nEW

New York State

DEC

Division of Water

Guidelines
for
Design of Dams

January 1985
Revised January 1989

New York State Department of Environmental Conservation

George E. Pataki, Governor John P. Cahill, Commissioner

 GUIDELINES FOR
DESIGN OF DAMS

NEW YORK STATE

DEPARTMENT OF ENVIRONMENTAL CONSERVATION

DIVISION OF WATER

BUREAU OF FLOOD PROTECTION

DAM SAFETY SECTION

50 WOLF ROAD

ALBANY, NEW YORK 12233-3507

 GUIDELINES FOR DESIGN OF DAMS

TABLE OF CONTENTS

SECTION TITLE PAGE

Preface to the January 1

1989 Edition

1 Introduction 2

2 Definitions 3

3 Hazard Classification 5

4 Design and Construction Documents 5

5 Hydrologic Criteria 7

6 Hydraulics of Spillways 10

6A Flashboard Policy 12

7 Outlet Works and Conduits 15

8 Geotechnical Investigations 16

9 Earth Dams 18

10 Structural Stability Criteria for 21

Gravity Dams

11 Existing Dams: Rehabilitation and 25

Modification

12 Cofferdams 26

13 Miscellaneous 27

14 Emergency Action Plan 27

15 Approval to Fill Reservoir 28

16 References 29

17 DEC - Regional Directory 31

PREFACE TO THE JANUARY 1988 EDITION

The January 1988 revision involves:

Page Item

2 Introduction

4 Corrected definition for the Service Spillway

Design Flood (SSDF)

6 Construction Inspection

11 Insertion of Section 6A, Flashboard Policy

14 Filter and drainage diaphragm replacing antiseep

collars for pipe conduits

19 Vegetation Control

22 Insertion of Loading Condition 3A

25 Cofferdams

28 The addition of references 3, 4, 5 and 6

PREFACE TO THE JANUARY 1989 EDITION

The January 1989 revision involves:

Page Item

7 Hydrology Investigations

7 Existing Dams - Service Spillway

Design Flood Criteria
1.0 INTRODUCTION

1.1 General

The Department of Environmental Conservation receives many

requests for detailed information about designs for dams
requiring a permit under Article 15, Section 0503 of the
Environmental Conservation law. This brochure has been developed
by the department for the general guidance of design engineers.

These guidelines represent professional judgment of the Dam

Safety Section's staff engineers. The guidelines convey sound
engineering practices in an average situation. Where unusual
conditions exist and the guidelines are not applicable, it is the
duty of the design engineer to notify the department which will
then consider deviation from the guidelines.

Since these are only general guidelines for small dam

construction in an average situation, compliance will not
necessarily result in approval of the application. The
determination by the department of the acceptability of the
design and adequacy of the plans and specifications will be made
on a case-by-case basis. The primary responsibility of proper
dam design shall continue to be that of the applicant.

In the administration of this law, the department is concerned

with the protection of both the health, safety and welfare of the
people and the conservation and protection of the natural
resources of the State. (See Reference 1 and 2).

Water stored behind a dam represents potential energy which can

create a hazard to life and property located downstream of the
dam. At all times the risks associated with the storage of water
must be minimized. This document deals with the engineering
guidelines for the proper design of a dam. In order for a dam to
safely fulfill its intended function, the dam must also be
constructed, operated and maintained properly.

Supervision of construction or reconstruction of the dam by a

licensed professional engineer is required to insure that the dam will
be built according to the approved plans. See Article 15-0503, Item 5 of
the New York State, Environmental Conservation Law (Reference 1).

For the proper operation and maintenance of a dam, see "An Owners
Guidance Manual for the Inspection and Maintenance of Dams in New York
State" (Reference 6).

1.2 Application

A permit is required if the dam:

is at least 10 feet high or

stores 1 million gallons (3.07 acre feet) or

has a drainage area of 1 square mile.

Waste surface impoundments which are large enough to meet the above
mentioned criteria shall not require an Article 15 dam permit. Hazardous
waste surface impoundments will continue to be regulated by the Bureau
of Hazardous Waste Technology, Division of Hazardous Substances

2
 Regulation of the Department of Environmental Conservation, under
6NYCRR-Part 373, Hazardous Waste Management Regulation. Surface
impoundments which are part of an approved waste water treatment process
will be regulated within a SPDES permit issued by the Division of Water.

1.3 Application Forms

Applications, including the Supplement D-1 (hydrological, hydraulic and

soils information), can be obtained from and should be submitted to the
Regional Permit Administrator. The addresses of the Regional Permit
Administrators are shown on page 31. Detailed information on application
procedures is contained in the Uniform Procedures Regulations, Part 621.

Information on all pertinent items should be given. Construction plans

and specifications should be prepared in sufficient detail to enable
review engineers to determine if the proposed design and construction is
in compliance with department guidelines. Thorough engineering review
will be given each application. The time for this review and any
additional time if revisions are necessary should be a consideration in
each application.

2.0 DEFINITIONS

Appurtenant works are structures or materials built and

maintained in connection with dams. These can be spillways,
low-level outlet works and conduits.

Auxiliary spillway is a secondary spillway designed to operate

only during large floods.

Cofferdam is a temporary structure enclosing all or part of the

construction area so that construction can proceed in the dry.

Conduit is an enclosed channel used to convey flows through or under a

dam.

Dam is any artificial barrier and its appurtenant works

constructed for the purpose of holding water or any other fluid.

Department is the Department of Environmental Conservation (DEC).

Detention/Retention Basin is any structure that functions as a dam.

Earth Dam is made by compacting excavated earth obtained from a borrow

area.

Energy Dissipator is a structure constructed in a waterway which reduces

the energy of fast-flowing water.

3
Flood Routing is the computation which is used to evaluate the
interrelated effects of the inflow hydrograph, reservoir storage and
spillway discharge from the reservoir.

Freeboard is the vertical distance between the design high water level
and the top of the dam.

Gravity Dam is constructed of concrete and/or masonry and/or laid-up

stone that relies upon its weight for stability.

Height is the vertical dimension from the downstream toe of the dam at
its lowest point to the top of the dam.

