticated program by someone unfamiliar with the
technology may be less beneficial than using simpler tech-
nology that is well understood. The following criteria
should be considered in selecting a computer model.
o Capacity of the program to provide information re-
quired for the study.
o Adequacy of the theoretical basis of the pro_eram.
o Degree to which the model has been tested and veri-
fied.
. Data requirements in relation to data availability and
amount of preprocessing required.
r Ease of application of the program. Factors include
model documentation, input structure, diagnostic ca-
pabilities, output structure.
. Data management capabilities (e.g., ability to pass in-
formation from one module or subprogram to an-
other).
r Ease of making program modifications, either in-house
or by contract.
o Program efficiency in terms of typical run times and
costs.
o Program accessibility. Can program be run on a com-
puter that is convenient to access?
r Availability of user-support services (i.e.. consulta-
tion with someone who is thoroughly familiar with the
basic computer code).
o Quantity and availability of ready-to-use input data for
the study area.
REFERENCES
l. Biswas, Asit K.. History of H.tdrolos_v. North Holland Publishing
Company, Arnstcrdam. 1970.
2. Crcagcr. W. P.. and Justin, J. D., Hylroeleerric: Handbook,Wiley,
New York. 1963.
3. Crippcn, J. R., "Envelope Curves for Extrcme Flood Evenrs."
Journal of rhe Hytruulirs Diyision, American Society of Civil En-
gineers, Vol. 108, HY-10, pp. 1208-1310, t98?.
104 ADVANCED OAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
4. U.S. Dcpanment of Interior. "Cuidelines for Dctcrmining Flood
Flow Frcquency," Bullctin No. l7B, Hydrotogy Subcommittce.
lnteragenc-v Advisory Committee on Water Data, 1982.
5. United Sutes Committee on Large Dums. "Criteria and Practiccs
Utilized in Determining the Requircd Capacity of Spillways." Ncw
York, 1970.
6. Federal Coondinating Council for Science. Engineering, and Tech-
nology, Federal Guidelines lor Dam Salery, Ad Hoc Intengency
Committee on Dam Safety, 1979.
7. Federal Emergency lvtanagement Agency. Fe de ral G uide li ne s fo r Se'
lecting and Acconunodating Infow Desigrr Floods for Dans prepared
by the Working Croup on Inflow Dcsign Floods, Subcommittec I'
Interagency Committee on Dam Safety. 1986.
8. National Research Council. "Safety of Dams: Flood and Earthquake
Criteria." Committee on Safety Criteria for Dams, Water Science
and Technology Board, Commission on Engineering and Technical
Systems. National Academy Press, Washington, DC. 1985.
9. U.S. Army Corps of Engineers. "National Program of Inspection of
Non-Fedenl Dams," Final Report to Congress, Washington. DC,
May 1983.
10. National Research Council, "Safety of Existing Dams: Evaluation
and Improvement," Committee on the Safety of ESisting Dams.
Water Science and Technology Board. Commission on Engineering
and Technical Systems, National Academy Press, Washington. DC,
1983.
I l. L., "Adjustments of Peak Discharge Rates for Ur-
Gundlach, David
banization." Journal of lrrigation and Drainage, American Society
of Civil Engineers. Vol. 104. No. IR3. Sept. 1978.
12. Haan, Charles T., Sraistical Methods in H-'"drology. The Io*'a State
Universirl* Press, Ames, lA, 1971 . p.229.
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38. National Weather Service. "Probable lvlaxinrum Precipitation and
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:15. World Metc'orological Organizution. "lntercomparison of Conccp
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60. U.S. Army Corps of Engineers, "Flood Hydrograph Analyses and
Computations." Engineering Manual I I l0-2-1.105. Office of Chief
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61. Clark, C. O.. "Storage and the Unit Hydrograph," Tronsacrions,
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62. Snyder, F. F.. "Synthetic Unit-Graphs." Transactiorrs, Auerican
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Channels. Watcr Rcsourccs Publications, Fort Collins. CO, 1975.
61. Crawford. Norman H., and Linslcy, Ray K., "Digitirl Simularion in
Hydrology: Stanlbrd Watcrshed Motlel IV," Stanfonl Univcrsiry
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65. Henderson. F. M.. Open Chtnnal F/o*,. Macmillan. New York,
1966. pp.356-162.
66. U.S. Army Corps of Enginceni, "Water Surface Profile, HEC-2."
Cornputer Pmgranr Docunrcnt No. 2, Hytlrologic Engincering Cen-
ter, Davis, CA. Sept. 1982.
HYDROLOGY 105
67. Cunge, J. A.. "On thc Subjcct of a Fltxxt Pmpagation C{)mpura-
tional Mcthrxl (lvtuskingum lvlcthtxlt." Journul of Hvlruulit Rc-
searcfi. Vol.7. No. l. pp.205-130. 1969.
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Variablc Parametcs." Journul of the Hulruulics Divi.riorr. .{.SCf .
Vol. l(}l. No. HYll. pp. 166-1-1667. Dcc. 197E.
69. Frcad. D. L.. "Channcl Routing." Hydnrlogic Rcsearch L:rbora-
tor.v. National Weathcr Scrvicc. Silver Spring. lvlD. 198-1.
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NtD. 198.1.
71. National Weather Scrlicc. "Opcrational Dynamic Wave \lorlcl.
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 GEOLOGY
AnrsuR B. Anxolo
Chief Geologisr
Bechtel Civil & Minerals, Inc.
San Francisco, Califonia
Leuneucs B. Jattrs
Chi ef En gine e rin g Geolo gist
Califurnia Department of lVater Resources
(Retired)
GEOLOGICAL CONSIDERATIONS
Geonce,
lntroduction
The importance of regional-areal investigations for obtain-
ing geosciences data critical to a natural site or material is
frequently overlooked. Project sponsors have commonly
kept the efforts of the exploration team close to the site for
the planning-design phases. This approach has disre-garded
the importance of much pertinent geological information
because sites rarely conform to a "type" interpretation.
Actually, an understanding of controlling conditions. his-
tory, and causes can prove more advantageous to an engi-
neering objective than more detailed knowledge of a re-
stricted site. Several examples of investigations in which
an inadequate understanding of the areal rock sequence/
structure subsequently affected project design are given un-
der case histories.
Regional-areal geological investigations have been in-
creasingly well utilized as a basis for the economic devel-
opment of engineering projects. Such investigations arc
based on adequate geological nrapping supplcmcnted by
many specialized exploration techniqucs. which dcterminc
the history of events relevant to rock mass, physical prop-
erties of the rocks and soils, the groundwatcr regimen, and
the seismic history and tectonic framework. Such investi-
gations provide data for selecting the most advantagcous
site locations, choosing the most suitable structures for sites
106
Geonce A. KrEnscH
Geological Consultant
Kiersclt Associates, Inc.
Tucson, Ariaona
AUN L. O'Nerll
Consulting Engineering Geologist
ktfayette, California
A. KtsRscH
available, enhancin-9 the environmental assessment. and
improving the accuracy of project cost estimates.l-3
The other authors in this chapter discuss three specific
geolo-e ical processes/features and related geological prob-
lems that can be strongly influenced by the re-eional-areal
history and conditions: seismotectonics (O'Neill). subsid-
ence (James), and foundation defects (Arnold).
Specialist-Team Approach
The specialist-team approach (ArbeitsgemeinscftaTt) has
been irnminently successful in practice. From it has evolved
the concept of physical environmental study and evalua-
tion, a realization of paramount importance to applied
geosciences for engineered works. The team reconstructs
the geological history, determines the physical or chemical
causcs for fcaturcs and conditions. and predicts the cffect
of a proposed project on candidate sites. This approach is
particularly effective when the individual tcam members
(cnginccrs, gcoscientists, economists. planners) develop
mutual rcspect for the other spccialitics.l
The initial investigation for any proposcd engincered
works should begin with an assessment of the regional-
areal gcological environs (Fig. a-l). and it should recog-
nize the systematic geological history and important events
and causes responsible lor the principal site conditions, as
 GEOLOGY 1O7

INVESTIGATIONS SCOPE OF INFORMATION

woRK PRoGRAM yffs STAGES SITES CHEF CONCERNS
ANALYZE -trrsrrro TRENDS
!^,!.o^,^_rE,or?t
rrrEry,.i (oc^(.r,G.r!
\ 1 REGTONAL f
.c-qnj::.-
rqaruHE) tI r
/ \ r:soo.ooo No.l cenorolrr\ /
.FUAU .IELU sruurEs
rxcLuol. toro a 30rr! rAtS / \ r,aso.ooo \ RECONNAISSANCE / nrcronel-^nerr- $ifr
stlrrrsEE /- -(\- No:- AND
AND r.r.Y.it xtrorrc^( r,rur ({-.dd
- AREAL ?ICIOXIC'' ""', T 93
:::1::"-'-*""'"^.
aio otxEa !6urcE! , ' - ANo -\-\ \ PLANNING
^nslBr.^.t,'|tu
BASE /
/
.".::.:::::'::::::.'"..--T3
o.
^Forrarloi-
caouto. wEtrt.rtc
/ -r. \\I NO.3 pnefenneo\ (CONCEPTUAL)
/ ,",:.J;:::."1,.;:j::.,..,.,
o"ou,o-^rGr
Tg"r€o,yri
/ G \Yz\ t,zt.OOO / I

