TP109 Dam Safety Guidelines

dam safety guidelines
Introduction
Why do we need a guideline The Auckland region has a large number of dams for
water supply, irrigation, farm waste treatment,
for dam safety? stormwater treatment, sediment control, storing
contaminated sediments and sewage treatment.
The Auckland Regional Council has the function of
controlling the damming of water under the Resource
Management Act, 1991. Section 104(l)(a) of the Act
also requires the Auckland Regional Council to
consider any actual or potential effects on the
environment of allowing the above activities. Section
3 of the Act defines the meaning of effect so as to
include Any potential effect of low probability which
has a high potential impact.
In order to avoid potential adverse effects on the
environment, the Council impose conditions on
resource consents for dams so that all reasonable
measures are taken to prevent dam failure.
Monitoring and reporting of structural information is
also required.
This guideline applies to permanent dams and also to
temporary structures including sediment retention
ponds.
The information contained in this document is intended as a guideline for Regional Council staff when assessing
levels of design and specialist input into dam construction and operation. Every dam project is unique and this
document should not be used as a design manual or for dictating dam design standards.
The Regional Council will not take on the role of specialist reviewer or designer through the use of the guideline.
Council staff will ascertain whether the dam being considered has had the necessary design, construction and
monitoring input. Where uncertainty exists more details will be requested or an external review commissioned. It
is emphasised that the builder of the dam has complete responsibility for its safety, and that neither Regional
Council staff, nor these guidelines, can supplant the need for appropriate expert advice.
What is the aim of the guideline? This guideline aims to provide a consistent
framework in which:
❍ the potential risks and environmental effects of
dams are understood
❍ dams are designed, built, operated, maintained
and monitored to safety standards that
minimise risk to people and the environment
❍ applications for dams are evaluated on the
basis of a consistent and defensible
methodology, and appropriate conditions are
set on consents which are granted
❍ improved environmental outcomes can result
❍ consistency with other requirements for dams
is promoted
Background information 2
Guidelines for construction, maintenance and monitoring
Table of Contents
Background Introduction 1
information Table of Contents 2
Table of Figures 3
Who will find this guideline useful? 4
How to use this guideline 5
Optional Response Form 7
1 Assessment of dam
hazard category
1.0 Definitions
2.0 Why apply a hazard category?
3.0 Hazard vs risk
4.0 The hazard categories
1
1
1
2
5.0 Determining hazard category 3
6.0 Summary 3
2 Guidelines for
building of minimal
hazard dams
1.0 Data Collection
2.0 Dam concept
3.0 Dam components
4.0 Dam construction
1
2
2
5
5.0 Common dos, donts and avoids 6
6.0 Dam monitoring and surveillance 6
7.0 Dam maintenance 7
3 Performance standards
for low, significant and
high hazard dams
1.0 Dam hazard and risk
2.0 Dam risk
3.0 Dam ownership and liability
4.0 Dam failures worldwide
1
1
1
1
5.0 Dam failures in New Zealand 2
6.0 Proposed vs existing dams 4
7.0 Key dam components and safety considerations 4
8.0 Technical advisors and contractors 5
9.0 New dams: conception to completion. 6
10.0 Minimum guidelines for building new dams 8
11.0 Specific design details 9
12.0 Existing dams 16
4
Investigation, 1.0 Types of investigation, monitoring and surveillance 1
monitoring and 2.0 Monitoring parameters 4
3.0 Monitoring instruments and systems 5
surveillance of dams
4.0 Data recording and storage 7
5.0 Frequency and extent of monitoring
and surveillance 7
6.0 Alarms: settings and response 9
7.0 Emergency procedures 10
5 Dam safety audits 1.0 Why do a dam safety audit?

2.0 What sort of audit is best?
3.0 How do monitoring, review
and audit relate to each other?
1
1
2
Table of Figures
1 Figure 1.1:
Figure 1.2:
Figure 1.3:
Figure 1.4:
Hazard vs Risk
Dam Height and Storage
Example of Evaluating a Hazard Category
Evaluating a Hazard Category
1
2
5
6
2 Figure 2.1:
Figure 2.2:
Figure 2.3:
Figure 2.4:
Spillway Type and Typical Dimensions
Typical Spillway Layout
Guideline for Design of Conduits through Earthfill Embankments
Catchment Yield Calculation
3
4
5
7
Figure 2.5: A Worked Example of Catchment Yield Calculation 7
Figure 2.6: Storage Size Calculation 8
Figure 2.7: A Worked Example of Storage Size Calculation 8
Figure 2.8: Embankment Fill Volume 9
Figure 2.9: A Worked Example of Embankment Fill Volume 9
Figure 2.10: Flood Size and Spillway Width Calculations 10
Figure 2.11: A Worked Example of Flood Size and Spillway Width Calculations 10
Figure 2.12: Checklist Dam Maintenance and Monitoring 11
Figure 2.13: Schematic Checklist Dam Maintenance and Monitoring 12
3 Figure 3.1:
Figure 3.2:
Figure 3.3:
Figure 3.4:
Failures and Actual Proportions
Embankment Dam Incidents
Embankment Dam Incidents
Factors Influencing Dam Incidents
2
2
3
3
Figure 3.5: Potential Foundation Situations 10
Figure 3.6: Differential Foundation Settlement 11
Figure 3.7: Typical Embankment Drainage Detail 12
Figure 3.8: Typical Conduit Seepage Control Measures 13
Figure 3.9: Flood Design Standards 14
Figure 3.10: Effect of Different Flood Durations 15
Figure 3.11: Performance Assessment Sheet for New Dams 18
Figure 3.12: Minimum Guideline for the Development of
Minimal and Low Hazard Dams 19
Figure 3.13: Minimum Guideline for the Development of
Significant Hazard Dams 20
Figure 3.14: Minimum Guideline for Development of High Hazard Dams 22
4 Figure 4.1:
Figure 4.2:
Figure 4.3:
Figure 4.4:
Water Level Monitoring Scenarios
Typical Dam Monitoring Network Moderately Size Embankment
Typical Number of Instruments For A Hazard Category
Frequency of Monitoring and Surveillance
5
6
7
8
Figure 4.5: Physical Instrument Setup and Monitoring Result 9
Figure 4.6: Emergency Action Plan Example Response Sequence
5 Figure 5.1: Typical Dam Review and Audit Flow Chart 2

Who will find this guideline useful?

People who will find this guideline helpful include: Contractors can use this guideline to:
❍ owners of existing dams a build and maintain dams to the safety
❍ people wanting to build new dams performance standards for which they are
designed and approved.
❍ engineers
Auckland Regional Council staff can use this
❍ contractors
guideline to:
❍ Auckland Regional Council staff
a assess applications to make sure that good
❍ staff of territorial authorities
consideration has been given to design,
❍ people affected by an existing or proposed dam- structural performance standards, risk
❍ groups and the general public with an interest in assessment, assessments of environmental
dam safety effects, monitoring and surveillance
a process resource consent applications efficiently
and consistently to a high standard
a make sure that conditions appropriate to dam
hazard are attached to consents granted.
Owners of existing dams can use this guideline to:
Staff of territorial authorities can use this guideline
a understand the responsibilities of owning and
to:
operating dams
a assess applications to make sure that good
a a find out their responsibilities for ongoing
consideration has been given to design,
maintenance and safety
structural performance standards, risk
a find out How will this affect my existing dam?
assessment, assessments of environmental
(overleaf).
effects, monitoring and surveillance
People wanting to build new dams can use this
a process resource consent applications efficiently
guideline to:
and consistently to a high standard
a understand the responsibilities of owning,
a make sure that appropriate conditions are
operating and maintaining dams
attached to granted consents, including
a make sure they engage professionals who can monitoring.
give them good advice.
People who may be affected by an existing or
Engineers can use this guideline to: proposed dam can use this guideline to:
a design and develop structural monitoring and a determine if they are affected, and if so, in what
surveillance programmes for dams way
a assess dam hazard category or environmental a what safety and environmental standards should
risk apply to the dam in question.
a regularly reassess dam risk - for example as the Groups and the general public with an interest in
dam ages, after a storm or because of dam safety can use this guideline to:
downstream land use changes
a what safety and environmental standards should
a scope the information required for resource apply to dams.
consent applications
a prepare assessments of environmental effects
which adequately cover all the relevant issues
a determine monitoring requirements and allocate
ongoing responsibilities.
How to use this guideline
The guideline falls into 5 parts for different people to

work with. Although many or all parties listed above
may have an interest in all the parts, only people with
a significant interest in each part have been listed
there.
Part Key users
1. Assessing dam hazard category
a owners of existing dams

a people wanting to build new dams
a engineers
a people affected by an existing or proposed dam
2. Guideline for building of minimal hazard dams
a owners of existing minimal hazard dams

a people wanting to build new minimal hazard dams
a engineers and contractors building new minimal
hazard dams
3. Performance standards for low, significant and high hazard dams
a owners of existing dams

a people wanting to build new dams
a engineers and contractors building new dams
4. Monitoring and surveillance
a owners
a engineers
a council staff
a affected people or parties
5. Dam safety audits
a owners
a potential buyers
a insurance companies
a engineers
a council staff
a affected people or parties
How will this affect my existing dam?

This guideline applies to existing dams as well as
proposed ones.
You must assess the hazard category of all dams on
your property using the flow chart in Part 1 (Figure
1.4).
You must also inspect and maintain it as summarised

in Sections 6 and 7 of Part 2 of this guideline.
Dams and dam designs that differ from this guideline
do not necessarily fail to comply with it, but any
differences must be approved by the Auckland
Regional Council.
The Auckland Regional Council will be reviewing its
records and periodically visiting all existing dams to
check that owners have assessed the hazard category
of all dams on their property.
To find out more, call the Auckland Regional Council.
How does this guideline relate to

other requirements?
This guideline often refers to the New Zealand
Society of Large Dams (NZSOLD) Dam Safety
Guidelines. Good familiarisation with this document
is strongly advised for those designing, building and
consenting dams.
People designing, building and consenting dams
should also be familiar with the Building Act 1991.
Future modifications to the Building Act, the NZSOLD
Dam Safety Guidelines and legislation will
undoubtedly result in modifications to this document.
What future changes are likely?