Low-Level Outlet is an opening at a low level used to drain or lower the

water.

Major Size Dam is at least 25 feet high and holds at least 15 acre feet
of water or is at least 6 feet high and holds at least 50 acre feet of
water.

Maximum Impoundment Capacity is the volume of water held when the water
surface is at the top of the dam.

Probable Maximum Flood (PMF) is the flood that can be expected from the
severest combination of critical meteorologic and hydrologic conditions
possible for the particular region. It is the flow resulting from the
PMP.

Probable Maximum Precipitation (PMP) is the maximum amount of

precipitation that can be expected over a drainage basin.

Seepage Collar is built around the outside of a pipe or conduit under an

embankment dam to lengthen the seepage path along the outer surface of
the conduit.

Service Spillway is the principal or first-used spillway during flood

flows.

Service Spillway Design Flood(SSDF) is the flow discharged through the

service spillway.

Spillway is a structure which discharges flows.

Spillway Design Flood(SDF) is the largest flow that a given project is

designed to pass safely.

Toe of Dam is the junction of the downstream face of a dam and the
natural ground surface, also referred to as downstream toe. For an earth
dam the junction of the upstream face with the ground surface is called
the upstream toe.

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3.0 HAZARD CLASSIFICATION

3.1 General

The height of the dam, its maximum impoundment capacity, the physical
characteristics of the dam site and the location of downstream
facilities should be assessed to determine the appropriate hazard
classification. Applications should include the design engineer's
description of downstream conditions and his judgment of potential
downstream hazards presented in the form of a letter designation and a
written description.

3.2 Letter Designation

Class "A": dam failure will damage nothing more than isolated farm
buildings, undeveloped lands or township or country roads.

Class "B": dam failure can damage homes, main highways, minor railroads,
or interrupt use or service of relatively important public utilities.

Class "C": dam failure can cause loss of life, serious damage to homes,
industrial or commercial buildings, important public utilities, main
highways, and railroads.

3.3 Written Description

The written description is an elaboration of the letter designation. It

includes descriptions of the effect upon human life, residences,
buildings, roads and highways, utilities and other facilities if the dam
should fail.

4.0 DESIGN AND CONSTRUCTION DOCUMENTS

4.1 Engineer Qualifications

The design, preparation of construction plans, estimates and

specifications and supervision of the construction, reconstruction or
repair of all structures must be done under the direction of a
professional engineer licensed to practice in New York State. (See
References 1 and 7).

4.2 Design Report

A design report, submitted with the application, should include an

evaluation of the foundation conditions, the hydrologic and hydraulic
design and a structural stability analysis of the dam. The report should
include calculations and be sufficiently detailed to accurately define
the final design and proposed work as represented on the construction
plans. Any deviations from the guidelines should be fully explained.

5
4.3 Construction Plans

Construction plans should be sufficiently detailed for department

evaluation of the safety aspects of the dam. The cover sheet should
include a vicinity map showing the location of the dam. The size of the
plans should be not less than 18 x 24 inches and no more than 30 x 48
inches. As-built plans of the project are required upon completion of
construction.

4.4 Construction Inspection

The dam's performance will largely be controlled by the care and

thoroughness exercised during its construction. Undisclosed subsurface
conditions way be encountered which may materially affect the design of
the dam. To ensure a safe design, the designer must be able to confirm
design assumptions and revise the dam design if unanticipated conditions
are encountered. Construction inspection is required in order to ensure
that the construction work complies with the plans mid specifications
and meets standards of good workmanship. Therefore, construction
inspection of a dam is required by a licensed professional engineer to
monitor and evaluate conditions as they are disclosed and to observe
material placement and workmanship as construction progresses.

The engineer involved in the construction of the dam work will be

required to submit a periodic construction report to the Department
covering the critical inspection activities for the dam's
construction/reconstruction. Prior to permit issuance the applicant
shall submit, for review and approval, a proposed schedule of
construction inspection activities to be performed by the applicant's
engineer. Upon permit issuance, the approved schedule shall be part of
the required work.

4.5 Specifications

Materials specifications will be required for items incorporated in the

dam project. Materials specifications including format found acceptable
are those issued by the following agencies and organizations.

State: New York State Department of Transportation

Federal: COE - Corps of Engineers

SCS - Soil Conservation Service

Industry: ASTM - American Society for Testing and Materials

ACI - American Concrete Institute
AWWA - American Water Works Association
CSI - Construction Specifications Institute

6
5.0 HYDROLOGIC CRITERIA

5.1 Hydrologic Design Criteria

A table of hydrologic design criteria giving the spillway design flood,

the service spillway design flood and minimum freeboards for various
hazard classifications can be found in Table 1.

5.2 Design Flood

The National Weather Service has published data for estimating

hypothetical storms ranging from the frequency-based storm to the
Probable Maximum Precipitation event. For the frequency-based storms
Technical Paper TP-40 (Ref 17) and TP-49 (Ref 18) will be used to
determine rainfall. For the Probable Maximum Precipitation event,
Hydrometeorological Report HMR-51 (Ref 16) will be used.

When using the above mentioned TP's and HMR's, the minimum storm
duration will be six hours. For large drainage areas in which the time
of concentration exceeds six hours, the precipitation amounts must be
increased by the applicable duration adjustment.

The Soil Conservation Service (SCS) has developed Technical Release 55

(TR-55) "Urban Hydrology for Small Watersheds". TR-55 presents
simplified procedures for estimating runoff and peak discharge and is an
acceptable procedure for designing spillways for small watersheds. In
developing TR-55 the SCS uses a storm period of 24 hours for the
synthetic rainfall distribution.

Although the "rational method" (Q=CIA) is used for estimating design

flows for storm drains and road culverts, it normally is not an
acceptable method for determining peak discharge for the design of a dam
spillway. The rational method should not be used for watershed areas
larger than 200 acres because of its inaccuracy above that range. The
greatest weakness of the "rational method" for predicting peak
discharges lies in the difficulty of estimating the duration of storms
that will produce peak flow. The greatest probability for error, both as
to magnitude and understanding relates to the term "intensity" or "rate
of rainfall". Although the units are inches per hour, the term does not
mean the total inches of rain falling in a period of one hour.
"Intensity" should be related to the time of concentration.
"Intensities" would be higher for storms of short duration and would be
lower for storms of longer duration.