* z F-".,\Y,,H*).
^Err^L.

t*^
=*
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\
n-'U
--" - \\'""":'=["-'1:,.Ill':^i1ffi
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G
\ \"'""'"1---_-##::::iff"';-f3=
STUDIES /
:""^'".*'

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.oxsrnuct,ox rrr.r,rt Y:l=

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. -No.6 -\-/- \-
f !^":jg'::g^'-g*+_ I

' '""'Erruer
=:T- -/ tcooaorNAnoN
:NCE
APPLIED GEOSCIENCE-\ - eLANNTNG'
- Jl - - DrscrpLrNEs T
DISCIPLINES -r--*;;;1'Ell'-t,:-.'-':.:'3:::I:::--
srawrEC, corst rArEFrars. +, 3=
touiorrroioGFEcr!-r.E^reE(r. Uli9
o(sror E^rixou^iE-crc. (DY;
ErynoiraNr^L !r^rar€Nt. <!2F
uirou..ro.(.rt.r.. FCsravor.
ilBg
MAP trc^Y^troi!. coirrnr^roay
trrto..r6it, FCyEor^f J o

REGIONAL - AREAL APPROACH

(..::==J roorrcrroi!'^!-t!.;ouxo^rq.
;:&1i?*1:.i"";"'rouioar@'
v
I

GEOSCIENCE INVESTIGATIONS FOR

SITE SELECTION & DESTGN - DAM COMPLEX
GEORGE A- X|EFSCH. ,t95S/64
oax'a6

Fig. 4-1. Regional-areal approach to geosciences investigations for a pmgressive six-stage evaluation of candidate areas/sites and desi,gnation of rhe
preferred sites for the conceptual design of Phase I. After funher exploration and assessment. a selecred site is chosen for rhe preliminary design of Phase
II: subsequent studies and analysis provide the data needed for design and construction Phase lll. The principal field and laboratory investigations and
techniques utilized during the various stages are indicated. as are the chief geological concerns requiring attention and a suitable map scale for documenting
each stage. Source: Kiersch.r'r

well as the geologic causes or processes responsible for the
origin and physical propefties of the natural materials. such
as weathering-erosion-sediment-filling. tectonics. lake-
beds. slides, and ashfalls. Any regional-areal investigation
is limited in duration and extent in proportion to the com-
plexity of the geology and the purpose of the project. The
preliminary geological data are synthesized with findings
of the other specialist-team members for interim summa-
tion and decisions (Stage 3, Fig. 4-l). This first appraisal
invariably discloses some inherent problems, which are
fundamental to the Seological origin of the iock units,
structural features. erosional fleaturcs. and weathered or
surficial deposits.
Changes with Time
The performance histories of dams and appurtenant works
demonstrate that no structure is entirely free from risks ol
progressive deterioration or destruction. The integrity of
engineered works can be influenced or impacted by the in-
terrelated regional and areal
-seological history. features.
and ongoin-t processes. Critical elements may contribute
effects ranging from insignificant to destructive during the
life of a project. The recent improved record fordam proj-
ects can be attributed in part to this realization and to the
practice of using a weighting factor to evaluate such ele-
ments in decisions on site selection and project design. In
the past two decades. much progress has been made in
rccognizing thc critical factors. evaluating their potential
influcnce, and plotting paths toward uttimate understand-
ing. Thcsc tcndcncies in the engineering and geological
professions lurthcr focus on the nccessity for improvcd
knowledge of natural matcrials ancl their behavior. Fulfill-
ing this dcmand will require increased acceptance of ap-
plied geosciences as part of the investigative acrivities for
the siting and design of large clams and projects.
108 ADVANCED DAM ENGINE€RING FOR DESIGN, CONSTRUCTION, ANO REHABILITATION
Fe*' natural materials are truly homogeneous in their be-
havior. The rates at which soils and rocks move toward
physical and chemical balances depend upon several geo-
logical factors. particularly geological histories, and
combination of many inherent characteristics with new
conditions imposed by the engineered works. However,
such rates can show slight to dramatic changes in response
to shifts in geological environs. Consequently. the predic-
tion of changes in conditions or materials ultimately must
be based on a detailed understanding of highty conrplex
geoloeical systems that are part of the regional-areal sur-
roundings.
The geologist is ideally qualified to correlate the naturul
processes of the historical and geolo-eical past with the
future action of proposed processes and uses. Every eftbrt
should be made to evaluate processes or _geological reac-
tions in terms of their rate-specifically. to distinguish be-
tween eeological time and time in the engineering or hu-
REGIONAL-AREAL GEOSCIENCE INVESTIGATIONS
Geonce A. KrEnscH
lntroduction
Selecting a dam or hydro-porver plant site requires balanc-
ing many conflicting values that may not be measurable on
a common scale, except in the broadest sense-that of the
public interest. Initially candidate areas are subject to broad
environmental studies and impact analysis. In any assess-
ment of potential sites there are two distinct initial phases,
assuming an adequate supply of water and impoundment
area at all sites for project purposes:
l. Exclusion of all sectors not suitable fora dam, hydro-
generation, or pumped-storage project. for many rea-
sons, such as parks, population, and land use.
2. Identification of potential site areas and then reduc-
tion of prospects in successive stages. A progres-
sively more detailed, comparative evaluation se-
quence, from candidate areas-candidate sites to
preferred sites to the recornnrended or sclccted site(s),
is indicatcd in Fig.4-1.
The investigations arc a continually evolving cflort, and
involve parallel studies to evaluate conlpcting sitcs.
The New Site Selection Study of 1975, which idcntilied
suitable new power generation sites in Ncw York State
within a minimum of time and with maximum effcctive-
ness, demonstrates the principles involvecl. The author6
served as geological contractor tbr the study (Fig. 4-2).
man sense. Quantitativc estimatcs arc ncedc'd conccrning
such features as natural compaction. bcaring charactcris-
tics, transmissibility rate of groundwater tlow. eross sta-
a bility of earth and rock materials. and thc expectcd yearly
rates and magnitudcs of processes of erosion. weathcring,
and ground movcmcnts. In essence. how will thc site relct
to the proposed engineercd works. with respect to both nat-
ural and man-induced processes? This includcs dcvising
techniques tbr age-datin-q the changcs and evcnts observed
and/or prcdicted.6
Paramount. then, is the ability of the applicd geolo-eist
to analyze the evidcnce of a problern fronr more than one
point of vierv. Many geolo-eical situations initially requirc
the creative. fragmentary evidence approach. with thc rc--
maining parts of the puzzle available only afier exposure
by subsurface excavation or laboratory test data (Stage {.
Fig. 4-l).
The initial step of Sta-ee 1, screening of candidate areas.
consisied of excluding from consideration:
l. Land areas containin-e other projects or proposed
conflicting uses for the land, such as parks and pop-
ulation sectors.
2. Known areas of geological uncertainty andior possi-
ble seismic/earthquake hazard.
The fint cut of candidate sites is follorved by analysis
for: (l) meeting a set of broad feasibility criteria of size.
land use, and topography: and (2) comparison of 27 difter-
ent attributes/factors relevant to sites, for both environ-
mental/technical and econonric aspects. Factors are not of
equal value in the ratings; for example. geology/seisnrol-
ogy has a relative weight o[ 50 to 60%. hydrology l0%,
and land use 5%.
The stcps taken during Stagc 3 to identily preflerred sites
involve an estimatiorr of the cost arsociated with the can-
didate sitcs and thc ability to balancc econornic and envi-
ronrncntal characteristics of the potcntial sitcs. Criteria
should rctlcct all nr:rjor cffects. and should includc:
l. Environnrental lactors: water quality, noise. land usc,
aesthetics, socioeconomics, and gcological reactions
to project operation.
2. Econonric-geological/seisnrological elenrents: cost ol
 GEOLOGY I09

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EXPLANATION

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NACTTVE ]ECIfrIC MOVINCE ?J , Pt roFr,.l fE! q r?to Aro uxryr r5r10 qrn
a nu , , gt*
h
zoN€ 0F MmERAIE CAOU^O rcIots iE(F.t a irfRsc{
vtrEs 8€cAUsE 0f PFoxrm To a ct]l& cruret
zoNE cwEREo rN 0r. e€Low.0R
-tl6
EXISTENCE lN OR MilIIY
IOA wr5ror cf q{6(t {5€arcx.r{
qo*rr<{ c(rkrqr!.t/t/r:
rccEurtLY {nv€ TEcrsc qcM{(E i
zOT/E WH€A€ CAPASL€ FUIING MAY
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ca1 8e ExPEcT60 o5
** c.!3glisellg! oN rN !I!3! G€N€i& QA5.l, cl.g
0R ' GENERAL IZEO EVALUATION ..
vAY \oT 8E RATINc OFI sP€CIFC SITE AREA IF€iE {
GEOLOGICAL / S EI SMOLOG ICAL
FACTORS FOR CANOIOATE SITES / AREAS
SOUNOAR!ES OF EXCLUS]ONS TNETS AS
-J CrvEl8Y U E AC 0"qk6378tA O2O(Nlrle$l