As engineering practice changes and feedback is
received about this guideline, periodic changes may
become necessary.
All holders of this guideline will be notified of any
changes as they occur.
Optional Response Form

We will be regularly reviewing this guideline. Please help us keep it accurate and practical - let us know about any
changes we need to make by using this form.
Please photocopy this form before you fill it out to keep a record for future use.
1. Errors
Are there any errors in the text or diagrams? If so, please tell us:
which page and/or figure number it is on, what the error is and how you would correct it
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
2. Omissions
Have we left out any information which you might find useful? If so, please note your suggestions below:
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
3. Effectiveness
Is this guideline helpful for designing, building, operating and maintaining dams, or for applying for resource
consents for dams? If not, please tell us how we can improve it:
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
4. Other Comments
Do you have any other comments or questions? If so, please note them below:
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
__________________________________________________________________________________________________
(Optional) Please note your name and phone number below in case we need to discuss your suggestions in
more detail:
Name: _____________________________________ Phone: _________________________________________
Organisation: _______________________________ Email: __________________________________________
Address: _________________________________________________________________________________________
Thank you for taking the time to improve our guideline. Freepost a copy of this response form to:
The WaterResources Manager, Auckland Regional Council, Private Bag 92012, Newton, Auckland. Freepost No.
4103, or email to [email protected]
Part 1: Assessment of dam hazard category
Introduction 2.0 Why apply a hazard category?

Part 1 is a guide for assessing the hazard category of A hazard category needs to be applied to dams in
dams in the Auckland Region. It applies to both order to ensure that appropriate levels of
existing and proposed structures. The rating system investigation, design, construction control,
described is based on the New Zealand Society of maintenance and operation are undertaken by the
Large Dams (NZSOLD) Dam Safety Guidelines 1995. owner and his or her representatives.
Some additional categories have been added to the Higher hazard dams need a higher level of
NZSOLD Hazard Category system to take into investigation, design input and optimisation,
account the environmental, cultural and historical construction testing monitoring, and ongoing
issues associated with dam hazards. This system performance monitoring. The application of an
does not replace the NZSOLD categories, - they are appropriate hazard category helps councils ensure
additions only. enough effort is put into these components of dam
building and operation.
1.0 Definitions A dams hazard category determines the frequency

and magnitude of ongoing internal and external
Two terms are usually associated with structures or performance reviews. It may also affect bonds and
natural phenomena that have the ability to cause legal responsibilities.
damage or threaten life. These are hazard and risk.
The hazard potential of a structure can be defined as
the potential for that structure to cause damage in
3.0 Hazard vs risk
the event of failure. For a dam this mainly refers to Hazard and risk are interrelated in dam engineering,
the potential damage from uncontrolled release of as with most contexts. A higher hazard structure
water. dictates a greater level of design input in order to
The risk associated with a structure is the extent to reduce the level of risk to the community, as shown
which the hazard can be realised. This is often in Figure 1.1.
thought of as the probability of an event occurring. The hazard potential of a dam can change with the
The extent to which society will accept risk is often passage of time, usually in response to land use
termed the tolerable level of risk. This level is changes downstream or upstream. Dams and
determined by good practice and societys
acceptance of risk.
Another term often used in association with hazard
and risk is vulnerability. This describes the ability or
inability of the area or people that would be affected
by the hazard to withstand the event. In the case of
dams this describes the ability of a community or
region downstream of the dam to withstand a dam
break flood. Included in this is the state of readiness
of the community, or its ability to prepare for
response.
The hazard category of a dam (or similar structure) as
defined in this guideline is based mainly on its
hazard potential.
Figure 1.1: Hazard vs Risk

Part 1: Assessing dam hazard category 2
procedures may need to be modified in order to 2 Water depth

maintain a tolerable level of risk in relation to hazard This has similar implications to dam height
potential. and in most cases the two are
Training and Civil Defence strategies can reduce the interdependent. In this document they are
vulnerability of a community, but these are not always considered separately for two reasons:
seen as effective. Such approaches may not always a to maintain consistency with the
provide a permanent solution, so effective Building Act 1991
engineering solutions such as strengthening are
a occasionally dam height and stored
often preferred.
depth are significantly different.
3 Stored volume
4.0 The hazard categories The volume stored behind a dam
Many factors influence a dams hazard potential. determines the duration of a dam break
Most reflect the physical attributes of the structure flood and the extent of associated damage.
and its storage volume, but others are less tangible. Stored volume and dam height together
make the largest physical contribution to a
The main factors of interest are:
dams hazard category. This concept is
❍ dam height
schematically shown in Figure 1.2.
❍ water depth
This guideline uses the classes of storage
❍ stored volume volume set out in the NZSOLD Guideline,
❍ downstream valley profile except for the 20,00Om3 lowest cut-off
❍ physical location limit. This is defined in the Building Act
1991, above which the dam requires a
❍ downstream conditions and values
Building Consent.
❍ nature of stored material.
4 Downstream valley profile
1 Dam height
The shape and gradient of the valley below
The higher the dam, the more potential the dam influences the rate at which flood
energy contained in the stored liquid, the
water dissipates. Narrow and/or steep
faster it will escape and the more damage it valley systems tend to sustain high flow
will do. energies, conserving the damage potential
of the flow for longer and confining the
extent of flooding. Wide and/or flat valley
systems have the opposite effect.
5 Physical location
Every locality has characteristics that
separately or together are unique.
Hydrological, geological and topographical
controls influence both risk and hazard
category.
6 Downstream conditions and values
The presence of communities, amenities or
industries downstream must be
considered, as well as the sensitivity and
value of ecological communities and
cultural and historical sites.
Figure 1.2: Dam Height and Storage
Part 1: Assessing dam hazard category 3
7 Nature of stored material 5.0 Determining hazard category

Not all dams store water. Dams are also
To simplify the determination of hazard categories for
used to store many other substances such
dams, the folllowing flow chart has been developed
as mine waste, effluent, toxic materials.
which defines the main criteria. Explanatory notes for
Many of these will represent a greater
each criterion are also appended to the chart. The
hazard than water alone and may have
first half of the flow chart is defined by the NZSOLD
unique storage requirements.
Hazard Category, and is therefore based on
To avoid a very cumbersome system with many parameters that produce the hazard potential of the
levels of hazard, the NZSOLD guideline utilise three structure. The second section includes parameters
levels of hazard category:- high, significant and low. that will often incorporate a component of risk in
This guideline uses the same categories, with the addition to hazard. This is required to provide the
low category subdivided into minimal and low: necessary inputs into the Auckland Regional Councils
❍ high more detailed hazard category.
❍ significant The less tangible categories shown, particularly
❍ low geological, hydrological, historical, ecological or
archeological issues, may not necessarily result in a
❍ minimal
higher hazard category. Lack of information may
The minimal category comprises dams which do not
mean that a higher rating needs to be selected
require a building consent under the Building Act
initially, though additional investigations reduce this.
1991. This is equivalent to the previous ARC criteria
Figure 1.3 is a worked example of selecting a hazard
for dams considered to be a Permitted Activity.
category. In this example, possible geological
A third classification that may influence the definition
concerns are raised, so a higher hazard category is
of a minimal hazard dam isgiven in the Ministry of
selected. Additional investigations and design input
Commerce discussion paper (May 1996). In this
may alleviate these concerns for both existing and
document values of 5.0m for dam height and 20,000
proposed dams.
m3 to 50,000 m3 are used as the division between
dams not requiring and those requiring control
through permits or consents. The Auckland Regional 6.0 Summary
Council has adopted the more rigorous standard
The system described in this guideline details the
outlined in the NZSOLD guideline.
methodology of and reasons for applying a hazard
Minimal impact dams are permitted activities category to existing and proposed dams. The system
provided their design, construction, operation, has been developed within the framework of the
maintenance and monitoring complies with Part 2 of NZSOLD Dam Safety Guidelines 1995 and the
this guideline. Building Act 1991.
All other hazard category dams require resource The simple flow chart attached helps determine an
consents. appropriate hazard category for a dam or dams. It will
also identify areas of concern for further
investigation.
The implications of each hazard category for the dam
owner, his or her representatives and regulatory
authorities is discussed in Part 2.
Dam hazard: Identification of category Catchment location, orientation, elevation and topography will also influence flood magnitudes.
For this reason the use of catchment area as a parameter for determining a hazard category is
The following comments provide explanatory notes for the flow chart overleaf. only specified for the smallest dams. Larger structures will require specific hydrological
Dam heightis the vertical difference between the dam crest level and the lowest point on the design.
downstream toe. The divisions adopted are from the NZSOLD Dam Safety Guidelines 1995. Geological and hydrological issues may exist at or near the site of the dam that could
Water depth is taken as the maximum depth of water (or liquid), including transient rises due to subsequently increase the hazard the dam represents.
floods or operational changes, behind the dam. The cut-off figure of 3.0m for depth of water is Geological issues that may be of concern include:
specified in the Building Act 1991. 1 potential seismic activity
Stored volume is the total volume of water that can be either permanently or temporarily stored. 2 potential volcanic activity
Normally this equates to the volume contained within the storage when at maximum flood 3 known slope instability in the area or visible at the site
level. The cut-off of 20,000 m3 for stored volume is specified in the Building Act 1991. 4 known foundation problems (eg soft, peat etc).
Downstream damage covers both environmental damage and potential damage to property. The Hydrological issues that may be of concern include:
cut-off figures adopted are from the NZSOLD Dam Safety Guidelines. Important issues to 1 known flooding problem particularly upstream
consider are: 2 high level of existing stream use
Environmental considerations: 3 existing water storages upstream or downstream that could affect or be affected
1 erosion and/or siltation of stream, stream banks and flood plains 4 potential groundwater effects.
2 loss of fisheries, biota and stream vegetation Stored material behind the proposed structure will in some cases influence the level of hazard. A
3 long term effects from changed stream flow regime. higher level of design input is warranted for structures holding hazardous or toxic substances.
Potential property damage: The increase in hazard category that may result for a structure holding hazardous or toxic
1 damage to land and property material is also related to the increased potential for downstream damage and loss of life.
2 services/infrastructure (eg roads, water supply etc) Historical and/or archeological values may exist at the site or in the area of potential influence in
3 other reservoirs or dams that are in the path of possible dam failure flood waters the event of dam failure. Issues that may affect such sites include:-
4 potential loss of income resulting from 1, 2 and 3 above. 1 inundation by the reservoir
Possible loss of life is predominantly concerned with dam failure resulting in a Dam Break Flood. 2 flooding in the advent of dam failure
Important issues to consider include: 3 loss, or in some cases increased public access
1 Downstream occupants: In many situations these issues may be linked with concerns addressed in the Environmental
are there dwellings of buildings whose habitats could be put at risk? Damage section above.
2 Services/infrastructure: Categories
are there any roads/transport systems, and/or power, gas or phone system that could Two categories will be produced given the attached category flow chart.
be disrupted in the advent of a dam failure? Loss of such system could directly or The first is defined in the NZSOLD Dam Safety Guidelines (1991) and is the basis for the hazard
indirectly pose a risk to life. category for all dams in New Zealand. The second stems from the first and includes additional
3 Downstream topographic controls: categories particularly concerning environmental, cultural and historical issues and has been defined
valley shape and gradient downstream have a strong influence of the potential hazard specifically for the Auckland region. The LOW category defined in the NZSOLD system has been
posed by a dam break flood. Steep and/or narrow valleys maintain high flood energy sub-divided into MINIMAL and LOW. A category of MINIMAL implies that the structure can be
and damage potential. Flat and/or wide valley dissipate flood energy. considered to be a Permitted Activity. Consent applications will be needed for all other categories.
Other issues may also exist such as slope failures around the reservoir perimeter that could cause Care should be given when assessing ratings for each category to avoid undue conservatism. In
flood waves over the dam or could produce uncontrolled damming of the reservoir. The rapid draw many instances potential effects posed by a dam will fall into more than one category. A
down caused by a dam failure and subsequent reservoir loss can result in land instability around the conservative rating in each category affected by a particular issue may not be justified. For instance
reservoir perimeter. Landslides can cause damming of the stream or river with the resulting a dam storing farm cowshed effluent may influence the rating choice in both Downstream Damage
Landslide Dam almost certainly destined to fail. and Stored Material. It may be appropriate just to deal with it under Stored Material if the overall
Catchment area is the main parameter in determining the potential flood sizes that the structure will downstream damage would not be significantly different than if the dam were just storing water.
Part 1: Assessing dam hazard category
need to withstand. The cut-off figure of 20 hectares is consistent with current Auckland
Regional rules.
4
Figure 1.3: Example of Evaluating a Hazard Category
Figure 1.4: Evaluating a Hazard Category
Part 2: Guidelines for the building of minimal hazard dams
Introduction 1.0 Data Collection