Table I indicates that the appropriate Spillway Design Flood will be a

percentage of the 100 year flood or the PMF. Therefore, in order to
correctly determine the peak flow, the rainfall values used will be for
the 100 year flood or the PMF and the appropriate peak discharge will be
computed. After the peak discharge has been found, this value will then
be multiplied by the appropriate percentages. For example a small dam in
the Class "B" hazard category will have the discharge based on the

7
 rainfall from a 100 year flood and this discharge will then be
multiplied by 2.25 to obtain the peak discharge. The percentages should
be applied to the discharge vllues in the final step of the
calculations. It is incorrect to apply the percentages to the rainfall
values.

5.3 Existing Dams - Design Flood

Existing dams that are being rehabilitated should have adequate spillway
capacity to pass the following floods without overtopping:

Hazard Classification Spillway Design Flood (SDF)

A 100 year
B 150% of 100 year
C 50% of PMF

The Service Spillway Design Flood (SSDF) for existing dams is the same
as shown for the new dams on Table 1.

8
 TABLE 1 - NEW DAMS

HYDROLOGIC DESIGN CRITERIA TABLE

SPILLWAY SERVICE SPILLWAY MINIMUM

HAZARD DESIGN FLOOD DESIGN FLOOD FREEBOARD
CLASSIFICATION SIZE DAM (SDF) (SSDF) (FT.)

"A” *SMALL 100 year 5 year 1

"A” *LARGE 150% of 100 yr. 10 year 2

"B" SMALL 225% of 100 yr. 25 year 1

"B" LARGE 40% of PMF 50 year 2

"C" SMALL 50% of PMF 25 year 1

"C" LARGE PMF 100 year 2

*SMALL

Height of dam less than 40 feet. Storage at normal water surface less than 1000 acre feet.

*LARGE

Height at dam equal to or greater than 40 feet. Storage at normal water surface equal to or greater than 1000 acre
feet.

NOTE:

Size classification will be determined by either storage or height, whichever gives the larger size category.

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6.0 HYDRAULICS OF SPILLWAYS

6.1 Spillways

Spillways protect the dam from overtopping. Consideration must be given

to dams and reservoirs upstream of the dam in question when designing
the spillway. A dam should be provided with either a single spillway or
a service spillway-auxiliary spillway combination.

6.2 Single Spillway

For a single spillway, the structure should have the capacity and the
durability to handle sustained flows as well as extreme floods and be
non-erodible and of a permanent-type construction. Free overall
spillways, ogee spillways, drop inlet or morning glory spillways, and
chute spillways are common types. An earth or grass-lined spillway is
not durable under sustained flow and should not be used as a single
spillway.

6.3 Criteria for a single spillway are as follows:

6.3.1 Sufficient spillway capacity should be provided to safely pass

the spillway design flood with flood routing through the reservoir.
(See Table 1 for spillway design flood).

6.3.2 Assuming no inflow, the spillway should have sufficient discharge

capacity to evacuate 75% of the storage between the maximum design
high water and the spillway crest within 48 hours.

6.3.3 The spillway will have an energy dissipater at its terminus.

6.3.4 A drop inlet or morning glory spillway, as a single spillway, is only

acceptable on a Hazard Class "A" structure with a drainage area of
less than 50 acres. In this case, sufficient storage capacity should
be provided between the spillway crest and top of dam to contain 150%
of the entire spillway design flood runoff volume.

6.4 Service Spillway - Auxiliary Spillway Combination:

In the case of the service spillway - auxiliary spillway combination,
the service spillway discharges normal flows and the more frequent
floods, while the auxiliary spillway functions only during extreme
floods.

Service spillways must be durable under conditions of sustained flows;

whereas auxiliary spillways do not. Service spillways should have
sufficient capacity to pass frequent floods and thus reduce the
frequency of use of the auxiliary spillway. The service spillway usually
does not have sufficient capacity to pass the entire spillway design
flood. Drop inlet or morning glory spillways are common types of service
spillways. This type of structure will consist of a vertical inlet riser
connected to a service spillway conduit with an energy

10
 dissipator at the outlet. An auxiliary spillway is capable of handling
high but short duration flows. It may be an excavated grass-lined
channel if the designer is able to limit velocities to the non-erodible
range for grass. It cannot carry prolonged flows because of eventual
deterioration of the grass linings. For spillways which will be
required to discharge flows at a high velocity, a more permanent type
of material such as concrete will be required. An auxiliary spillway
may be located adjacent to a dam abutment or anywhere around the rim of
the reservoir. It should be located sufficiently apart from the dam to
prevent erosion of any embankment materials. A spillway over the dam
is not acceptable. It may either discharge back into the natural
watercourse below the dam, or so long as a flood hazard is not created,
into a watercourse within an adjacent drainage basin.

6.5 Criteria for an auxiliary spillway-service spillway combination are as

follows:

6.5.1 Sufficient service spillway capacity should be provided to safely pass

the service spillway design flood with flood routing through the
reservoir. (See Table 1 for service spillway design flood).

6.5.2 The service spillway normally should be provided with an energy

dissipater at its outlet end.

6.5.3 The auxiliary spillway crest must be placed at or above the service
spillway design high water, and not less than 1 foot above the service
spillway crest.

6.5.4 The auxiliary spillway-service spillway combination must provide

sufficient discharge capacity to safely pass the spillway design flood
with flood routing through the reservoir (See Table 1 for spillway
design flood).

6.5.5 Assuming no inflow, the auxiliary spillway-service spillway

combination should have sufficient capacity to evacuate the storage
between the maximum design high water and the auxiliary spillway crest
within 12 hours.

6.5.6 Assuming no inflow, the service spillway should have sufficient

capacity to evacuate 75% of the storage between the auxiliary spillway
crest and the service spillway crest within 7 days.

6.5.7 Auxiliary spillways shall not be placed on fill.

6.5.8 Velocities in auxiliary spillways should not exceed the maximum

permissible velocities (non-erodible velocities) of the spillway
materials.