Fig. 4-2. Ceneralizcd evaluation of geological and seisnrological factors fbr candidate sitcs lnd arcas. statewide study New York. Thc guiclclincs tbr
geological r.rtings are indicated, as is the nranncr used in sctting criteria ior seismic rutings. This tirst evxluation bccorncs basis tirr subscqucnt prel'cncd
and sclected site investigations as given in Fig. {-1. Sourcc: Kiersch
 110 ADVANCED DAM ENG]NEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
access, transportation of supplies, and operation:
transmission of power to load cente$.
Environmental factors are scored or rated on scales of
merit, and weighting factors reflect relative importance.
Subsequently, individual site data are plotted with environ-
mental and economic (dollar value) axes, which group pre-
ferred sites into those of: (l) lowest total cost (comparative
rating of 1.00). (2) least environmental impact. and (3) best
combinations of cost and environmental factors (lowest
cost/benefit ratio).
The recommended or selected site(s) of Stage 6 investi-
gations (Fi-s. 4-l) are based on extensive field and labora-
tory explorations and on-the-ground tests (Stages 4-5), and
in some cases a statistical analysisiprobabilistic assess-
ment. These findings are combined with input from the ex-
ploration team and project staff. The site selection process
utilizes criteria and weighting factors for deteqmining the
environmental characteristics of the entire areal complex.
along with specialized geoscience information (FiS. a-1).
relative cost data, and data on the economic/environmental
balance (dollars) and/or other special relevant considera-
tions.
A comprehensive site selection study is a methodical
process. The selected site(s) represent the best possible
correlation of scientific and engineering knowledge with
the relevant econcmic and environmental factors on a re-
-eional-areal basis.
lnvestigative Approach
The most successful method of utilizing regional-areal in-
vesti-qations is the "convergence-of-evidence" approach,
whether for mapping an uncharted sector or for a compre-
hensive analysis of an individual preferred dam site. This
plan of action integrates six interdependent sta_qes for the
conceptual design (Phase I) and for site selection and pre-
liminary design (Phase II) as shown in Fig.4-1. Four re-
gional-areal projects completed in the 1950s-1970s by the
ur,1ro.l'2'a-6 demonstrate at length some general principles
that are presented herein.
The conventional map scales for each level of the geo-
sciences investigations (Stages l-6) are indicated in Fig.
4-1. A regional designation normally implies a terrain of
tens to hundreds of square miles around a site, rvhile some
specialized projects may mean a 200-mile radius from rhe
site. The areal designation means at leasr 4 to 5 sq milcs
surrounding a site, while the site-spccific arca is considered
the surrounding 0.5 sq mile.
lnitial Stage 1 (lndirect Methodsl. Thc beginning
consists of three steps to provide the framework lor base
maps and interpretations (Stages 2-6).
o Step /-Compilc and assimilate a rcprcsentation of all
existing gcological. hydrological. scismological. and
allicd data. lncludc publishcd and unpublishcd rc-
pons/thescs and surveys: intcrvicws with local gco-
sciences experts: topo-graphic, soil. and geological
maps: aerial photographs: selectcd imagery or remote
sensing: and some geophysical and ground'*'ater base
data. Prepare the base map for Step 2.
If the region is uncharted and only sketchy prelim-
inary data are available. a photogeologic study is de-
sirable as Step l. Photo-reconnaissance maps uith
generalized geologic features and rock units orient and
guide field staff for Stages 2 and 3.
o Step 2-Prepare composite geosciences maps, utiliz-
ing the geology of an individual state. province. or
republic map at I /500,000 or, ideally. the popular l'
x 2' quadrangle maps or Defense Agency maps at
I /250,000: Landsat I and 2 imagery is available at
the same scale. Assimilate elements for conceptual
planning by use of transparent overlay maps for gen-
eral geology, tectonics, seismology, groundrvater. and
others as warranted by the data.
c Step 3-lnterpret and synthesize geo-elements. Incor-
porate the findings and predictions of both the con-
cealed subsurface and the historic events or features
such as indicated by the paleotectonic map series. en-
vironmental or hazard maps. and regional stress pat-
tem plots.
The assembled base map data for Sta_se 2. the
ground reconnaissancer may indicate special features
potentially important to the conceptual plan. such as
ancestral stream patterns, ancient structural trends. and
features or lineaments of basement rocks. This very
preliminary first screening of the region will likely re-
sult in the exclusion of some sectors from further con-
sideration. and selection of the candidate sites.
Stage 2 (Direct Methods). Perfonn a geo-field recon-
naissance of the broad regional-areal trends established by
Stage l. Emphasize the physical-engineering properties of
rock units and formations, soil and surficial deposits. tec-
tonics-structural pattern, selected groundwater regimen,
and significant features or special conditions of importance
on moderate-scale maps. Routinely, the preexisting maps
are modified, and the quality is made to con[orm to project
standards; areas with no
-eeologic data are mapped to
pro-
vide continuity and unifonn reliability. Supplcrnental ae-
rial-photo interpretation or Landsat inragcry may bc advan-
tageous tcl pinpoint coruplicated structurcs or otherwise un-
detccted fcatures and relationships; for example. digital el-
evation daia for tectonic evaluations.? Sinrilarly. airborne
geophysical techniques rnay provide e ritical data for eval-
uating an important feature during conceptual planning of
Phase L