This part is a guide to the design, construction and Before designing or building a dam some important
maintenance of dams classified as being of minimal quantities need to be defined to ensure that the dam
hazard. It mainly applies to new dams. While the is safe and that it meets the owners requirements.
same principles can be applied to existing dams, it is ❍ catchment area
seldom practical to upgrade existing small dams to
❍ catchment characteristics
meet modern design criteria. Using this guideline to
❍ dam site profile
review the adequacy of existing structures may result
in undue cost outlays for the owner, and is not ❍ annual rainfall
recommended. 1 Catchment area This should be determined to
In general a minimal hazard damis defined as a an accuracy of within 15%. This can usually be
structure that, in the event of failure, would not cause done using standard NZMS 260 1:50,000
significant or extensive damage nor represent a contour maps.
significant threat to life or the environment. This The catchment area is needed to estimate how
guideline is not intended for designing culverts, flood much water is available for storage and potential
detention systems or stopbanks. flood sizes.
The design concepts in Part 2 do not represent 2 Catchment characteristics The shape and
optimised solutions: these can only be achieved by topography of the catchment affects the size and
specific design input for each particular site. duration of floods generated during rainfall.
Specialist engineering design input is likely to result Steepness, soil type and vegetation type need
in a design more optimum than that obtained directly to be recorded.
from this guideline. 3 Dam site profile The approximate profile of
The main criteria for determining whether a dam falls the proposed dam site and reservoir is
within the minimal hazardcategory are: necessary to determine the size of storage, or
1 Dam height: no greater than 4.0 metres the dam height required to achieve a required
volume. Valley side slopes, stream gradient and
2 Water depth:no greater than 3.0 metres
the width of the valley floor need to be
including flood depth
recorded.
3 Stored volume:no greater than 20, 000
4 Annual rainfall The annual rainfall in the
cubic metres
vicinity of the dam is the most important factor
4 Catchment area: no greater than 20
for determining the potential yield from a
hectares (0.2 square kilometres)
catchment. It is pointless building a dam to
If there is any departure from the concepts in this part store 50,000 cubic metres a year if the
of the guideline, or if special circumstances need to catchment will only supply 20,000 cubic metres
be catered for (for instance, road access across the each year.
dam or existing geological problems), specialist
advice should be sought, such as that from a
registered engineer.
This guideline only covers dams where earth is the
construction material. The vast majority of small
dams are made of earth.
Part 2: Guidelines for building of minimal hazard dams 2
2.0 Dam concept In many situations the criteria given below could be
unduly conservative. Obtaining expert engineering
The dam concept can be described as the overall input will typically result in a more optimum, and
type, purpose and size of the proposed dam, as well hence cheaper design by addressing site specific
as possible effects. Questions to consider include: issues.
1 What will the dam be used for?
2 What will any water or other stored 3.1 Storage
material be used for?
The purpose of most dams is to store water for use.
3 Will the storage be permanently full, or will
The volume of storage and extent of flooding caused
levels fluctuate up and down?
by the storage must be assessed. In the case of
4 How much stored water will be required? decorative ponds and dams, the volume of storage
5 Is there sufficient stream flow to meet my may not be an issue.
needs? To determine the approximate characteristics of the
6 If water is to be taken from the dam, how dam storage a calculation guideline is provided in
will this be achieved? Figures 2.6 and 2.7 at the back of this part of the
7 Will the extent of flooding caused by the guideline
reservoir affect others or myself ?
8 How can provision for a spillway best be 3.2 Dam foundation
achieved for a given site?
The foundation of a dam is the natural soil or rock on
9 Will the dam and ground around it provide which it stands. A clean stable foundation of
an adequate seal? adequate strength is vital for dam durability and
10 How will / provide for any permanent flow performance. An adequate seal must be formed to
bypass? reduce leakage from the dam - it may not fill or else
These questions must to be answered during the the seepage may cause instability.
design process. Additional questions may also arise. Key foundation requirements are:
Often examination of other dams in the area will a remove all topsoil and organic material from
provide useful background knowledge for answering beneath the dam footprint
these questions.
a remove any soft materials like peat or
swampy deposits (unless expert
3.0 Dam components engineering advice is obtained on the
design)
A dam consists of several main components which
must work together to ensure safe operation of the a excavate a cutoff trench or key under the
structure. Often it is the connection or interface dam, more-or-less under the crest line of
between the different components that are the weak the dam. The cutoff should extend a
points in the dam design. The main components of a minimum of l.0m into firm natural material,
dam and the design criteria for each are: be at least 3.0 m wide and have batter (side)
slopes no steeper than 1 vertical to 1
❍ Storage
horizontal (1 in 1). Extend the key right
❍ Foundation
across the valley and up the side to at least
❍ Embankment the full water level
❍ Spillways a pipe any springs or seepages encountered
❍ Pipes and conduits in the downstream half of the dam footprint
to the downstream toe.
3.3 Embankment 3.4 Spillways

The dam embankment, or fill, forms the blockage Adequate spillways are crucial for the safe operation
behind which the stored material accumulates. The of dams. Two spillways should be incorporated into
embankment must be formed from clean clays and/or the dam design - normal (service) and flood spillways.
silts free of topsoil or vegetation. The fill should be In some instances this may be impractical, in which
placed at a consistency and moisture content so as to case specific design input will be required. Wherever
achieve high compaction standards. possible the spillways should be constructed in firm
The embankment profile should meet the following natural ground to the side of the dam. The gradient
minimum standards: of the spillways should be kept as flat as possible.
Crest 1 Normal or service spillways
a width to be not less than 3.0m if not used This spillway takes the normal stream flows. Set
as a crossing the inlet of the service spillway at the normal full
storage water level and size it to take several
a width to be not less than 4.0m if used as a
times the mean winter flow.
crossing
The service spillway should consist of:
a surface to be protected by metal or other
suitable material.
Slope angles
The upstream and downstream face should be
no steeper than:
a 1 vertical to 2 horizontal for dams under
1.5m in height
a 1 vertical to 2.5 horizontal for dams above Figure 2.1: Spillway Type and Typical Dimensions
1.5m in height. * If a flume is to be used; a single section of pipe or similar
Additional height should be installed at the inlet to limit the flow in to the
flume.
An allowance for settlement of the dam fill
should be made by slightly increasing the dam Construction standards:-
height by an extra 10%. Bed the downstream portion of the piped
Note: Tracked vehicles should not be used for spillways from the dam crest onwards, onto a
compaction of dams greater than 2.5m in height. suitable drainage material such to minimise
erosion/dissipate energy.
Fill volumes
Keep the gradient and orientation of the spillway
The volume of fill required to build a dam
as consistent as possible. Changes in direction
increases rapidly with height. The cost of the
can cause the flow to jump out of flume
dam will similarly increase. Normally, fill for the
spillways or damage pipe spillways.
dam embankment is taken from inside the area
that will become the storage reservoir. This Site the inlet of the spillway so as to limit the
increases the volume of stored water behind the possibility of blockages.
dam without the need for increasing the dam Locate the outlet clear of the downstream toe of
height. the dam and align it to direct flow into the
Approximate fill volumes can be estimated using stream downstream of the dam. Position the
the method in Figures 2.8 and 2.9. outlet so as to minimise erosion. Discharging
the flow into an old trough set in the ground, or
onto large boulders can help achieve this.
Figure 2.2: Typical Spillway Layout
2 Flood Spillway
a slope the batters either side of the spillway
This spillway takes the high stream flows no steeper than 1 vertical to 2 horizontal (1
generated during storms. The flood spillway in 2)
should be formed around the end of the dam
a put rock protection at the spillway outlets
and extend downstream clear of the dam toe.
for erosion control
The following design parameters are required
a if the dam is to be used as a crossing, put
for the flood spillway:
some erosion protection on the spillway
a place the crest level of the flood spillway at where traffic or stock cross it.
least 0.3m higher than the invert (base) of
Spillway requirements and an example of a
the Service Spillway, or 300mm above
typical layout are shown in Figure 2.2. A
normal full water level
simplified method for determining an
a size the flood spillway to pass a 1 in 100 appropriate width for the spillway is shown in
year flood event with no more than a 0.5m Figures 2.10 and 2.11 at the back of this part of
flood rise above the crest of the flood the guideline. Input of specific expert
spillway, and without overtopping the dam engineering advice would typically result in a
a form the spillway with a downstream more optimised spillway solution.
gradient of no steeper than 1 vertical to 5
horizontal (1 in 5) to reduce erosion
3.5 Pipes and conduits be contacted.