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6.5.9 If an auxiliary spillway is located near an embankment,it should be
located so as not to endanger the stability of the embankment. The
following criteria will help guard against damage to the embankment:

a. Discharge leaving the exit channel should be directed away from the
embankment and should be returned to a natural watercourse far enough
downstream as to have no erosive effect on the embankment toe.

b. The spillway exit channel, from the spillway crest to a section

beyond the downstream toe of dam, should be uniform in cross-section,
contain no bends, and be longitudinally perpendicular to the spillway
crest. Curvature may be introduced below the toe of dam if it is certain
that the flowing water will not impinge on the toe of dam.

6.0 A FLASHBOARD POLICY

Background

Flashboards are used to raise the water surface of an impoundment.

However, the installation of flashboards along the crest of a spillway
may permanently reduce the size of the spillway opening. Our records
indicate that in some instances the reduction of spillway capacity with
the installation of flashboards has resulted in overtopping and
subsequent dam failure. Two examples are the Tillson Lake Dam (#1942420)
in Ulster County and the Lake Algonquin Dam (#171-2700) in Hamilton
County.

In 1939 flashboards were placed across the spillway of the 40 foot high
Tillson Lake Dam in such a manner as to greatly reduce the spillway
opening. Storm flow caused dam overtopping which eroded the earth slope
in front of the 100 foot wide, 30 foot high concrete core wall. Failure
of the core wall resulted in a tremendous amount of erosion to farm
land, loss of farm machinery, chickens, several local bridges and
basement flooding. The dam was rebuilt and failed in 1955 because
flashboards were again in place and did not fail during storm flow.

In 1949 the Lake Algonquin Dam failed because flashboards were not
removed for the winter. A January storm caused overtopping and
subsequent dam failure at the right abutment. The dam failure resulted
in the loss of a home, several farm buildings and a road.

When wood flashboards are installed properly they will be

12
supported by steel pins. These steel pins will be designed to fail when
the depth of flow over the top of the flashboards reaches a certain
level. Critical to the design of the flashboard system are the diameter
of the steel pin, the ultimate strength of the steel and the spacing of
the pins. In very few cases is the Consulting Engineer or Contractor who
designed the flashboards able to provide sufficient quality control to
ascertain that the as-built condition is similar to the design proposal.

Many field maintenance personnel do not understand the need for

flashboards to fail when the depth of flow over the flashboards reaches
a certain level. Therefore, there is a tendency to insert the
flashboards in such a manner so that they will never fail, thus
permanently reducing spillway capacity and increasing the possibility of
dam failure by overtopping. This is what nearly happened at the Gore
Mountain Dam at North Creek. During the period of 1977-1980 DEC
operations personnel installed wide flange beams to support the wood
flashboards. The approved design for the flashboard supports were one
inch diameter steel pins. However, operations personnel decided they
would have less maintenance problems if they permanently secured the
wood flashboards between the six inch wide flange beams. Under this
support the flashboards would never fail.

Around February 15, 1981 a sudden thaw and rain caused the water level
at Gore Mountain Dam to rise within eight inches of the top of dam. This
level was about two feet, four inches over the top of the flashboards.
The extra sturdy wide flange beam support system precluded any chance of
flashboard failure. Fortunately this abnormally high level was reported
to the DEC by a local resident while he was snowmobiling. During the
fall of 1981, DEC revised the flashboard support system so that the
flashboards were properly supported by one inch diameter steel pins and
the steel pins would fail in bending when the depth of flow over the top
of the flashboards reached one foot.

For the foregoing reasons the Dam Safety Section has developed the
following policy regarding the installation of flashboards on dams.

New Dams

Flashboards shall not be installed on any new dams. The dam owner or
hydroelectric developer shall determine the normal pool elevation for
the proposed impoundment and provide a permanently fixed spillway crest
at the selected elevation. If pool elevation fluctuations are desired,
they should be achieved by means of adequately sized gates, drains,
siphons or other acceptable methods.

13
Existing Dams

A permanently fixed spillway crest is the preferred method of

establishing normal pool elevation.

The installation or continued use of flashboards on existing dams will

be considered on a case by case basis. Flashboards on existing dams will
only be acceptable if the dam is able to satisfy the hydraulic and
structural stability criteria contained in the Guidelines for Design of
Dams. If the flashboards are designed to fail in order to satisfy either
criterion, detailed failure calculations must be submitted for
Department review and approval. The maximum pool elevation the
flashboards are designed to fail at shall be the lower of:

1. Two times the height of the flashboards measured from the bottom of
the flashboards, or

2. Two times the freeboard specified in Table 1 of these Guidelines,

for a dam of the pertinent size and hazard classification, measured
downward from the top of dam.

The maximum pool elevation that would be reached under Spillway Design
Flood conditions, without the flashboards failing, shall also be
determined.

Flashboards shall be installed, operated and maintained as intended in

their design and in accordance with the terms and/or conditions of any
permits or approvals. The approved flashboard configuration (pin
spacing, pin size, board height, board size, etc.) shall not be modified
without prior Department approval.

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7.0 OUTLET WORKS AND CONDUITS

7.1 Outlet Works

A low-level outlet conduit or drain is required for emptying or lowering

the water in case of emergency; for inspection and maintenance of the
dam, reservoir, and appurtenances; and for releasing waters to meet
downstream water requirements. The outlet conduit may be an independent
pipe or it may be connected to the service spillway conduit. The low
level drain is required to have sufficient capacity to discharge 90% of
the storage below the lowest spillway crest within 14 days, assuming no
inflow into the reservoir.

7.2 Control

Outlet conduits shall have an upstream control device (gate or valve)

capable of controlling the discharge for all ranges of flow.

7.3 Conduits

Only two types of conduits are permitted on Hazard Class "B" and "C"
structures; precast reinforced concrete pipe and cast-in-place
reinforced concrete.

On Hazard Class "A" structures, welded steel pipe or corrugated metal

pipe may be used providing the depth of fill over the pipe does not
exceed 15 feet and the pipe diameter does not exceed 24 inches.

All outlet conduits shall be designed for internal pressure equal to the
full reservoir head and for the superimposed embankment loads, acting
separately.