The successful reconnaissance gcologist can bc likened
to the industrial inventor: although both are scientifically
trained, each dcals with specilic applications in an artful
manner. Furthermore, because repeat investigations are
impossible. a feeling for rhc. quantitative and practical is
critical. as is a perception for separating facts from infcr-
ences and hypotheses. These instinctive attributes help one
to determine what physical propcrties and features of rocks
and structures are relevant to conceptual planning and cn-
gineering practices.
Stage 3 (Direct and lndirect Methodsl. An interim
summation is made that includes some conclusions, fore-
casts or predictions, and interpretations based on the syn-
thesis of Sta_ee I and the ground investi-sation of Stage 2.
The interpretations, extrapolations, and evaluation of the
preexisting data are correlated with on_eoine project find-
ings to become the basis for a conceptual desi_en report and
the selection of preferred sites (Fig. 4-l). Potential prob-
lem features or areas are delimited for further specialized
investigations (Stage 4).
Stage 4 (Direct). The progressive analysis and explo-
ration of preferred sites continues with detailed mapping,
supplemented by a team of geo-specialists as conditions
may warrant. The findings are extrapolated and interpreted
for each specialization or discipline. and subsequently are
correlated using overlay maps for the separate elements.
This compilation focuses on design criteria relative to
earthquakes. groundwater, the reservoir perimeter, and
other specific hazards such as rock stresses or subsidence
that must be considered in the preliminary design of Phase
II. A wide ran-se of subsurflace exploration techniques may
be appropriate, from indirect probes, soundin-es. and geo-
physical measurements (lo-eging. crosshole. downhole,
acoustics) or TV-borehole observations to exposure by
cored borings. adits, trenches. shafts. and pits. Investiga-
tions at each preferred site may proceed more or less in
parallel until the less favorable site(s) are dropped.
Detailed-scale maps (l/12,000) with additional aerial-
photo analysis are frequently advisable. Moreover. air-
borne and ground geophysical techniques may be required,
particularly data to extend or extrapolate bedrock condi-
tions beneath surficial deposits. a thin "capping" of thrust
plate, or layered rocks. Anomalics detected by aerial sur-
veys are refined by gravity, magnctic. or rcsistivity ground
methods. The growing airborne adaptions oI radar (SLAR).
thermal, and reflected infrarcd sensoring and multispcctral
scanning offer advanced techniques for gaining dctailcd
data on the physical properties of rock masscs, particularly
in regions of thick surface growth such as thc junglc.
The progressive investigations ol Stage 4 providc a dc-
limiting of the tectonic province, sources tbr construction
materials, and a preliminary model ol each pref'errcd site.
GEOLOGY 111
Severul suitablc geological mapping tcchniques for plot-
ting a quantitativc und!.nitanding of r**k units and features.
such as the Ccncsis-Lithology (Fig. a-3). Alpha-Numeric.
and Unified Systcms. havc bcen given by Kcaton.s as wcll
as special-purpose maps for construction materials. haz-
ards. groundwater occurrence. structures, and "as-con-
structed" conditions. A system for geotechnical intc-rpre-
tative maps has bcen prepared by Hannan.e Project mapping
for dams and rcservoirs has been dcscribcd by Arnold.'o
The GLQ Systems is an excellent basis lor standardizarion
of map symbols or tacts recorded lor geological applica-
tions in engineering practice. It is simple. descriptive. and
easy to utilize; documents geological tacts of relc'vant en-
gineering significance: is univenally acceptable: and en-
hances communication between geologists and engineering
specialists.
The sections on seismotectonics and foundation det'ects
in this chapter discuss many specific exploration tech-
niques suitable for project purposes: that is, fault and earth-
quake assessment for dam desi_en (O'Neill) and the loca-
tion, analysis. and correction of rock defects within a dam
foundation and the design of embankments to accommo-
date a geologically complex site (Arnold).
Stage 5 (Direct and lndirect). The preferred-site in-
vestigations are progressively evaluated on the basis of
synthesizing Stage 4 data and field exploration results. A
further evaluation may be made of the site characterisrics
with an overview and application of probability and statis-
tics, relative to the failure of a rock mass, slope, or foun-
dation. Other special exploration tools and/or specialists
may become involved. according to the circumstances (as.
for example, a suspected problem feature that is con-
cealed). Special plots or maps that depict ancient structures
and formation thicknesses as they existed at "date-of-in-
terest" bring out many geolo_eical facts otherwise unno-
ticed.
The extensive physical-engineering data collected on the
sites at this stage of investigation are adequate for prepa-
ration of the environmental impact statement for Phase II
design. The final site(s) are completed to feasibility and
Phase II preliminary design.
Stage 6 (Direct and lndirect). A surnnrary report is
madc. with conclusions to guide the Phase II preliminary
dcsign. A specific sitc is rccommcndcd for thc Phase III
dcsisn-construction ol thc dam complex on thc basis of
gcoscicnccs paranrctcrs. Thc rcport is organizcd to serve
both projcct pcrsonncl and the sponsor concurrently. The
significancc of the gcosciences data. both surfacc and sub-
surface. and the geol<lgic conditions that influcnccd thc site
selection for thc proposed devclopment is explained and
documented.
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Overview-Common Data Provided
Invariably, some significant data collected at a distance
from the site can be utilized to advantage in evaluating con-
ditions within a specific site. Furthcrmore. a budget restric-
tion frequently minimizes cored boring or subsurface open-
ings/cuts around the site, and data critical to forecasting
problems are not available. In such cases. the areal inves-
ti-eations may provide a clarification without on-site explo-
ration.
Much significant information and insight can be deter-
mined primarily or advantageously from the regional-areal
investigations for site-specific use(s). including informa-
tion on the following:s
. Rock sequence/colurnn-Subdivision of rock masses
or bodies on the basis of physical propefties and re-
action to engineering needs: extrapolation of con-
cealed I itholo-eies ; establ ishntent of boundaries : fore-
casting of expectable site conditions/characteristics.
o Rock properties and stabiliry-Determination of the
pattern and cause of inherent structural deformation/
features, rock-soil weathering and alteration, slope
stability and downslope movement. susceptibility to
solution action and cavitation. and subsidence activity
' (shallow and/or deep) and extent.
o Causes of geological phenontena-Areal subsidence;
downslope movement: weathering rates; sediment-
filling; inherent structure: seismic history, delineation
of province, and potential at site.
. (Jnderground fiuids-Characteristics, especially
groundwater. alluvial-filled basins: skeletal pattern
within fractures of rock mass; groundwater occur-
rence and controls.
. Geomorphic history, near-surface conditions-Surfi-
cial sediments, origin. properties. and correlation with
laboratory test data; extent and characteristics of spe-
cial features, e.g., caliche "beds." lateritic soils, gla-
cial deposits, organic soils, and muck; origin of con-
struction material deposits.
o Tectonic geomorphologl''l-Morphology of escarp-
ments and mountain fronts; indices and land form as-
semblages to evaluate active-tectonic processes: rates
of geomorphic processes; alluvial rivers' response to
active tectonics; paleofaults. fault-scarp morphology.
paleoseismological techniques. and slip-rate studies.
o Geological Jactors afecting economic parameters-
Legal counsel and contractual claims: land manage-
ment; classification of excavation; and some unit-bid
construction costs.
Case Histories-Critical Regional Aspect
Many cases citing the importance of regional-areal geolog-
ical features to dam and reservoir planning-design-con-
GEOTOGY 1T3
struction-operation arc available in the literature. The bricf
summaries of cases that follow dcmonstrate how regional-
areal features can strongly control or inllucncc thc site sc-
lection and/or dcsign of a dam complcx.
Downie Slide, Columbia River. The Downie slidc. an
ancient rockslidc (somc 10,000 years ago) is located about
44 miles (70 km) north of Revelstoke on the westem slope
of the Columbia River valley in British Columbia (Fig.
4-4). The following brief review is based on rcfcrences l2
through 14. The rockslide has a maximum thickness of 886
ft (270 m) and a volume of some 1.5 x lOe mr of rock and
debris. and covers an area of some 9 kmr.lr The head of
the slide is bounded by a vertical escarpment of more than
410 ft (125 m). and the lateral boundaries are defined by a
prominent east-west scarp on the south and a linear ridge
on the northeast (Fig. a-5). The slide toe forms the west
bank of the Columbia River channel: the mass is 83 km
downstream of Mica Dam and 66 km upstream of Revel-
stoke Dam. The slide mass is 1.25 miles (2 km) do'*'n-
stream from the proposed Downie Dam and has been im-
portant to future planning in this stretch of the Columbia
River valley (damming. flooding, etc.. described in Chap-
ter 24) since being discovered by Armstrong in 1956.rl
The principal rocks involved are high--erade pelitic
schists with foliation dips of 20o easts'ard toward the river
channel that nearly parallel the outcrops of overlying rock
units (Fig. 4-5). The region has under-9one three distinct
phases of deformation with prominent shears. fold phases,
and associated fabrics that influenced the slide movement.
The slide mass broke from the valley walls along the hin-ee
zone of a monoclinal flexural fold.
The Columbia River fault zone, a major regional fea-
ture. extends from south of Revelstoke northward 124 miles
(200 km) to beyond the Goldstream River (Fig. 44). The
composite zone dips 20-30' easterly and separates major
tectonic elements. The fault has a long history of move-
ment throughout a period of some 45 to 160 million years
ago. The deformed zone of associated mylonite is up to I
km thick; the structure. originally believed inactive. was
reported in 1977 to be active with annual movements of a
few centimeters.l:
The geological reconnaissance for the Revelstoke and
Mica Dams and other reservoir sites throughout this stretch
of the Columbia River did not recognize the existence of
the Downie slide: instead, a major fault in the river channel
was believed to account for the marked difference in
stratigr.rphic units on either side ol the river. Actually, somc
arcal investigations at that timc would havc dclimited the
slide area and furthemtorc shown that thc normal rock se-
quence of metanrorphics crossed the river channel up-
strcam of the Downie slide mass.'t lvloreover, thc Colum-
bia River tault zone does not bordcr thc toe of the slide
mass. Rather, this regional fault is located east olthe river
on a terrace opposite the Downie slide. Since its recogni-
114 ADVANCED DAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHAEILITATION

6' :iso
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Fig.4-4. Regional map of Southcastem British Colunrbia showing kxation olthc Downic slidc along the Colunrbia River. The irnp()rtant Colunrbia Rivcr
fault zonc gencnlly pamllels the river vallcy fronr south of Revelstoke nonhward to beyond the Goldstrca,n River. Counesy: lJrorvn and Psutkl.r'
 Locotion of portolr to Adirr I t2

- -.! i//s Colvmbio

, Rivcr

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f!

Fig. a-5. Areal geological plan map, vicinity of Downie slide, showing rhe principal rock units (upper), with alignrnent of the geological e nrss scction
given at bottom along with description of the stratigraphic units. The phases of dctbmration/lblding are dclincated and indicatcd, as xrc the specific u-k
units involved with the Downie slide. Counesv: Brown and Psutkl.rs