1 Site Preparation
Pipes are often put through the bottom of the dam for
drawing of water but pipes through dams can be Strip vegetation, topsoil and unsuitable materials
weak points for seepage, causing erosion of the dam from beneath the dam footprint and from the
fill. area to be used as dam fill material. Keep the
topsoil for use as a coating for the dam to aid
Pipes through dams should meet the following
grass growth.
requirements:
Remove trees and shrubs from inside the final
❍ dig them into the natural materials under the
storage area.
dam, wherever possible
Instream dams not recommended.
❍ install cut off collars (or similar) around the pipe
along the upstream half of the pipes length. Use 2 Stream diversion
at least one collar for dams of less than 2.5m in If the stream is flowing, divert it around or
height, and at least two for higher dams through the dam site while the dam is built. This
❍ place drainage material (eg .... mm diameter can be done by piping or by building a channel to
gravel) along the pipe for the downstream half of one side. The pipe option is often more practical
its length and the pipe can then be used for drawing water
from the dam or draining it in the future.
❍ hand compact the fill around the pipe to ensure
the pipe is not damaged. If a channel diversion is being used, the dam will
need to be constructed in two halves.
Details for the design of conduits through an earth fill
embankment are shown in Figure 2.3. Alternative An alternative is to form a temporary dam
designs are possible, with engineering input. upstream and pump the flow from this to
downstream of the working area.
4.0 Dam construction 3 Foundation

Excavating the foundation for the dam should
The following section gives brief details on good include the cutoff trench, or key and pipe. Any
practice in small dam construction. If any difficulties springs or seepages encountered on the
are encountered during construction, an engineer downstream half should be clear of the
experienced in dam design and construction should excavation.
Backfill the foundation and as soon as possible,
Figure 2.3: Guideline for Design of Conduits through Earthfill Embankments

to avoid softening or slumping of the key trench a regrass all bare areas above the final water
or valley sides. level
Install foundation drainage at the required a place riprap on the upstream face of the
locations. Novaflo pipes (or similar) placed dam, if required
within the dam or foundations should have their a metal and fence the crest
upstream end blocked off.
a metal the crest of the flood spillway, if
4 Placement of dam fill access across it is needed.
Compact dam fill in layers not thicker than 200
millimetres. Do not use tracked vehicles to
5.0 Common dos, donts and avoids
compact dams higher than 2.5 metres. Use only
clean silts and clays devoid of organic material. Do strip all vegetation, organic soil and soft soil
The fill material should be moist, not dry or wet, from beneath the dam
for best compaction results. Key placement Do compact the dam fill materials in thin
issues are: (approx. 200mm) layers
a the dam footprint should be free of drying Avoid pipes through the dam unless absolutely
out and cracking or anything that will required
prejudice the formation of a good bond with Do install drainage to along the downstream
the dam fill half of pipes through the dam
a the fill should be placed in 150mm loose Dont use fill material that is to wet or to dry for
layers if track rolled. 200mm layers can be constructing the dam
used if a purpose-made compactor is used.
Dont use fill material containing organic materials
Usually 3 passes is a minimum requirement
like topsoil
per layer
Dont form the flood spillway to close to the dam
a overfill and trim back to a neat final profile.
Finally track roll up and down the dam faces Avoid sharp curves or angles in spillways
a if caught by rain, remove softened layers Dont start to fill the dam until both spillways are
before continuing. constructed
Install any conduits or pipes through the dam. Do re-grass bare areas following construction
Often it is more convenient to place fill to a Do closely observe the dam during the period
higher level than the pipe then cut back down to of filling and for some time after.
install the pipe. Any internal drains in the fill can
be placed in the same way.
6.0 Dam monitoring and surveillance
5 Spillway construction
A simple walkover of the dam should be made
Install both spillways as soon as possible -
regularly to look for and note any changes in the
definitely before the diversion pipe or channel is
structure. Important details to look for include:
blocked. If a channel is being used for diversion,
❍ damp or soft patches on the downstream face of
the piped spillway could be used for diversion
the dam or ground to either side
while the channel is being filled.
❍ dirty flow coming from the drains within the dam
Place rock protection at the spillway outlets once
the spillways are completed. ❍ cracking, slumping or movement of the dam fill
6 Finishing works ❍ erosion of the dam fill on the upstream face

particularly at the water line
a spread topsoil on the downstream face to
assist grass growth
❍ blockage, erosion or bank slumping in the flood a cleaning and clearing of the outlet from any
spillway. drains to ensure continued operation
Any changes or damage noted should be repaired or a replacement of lost riprap or erosion control
referred to an engineer experienced in dam design measures on the spillway and upstream
and construction. dam face.
A brief observation checklist is included in Figure 2.12 A brief observation checklist is included in Figure 2.12
of this part of the guideline. of this part of the guideline.
7.0 Dam maintenance Storage characteristics

The life and safety of a dam depends on adequate 1 Calculating catchment yield
maintenance. Good dam maintenance includes: The following simple calculation will give an
a maintaining a good grass cover on the dam indication of how much water a catchment will
and flood spillway. Trees and shrubs should supply each year. A worked example is also
not be permitted to grow on or near the given below (Figures 2.4 and 2.5).
dam or spillways For most uses the value of net yield availability for dry
a repair of the spillway, if required, after flood year should be used.
events
Figure 2.4: Catchment Yield Calculation
Figure 2.5: A Worked Example of

Catchment Yield Calculation
Note: A more accurate estimate would be achieved with the help of a specialist engineer.
Also note that the symbol of the asterisk (*) denoted a multipication sign.
2 Estimating storage volume spillway, and a maximum storage volume,

The following simple method will give an which will occur during an extreme flood event.
approximate stored volume. Two volumes are A worked example is given below.
calculated, a normal storage volume, above It is assumed that the valley profile upstream of
which water will start flowing out of the service the dam is relatively constant in shape
throughout the storage.
Figure 2.6: Storage Size Calculation
Figure 2.7: A Worked Example of Storage Size Calculation

Dam embankment
1 Embankment fill volume
The following simple calculation will give an
approximate volume of fill required for the dam
embankment. Also calculated is the area of the
dam footprint, or area covered by the base of the
dam. For simplification it is assumed that both
the upstream and downstream batter slopes on
Figure 2.8: Embankment Fill Volume the dam are equal. A worked example is given
below.
Figure 2.9: A Worked Example of Embankment Fill Volume

Spillway
1 Flood spillway width calculation
The following method can be used to determine
the minimum width required for the flood
spillway of a small dam. A worked example is
given below.
Figure 2.10: Flood Size and Spillway Width Calculations
Figure 2.11: A Worked Example of Flood Size and Spillway

Width Calculations
Note: Specialist input would result in a more optimised design solution.

Dam inspection checklist

The table below lists the key items that should be Overpage is a sketch of a typical dam. Particular
inspected on small earth dams. Not all items will observations can be noted on this plan for
apply to all dams. comparison with future observations.
Figure 2.12: Checklist Dam Maintenance and Monitoring

Date: Inspected by:
Notes:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
Figure 2.13: Schematic Checklist

Dam Maintenance and Monitoring
Notes:
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
___________________________________________________________________________
Part 3: Performance guidelines for low, significant and high hazard dams
Introduction 2.0 Dam risk

This part of the guideline aims to promote The hazard category dictates the level of design input
appropriate levels of investigation, design and needed to ensure that the structure has an
monitoring are being applied to dams within the appropriately low risk of failure. A dam with a higher
Auckland region, in order to ensure dams in the hazard category must be designed and constructed in
region are built to and operate within acceptable a way so as to ensure a lower risk of failure than a
safety margins. Part 3 is not intended as a design dam with a lower hazard category. The concept of
manual, but rather a guideline by which the Auckland risk is discussed in Part 1 of this document.
Regional Council, as a regulator, can determine
whether adequate dam safety standards are being
3.0 Dam ownership and liability
achieved.
While this document is predominantly concerned Few dam owners are technically qualified in dam
with earth fill structures, similar principles can be engineering. Owners often play a minor role in
applied to dams made of other materials. project development, but play a very important role,
being the holder of permits and consents needed to
The performance standards in this guideline are
build and operate the dam.
mainly based on the New Zealand Society of Large
Dams (NZSOLD): Dam Safety Guidelines (Nov 1995), The owner is legally responsible for maintaining the
which provide excellent background information on dam and its associated structures in a safe condition
dam safety requirements and standards. and for operating the dam safely.
The principal topics covered in this part of the The owner usually needs help from technical advisers
guideline are: about dam design, construction, and operation.