The minimum size diameter conduit used as the barrel of a drop inlet
service spillway shall be 12 inches.

The joints of all pipe conduits shall be made watertight.

Any pipe or conduit passing through an embankment shall have features

constructed into the embankment whereby seepage occurring along the pipe
or conduit is collected and safely conveyed to the downstream toe of the
embankment. This can be accomplished by using a properly designed and
constructed filter and drainage diaphragm. The filter and drainage
diaphragm will be required unless it can be shown that antiseep collars
will adequately serve the purpose.

Antiseep collars will not be permitted for dams with a height in excess
of 20 feet. If antiseep, collars are used in lieu of a

15
 drainage diaphragm, they shall have a watertight connection to the pipe.
Collar material shall be compatible with pipe materials. The antiseep
collars shall increase the seepage path along the pipe by at least 15%.

A means of dissipating energy shall be provided at the outlet end of all

conduits 12 inches or more in diameter. If a plunge pool is used, the
conduit should be cantilevered 8 feet over a concrete, steel or treated
timber support located near or at the downstream toe of the embankment.
The plunge pool should be riprap-lined if a conduit 18 inches or more in
diameter is used. The foregoing may apply to smaller pipes if the
embankment's downstream slope is steep and the soil erodible.

8.0 GEOTECHNICAL INVESTIGATION

8.1 Foundations

8.1.1 Subsurface explorations (drill holes, test pits and/or auger holes)
should be located along the centerline of the dam, at the proposed
service and auxiliary spillway locations, and in other critical areas.
The depth of the subsurface explorations should be sufficient to
locate and determine the extent and properties of all soil and rock
strata that could affect the performance of the dam, the reservoir and
appurtenant structures. Referring to information such as geologic
bulletins, soil survey maps, groundwater resources bulletins, etc.,
may aid the designer in determining the scope of the exploration
program needed and interpreting the results of the program. For even
the smallest low hazard dams, at least three explorations should be
made along the centerline of the dam, one in the deepest part of the
depression across which the dam will be built and one on each side. At
least one exploration should be made at the proposed auxiliary
spillway location. For small low-hazard dams, to be built on a
foundation known from the geology of the area to be essentially
incompressible and impervious to a great depth, the minimum depth of
explorations should be 5 feet unless bedrock is encountered above this
depth. In other cases the minimum depth of explorations should be 10
feet, with one or more borings extending to a depth equal to the
proposed height of the dam. If it is proposed to excavate in the
reservoir area, the possibility of exposing pervious foundation layers
should be investigated by explorations or a review of the geology of
the area. If rock is encountered in explorations, acceptable
procedures, such as coring, test pits, or geologic information, should
be used to verify whether or not it is bedrock.

8.1.2 Sufficient subsurface explorations should be made to verify the

suitability of encountered rock for use as a foundation

16
 and/or construction material. Testing of the rock materials shall
ascertain its strength, compressibility, and resistance to degradation,
and its ability to safely withstand the loads expected to be imposed
upon it by the proposed project.

8.1.3 Soils encountered in explorations should be described accurately and

preferably classified in accordance with the Unified Soil
Classification System.

8.1.4 For Hazard Class "C" dams, appropriate field and/or laboratory tests
should be performed in order to aid in evaluating the strength,
compressibility, permeability, and erosion resistance of the foundation
soils. Also, appropriate laboratory tests should be performed on
samples of the proposed embankment materials in order to ascertain
their suitability for use in the dam. Field and/or laboratory tests may
be required also for dams of lower hazard classification in the case of
critical foundation strength or permeability conditions.

8.1.5 Stability of the foundation under all operating conditions should be

evaluated.

8.1.6 Settlement of the dam and appurtenant works should be evaluated and
provisions made in the design to counteract the effects of any
anticipated settlements.

8.1.7 Whenever feasible, seepage under the dam should be controlled by means
of a complete cutoff trench extending through all pervious foundation
soils into a relatively impervious soil layer. If the dam is to be
built on an impervious foundation, the cutoff or key trench should be
excavated to a depth of at least 3 feet into the foundation soils and
backfilled with compacted embankment material. Where the final depth of
cutoff cannot be established with certainty during design, a note
should appear on the plans stating that the final depth of the cutoff
trench will be determined by the engineer during the time of
construction. Backfilling of the cutoff or key trench should be
performed in the dry, unless special construction procedures are used.
The bottom width of the trench should be at least 8 feet and should be
increased in the case of dams more than 20 feet high. The widths of
complete cutoffs my be made considerably less if the cutoff is extended
vertically a minimum distance of 4 feet into impervious material. In
the case of a cutoff or key trench extending to bedrock, the trench
does not have to extend into rock. However, all shattered and
disintegrated rock should be removed and surface fissures filled with
cement grout. The need for pressure grouting rock foundations should be
evaluated and, if necessary, adequately provided for.

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8.2 Borrow Sources for Embankment Materials

Sufficient subsurface explorations should be made in borrow areas to

verify the suitability and availability of an adequate supply of borrow
materials. Logs of explorations should be included for review with the
plans and specifications. Exposure of pervious soils and fissured rock
below normal water surface of the proposed pond, at borrow areas
located in or connected to the reservoir area, should be avoided.

If pervious soils or fissured rock conditions are encountered during

borrow operations these exposed areas should be sealed with a
sufficient thickness of compacted impervious material. In no case
should this seal be less than two feet thick and consideration should
be given to utilizing a greater thickness where site conditions and
hazard classifications dictate.

Borrow areas should be located with due consideration to the future

safety of the dam and should be shown on the plans. In general, no
borrow should be taken within a distance measured from the upstream toe
of the dam equal to twice the height of the dam or 25 feet, whichever
is greater.

9.0 EARTH DAMS

9.1 Geometry

9.1.1 The downstream slope of earth dams without seepage control measures
should be no steeper than 1 vertical on 3 horizontal. If seepage
control measures are provided, the downstream slope should be no
steeper than 1 vertical on 2 horizontal.