115
116 AOVANCED DAM ENGINEERING FOR DESIGN. CONSTRUCTION. AND REHAEILITATION
tion in 1956, thc Downie slide has requircd cxtcnsive geo-
logical investigations: the upstream Mica and proposed
downstream Downie projects could have been seriously
impacted if the slide mass had failed suddenly and dammcd
the river, and the Revelstoke project downstrcam could also
have been affected. This is yet another case where a critical
geological feature. unrecognized during the regional inves-
tigative phase, became important to subsequent projects.
Kinzua Dam, Pennsylvania. The Kinzua Dam on the
Allegheny River near Warren. Pennsylvania. is an out-
standing example of changes that occurred in both dam lo-
cation and structure design throughout the duration of proj-
ect studies (1936, and 1955-66) due to the geological
settin-9. The recognition of the ancestral re-eional draina-qe
and its impact on events that affected the glacial history of
the river system has been described in reference 15.
The "obvious" location for the proposed dam, as ex-
plored in 1936, was downstream from the confluence o[
Kinzua Creek and the Allegheny River, at the upper end
of a gor-selike stretch of valley (locality map, Fig. 4-6). At
this site. bedrock occurs 75 ft below the streambed, and
early desi-ens assumed a concrete gravity dam. Delays and
t\
t\
(
(
tMlr.G
hrt
l 1916 DAr sItE
lll I I
o
o (over 10,000 years ago) was not recognized and/or ac-
Errth E.hnl..ni D.r
rltc. -l?oo
&.$.t
! lltzul 0r{
Fig. a-6. Two cross sections of Alleghcny Vallcy looking upstrcrnr.
showing the originatly proposed sitc for Kinzua Dant and tho ntore ld-
vantageous "as-built" sitc of 1966. An areal rnap gives the retativc lo-
cations of the two sites and thc ancestrul vs. present flow of the river.
Courtesy: Philbrick.
r5
World War II suspensions terminated furthcr considcration
of the site until 1955, whcn studies rcsumed. Thc new proj-
ect studies flortunately included a rcgional-arcal investi-
gation of the complex gcology of thc Alleghcny Valley:
attention was focused on several features and bedrock re-
lationships critical to siting a dam in an area changed by
several glacial intervals and a complex ancestral drainage.
For example, in 1880 J. F. Carll16 notcd in a report on oil
and gas wells of the area that the bedrock surface, beneath
the glacial cover, slopes northward-thc opposite of the
present topography and flow of the river. Carll dcduced
that the preglacial drainage flowed northward rathcr than
southward as the draina_qe is today.
Following Carll's broad concept. geophysical sun'eys
and cored borings explored the river channel downstream
of the "obvious" site and located a bedrock hi-eh beneath
the channel cover near Big Bend: this relic of the bedrock.
with a deeper interglacial channel on its rnar-ein. was -150
ft wide and occurred 37 ft higher in elevation than the bed-
rock channel at the 1936 site upstream (Fig. a-6).
The 20-year delay in construction of the dam had en-
abled a systematic investigation of the relevant regional-
areal geological features, whereby a major saving in proj-
ect costs was realized (91 million in 1957 dollan). Fur-
thermore, the concept for the eventual new and improved
site location came from a pioneerin,s geologist's regional
observation in early oil wells, the basis for a reexamination
of glacial history in the late 1950s.'5
EEV. Others. Two outstandin_e cases where the re_eional-areal
lo00
- features were critical to the construction-operation of a dam
and reservoir. Vaiont and Baldwin Hills. are discussed in
-t)oo
Chapter 2.
- 1200 Vaiont Reservoir, Italy. This is a turning-point case.
characterized by inadequate concepts and areal-regional
geological investigations before the dam was designed and
_ ll0o
I
built. An ancient. lar-ee-scale, slide planc or decollement
_ 1000 knowledged during the site exploration phase, and thus not
evaluated for remedial measures by the project. Conse-
_t100
quently, when the higher-level reservoir water acted on the
delicately balanced, steeply dipping complex of bnoken
beds and deformed valley wall rock nrass in 196 I-63. the
uplift pressurcs induced affected the stability. Conrbined
with several othcr inhcrcnt adversc geological conditions.
thc buoyancy effect triggered a progressive crccp of valley
slopcs that ultinratcly bccame a suddcn, rapid movement
and total catastrophic collapsc. Be[orc [ailure. thc cause of
areal movcrrrent was not rccognized to bc along thc preex-
isting fault and weak zones of thin clay interbcds and
seanls. A full unclerstancling of the critical regional-areal
fleatures of thc dam and reservoir site during planning would

have alerted design engineers to hazards. and likely re-
medial measures would have avened this tragedy.
Baldwin Hills Dam, Los Angeles. Here the occurrence of
a regional fault system was a critical factor in the eventual
failure of the dam. The faults were affecred when depres-
suring of the rock column by withdrawal of tluids and gas
caused areal subsidence to occur: subsequent movement
along parts of faults beneath the site resulted in rupture of
the reservoir lining and eventual piping beneath the dam.
breaching, and failure.
SEISMOTECTON
Alnx L. O'Nerlr-
lntroduction
Thorough geotechnical investigations for dam and reser-
voir projects have almost always included some consider-
ation of seismicity and faulting. During the last several
decades, however, more and more emphasis has been ap-
plied to fault and earthquake hazards (seismotectonic) in-
vestigations, because of the need to fumish rational and
complete earthquake hazard data so that seismic parame-
ters can be selected for use in simplified or sophisticated
analytical dam design procedures. Better investigative and
analytical data concerning earthquake hazards are needed
not only because of the en-eineer's continuing endeavor to
improve design and construction procedures, but also be-
cause ofthe deep concern and responsibility ofall the peo-
ple involved in the planning. investigation, design, and
construction of dams. The public is acutely aware of haz-
ards associated with reservoirs that can inundate populated
areas in the event of failure, and there are strong demands
that all dams be constructed with an adequate factor of
safety against failure, in the event of earthquakes as well
as other potential causes.
Earthquakes have accounted for only one known total
failure out of more than 200 dam failures during the twen-
tieth century.l This may be a fortuitous statistic because in
some recorded cases o[ severe earthquake damage to dams.
major disasters have been narrowly averted. On the othcr
hand, a few well-constructed dams have bcen known to
survive major earthquakes with little damage. Notable
among these are several dams located in and adjacent to
the San Andreas Rift, which survived the Richter Magni-
tude 8.3 1906 San Francisco earthquake in an area of se-
GEOLOGY 117
.
Four additional cascs. concerning dams. rcscrvoin. and
river locks built by the U.S. Corps of Enginces bctween
l96l and 1973. havc bccn publishcd by Fishcrand Banks.rT
Thcy discuss the critical importancc of regional-arcal fca-
tures of: stress-relicI structurcs of a rivcr vallc'y. the can-
yon, and abutments: slopc tailures along a glacial-scourcd,
trench-valley in clayey rock bcds: alluvial-backfill depos-
its overlying bedrock: and the severity of solutioning
throughout a limestone foundation.
Cases of areal features and hazardous solutioned-lime-
stone impacting on the leakage ol a reservoir are discusscd
in Chapter 24 by L. B. James.
IC INVESTIGATIONS
vere ground shaking and ground displacement. Two earth-
fill dams, San Andreas, 95 ft (29 meters) high. and Upper
Crystal Springs, 85 ft (26 meters) high. were constructed
in the 1870s across the rift valley.r': Fault displacement in
the area was as much as 12 ft (3.7 meters) horizontal as
evidenced by offset roads and fences. Despite having es-
sentially full reservoirs, the two dams survived intact with
minimal leakage. Embankment dama-ee amounted to lon-
gitudinal cracking, as well as transverse abutment cracking
and displacements of as much as 8 ft (2.4 meters). At the
San Andreas Dam. an outlet tunnel was sheared. and the
intake tower and other facilities were destroyed or seri-
ously damaged. The dams were repaired, returned to ser-
vice. and continue to operate. although with some modifi-
cations. Lower Crystal Springs Dam. 145 ft (4.1 meters)
high, constructed in the late 1880s, was one of the first
concrete gravity dams in the Western United States. r': The
dam is located along the edge of the rift zone. but is ori-
ented parallel to the direction of faulting. The structure was
undamaged by the earthquake.
The devastating September 1985 Michoacan-Guerrero
earthquakes, which damaged many buildings in Mexico
City, had a Richter Ma-enitude of 8.1. The two embank-
ment dams with major power plants, Josd Marfa Morelos
(La Villita), 197 ft (60 meten;) high, and El Inliernillo, 479
ft (146 meters) high. locatcd within l5 miles (24 km) and
47 miles (76 km) respectivcly of the cpicenter. suffered
only surficial and cosmetic darrragc. and there was no sig-
nificant damage to the generutine facilities.
Notwithstanding the good record of the dams citcd. a
number of dams, such as those clescribed below, have ex-
perienced tailure or near tailure during eanhquakes.
118 ADVANCED OAM ENGINEERING FOR DESIGN. CONSTRUCTION, AND REHAEILITATION
Sheffield Dam. This dam, a 25 ft (8 meten) high earth-
fill. totally collapsed during the Santa Barbara. California
earthquake of 1925.3 The earthquake had a Richter Mag-
nitude of 6.3, with the epicenter located 7 miles (l I km)
from the dam. The reservoir depth was about 20 ft (6 me-
ters) at the time of the earthquake, and about 45 million
gal. (170,000 mrl of water were released. No loss of life
was attributed to this dam failure.
Lower Van Norman (San Fernando) Dam. This darn,
a 142 ft (43 meten) high hydraulic fill, constructed from
19l5 to 1920, was subjected to the Richter lvlagnitude 6.6
San Femando. California earthquake of February 9, 197 1.
The epicenter was located about 8.5 miles (14 km) from
the dam. The upstream part of the embankment (faced with
concrete) slid into the reservoir.a and a catastrophe of large
proportion rvas narrowly avoided when the downstream
portion of the embankment remained intact with only a few
feet of freeboard. The reservoir contained ab6ut 11,000
acre-feet (14 million mr1 of water at the time of the earth-
quake. About 80,000 inhabitants below the dam had to be
evacuated until the reservoir could be reduced to a safe
I
level.
Upper Van Norman Dam. Located just above Lower
Van Norman Reservoir was the 82 ft (25 meters) high up-
per dam. This upper dam was constructed immediately after
the lower damr by the same methods. The dam experienced
downstream displacement of as much as 5 ft (1.5 meters)
and cracking of the fill, and there was separation of outlet
conduit joints, causing some internal erosion of the em-
bankment. Interestingly, a low earth embankment im-
pounding a small bypass pool within the reservoir com-
plex. constructed by modern compaction methods a few
years before the earthquake, suffered no cracking or dam-
age.
Koyna Dam. This concrete gravity dam. located in In-
dia, is 338 ft (103 meters) high and was constructed in the
period from 1954 to 1963. The South India earthquake.
Richter Magnitude 6.5, of December 11, 1967, occurred
in the vicinity of the dam. Peak acceleration of 0.63 g was
measured at the dam site, where horizontal cracking oc-
curred. appurtenances were damaged, and seepage
throughout the structure increased appreciably.r Repairs to
the dam were required.
Hebgen Dam. A fault scarp having 15 ft (4.6 metcrs) of
vertical displacement was formed during thc Richter Mag-
nitude 7.1 Hebgen Lake, Montana earthquake of August
17, 1959. The scaqp lies within 1200 lt (366 meters) of the
right abutment of the dam. The dam, 123 ft (37.5 nreters)
high, is an embankment type with a central concrete core
wall, which was constructed from l9l I to 1915. Reservoir
seiches topped the dam by a maximum depth of about 3 ft
(l meter) in several oscillations. The upstream and down-
strcam slopcs slumpcd. thc concrete core wall cracked.
there was apprcciable elevation change in the structure, and
the spillway was severely damaged.s Despite this damage
the reservoir was contained. Crustal deformation at Hebgen
Dam is further discussed in this chapter in the section on
subsidence.
Earthquake Effects
Damage can occur to dams from earthquake shaking effects
and/or from displacements along faults in the foundation
or vicinity. Geodetic elevation changes are also considered
part of the fault displacement phenomena.
Shaking. Strong ground motion resulting from earth-
quakes causes phenomena that can damage or cause failure
of a dam. A number of exploratory- methods are used to
identify the potential for occurrence of these phenomena.6
and defensive measures are available lor design of dams to
mitigate the phenomena in earthquake-prone areas.' De-
sign methods are discussed in other chapters of this book.
Some of the common effects caused by shaking are:
Liquefaction Certain saturated cohesionless soils lose
shearing resistance when subjected to the cyclic motion of
an earthquake, and can thereby flow as if in a liquid state
or cause slides. Liquefaction can occur in a foundation.
within the dam itself. in the abutments, or in slopes above
or below the reservoir, provided liquefiable soil conditions
exist.
Sliding. Sliding normally occurs as a result of the loss
of shearing resistance along weak planes or within soils.
Earthquake shaking causes slides in soil and rock, partic-
ularly where the factor of safety against sliding is marginal
in the static state. Slides are often caused by liquefaction.
Cracking. The upper parts of a dam are particularly vul-
nerable to crackin-e during earthquake shaking. Cracks in
a concrete dam are generally not serious, provided the in-
tegrity of the structure is not threatened. Embankment
dams, however. are susceptible to cracking and to separa-
tion at the abutment contacts. Either cracking or separation
poses serious problems. Danr designs must eliminate the
potential for internal erosion or piping due to water passing
through a crack. Earthquake-induced cracks could be a re-
sult of dillerential settlemcnt. fault movemcnt. or tensile
failure of the embankment or foundatisn materiats.
Sciches. Waves with a potential for overtopping a dam
can be gcnerated by earthquakc shaking. Consequently ad-
ditional frceboard or crcst protection may be necessary in
areas of possible sciches. High wavcs gcncrated by sudden
large-scale slidcs into a rcscrvoir present the same prob-
lems and needs tbr similar mitigation measures (discussecl
in Chapter 24, on rese rvoirs).