These advisers have the responsibility to meet the
1 appropriate levels of investigation
owners requirements and also to ensure the owner
2 appropriate levels of design input is made aware of the operational and safety
3 construction monitoring and testing external limitations of the structure.
design reviews In the event of an incident, attention will first be
4 monitoring and surveillance. focussed on the owner. The owner is legally liable
Monitoring procedures, performance monitoring and for damage after a dam failure and may be culpable in
external reviews of existing dams are dealt with more the event of loss of life.
extensively in Parts 4 and 5 of this guideline.
4.0 Dam failures worldwide

1.0 Dam hazard and risk A study undertaken by the International Commission
For a proposed dam, its hazard largely determines the on Large Dams (ICOLD) 1983 examined 14,700 large
appropriate level of input into dam investigation, dams of over 15m around the world and found that
design or construction monitoring. The hazard 0.7% had failed, and 0.83% of embankment dams
category for a particular dam provides the best had failed. Failure was defined as damage sufficient
indication of this. to lead to breaching of the reservoir, or its
Dam hazard categories for use in the Auckland region abandonment or temporary removal from operation.
are outlined in Part 1 of this guideline. As well as

dam safety, the categories include historical and
environmental considerations.
Users of Part 3 of the guideline must use Part 1 to
determine the hazard category of a proposed dam.
Part 3: Performance standards for low, significant and high hazard dams 2
Numerous studies have been conducted on dam

failure statistics. The main conclusions from these
studies are:
1 earth and rockfill dams make up the greatest
percentage of failures, but also form the largest
proportion of dams overall
2 most failures occur during reservoir filling or
shortly afterwards
3 the most frequent consequence of failure is
scheme abandonment.
Some of the statistics presented in these studies are
shown in Figures 3.1, 3.2 and 3.3.
Figure 3.1 shows that earth and rock fill dams make
Figure 3.2: Embankment Dam Incidents
up a slightly higher percentage of the number of
failures than would be expected from the proportion
of dams they represent. Although the statistics shown in Figure 3.3 would
Examination of earth dam failures in more detail is suggest that drainage should be incorporated into
thus warranted, given that they make up the greatest dam design as a matter of course, most
proportion of dams. homogeneous earthfill dams are relatively small
Figure 3.2 shows the proportions of embankment structures. The hazard posed by these structures is
dams that fail and the reason for failure. Also shown less, so the acceptable risk of failure is often higher.
is the time in the dams history when failure occurred. Larger structures have a lower acceptable risk of
These figures highlight the vulnerability of failure and constitute a greater investment. Design
embankment dams during construction and first necessities such as drainage and zoned construction
filling. are therefore justified for larger dams.
Figure 3.3 examines 65 embankment dam incidents,
including 15 failures, according to embankment type.
It highlights the value of taking a more sophisticated 5.0 Dam failures in New Zealand
approach to embankment dam design than just a
simple earthfill structure. New Zealand dam failures follow a similar pattern as
overseas ones, also being most likely to fail during
construction or within the first few months of
completion. Failures at the Ruahihi and Wheao
schemes shortly after construction and the recent
damage to the Opuha dam during construction are
some well known examples.
Natural factors that have a large influence on dam
construction method in New Zealand include the
volcanic and seismological setting, complex soil and
foundation conditions and hydrological issues. The
complex geology associated with volcanic areas has
influenced over half the recorded incidents in New
Zealand. Poor foundation conditions were a factor in
over 75% of the more serious recorded incidents.
Figure 3.1: Failures and Actual Proportions

Figure 3.3: Embankment Dam Incidents
Of paramount importance to dam design, Deposition of eroded or landslide material has in-
construction and operation in New Zealand is the filled valleys with deep soft alluvial soils which are
adequate selection and use of materials and often inter-bedded with organic peats, gravels and
drainage. Inadequate attention to drainage has been weak clay seams.
a factor in 86% of serious dam incidents in New The successive weathering and infilling of materials,
Zealand. This includes poor drainage a-Found coupled with localised volcanic influences, mean
conduits through dams, which introduces a weak foundation conditions can change over very short
point in the dams construction. Poor understanding distances, even within the area of a dams footprint.
or insufficient consideration of difficult materials was A dam design may need to cope with varying
a factor in nearly two thirds of serious incidents. foundation conditions over relatively short distances.
Structural deficiencies influenced 50% of minor Several recent failures of irrigation dams in the
incidents. The main factors influencing incidents in Northland region have been mainly due to inattention
New Zealand are shown in Figure 3.4. to foundation conditions.
In the Auckland and Northland regions difficult soil Attention to details such as compaction and seepage
and foundation conditions pose a major challenge to control around conduits within and under the dam is
dam design and construction. The moist maritime also of crucial importance. Poor attention to conduit
climate has produced deep, often uneven, design and drainage around conduits has contributed
weathering of soils. This has in turn provided a to dam incidences in New Zealand.
setting for widespread land instability and erosion.
Figure 3.4: Factors Influencing Dam Incidents

The Auckland Region is also subjected to more components discussed in this document and their
challenging hydrological conditions than much of the related safety considerations are discussed below:
country. The predominance of small steep 1 Reservoir The most common purpose of a
catchments gives rise to high peak flood flows. dam is to form a storage or holding area behind
Diversion planning during construction and spillway it. This storage is one of the main determinants
design are therefore of utmost importance. of a dams hazard category. The changes in water
levels caused by the reservoir can induce slope
6.0 Proposed vs existing dams instability and affect groundwater in surrounding
areas. There is also a range of environmental and
Part 3 of the guideline should mainly be used to ecological issues associated with the formation
assess the performance of proposed structures. of a reservoir.
Investigating, designing and assessing construction
2 Dam Structure The main dam structure is
standards of proposed dams is relatively straight
required to provide a barrier behind which the
forward: the critical components of the dam which
storage is retained. Safe performance depends
safeguard its existence and operation can be
on a number of components.
observed and reviewed before construction. While
this does not necessarily mean that a proposed or a A dam cannot exist in isolation from its
newly constructed dam has a lower risk of failure foundation and abutments. Sufficient
than an existing comparative structure, it does reduce investigation needs to be undertaken to
the level of uncertainty about its risk of failure. determine foundation conditions and an
appropriate type of dam structure must
Part 3 is generally applicable to existing structures,
then be selected to match these conditions.
but it is often impractical to assess the adequacy of a
Systems may also be required within the
dams design and construction once it is built. Risk
dam structure to control load stresses,
assessment of existing dams therefore needs to be
seepage flows and/or potential movements.
treated in a slightly different manner, relying more on
the monitoring, surveillance and past performance of 3 Spillways Flood flows are the most visually
the structure. Many of the components critical to obvious, and for most dams, the most frequent
safe dam operation are permanently hidden, with threat to dam safety. These flows are nearly
monitoring being the only means of determining always controlled by means of one or more
performance. spillways. The level of protection provided by

these spillways must be appropriate to the
Monitoring levels, which are too low to give an
dams hazard category.
adequate assurance of safe operation, create
possible uncertainty about the risk of particular a Spillways come in a variety of forms and
components or the structure as a whole. If there is configurations. The selection of the most
any uncertainty, performance monitoring procedures appropriate spillway or spillways depends
for existing dams dictate that a conservative approach on the characterisation of the site, proposed
to dam safety must be adopted. Monitoring and uses for the dam and economic constraints.
surveillance are discussed in Part 4. 4 Conduits Most dams have one or more
conduits passing through the main dam
structure or adjacent abutment. Conduits are the
7.0 Key dam components and safety most common method used during construction
considerations to divert streams while the dam is being built.
The term dam can describe more than just a barrier They are also used for spillways, draw-off
across a stream or river. Dams include a number of systems and power conduits for hydroelectric
key components and their nature and function can schemes.
vary depending on a dams purpose. The principal a Conduits are often a potential line of
weakness through the dam, connecting
the storage behind the dam with the 1 Engineering geology`for investigating and
downstream toe. Care must always be assessing foundation conditions, and in the case
exercised in the design and construction of of embankment dams, the properties of the
conduits to ensure they do not cause proposed fill material.
safety problems. 2 Geotechnical engineering ` for assessing the
5 Construction A dam is usually at its most strength and stability of the foundation and
vulnerable during construction. Flood control dam. Particular attention will be placed on the
facilities, performance monitoring and external interface and interaction between man made
protection are often significantly less than for a components and natural materials, and between
completed structure. The level of risk accepted components formed from differing materials.
during construction is typically much higher than a Specific assessment of reservoir slope
during operation, creating a greater potential for stability may also be required.
an incident.
3 Hydrological engineering to assess if there is
a Careful consideration needs to be given to enough water available to make the scheme
the tolerable level of risk during viable, and to assess the size and means of
construction and whether it is consistent passing flood events.
with the hazard category of the structure at
4 Hydraulic engineering to design spillways and
various critical stages during its
associated structures.
construction.
5 Seismological engineering will be required in
6 Other Many dams include other structures
areas where earthquakes represent a possible
which, although they may not represent
threat (this includes most of New Zealand).
significant safety issues in their own right, may
6 Volcanological engineering in areas when
have importance and require a high level of
volcanic activity could represent a threat to the
protection.
dam or associated structures.
Such structures could include:-
7 Environmental engineering to identify issues
a access roading to the dam or local
and effects and design any necessary mitigation
communities
measures.
a powerstations supplying the local area
8 Structural engineering to design structural
a water supply to local communities components.
These issues can influence the required level of 9 Project management for larger projects,
design or monitoring input for a given dam. specialist project management skills are
required to ensure smooth operation and
8.0 Technical advisors and contractors integration of various components of the
development.
Technical advisors and contractors will be required
10 Construction competence a level of
during most stages of dam design and construction
construction competence appropriate for dam
for all but the smallest dams. For larger structures,
size is required. This means skill in construction
teams of specialists will probably be required to
procedures and in programming and design
investigate, design, supervise and monitor key
interpretation. Larger projects will usually have
components of the development.
several contractors undertaking a range of
The appropriate level of specialist input and design different tasks. The NZSOLD guidelines
competence depends on the dams hazard category. discuss construction competence.
Typical skills that may be called upon and their In addition to the various technical advisors and
respective roles include:- contractors, a peer reviewer or review panel is
needed for larger projects in order to provide an Objectives:

independent overview of concepts, design issues a define physical limits and viability of scheme
and construction.
a define scheme concept or range of
concepts, and probable limitations
9.0 New dams: conception to completion a define environmental issues and concerns.
The investigation and design process needs to Methods:

address both physical and intangible considerations. a desktop study using geological/
As well as ensuring the structure can be built and topographical maps etc
operated safely, it also must be shown that the dam a walkover survey/site appraisal to assess
will not have adverse effects on the environment or need for on-site controls
the public.
a search of historical data on hydrology,
The Resource Management Act 1991 (RMA) requires climate, and values.
that the impacts from a development be kept to a
Following these, a preliminary scheme design
practical minimum and that mitigation measures be
concept or concepts would typically be
undertaken to remedy adverse effects. Consideration
produced in order to assess what level and type
of practical alternatives will typically be required to
of further investigation is required. For larger
ensure the best overall development option is
developments, these design concepts will often
adopted. This subsection looks at:
be used to begin the consultation process
❍ investigation required under the Resource Management Act.
❍ design Pre-design investigation
❍ construction Pre-design investigations would be undertaken
❍ commissioning. before full design stage. Pre-design can be
considered the main investigation phase.
9.1 Investigations Objectives
For the purpose of this guideline the term a accurately define physical limits and
investigation includes studies into both physical scheme viability
(geology, hydrology etc) and intangible a assess geological, geotechnical and