9.1.2 The upstream slope of earth dams should be no steeper than 1 vertical
on 3 horizontal.

9.1.3 The side slopes of homogenous earth dams may have to be made flatter
based on the results of design analyses or if the embankment material
consists of fine grained plastic soils such as CL, MH or CH soils as
described by the Unified Soil Classification System.

9.1.4 The minimum allowable top width (W) of the embankment shall be the
greater dimension of 10 feet or W, as calculated by the following
formula:

W = 0.2H + 7; where H is the height of the embankment (in feet)

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9.1.5 The top of the dam should be sloped to promote drainage and minimize
surface infiltrations and should be cambered so that the design
freeboard is maintained after post-construction settlement takes place.

9.2 Slope Stability

Where warranted and especially for new Hazard Class "C" dams, the
department may require that slope stability analyses be provided for
review. The method of analyses and appropriate factors of safety for
the applicable loading conditions shall be as indicated by U. S. Army
Corps of Engineers publications (latest edition) (Ref. 11).

Earth dams, in general, should have seepage control measures, such as

interior drainage trenches, downstream pervious zones, or drainage
blankets in order to keep the line of seepage from emerging on the
downstream slope, and to control foundation seepage. Hazard Class "A"
dams less than 20 feet in height and Hazard Class "B" dams less than 10
feet in height, if constructed on and of erosion-resistant materials,
do not require special measures to control seepage.

In zoned embankments, consideration should be given to the relative

permeability and gradation of embankment materials. No particle greater
in size than six inches in maximum dimension should be allowed to be
placed in the impervious zone of the dam.

9.3 Compaction Control and Specifications

Before compaction begins, the embankment material should be spread in

lifts or layers having a thickness appropriate to the type of
compaction equipment used. The maximum permissible layer thickness
should be specified in the plans or specifications.

Specifications should require that the ground surface under the

proposed dam be stripped of all vegetation, organic and otherwise
objectionable materials. After stripping, the earth foundation should
be moistened, if dry, and be compacted before placement of the first
layer of embankment material. Inclusion of vegetation, organic
material, or frozen soil in the embankment, as well as placing of
embankment material on a frozen surface is prohibited and should be so
stated in the specifications.

For all dams, compaction shall be accomplished by appropriate equipment

designed specifically for compaction. The type of compaction equipment
should be specified in the plans or specifications.

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 The degree of compaction should be specified either as a minimum number
of complete coverages of each layer by the compaction equipment or, in
the case of higher or more critical dams, based on standard ASTM test
methods.

When the degree of compaction is specified as a number of complete

coverages or passes, the final number of passes required shall be
determined by the engineer during construction.

In order to insure that the embankment material is compacted at an

appropriate moisture content, a method of moisture content control
should be specified. For Hazard Class "A" dams less than 20 feet high,
the moisture content may be controlled visually by a qualified
inspector. Hand tamping should be permitted only in bedding pipes
passing through the dam. All other compaction adjacent to structures
should be accomplished by means of manually directed power tampers.

Backfill around conduits should be placed in layers not thicker than 4

inches before compaction with particle size limited to 3 inches in
greatest dimension and compacted to a density equal to that of the
adjacent portion of the dam embankment regardless of compaction
equipment used.

Care should be exercised in placing and compacting fill adjacent to

structures to allow the structures to assume the loads from the fill
gradually and uniformly. Fill adjacent to structures shall be increased
at approximately the same rate on all sides of the structures.

The engineer in charge of construction is required to provide thorough

and continuous testing to insure that the specified density is
achieved.

9.4 VEGETATION CONTROL - TREES AND BRUSH

9.4.1 Trees and Brush

Trees and brush are not permitted on earth dams because:

a. Extensive root systems can provide seepage paths for water.

b. Trees that blow down or fall over can leave large holes in the
embankment surface that will weaken the embankment and can lead to
increased erosion.

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 c. Brush obscures the surface limiting visual inspection, provides a
haven for burrowing animals and retards growth for grass vegetation.

Stumps of cut trees should be removed so grass vegetation can be

established and the surface mowed. Stumps should be removed either by
pulling or with machines that grind them down. All woody material
should be removed to about 6 inches below the ground surface. The
cavity should be filled with well compacted soil and grass vegetation
established.

9.4.2 Grass Vegetation

Grass vegetation is an effective and inexpensive way to prevent erosion

of embankment surfaces. It also enhances the appearance of the dam and
provides a surface that can be easily inspected.

10.0 STRUCTURAL STABILITY CRITERIA FOR GRAVITY DAMS

10.1 Application

These guidelines are to be used for the structural stability analysis

of concrete and/or masonry sections which form the spillway or
non-overflow section of gravity dams.

These guidelines are based on the "Gravity Method of Stress and

Stability Analysis" as indicated in Reference 13.

If the gravity dam has keyed or grouted transverse contraction joints,

then the "Trial-Load Twist Method of Analysis" (Reference 13) may be
used for the stability analysis.

Elastic techniques, such as the finite element method, my be used to

investigate areas of maximum stress in the gravity dam or the
foundation. However, the finite element method will only be permitted
as a supplement to the Gravity Method. The Gravity Method will be
required for the investigation of sliding and overturning of the
structure.

10.2 Non-Gravity Dams

For non-gravity structures such as arch dams, the designer is required

to present calculations based on appropriate elastic techniques as
approved by the Dam Safety Section.

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10.3 Loads

Loads to be considered in stability analyses are those due to: external

water pressure, internal water pressure (pore pressure or uplift) in
the dam and foundation, silt pressure, ice pressure, earthquake, weight
of the structure.

10.4 Uplift

Hydrostatic uplift pressure from reservoir water and tailwater act on

the dam. The distribution of pressure through a section of the dam is
assumed to vary linearly from full hydrostatic head at the upstream
face of the dam to tailwater pressure at the downstream face or zero if
there is no tailwater. Reduction in the uplift pressures might be
allowed in the following instances:

10.4.1 When foundation drains are in place. The efficiency of the drains
will have to be verified through piezometer readings.

10.4.2 When a detailed flow net analysis has been performed and indicates that
a reduction in uplift pressures is appropriate. Any reduction of
pressure of more than 20% must be verified by borings and piezometer
readings.