All of the dams discussed in this section. where failurc
or damage occurred during an eanhquake. suffcrcd from
one or more of the shaking effects described. The Shcffie ld
and Lower Van Norman dams experienced liquetaction and
sliding problems. whereas the others endured sliding.
cracking, or settlement effects.
Foundation Displacement. Faults that are capable of
displacement and traverse a dam's foundation area pose a
special set of problems for the dam designer. Although
construction of dams across active faults is not generally
recommended, in numerous cases dams have been de-
signed and constructed with active or capable faults in the
foundation. Some examples are: the San Andreas and Up-
per Crystal Springs dams, constructed across the San An-
dreas fault near San Francisco, California:E the Cedar
Springs Dam, constructed across an unnamed fault near
Hesperia, Californiar (discussed below in the section on
foundation defects): the Harold Reservsir, constructed
across the San Andreas fault near Palmdale, California:2
and the proposed Auburn Dam, designed for displacement
on branches of the Bear Mountains fault near Auburn, Cal-
ifornia.e Cedar Sprin-es (embankment) and the proposed
Aubum Dam (concrete) are dam designs utilizing the most
modem defensive design methods to mitigate the effects of
foundation displacement and subsequent cracking. Wide
transition zones of selected materials provide protection and
defense against cracking due to distortion of an embank-
ment dam. Such distortion may be caused by fault displace-
ment in the foundation. geodetic elevation changes, or ef-
fects of shaking. The concept of "crack-stopper" filter
gradations is frequently used. This design provides that any
crack that opens will be choked by the adjacent filter zone,
thereby eliminating any internal erosion of the embank-
ment.
The probability of fault displacement occurring in the
foundation and causing cracks in a dam is very remote.
There are no known cases where a fault displacement has
caused destruction or irreparable damage to a dam-sur-
prisingly not even at San Andreas Dam, where the outlet
tunnel was sheared in the 1906 San Francisco earthquake.
In fact, all well-constructed dams, both concrete and em-
bankment types containing cohesive materials, have had
excellent safety records when subjected to the effects of
r0
displacement or shaking during earthquakes.
Faults and the Tectonic Environment
The tectonic setting and the seismicity and history of, fault-
ing govern the extent and method of earthquake analysis
appropriate for a dam at any particular site. The hazard of
earthquakes is well recognized in many parts of the world,
such as along the Pacific Ocean border where 80% of the
world's earthquakes occur. ll Low levels of seismicity
GEOLOGY 119
alonc. however. do not providc assumnce that damaging
eanhquakes cannot occur.'l Unfortunatcly, man's histori-
cal and instrumcntal rccord of seismicity is very shon and
limitcd: furthcrmorc, thc proccsses that produce infrcqucnt
damaging earthquakes in arcas of low scismicity arc not
well undestood. For this reason, it is neccssary to evaluate
the historical geological evcnts. types. and style of fault-
ing. and tcctonic history, in ordcr to make a meaningful
assessment of the earthquake hazard at a dam sitc.
Faults in dam foundations are not unusual. Most are old
bedrock paleo-faults associated with former tectonic envi-
ronments that are no longer active. Such faults, *'hen ad-
equately treated as a special foundation feature. pose no
unusual hazard to a dam. Faults associated with ongoing
tectonic forces, however, require an in-depth examination
and must be evaluated with regard to their potential or ca-
pability as a feature along which earthquake forces can act.
In general. a thorou-eh geological investigation for a dam
site includes a study of the regional/areal seismicity and
faulting history. and it most often contains adequate data
from which to make the earthquake hazard assessment. A
dam site geological investigation (discussed in more detail
in the introduction to this chapter) should include as a min-
imum:
. A literature review of previous geological studies and
acquisition of regionaliareal geological maps. If maps
are not available. reconnaissance mapping by project
personnel should be completed to provide an under-
standing of the regional -eeological setting.
. Acquisition of historical and instrumental seismicity
data.
o Detailed geological mapping of the dam site along
with subsurface exploration by borings. geophysical
methods. test pits. or other techniques. as may be war-
ranted.
o Location and determination of quantities and proper-
ties of alternative sources of construction materials.
Utilizing these studies, the geologist interprets the per-
tinent geolo-eical and tectonic history of the dam site. The
seismicity data and regional/areal and site-specific geolog-
ical maps provide infornration on any faults important to
the project design. The total investigation, including inter-
pretation o[ the subsurfacc cxploration, is used in the as-
sessment of the scisnric conditions to be considcred in de-
sign. The investigation will also indicatc whcther a more
detailcd scislnotectonic invcstigation is requircd for a full
evaluation of thc seisntic conditions. Thc samc general
proccdures for evaluating the scisnric conditions at a new
dam site apply to the evaluation of an existing dant where
thc carthquake hazard is to be reevaluatcd. The investiga-
tions fbr a new embankment danr should include consid-
 12O ADVANCED DAM ENGTNIERING FOR OESIGN, CONSTRUCTION, AND REHABILIIATION
eration of material sources for filtcr zoncs or other spccial
materials, if required to mitigate earthquake cffccts.
Establishing Seismic Conditions and Parameters
Determination of the full range o[ earthquake parumeteni
for design purposes requires a team that includes geolo-
gists, seismologists, engineers, and often other technical
specialists. The geologist is generally responsible for de-
veloping the level of earthquake hazard. and thus provicles
the location and characteristics of capable faul(s) and, often
with input from seismologists. the size of potential govern-
in-e earthquakes for a specific dam site. If displacement of
foundation faults is possible, the geologist also provides
the maximum levels of displacement to be considered in
design. This section deals primarily with the determination
of those parameters. The geologist also should have a
working knowledge of other parameters required for earth-
quake analysis and design, such as attenuation, _Eround mo-
tion, maximum peak bedrock acceleration, spectral con-
tent, and so on, which are discussed in Chapter 5.
Both deterministic and probabilistic procedures are often
used in developing earthquake parameters for a particular
dam site. In the deterministic procedure, maximum earth-
quake magnitudes are estimated for faults, based primarily
on empirical knorvledge and professional judgment. prob-
abilistic methods involve computing the recurrence of given
sizes of earthquakes and selecting a maximum earthquake
magnitude on the basis of an acceptable return period. Both
procedures require the use of professional jud-ement; prob-
abilistic data are rarely sufficient to project recurrence
curves into the area of large maximum earthquake magni-
tudes (M > 7) with any degree of certainty. Probabilistic
methods are useful, however. in the most actively seismic
parts of the world. When seismic data are plentiful, prob-
abilistic procedures can be extended to develop seismic
hazard analyses wherein the annual probability of exceed-
ing specified levels of ground motion at a dam site can be
computed.r3 Such probabilistic studies must utilize models
that are consistent with the geologic and tectonic setting
and with the historical and geologic rates of activity for
faults considered in the study.
Terminology. There is no universally accepted set of
definitions for use in fault and earthquake investigations.
The definitions that follow are used for discussion in this
section.
Active fault: a fault that on thc basis of historical. scis-
mological, or gcological evidcnce has slippcd, or which
shows evidence of movement during the Holoccnc (rnost
recent 10,000 years) and has a high probability of produc-
ing an earthquake.l{
Capable fault: a fault that has exhibited one or more of
the following characteristics: r5
o Movement at or ncar the ground surface at least oncc
in the last 35,000 ycars.
o Macroseismicity (Richter Magnitucle 3.5 or grcarer)
instrumentally detcrmincd wirh records of sulficicnt
precision to dcmonstrate a direcr rclationship with rhe
fault.
. A structural relationship ro a capablc
fault such that
movement on one fault could be expcctcd to cause
movemen! on the other.
Marinum earthquake (ME): the largcst c'arthquakr. rhar
can be reasonably expected to occur along a reco-cnized
fault or within a geognphically defined tcctonic provincc.
(The definition is equivalent ro Maximum Credible Eanh-
quake, MCE, used in thc literature. Use of MCE is poren-
tially misleading and is discouraged.)r6
Controlling mcr.rl.nurm earthquake (CME): A specific
dam site may have several MEs from different sources. and
from these the CME is selected on rhe basis of the mosr
severe vibratory ground motion or foundation displacement
possible at the site under the currently known tectonic
framework. l7'lE
Seismic Zones. Not all dam sites require the same depth
of study for the purpose of selecting seismic design crite-
ria. Once the re-eional/areal geologic and tectonic history
is understood, it is common practice to refer to seismic
zone maps, such as those prepared for the United States.
for general ,quidance on the appropriare minimum seismic
coefficient to use in the dam desi_un.'e.:0 Minimum seismic
coefficients for use in pseudostatic analysis have been ap-
plied to U.S. seismic zones by the U.S. Army Corps of
Engineers, as shown in the tabulation.
Zone Damage Coefficient
0 None 0.0
I Minor 0.05
2 Moderate 0. l0
3 Ivlajor 0. t5
,l Creat 0.10
Pseudostatic methods of analysis. in which the seismic
load is assumed to bc a sustained horizontal force acting
on the dam, were the only design methods available before
the rnid-1960s. Thesc methods are still used by the Soil
Conscrvation Scrvicc, the Corps of Engincers. and some
statcs whcn dynantic rcsponse analyses arc not rcquired.l',
Thc Corps ol Enginccrs would nonnally usc a pseudosratic
nrcthod il a danr sitc lies in Zones 0 or l.lo If a danr site
lics in scisnric zoncs 2.3. or4. a more extensive seisn.ro-
tcctonic evaluation may be warranted. A seisrnotectonic in-
vestigation should idcntify potential earthquakc sources
important to the dam sitc and provide the data base fronr