(environmental, historical) issues in three phases: hydrological controls
❍ preliminary a define level of hazard and identify risks
❍ Pre-design a undertake hazard assessment including
❍ Design. seismological studies
Smaller structures may not have multiple stages a define and examine environmental,
although some preliminary investigation is almost sociological and cultural issues
always undertaken before more in-depth a define scheme concept and probable
investigations. design restrictions
Preliminary investigations a obtain cost-effective design solution
In the first stages of a projects development, the Methods

actual scheme configuration and size is normally a topographic and geological surveys and
poorly defined, and a potential hazard category mapping
would not be assigned. Initial investigations aim a surface and subsurface investigation
to define the physical viability of the scheme and
a laboratory testing etc.
will mainly be based on existing information.
a installation of specific monitoring equipment
The investigations should be adequate to allow 3 Appropriate analyses and design methods
full design of the main scheme components. should be adopted. While most dams are
Some additional investigations, identified during unique in their setting and design, the design
the design process, may be required for specific procedures used to derive the designs are well
components. In addition to the investigations established. New technology and knowledge
examining the area in the vicinity of the dam, may allow better scheme optimisation and
consideration must also be given to the area cheaper solutions, but the process is very similar
around and within the reservoir. Slope stability from site to site.
around the reservoir perimeter can, on occasion, 4 A what if approach is required for engineering
dominate project feasibility. critical components or in areas of greatest risk.
Design investigations A backup control for a spillway gate may cost
For larger projects it is normal for the design several thousand dollars but a multi-million dollar
process to highlight potential difficulties that spillway may end up being useless in the event
may result in modifications to the design of failure of a $5 switch to open the gates.
concept. Often this process may require This conservative approach is often termed
additional investigations for new design defensive failsafe engineering.
elements or design optimisation. 5 Construction specifications, based on the design
must be clear and understandable. The
9.2 Design contractor must be made aware of design
parameters, assumptions and concepts and have
Dam design, as with most complex developments,
an understanding of design limitations.
involves an iterative process. Numerous design
a The design must also be able to withstand
options and modifications will be required before a
construction. The loadings and risk present
solution is found that meets the clients expectations,
during construction are amongst the
required safety standards, environmental constraints,
greatest the structure will ever face and
public considerations and budgetary limitations.
consideration of how the dam will be built
For large dam projects involving many specialist
is often influential on and sometime
disciplines, this iterative process will involve a series
dictates the overall design concept.
of intertwined feedback loops.
6 A degree of flexibility must be maintained in the
The design process for dams is complex and varies
design to allow for modifications that will almost
depending on dam type and purpose. It is not
certainly be required during construction to
practical in this document to cover the design
meet unforeseen conditions.
processes involved, but an understanding of the main
7 Careful consideration must be given to any
safety issues that must be addressed in the dam
stream diversion during construction and the
design phase is necessary. These are:
construction sequence as a whole. The level of
1 Evaluation of the hazard and associated risks.
risk associated with the adopted diversion
This needs to be undertaken at a early stage as it
during construction concept must be assessed.
determines the appropriate levels of
Once the final design solution is obtained, a check
investigation, design and design conservatism.
needs to be made that the parameters on which the
2 Qualifications of the design team must be
initial design concept was based are still valid. Many
adequate for the level of project complexity. The
failures have occurred due to a sequence of very
Project Manager fulfils the most important role
minor design changes which when accumulated
of ensuring that incompatibilities do not arise
together produce a design solution well outside the
between different design components and
initial design envelope on which important design
technical advisors.
assumptions were based.
9.3 Construction 9.4 Commissioning

Dam construction involves the conversion of the Commissioning a dam involves the gradual
design in to an actual physical structure. While this application of design loadings. Formal
may seem obvious, this link between design and commissioning is usually conducted only on higher
realisation of the design is crucial to the hazard category dams. The purpose of
establishment of a safe dam. Many dam incidents commissioning is to test the dam and its associated
have resulted from lack of communication between structures under a range of loadings. Many design
construction and design personnel. Whereever loadings, such as seismic and extreme floods, can not
possible, key members of the design team should be be tested. However if expectations are realised for
involved in construction. normal load cases, confidence is gained for more
Key issues associated with the construction process extreme events.
to consider: Figure 3.2, shown previously, shows many failures
1 The contractor should be suitably experienced in and incidents occur during initial dam filling,
dam construction and in communication with highlighting the importance of careful
specialist design staff. commissioning.
2 The level of supervision and quality assurance Key components of the commissioning process
both from the contractor and the owners include:
representatives should be appropriate to the 1 Carry out testing of all key components to a pre-
scale of the project. arranged schedule
3 The owner must be made aware that 2 Give staff on the job training for monitoring
modifications during construction will nearly systems, safety, and incident response
always be required and that an allowance should 3 Repair and/or modify any components that do
be made for this when funding the scheme. not meet required performance specifications
4 Design changes should not be made without the 4 Prepare a commissioning report detailing tests
original designers approval. A dam is a undertaken, results, modifications made and
combination of interdependent components. A warning levels on monitoring equipment.
change to one component will frequently have
Preparation of an emergency action plan for higher
flow-on effects on others.
hazard dams will typically be required.
5 Observations, monitoring and design changes
The commissioning period should continue until the
during construction should be recorded and
dam and all the associated components have met the
brought together in an as-built document. This
required performance standards. Some items such
record could be crucial in the event of problems
as spillways may require review at a later date if their
that may arise later.
full design loading cannot be tested.
It is the role of Auckland Regional Council to ensure
compliance with the consents issued for the
development and the construction phase. Consents
10.0 Minimum guidelines for building new
granted for dams effectively give permission for a dams
hazard to be constructed. Council staff must ensure
Standards for the investigation, design and
they do not mistakenly assume liability for unsafe
construction of a new dam must be based on its
structures. External reviews are essential and are
hazard category. Definition of an appropriate hazard
discussed in detail in Part 5 of this guideline.
category as outlined in Part 1 of this guideline is
fundamental for establishing the required level of
design input.
For example, it could be argued that a 7m high dam The dam must be protected from natural events that
(with a low hazard category) on soft foundations may add extra loading onto the structure or threaten
would need more than simple test pits as a means of damage to it.
site investigation. Given the potential foundation This section is mainly aimed at earthfill embankment
problems, an appropriate hazard category for this dams, but most of the broad principles also apply to
structure may well be significant, in which case a other forms of dam construction. For construction
more intense investigation is needed. This simple methods other than earthfill, designs are typically
example highlights the importance of defining an more complex and need more specialist input. For
appropriate hazard category for a dam. this reason, alternative construction types are most
The minimum standards outlined in the four flow often associated with larger structures.
charts that follow describe minimum investigation,
design and construction performance levels that
11.1 Dam foundations
could be expected for proposed dams in four hazard
categories. These are not the only appropriate The foundation of a dam, or the zone in which the
methods or the maximum level of input required. A engineered structure meets the natural ground, is
level of interpretation will be required from the crucial to the integrity of the dam. The adage that a
personnel assessing a new dam proposal as to the structure is only as secure as the foundations on
appropriateness of the proposed methods. A which it rests applies to dams. Common problems
performance assessment sheet is provided in Figure associated with foundations include:
3.11. ❍ bearing capacity failures
More detailed information on specific areas of ❍ foundation settlement
investigation and design is given in Section 12 of ❍ piping and leakage.
this Part 3. A brief checklist sub-divided by hazard
Ways of over coming these problems are outlined
category is provided in Figures 3.12 3.14 for
below:
different hazard categories.
Foundation profile and bearing capacity
The dam must be founded on material strong
11.0 Specific design details enough to bear the vertical loads imposed on it.
Dam structures and their impounded materials place It must also be able to resist the shearing force
a load on their foundations and surroundings. This produced by the structure. Assessing the soil
loading needs to be transferred to the surrounding strength profile of the foundation is the main
natural materials. The dam also needs to control purpose of the sub-surface investigations in the
seepages, not settle significantly, and serve the vicinity of the dam.
purpose for which it was built. The soil profile beneath the dam, and the
Most dams, especially embankment dams, consist of properties of this profile have the greatest
three main parts, in terms of loadings: influence on the selection of dam type and
❍ the foundation which must provide support to profile. Some typical foundation profiles and the
the structure above and not allow excessive effect these may have on embankment dam
leakage. The connection between the dam and design are shown in Figure 3.5.
foundation must also be adequate Foundation conditions have a major influence on
❍ the upstream portion or part of the upstream the stability of the embankment.
portion of the dam which must provide a seal Earth dams must be analysed for stability of the
against excessive leakage from the storage embankment itself, while concrete structures
❍ the downstream portion of the embankment are more prone to sliding on the foundations or
which must provide support to the upstream toppling.
portion.
Figure 3.5: Potential Foundation Situations
Foundation settlement 11.2 Piping and seepage control