10.4.3 When a sufficient number of borings have been progressed and piezometer
readings support the fact that actual uplift pressures are less than
the theoretical uplift pressures.

10.5 Loading Conditions

Loading Conditions to be analyzed.

Case 1 - Normal loading condition; water surface at normal reservoir

level.

Case 2 - Normal loading condition; water surface at normal reservoir

level plus an ice load of 5,000 pounds per linear foot, where
ice load is applicable. Dams located in more northerly
climates, may require a greater ice load.

Case 3 - Design loading condition; water surface at spillway design

flood level.

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 Case 3A- Maximum hydrostatic loading condition; maximum differential
head between headwater and tailwater levels as determined by
storms smaller in magnitude than the spillway design flood.
This loading condition will only be considered when the is
submerged under Case 3 loading condition.

Case 4 - Seismic loading condition; water surface at normal reservoir

level plus a seismic coefficient applicable to the location.

10.6 Stability Analysis for New Dams

10.6.1 Field Investigation

Subsurface investigations should be conducted for new dams. Borings

should be made along the axis of the dam to determine the depth to
bedrock as well as the character of the rock and soils under the dam.
The number and depth of holes required should be determined by the
design engineer based on the complexity of geological conditions. The
depth of holes should be at least equal to the height of the dam. Soil
samples and rock cores should be collected to permit laboratory
testing. The values of cohesion and internal friction of the foundation
material should be determined by laboratory testing.

On proposed sites where the foundation bedrock is exposed, the

requirements for borings may be waived in some cases. An engineering
geologist's professional opinion of the rock quality and the
acceptability of the design assumptions will be required in those
cases.

10.6.2 Overturning

The resultant force from an overturning analysis should be in the

middle third of the base for all loading conditions, except for the
seismic analysis (Case 4), where the resultant shall fall within the
limits of the base.

10.6.3 Cracking

The resultant force falling outside the middle third of the base and
its resulting tension cracks will not be accepted in the design of new
dams, except for the seismic loading condition (Case 4).

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10.6.4 Sliding

Sliding safety factors may be computed using the Shear-Friction method

of analysis when shear values are based on either the results of
laboratory testing or an engineering geologist's professional opinion.
When the Shear-Friction method is used, the structure should have a
minimum safety factor of 2.0 for all loading conditions except for Case
4 (seismic loading) where the minimum acceptable sliding safety factor
shall be 1.5.

Designs which are not based on laboratory testing or an engineering

geologist's professional opinion must be analyzed using the Friction
Factor of Safety. This analysis assumes that the value of shear or
cohesion is zero. The minimum safety factor using this method should be
1.5 for all loading conditions except Case 4 where the minimum safety
factor shall be 1.25.

10.7 Stability Analysis for Existing Dams

10.7.1 Field Investigations

Subsurface investigations should normally be conducted as part of a

detailed structural stability investigation for an existing dam and
should provide information regarding the materials of the dam and its
foundation. The number and depth of holes required should be determined
by the engineer based on the complexity of the composition of the dam
and foundation. Samples should be collected and tested to determine the
material properties. The program should also measure the uplift
pressures at several locations along the base of the dam.

In cases where no subsurface investigations are conducted conservative

assumptions regarding material properties and uplift pressures will be
required.

10.7.2 Overturning

The resultant force from an overturning analysis should be in the

middle third of the base for normal loading conditions (Case 1) and
within the middle half of the base for the ice loading condition (Case
2) and the spillway design flood loading condition (Case 3). For the
seismic loading condition (Case 4), the resultant force should fall
within the limits of the base.

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10.7.3 Cracking

If the overturning analysis indicates that the resultant force is

outside the middle third, then tension exists at the heel of the dam
which may result in the cracking of the concrete. For existing dams
cracking will be permitted for all loading conditions except the normal
loading condition (Case 1). If the criteria specified above in
Overturning for the location of the resultant force are not satisfied,
further study and/or remedial work will be required. The Bureau of
Reclamation's Cracked Section Method of analysis is acceptable for
investigating the stability of the dam for the above mentioned loading
conditions. When the Cracked Section Method of analysis is used, the
criteria for the minimum sliding factor of safety will have to be
satisfied.

10.7.4 Sliding

Sliding safety factors may be computed using the Shear-Friction method

of analysis when shear values are based on the results of laboratory
testing of samples from subsurface investigations. When the Shear-
Friction method is used, the structure should have a minimum safety
factor of 2. 0 for Case 1 and Case 2; a value of 1.5 for Case 3 and a
value of 1.25 for Case 4.

If no subsurface explorations are performed, the sliding safety factors

must be computed using the Friction Factor of Safety. The minimum
safety factor using this method should be 1.5 for Case 1; a value of
1.25 for Case 2 and Case 3; and a value of 1.0 for Case 4.

11.0 EXISTING DAMS: REHABILITATION AND MODIFICATION

Additional data should be submitted for dam rehabilitations or dam

modifications, including a report by a professional engineer describing
the performance and maintenance history of the existing dam. In
addition, all data regarding construction, such as existing subsurface
explorations, construction materials used for the dam, and plans and
specifications should be submitted. If this information is not
available, the engineer should inspect and evaluate the structure as to
its condition, performance, maintenance history and other information
regarding foundation soils and existing conditions.

The engineer should also assess the safety and adequacy of the existing
structure against those criteria for spillway capacity and structural
stability, indicated in the appropriate sections of these guidelines.

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 Where a new embankment is to be constructed against an existing dam
embankment, the existing slope shall be benched as the new fill is
spread and compacted in layers as described in the plans and
specifications. This benching is done to provide an interlock between
the existing and new embankments. Benching shall not be done in the
upstream-downstream direction.

All topsoil and sod shall be stripped from the surface of the existing
embankment before placing new material within the area of
reconstruction.

Remove or seal all existing drainage structures which are not to be

operative in the proposed design, in order to prevent a plane of
seepage from developing through the dam.

12.0 COFFERDAMS

A cofferdam in most cases is a temporary structure enclosing all or

part of the construction area. The purpose of the cofferdam is to
provide protection so that construction can proceed in the dry.