which seismic design panmeters can be selccted for dy-
namic response analysis if necessary.
Experience and judgment are requircd throughout a seis-
motectonic investigation and in the selection of seismic de-
sign parameters. Figure 4-7 shows the major steps com-
monly used in a geological investigation for seismic desi-en
purposes at a dam site. Many seismotectonic investigations
can be completed on the basis of available data. supple-
mented by limited field studies as appropriate. Some seis-
motectonic investigations. however. require more exten-
sive studies, involving such forms of exploration as:
trenches. for detailed subsurface examination of faults; mi-
croseismic arrays: or geophysical studies, for subsurface
locations and characterization of faults. The more detailed
and exhaustive studies are generally limited to large dams,
but may also apply to small dams rated as high hazard be-
cause of the potential for loss of life or excessive down-
stream damage in the event of failure. Investigators must
be mature, field-experienced personnel able to jud-ee both
the level of investigation required and when data are suf-
ficient to make reasonable decisions on the seismic haz-
ards.
Seismotectonic lnvestigations
The various levels of investigation required depend on the
relationship of the faulting systems to the dam site and on
the criticality of seismic motion and deformation to the
dam. The seismotectonic investigation, as a minimum, in-
cludes the studies discussed below.
Geologic-Tectonic Study. An understanding of the
present tectonic environment of the site for an existing or
proposed dam is essential. as is discussed in the introduc-
tion to this chapter.
The historical and present geology of the site and envi-
rons must also be studied. Locations of all faults. with spe-
cial emphasis on the type of movement (i.e., dip slip,
thrust, strike slip), total length, and age of the last move-
ment, are important features of the study. Although some
of the data required in this phase of study may be available
from previous work, it is frequently necessary to conduct
site-specific geological mapping and other exploration to
acquire the geological evidence relevant to fault length and
movements. Evidence that suggests young movement on
faults may include: geomorphic landforms characteristic of
capable or active faults: structural features of stratigraphy
that imply faulting and possible relative ages o[ displace-
ment; and offset of young stratigraphic sequcnces. Soil-
stratigraphic techniques are finding increasing importancc
in bracketing the age of last movement on faults: however,
appropriate stratigraphic units must be available for quan-
titative assessments. Appropriate soils, when formed on
multiple terrace levels, may be datable directly by radio-
GEOTOGY 't21
metric assay or indirectly by association with rcgional
changes in climate. sea lcvel. and lanrlscape stability.:l
At this stagc of site-specific investigation, somc typcs of
subsurface exploration. measurcments. or instrumcntation
may be ncccssary to evaluatc the eanhquake history. ca-
pability. or activity of a fault. Test trenches across sus-
pected or known fault traces have bcen the most common
and direct method of measuring fault offsets, appraising the
age of last movement. estimating recurrence intervals based
on the geological record, and assessing the capabilit;- or
activity of a fault. Careful cleaning and preparation of
trench walls for mapping is required. and interpretation re-
quires geologists experienced in the interpretation of Qua-
ternary soil-stratigraphy. Frequently multiple and conffict-
ing interpretations are made of the geological features ex-
posed in trenches because the evidence for apparent move-
ment is often complex and subject to several interpretations.
Test trenches are useful only when vital information is
missing. and there is a reasonable opportunity for a trench
to expose the missing data.
Other types of subsurface explorations, less often used,
include core borings and geophysical methods. Both tech-
niques have limited usefulness and should be considered
only after careful evaluation of the specific information re-
quired.
Surveys that measure geodetic strain are useful in eval-
uating recurrence intervals: however. such surveys require
long periods of repetitive measurements for a trend to be
established. Where long-established level lines have been
repeatedly surveyed across suspected faults, or where tri-
angular networks cross faults. the data should be analyzed.
Establishin-e a
-eeodetic survey for short-term measurr-
ments is not likely to yield useful information.
Establishing arrays of seismographs to measure micro-
seismic activity along a fault involves more sophistication
and expense than are appropriate for most seismotectonic
investigations. Such studies, when justified, must be care-
fully planned by seismologists to yield useful information.
Of particular use in geological studies are various types
of imagery and aerial photography,l: as discussed earlier
in this chapter (under "Regional-Areal Geoscience Inves-
tigation"). Trained and experienced photogeologic inter-
preters can produce areal or site-specific maps from office
studies that include general geological structure, linea-
ments, and faults. Fault length can be delineated. and Qua-
ternary or surficial geological maps can be prepared, show-
ing thc distribution and location of terrace levels andlor
young sedirnents that could be usclul in bracketing the age
of last movcmcnt on faults. Photogcologic maps do rcquire
field checking. chicfly for thc purposcs of adding cssential
data and vcrifying the accuracy of the photogeologic inter-
prctation.
A large assortment of imagery ancl aerial photography is
availablc in various scales, including: side-looking-air-
 PHASE I
B.gional/Ar.., Studica For Conc.pturl D.aign
IrEtudas Evrlurtion Ol
.. Erlsting O!t..Work.Grologic Mspping
.. RggionauArrll Geologic F lmcworl
. Photogmlogic Srudie!
. Roconna6lancc Gcologic.l Flcld Megping
. Toclonic History
. Histo,ic.t Gcotogy
. Principal Roaks,/Soit3.Proportica
. Known Fault Loceliong
.. Regionsl Soismic History
. Principal Eysnts
. Ieclonic Province
.. Ground Water Segims
.. Geodstic Slrain Nelwo.ks.Relevoling Sumys
I
Prograssive fisnsition

PHASE II
Sito-Spocilic P16liminary Oesign
-lncludo3
.. Sile-Sp€cilic G60logical Mapping
.. Subsurlaco Exploralions
.. Construction Mat6risls Studi€s

Faults or Provinc6
ldenlilied As
Capable Or ActiYs?

Conducl
.. Delailsd Photogeologic Sludi€s
. Localion E L€ngth ot Faulls
. Localion ol Young Geologic./Soils Features
.. Geologic Mapping
. Utilize Soil-Straligraphic Tochniqu6s

Usa Subsurlacs Techniqu6s

As Neces3ary
.. Tr€nching
.. Eorings
.. Tesl Pils
.. Geophysical Methods
.. Seismic Arrsys

Obtsin Samplss/lesl3 ol
Age Oalablo Malerials

Compare RegionsUAresl A
Sita-Sp.cilic Strcrr Regima

Solccl Maximum Earlhqu6ko

For Each
Faull or Provlnco

Fig. 4-7. Major srcps in a darn site gcological seisnlotcctonic invcstiqation for seismic design purposes.