Some settlement of the foundation materials, in
All dams leak. Classical dam engineering focussed
addition to settlement of the embankment fill (in
on trying to stop seepage flows completely. Not only
the case of earthfill dams) is likely to occur. This
were these attempts almost always unsuccessful, but
settlement can cause cracking in the fill and
they occasionally worsened the destabilising effects
stress or even dislocate conduits that pass
of seepage and water pressure. The modern
through the embankment or foundations.
approach is to limit seepages to a practical minimum,
Differential settlement, which occurs when
and then control the remaining flows by extensive
material properties change over the site or if the
targeted drainage.
valley has an unusual profile, is of particular
Losses due to seepage can be economically and
concern. Some examples of this are given in
environmentally costly and can have safety
Figure 3.6.
implications, as most dams, especially earthfill dams,
Potential settlement is another reason why softer
can be detrimentally affected by excessive or
foundation materials need to be either removed
uncontrolled seepage flows. Reducing seepage and
or designed for. Where settlement is likely to be
lowering the probability of piping failures can also
a problem, additional drainage measures are
reduce uplift pressures under the dam.
warranted to control seepages that may occur
Seepage must therefore be reduced to a practicable
through settlement cracks.
minimum.
Figure 3.6: Differential Foundation Settlement
Seepage control focuses on two critical aspects: Seepage reduction and control
❍ foundation and embankment seepage The purpose of most dams is to retain fluids for
❍ seepage along conduits. use or treatment. Losses due to seepage can be
economically and environmentally costly, and
Pressurised conduits, a special case, are also
can have safety implications most dams,
discussed.
especially earthfill dams, can be detrimentally
Foundation and embankment seepage control
affected by excessive or uncontrolled seepage
As shown embankment dams without drainage flows. Seepages must therefore be reduced to a
make up a disproportionate number of the practical minimum
observed incidents. The use of homogeneous
Reducing seepage and lowering the probability
earthfill dams without drainage is only
of piping failures can also reduce uplift pressures
acceptable for minimal hazard dams in
under the dam.
uncomplicated situations.
Foundation and embankment seepage
The design of appropriate seepage control
All dams leak. Classical dam engineering
measures is site and material specific, and is
focussed on trying to stop seepage flows
therefore beyond the scope of this guideline to
completely. Not only were these attempts
describe in depth. Some typical examples of
almost always unsuccessful, but they also
drainage control measures are given in Figure
occasionally worsened the destabilising effects
3.7.
of seepage and water pressure. The modern
The most common means of reducing seepage
approach is to limit seepages to a practical
losses through dam foundations and abutments
minimum, and then control the remaining flows
is by means of a cut-off or key. The purpose of
by extensive targeted drainage.
the key is to replace a segment of the potentially
As shown in Section 4 of this part, embankment
permeable or variable foundations with
dams without drainage make up a
engineered materials. The type, location and
disproportionate number of the observed
extent of the key reflects the foundation
incidents. The use of homogeneous earthfill
materials, dam type and likely seepage rates and
dams without drainage is only acceptable for
pressures involved.
minimal hazard dams in uncomplicated
Part of the seepage control in Figure 3.7 is a key.
situations.
The size and location of the key, if one is
The design of appropriate seepage control
required, will depend on the nature of the
measures is site and material specific and as
foundation materials and the dam design. While
such is beyond the scope of this guideline to
a cutoff key will typically be incorporated into the
describe in depth. Some typical examples of
design of an earthfill dam it should not be
drainage control measures are given in Figure
assumed that this is normal. (refer to Figure 3.5
3.7. The most common means of reducing the
and Section 11.1 of this part of the guideline).
Figure 3.7: Typical Embankment Drainage Detail
seepage losses through dam foundations and potential leakage paths along the line of the
abutments is by means of a cut-off or key. The conduit, which in the worst case will enlarge
purpose of the key is to replace a segment of with time, leading to failure. In addition, it is very
the potentially permeable on variable difficult to adequately compact around conduits,
foundations with engineered materials. The exacerbating the problem.
type, location and extent of the key reflects the Again, the classical approach was to try and stop
foundation materials, dam type and likely seepage along conduits, typically with the use of
seepage rates and pressures involved. cut-off collars. Cut-off collars along the upstream
Part of the seepage control in Figure 3.7 is a key. portion of the conduit will retard flow and
The size and location of the key, if one is provide a degree of support for the conduit, but
required, will depend on the nature of the the same problem of adequate compaction
foundation materials and the dam design. While remains for material either side of the collars.
a cutoff key will typically be incorporated into the For this reason cut-off collars should not be
design of an earthfill dam it should not be relied on as the only means of controlling
assumed that this is the norm. (Refer to Figure seepage, though they are still applicable in many
3.5 and Section 11.1 of this part of the guideline). situations. In many situations alternative
Seepage along conduits measures are more applicable such as the use of
concrete encasement or bedding. Another
Conduits through dams, especially embankment
alternative for smaller dams would be
dams, produce a discontinuity in materials.
compacted soil / bentonite mixes. The
These different material properties between the
downstream section should however always be
conduit and the surrounding fill can result in
drained in a controlled manner. This ensures
differential settlement. This will produce
these seepage flows that will occur do not erode 11.3 Flood magnitude and control
the fill material around the conduit. A typical
Floods pose one of the greatest threats to dams.
detail using collars is shown in Figure 3.8.
Adequate control of floods is required to reduce the
Pressurised conduits
risk that potential hazard is realised.
The use of pressurised conduits through dams
Flood magnitude
should be avoided whenever possible. If their
The design flood is selected on the basis of the
use is unavoidable, their design and construction
dams hazard category, the significance of
must be considered very carefully. Because
components that may be damaged in a flood and
settlement of the dam fill or underlying
the level of understanding of the areas
foundations can cause stress or dislocations to
hydrology. Of the series of terms used to
conduits passing through the dam, in the case of
describe different types and level of design
pressurised conduits high water pressures,
floods, the most common are:
equivalent to the water level in the reservoir,
could be released into the sensitive dam interior. Diversion design flood the magnitude of the
For this reason pressurised conduits are seldom event for which the dam is protected during
used for large dams. construction.
There is no definitive rule for when pressurised Operation base flood (OBF) a moderate sized
conduits pose a significant risk. The strength of event for which no specific flood control
the foundations, type of conduit and conduit measures would be required and following
purpose all influence the suitability of which the structure could be expected to
pressurised conduits. return immediately to full operation.
Maximum design flood (MDF) the maximum
event that the structure has been designed
to safely pass. Normal operation of the
structure would probably not be possible
following the event until a full systems
check was undertaken.
Figure 3.8: Typical Conduit Seepage Control Measures

Bank/crest full flood (CFF) an event which The standard suggested by the Auckland
causes the reservoir to rise to the level of Regional Council is not an immovable standard.
the dam crest to the extent that there is no Flexibility should be maintained to allow the
freeboard. In some situations this may be applicant the opportunity to present an
equivalent to the MDF. alternative to the design flood suggested. Use
Probable maximum flood (PMF) the largest of external peer reviews would be an important
probable flood event that could occur at the consideration in the acceptance of alternative
site, or the theoretical upper limit to flood design standards.
magnitude. Consideration of diversion floods
Appropriate standards for design floods The selection of appropriate diversion design
Flood standards suggested by this guideline are flood needs at least as much careful
compared with some from overseas consideration as finished dam design floods.
organisations shown in Figure 3.9. The figures The applicant must justify the diversion flood
shown should not always be considered standard to be adopted.
minimum standards, as in some instances a When selecting the diversion design flood, the
lower design flood may be appropriate, applicant must consider interim hazard
particularly for dams at the lower end of their categories for the structure for the various key
hazard category. In these situations the designer stages of its development. Diversion flood
must prove that a lower level is appropriate. capacity may well also change during the period
Design floods must be adopted on a case by of construction. For larger dams, where
case basis. construction may take several seasons,
The differences in design floods selected by consideration should also be given to
various organisations, reflect these different programming construction to avoid the dams
hydrological conditions. The conservative more vulnerable stages that coincide with
design floods specified in the ANCOLD seasons when floods are more prevalent.
guidelines would not necessarily be practical in Seasonal flood frequency analysis is used to
New Zealand. identify critical times during the year. Care must
Figure 3.9: Flood Design Standards

Figure 3.10: Effect of Different Flood Durations
be exercised to ensure that a consistent level of In many cases the maximum design flood will
protection is obtained. For instance a 1 in 10 produce a water level in the storage close to
year seasonal design flood will not give the crest full, with an allowance for wave run-up.
same level of protection as a 1 in 10 year annual Wave run-up is dependent on reservoir size,
design flood. orientation and location. Wave action is unlikely
For smaller structures where construction may to be significant in reservoirs with open water
only take a few months, selection of a smaller lengths of less than 200m.
diversion flood may be appropriate. Spillway configuration
Consideration of flood volume Many different spillway configurations are used
The introduction of a dam changes the flood for flood control. The type, number and
regime of a river. The storage behind the dam operating method of spillways reflect the dams
will slow down, attenuate the flood, reducing the size and site conditions. The main criteria for
peak flood magnitude downstream. It is very spillways or flood passing systems are:
important to consider the impact of flood events a controlled, safe passing of the operational
of different duration when designing spillways. base flood with no damage to the dam or
The critical flood event for a dam will not be the associated structures
same as that for the river in its natural state.
a safe passing of the maximum design flood
Longer duration events that contain a greater
without risk of dam failure or significant
volume of water are typically more critical. This
damage.
effect is shown in Figure 3.10.
It is often impractical to meet both of these
Freeboard and wave run-up
requirements with a single spillway or bypass
When determining the height of a dam, system. Reliance on a single spillway passing
allowance needs to be made for flood rises. flows in an extreme event is not appropriate for
Additional height should be added to allow for any except the smallest dams. If the spillway
wave run-up and to give the dam a freeboard, or suffers damage during a maximum design flood
safety margin, against flood rise. and needs extensive repairs, an alternative
Freeboard is somewhat independent of hazard means of passing smaller events should be
category, as the level of risk will already have available for use while repairs are undertaken.
been set by selecting appropriate design floods.
In many situations the second flow-passing Energy dissipation

system may not be a spillway, but a low level Flowing water contains energy. The more
outlet, turbine or similar. pressure or head that drives the flow, the more
Two spillways are the most common energy contained within it. This energy needs to
configuration for earth dams; a service spillway be removed before the flow exits the engineered
and an extreme event spillway. The next most environment of the spillway or conduit.
common configuration is a single highly If not enough energy is dissipated by the spillway
engineered spillway, with a backup means of design, damage can occur to the river
passing flow such as a low level outlet, or a downstream of the dam, to the spillway and to
turbine. associated structures near the toe of the dam. In
For concrete dams where overtopping of the the worst case this damage may progress back
dam is less perilous a single spillway may be upstream until the dam itself is compromised.
appropriate. There are many ways of dissipating the energy
Service spillway from spillway flows. Care must be exercised to
The service spillway is required to take the ensure a system is used that is compatible with
smaller, more frequent events without damage. the spillway type, energy in the flow and the
It must also be able to be shut off or take its downstream environment.
share of the flow during extreme events and still
be useable afterwards. The capacity of the 12.0 Existing dams
service spillway is typically up to the operation
base flood event as described in Table 3.9. A dams hazard category is independent of whether
the structure is new or has been in existence for many
Common types of service spillway used include:
years. In many cases the hazard category changes
a piped spillways over the period of a dams life due to increased at-risk
a flume or chute spillways population or changes in dam use. This can result in
a conduit spillways such as bellmouth the dam becoming under-designed for the level of
spillways hazard it has come to pose as a result of these
Flood spillway changes.
The flood spillway must operate safely when The safety and performance of existing dams must
required, but may sustain some damage during therefore be gauged in terms of current standards and
extreme flood events. The capacity of the flood design methods. This can cast some existing
spillway must be sufficient to pass the maximum structures, particularly older dams, in a poor light.
design flood as described in Figure 3.9. There are a number of reasons why an existing dam
may not meet the required level of low risk
For simplicity and safety reasons, spillways
appropriate to its hazard category. The main reasons
without gates are preferable, although for
are:
economic and practical reasons, gates are often
used. Additional care is required with gated ❍ changes in design and construction technology -
spillways to ensure that the gates will open the state of the art
when most needed. They therefore need good ❍ changes in hazard category due to demographic
design with regular inspection and maintenance changes downstream
when required (see Part 4 of this guideline). ❍ modifications to the structure, its use or
Common types of flood spillway include: operation
a overflow chute spillways ❍ deterioration of all or parts of the dam
a fuse plug spillways. ❍ changes in required standards