12.1 When using a cofferdam the following criteria must be met:

12.1.1 Flood Plain Management

A hydraulic analysis must be performed to determine the backwater

effect of the cofferdam. A range of flood discharges up to and
including the 100 year return frequency flood shall be evaluated to
determine the potential flood damages to lands and improvements
upstream of the cofferdam not owned or otherwise controlled by the
applicant. The analysis shall focus on determining if the project meets
the flood plain management criteria of 6NYCRR-Part 500, if applicable,
or regulations adopted by the local jurisdiction for participation in
the National Flood Insurance Program.

12.1.2 Dam Safety

The applicant will have to demonstrate that cofferdam failure will not
adversely impact lives and property. The evaluation will focus on the
potential for flooding, loss of life and damage to properties
downstream of the cofferdam not owned or otherwise controlled by the
applicant.

26
 If cofferdam failure could adversely impact properties downstream of
the cofferdam, not controlled by the applicant, or if the cofferdam
failure could adversely impact lives, then more specific information
regarding the geotechnical, structural and hydraulic aspects of the
cofferdam design will be required. The determination by the department
of the acceptability of the cofferdam design will be made on a
case-by-case basis.

13.0 MISCELLANEOUS

The earth embankment, earth spillways, and all disturbed earth adjacent
to the embankment or other appurtenances should be seeded, except where
riprap or other slope protective materials are specified.

Where destructive wave action is expected, the upstream slope of the

embankment should be protected with rock riprap or other suitable
material for effective erosion control.

A trash rack designed to prevent debris from entering and obstructing

flow in the conduit should be provided on the vertical riser for any
drop inlet spillway.

An anti-vortex device is required on the vertical riser for any drop

inlet spillway with riser diameter greater than 12 inches.

Instrumentation

1.Piezometers - All earth dams 40 feet high or higher shall have at

least two piezometers on the downstream slope of the embankment to
measure saturation levels and hydrostatic pressures. All concrete dams
40 feet or higher should have at least two piezometers along the crest
of the dam.

2.Weirs - on all dams with toe drains, weirs are required at the
downstream end of the drain. The weirs measure the amount of seepage
water through the embankment. Measurements of the seepage should be
documented and correlated with the reservoir surface elevation. See
Reference 6, pages 55-56.

14.0 EMERGENCY ACTION PLAN

An emergency action plan (EAP) should be developed by the owner of a

high hazard dam (Class "C").

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 A copy of this EAP is to be provided to the Dam Safety Section of the
department during the initial permit review period for new dams and for
existing dams, if a copy of the EAP has not been previously submitted.
See Reference 6, pages 69-73.

15.0 APPROVAL TO FILL RESERVOIR OF A NEW DAM

Before any water can be impounded by the dam, the dam owner shall
adhere to the following:

15.1 For all Hazard Class "C" and [major size] Hazard Class "B" dams.

Within two weeks after completion of dam construction the permittee

shall notify the Regional Permit Administrator in writing by certified
mail of its completion and shall include a notarized statement from the
owner's engineer that the project has been completely constructed under
his care and supervision in accordance with plans and specifications as
approved by the department. Any changes in the construction of the dam
from the approved plans will be reflected in the "As-Built" plans.

The department will inspect the completed dam with the owner's
engineer. During the inspection, the owner's engineer will submit "As
Built" drawings and other construction records for review, such as
foundation data and geological features, properties of embankment and
foundation materials, concrete properties and construction history.
Upon review of the data and the determination of the adequacy of the
structure the "Approval to Fill" letter will be issued, permitting the
owner to store water.

15.2 For all Hazard Class "A" and [Below Major Size] Hazard Class "B" dams.

Within two weeks after completion of dam construction the permittee

shall notify the Regional Permit Administrator in writing by certified
mail of its completion and shall include a notarized statement from the
owner's engineer stating that the project has been completely
constructed under his care and supervision in accordance with plans and
specifications as approved by the department. Any changes in the
construction of the dam from the approved plans will be reflected in
the "As-Built" plans that will be submitted to the Department.

No water shall be impounded for at least 15 days subsequent to the

notification to the Regional Permit Administrator.

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 REFERENCES

1. New York State Environmental Conservation Law "Article 15-0503".

2. New York Code of Rules and Regulations (6NYCRR) "Part 621 - Uniform
Procedures".

3. New York Code of Rules and Regulations (6NYCRR) "Part 673 - Dam Safety
Regulations"

4. New York Code of Rules and Regulations (6NYCRR) "Part 500 - Flood Plain
Development Permits"

5. New York Code of Rules and Regulations (6NYCRR) "Part 373 - Hazardous
Waste Management"

6. An Owners Guidance Manual For the Inspection and Maintenance of Dams in

New York State.

7. New York State Education Law "Article 55".

8. Soil Conservation Service; U. S. Department of Agriculture SCS National

Engineering Handbook; August, 1972 "Section 4 -Hydrology

Corps of Engineers; U. S. Army

9. Hydrologic Engineering Center

"HEC-1 Flood Hydrograph Package"; 1981

10. ETL 1110-2-256; June 1981

"Sliding Stability for Concrete Structures".

11. EM 1110-2-1902; April 1970

"Stability of Earth and Rock-Fill Dams"

Bureau of Reclamation; U. S. Department of the Interior

12. "Design of Small Dams", 1977 Revised Reprint

13. "Design of Gravity Dams", 1976

14. "Earth Manual"

29
 National Oceanic and Atmospheric Administration National Weather
Service; U.S. Department of Commerce

15. Hydrometeorological Report 33; April 1956 "Seasonal Variation of the

Probable Maximum Precipitation East of the 105th Meridian for Areas from
10 to 1000 Square Miles and Durations of 6, 12, 24 and 48 Hours"

16. Hydrometeorological Report 51; June 1978 "Probable Maximum Precipitation

Estimates, United States East of the 105th Meridian"

17. Technical Paper 40; May 1961 "Rainfall Frequency Atlas of the United
States for Durations from 30 Minutes to 24 Hours and Return Periods from
1 to 100 Years"

18. Technical Paper 49; 1964 "Two-to-Ten-Day Precipitation for Return Periods
of 2 to 100 Years in the Contiguous United States"

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