122

borne radar (SLAR): Earth Resources Technology Satellite
(ERTS): and conventional black and white , color. low sun
angle, infrared. and infrared-color. Various types of im-
agery are discussed in introductory sections ofthis chapter.
An assortment of the various types and scales of imagery
and aerial photography should be used in the delineation
and determination of the character of faults.
Seismologic Study. An important part of seismotec-
tonic investigation is the collection of pre- and post-instru-
mental earthquake records for the tectonic province and any
other areas of potential seismic source that might control
the CME. Although the seismic record provides valuable
input to the investigation and also provides most of the basic
data for probabilistic studies, one should be careful of the
potential for incompleteness and unreliability of the data
base. Deficiencies may include: a short seismic record
(about 200 years for the United States); lack of population
to record pre-instrumental eanhquakes: and wide spacing
of seismographs worldwide, resulting in poor locations and
focal depths of recorded earthquakes. The longest histori-
cal earthquake record extends back almost 3000 years in
China. These old records provide evidence that seismic ac-
tivity along active faults is not necessarily uniform in space
and time. The inegularities revealed emphasize the fallacy
of attempting to predict future seismicity on the basis of
the record alone, particularly if the record is short.ll
Reservoir-lnduced Seismicity (RlSl. Seismotectonic
investigations for large reservoirs should consider and
evaluate potential for, and if necessary, the effects of RIS,
as discussed in Chapter 24. The causes and mechanisms
that trigger the earthquakes are not well understood.ll
Seismic Sources. Potential seismic sources are identi-
fied from the regional/areal geologic and seismologic stud-
ies. Capable .and active faults are delineated with respect
to their closest approach to the dam site. Generally, clas-
sification of faults as capable or active is an oversimplifi-
cation because of the varying degrees of activity.2a Pro-
vided there are adequate seismologic and geologic data,
recurence relationships for various levels of earthquake
magnitude should be computed. The recurrence curyes are
useful even if a deterministic procedure is used for assign-
ing a maximum earthquake and other design earthquake
levels for each fault.
Although earthquake epicenters can occur anywhcre
along a fault, the geologic-seismic analysis may revcal
certain reaches where rupture is much more likely than
along other reaches of the same fault. Fault rupture can
occur over long distances in either direction from an epi-
center with appreciable levels of energy release. Conse-
quently, in the event of a large earthquake along a fault,
GEOLOGY 123
rupturc and release of encrgy could bc as close to a dam
site as the shortcst distance to the fault. Hcnce. the shoncst
distancc from a dam site to a lault is thc acceptcd distance
for determining ground motion paramctcrs.
Occasionally, sites are located in arcas where surface
faulting is not evident. yet there is a record of seismic
events. The geologic-seismologic studies should identity
these sites. This condition (historical seismicity in the ab-
sence of surface faulting) gives rise to the concept of the
"lloating" earthquake: such events are presumed to be
possible at any location within the tectonic province. It is.
however, unreasonably conservative to assume that a
"floating" earthquake will occur directly beneath a dam
site in the absence of other evidence. It is more reasonable
and probable to assume that such an earthquake could oc-
cur within a short distance of a dam site. A distance of 6
miles ( l0 km) from the earthquake source to a dam site has
been used in some studies for selecting seismic design pa-
rameters. Each tectonic province has its own characteris-
tics, and the selection of a "floating" earthquake location
with respect to a dam site must be based on all of the data
regarding the project, dam site, and seismotectonic studies.
Earthquake Magnitude and Displacement. The de-
terministic procedure for selection of the Maximum Earth-
quake for faults identified as active or capable involves the
integration and interpretation of data from the geologic-
seismologic studies. Several procedures are used to select
appropriate eanhquake values,l-t'ls the most common of
them based on empirical correlations between size of earth-
quake and fault length rupture or fault displacement tbl-
lowing the earthquake. Worldwide data have been used to
construct correlations between these key fault features.:6
Additional procedures for selecting a Maximunt Earth-
quake magnitude include:
o The relationship between fault length and fault width
based on aftershock studies.
o The relationship between magnitude and slip rate.
o The calculation of magnitude from seismic move-
ment.
o Estimation of the magnitude based on assessing seis-
mic event parameters from other faults having simi-
larities to the faults being investigated.
Each method rcquires different typcs of data. both geo-
logic and seismologic. Bccausc various dcgrees of uncer-
tainty and limitation persist in the available data. final as-
sessmcnt of thc magnituclc is subjcct to judgment based on:
a total undcrstanding of the spccific faultl the tectonic en-
vironment: relationship to other faults; and regional and
local seismicity.
Where fault displacement through a dam site is an issue.
 124 ADVANCED OAM ENGINEERING FOR DESIGN, CONSTRUCTION, AND REHABILITATION
the quantitative sclection of reasonable maximum valucsof
displacement is subject to even more judgment. During
studies tbr Auburn Dam in California, the estimate lor po-
tential foundation displacement along an exposed fault var-
ied from I in. to 3 ft (2.5 cm to I mcter) ber'*,een federal
and state geological agencies and boards of consultants,
despite the involvcnrent ol some of the most respected and
best qualified specialists in the world. The most conrplete
data base for evaluation of tault displaccment is one com-
piled for the relationship between worldwide records of
ma-gnitude versus displacement.:6'17 In utilizing these data.
the investigator ntust consider the tectonic environment,
the local stress condition, and the relationship of the foun-
dation laults to other known capable or active faults in the
LAND SUBSIDENCE
LAURExcE B. J,rMr,s
lntroduction
Although only a few dam failures have been attributed to
subsidence. many other structures have been seriously
damaged by it. Furthermore, as human activities that cause
subsidence proliferate. new re_qions are continuatly being
affected. Also, nrany of the most favorable locations for
dams have been occupied. so that attention now focuses on
less attractive prospects. including in some instances sites
u'here the probiem of subsidence could become substantial.
For these reasons it is incumbent on engineering ,eeologists
and civil engineers to include in their investigations an as-
sessment of the potential tbr subsidence. not only under
presently existing site conditions but also in view of situ-
ations that conceivably could arise in the future.
This section presents a brief revierv of five causes of sub-
sidence. The review of each of these causes includes dis-
cussions of requisite conditions. both gcological and those
imposed by man: visible effects. such as surface manifes-
tations and damage to structures and other facilities: nte-
chanics oI subsidence processes: detection and nronitoring
procedurcs: and preventive measurcs. The objcctive is to
familiarizc engineers concerned with planning. design, and
maintcnance of dams with subsidcncc-rclarcd problcnts and
providc rcfcrcnces to sclected docunrcnts whosc dctail gocs
beyond the scope of this tcxt.
Causes of Subsidence. Lancl subsidcnce ancl consc-
quent failure of tacilities and structurcs nray result fronr ( l)
withclrawal of fluids from the earth: (2) hydrocompaction,
Conclusions
Fault investigations for darn studics conrinuc to bc. an
cvolvinq tcchnology subjcct to ncw scicntific der.clop-
nlents and considerublc judgnrcnt. Eve.ry dam sitc docs not
rcquire the same lcvel of lauk investigarion] a u,cll planncd
and executed gcologic investigation tbr most dam sites rvill
provide the data requir.-d for the seismic asscssment and
will identify those sites r.r'herein morc ex(ensivc seismorcc-
tonic investi_eations are rcquircd. Figure -l-7 pr,-scnts a sinr-
plified flow chart depicting major srcps in scolosic-scis-
motectonic investigations tbr seismic design purposes at
the dam site. Experienced inl'estigatoni can detemrinc the
appropriate level of studics for the morc cornprehensive in-
vestigations.
that is. the failure of cenain lorv-density soils upon $'et-
ting: (3) collapse or deformation of subsurlace cavities: (:1)
consolidation of or,eanic soils: and (5) tectonic warpine of,
the earth's crust. Subsidence may also occur as a result of
the collapse of cavities created by piping. the internal ero-
sion of sedimentary deposits or embankments by ground-
water florv. However. pipin_e is discussed in other chapters
of this book and is not considered further in this section.
Subsidence Due to Withdrawal of Fluids
Requisite Conditions. Re_eions that overlie porous,
sedimentary deposits containing groundrvater. petroleurn.
or geotherrnal fluids may experience varying degrees of
subsidence w'hen these fluids are exploited.
Effects. Subsidence induced by withdraw.al of fluids
usually appears as a dish-shaped depression. which con-
forms in rough outline to the pattern of pumping within the
well field. Vertical displacement predominates although
horizontal strains are also created, occasionally rcsulting in
thc devclopmcnt of surficial tension cracks. Such cracks
are usually most cvidcnt ncar the pcriphcry of the subsid-
cncc borvl.
In the Unitcd States. thc renroval of groundwater. oil,
gas, and gcothcnnal fluicls has causcd subsidence in at lcast
37 ol thc 50 states, aflccting an area of nrore than 15.000
sq milcs (38,800 km2;.r Signif icant subsidence due to
groundwater withdrawal has occurred in 42 locations