❍ uncertainty about the dams structural integrity.
In most cases there is likely to be a combination of 1 Alter operations If the dam is not meeting the
the above. Uncertainty is one of the most common required safety level appropriate for its hazard
reasons why a dam may be perceived as not meeting control in just one or two specific areas (eg flood
current criteria. For this reason adequate levels of protection), changes to the dams operation may
monitoring are critical to ensure confidence can be offset the safety deficit. For example by
maintained in a structures performance. maintaining a lower operating level to increase
flood freeboard.
12.1 Safety reviews 2 Monitoring Often dams do not meet current

safety criteria because of lack of understanding
The issues listed above mean that larger dams are
of uncertainties about how the structure is
generally subjected to periodic performance and
performing. Enhanced monitoring, often in
safety reviews. These reviews range from frequent
conjunction with exploratory investigations, may
internal reviews of monitoring and surveillance data
well show that the structure does meet required
to full external reviews.
safety standards.
Internal reviews generally focus on the performance
3 Decommission In some cases it may be more
of the dam and its associated structures against a set
appropriate and economically viable to
of guidelines and criteria developed by the original
decommission the structure. While this removes
designer or peer reviewer. Should observed results
the hazard posed by the dam and reservoir,
fall outside the prescribed original limits there should
consideration must be given to the changes this
be procedures set in place to take appropriate action.
will have to the downstream environment.
External reviews are conducted to obtain a fresh,
For example, the reduced occurrence of
unbiased view of the schemes performance. The
floods downstream the dam may have
review will generally include examination of
induced, will no longer be enjoyed. This may
monitoring and surveillance results and a comparison
have implications for communities or
of its design and operation against current dam
infrastructure that have developed since the
criteria.
dam was built.
Dam reviews are discussed in detail in Part 5 of these
The type and extent of modifications to an existing
guidelines.
dam that will enable it to meet current safety criteria
are very site and structure-specific and cannot be
12.2 Meeting current criteria for existing addressed in detail in this guideline. The information
dams in Sections 9, 10 and 11 was aimed at new dams but
is still applicable for assessing existing structures.
In an ideal world it would be desirable to upgrade all
The performance assessment checklist at the end of
existing dams and associated structures to current
this part (Figure 3.11) can be used to assess potential
standards. In the real world, however, there are
safety deficiencies in a dam and when further
several reasons why this is not always practical.
information is needed.
Dam owners are very reluctant to commit finances to
upgrades, particularly when there is no guarantee
that the standards wont change again in the near
future, forcing further upgrades. Public perception of
hazard is also often less for existing structures than
new dams.
More positively however, several alternatives offer
better options than upgrading many existing dams:
Figure 3.11: Performance Assessment Sheet for New Dams

Figure 3.12: Minimum Guideline for the Development of Minimal and Low Hazard Dams
Figure 3.13: Minimum Guideline for the Development of Significant Hazard Dams
Figure 3.14: Minimum Guideline for Development of High Hazard Dams

Part 4: Investigation, monitoring and surveillance of dams
Introduction 1.1 Development monitoring investigations

This part of the guideline is intended as a guide for Development investigations assess the viability of
determining adequate levels of performance the scheme before starting extensive investigations
monitoring and surveillance for dams. and design and its likely design limitation. For
Monitoring can be defined as the measuring and smaller schemes site specific monitoring may not be
recording of physical parameters such as flow and needed, because existing information is likely to be
water levels. adequate. Larger schemes will almost certainly

require specific development monitoring.
Surveillance is defined as the observation of the dam
and its associated structures. Development investigations are also typically
required to assess the effects of the development.
While surveillance is less visual, rigorous and
This information will then provide a basis for the
quantitative than monitoring, it is no less important.
granting of resource consents and the compliance
For smaller structures surveillance may be the only
monitoring which will then be required (refer below).
examination conducted, and it is adequate for this
purpose (see Part 2, Section 6). Pre-design monitoring would typically include stream
flow measures and monitoring of key parameters
The type, sophistication and extent of monitoring
identified during investigations such as groundwater
depends on the size, type and hazard category of the
and slope stability and other things listed in Figures
structure.
3.12 3.14 of Part 3.
Monitoring and surveillance are carried out at all
stages of a dams life as shown in Figure 4.4.
1.2 Construction monitoring
There is often considerable overlap between
monitoring and surveillance, and operation and Often the construction of a dam induces some of the
maintenance. Safe operation of the dam with most extreme load situations the dam will ever
appropriate levels of maintenance will help ensure experience. Monitoring of construction parameters is
that the required level of dam safety is achieved. For often vital to ensure a safe construction. The results
this reason this part of the guideline discusses dam often frequently set the benchmarks against which
operation and maintenance in full. ongoing performance monitoring will be based.
Construction monitoring is essential for ensuring that
1.0 Types of investigation, monitoring and the dam is actually built to the required design
standard.
surveillance
There are seven main phases of investigation, 1.3 Commissioning monitoring
monitoring and surveillance of dams and their
associated structures: Monitoring of the commissioning period is essential
for safety purposes, as outlined in Section 9.4 of Part
❍ development investigations
3 of the guideline.
❍ construction monitoring
The type, sophistication and extent of monitoring is
❍ commissioning monitoring
depends on the size, type and hazard category of the
❍ performance (structural) monitoring structure.
❍ event monitoring Monitoring and surveillance are carried out at all
❍ compliance monitoring. stages of a dams life, as shown in Figure 4.4.
1 Pre-design Pre-design monitoring would
typically include stream flow measurements and
monitoring of key parameters identified during
investigations (eg groundwater, slope stability).
Part 4: Investigation, monitoring and surveillance of dams 2
2 Construction Often the construction of a dam 1.5 Limitations of this guideline

induces some of the most extreme load
The information in this guideline is intended to help
situations the dam will ever experience.
Auckland Regional Council Staff assess whether
Monitoring of construction parameters is often
levels of design and specialist input into dam
vital to ensure a safe construction. The results
construction and operation are appropriate. Every
obtained frequently determine the benchmarks
dam project is unique and this guideline should not
by which ongoing performance monitoring will
be used as a design manual or for dictating dam
be based.
standards.
3 Performance Performance monitoring aims
to ensure that the structure meets and The Council staff do not act as specialist reviewers or
continues to meet the safety and operational designers. Rather, they ascertain whether a dam has
expectations of the designer and owner. The had the necessary design, construction or monitoring
performance monitoring and surveillance results input and, where uncertainty exists, request more
will form the most important record on which information. The Council may seek independant
performance reviews will be based. specialist advice.
When commissioning the monitoring provides an

1.4 Types of monitoring indication of the reaction various structures are
Several types of monitoring reflect a range of safety having to induced events (eg lake filling), and a
and strategic considerations. The overall warning system if measured reaction exceed
sophistication and extent of monitoring will also expected levels.
reflect the dams hazard category. Typical types of
monitoring include:
1.6 Performance (structural) monitoring
1 Event Event monitoring is conducted on larger
Performance or structural monitoring aims to ensure
projects to enhance the ability of the dam to deal
the structure meets and continues to meet the safety
with extreme events, especially floods.
and operational expectations of the designer and
2 Construction Construction monitoring is
owner. The performance monitoring and surveillance
essential for ensuring that the dam is actually
results will form the most important record on which
built to the required design standard.
performance reviews will be based.
3 Structure Structural monitoring includes the
Structural monitoring includes the physical
physical monitoring of parameters that could
monitoring of parameters that could affect the
affect the structures performance or safety.
structures performance or safety. Typical parameters
Typical parameters include water pressures,
include water pressures, seepage flows and
seepage flows and settlements or movements.
settlements or movements.
4 Commissioning Monitoring of the
Ongoing monitoring throughout the lifetime of the
commissioning period is essential for safety
scheme is undertaken to ensure the dam and its
purposes, as outlined in Section 9.4 of Part 3 of
associated structures perform to their expected
the guideline.
levels of safety.
5 Operational Operational monitoring is
undertaken to ensure that the scheme performs
to the owners expectations and within its
1.7 Operational monitoring
consent constraints. A distinction is made in this guideline between
operational monitoring and ongoing performance
monitoring. Operational monitoring is defined as
monitoring to ensure that the scheme is meeting the
required level of operational performance. This is not
a safety issue, but is of economic interest to the 1.10 Special reviews

owner.
Internal reviews, external peer reviews and
Operational monitoring procedures are not covered in
performance reviews may be requested by the
this guideline, although often performance
various agencies from time to time on a regular basis
monitoring and operational monitoring measure the
for compliance monitoring, as well as by potential
same things, for example rates of water loss from an
purchasers or insurers.
irrigation dam.
These reviews will draw on the monitoring data and
Operational monitoring is undertaken to ensure that
systems outlined in Sections 1.1 - 1.7 above,
the scheme performs to the owners expectations
emphasising the importance of establishing good
and within its consent constraints.
monitoring and surveillance systems all the way
through a dams life.
1.8 Event monitoring Safety audits and due diligence audits are
Event monitoring is conducted to enhance dams summarised in Part 5 of this guideline. They will also
ability to withstand particular events. Because events draw on monitoring and surveillance data, again
monitored for include floods, earthquakes and in emphasising its importance.
some cases volcanic activity, this form of monitoring 1 Internal reviews
is often termed early warning surveillance. These will typically be undertaken on behalf of
Event monitoring is also conducted during the owner for the purpose of monitoring
construction and commissioning of larger projects, performance. During construction of a dam they
when the structure will typically be more vulnerable will provide a level of quality assurance for both
to extreme events. Event monitoring may continue the owner and contractor to ensure the dam is
throughout the projects life to enhance the schemes built to the required standard and design.
level of safety, provide early warnings and optimise Internal reviews of dam performance may be
its economic return. undertaken on a regular basis throughout the life
Event monitoring is conducted on larger projects to of the structure to monitor the ongoing viability
enhance the ability of the dam to deal with extreme of the scheme.
events especially floods. 2 External peer review
External peer reviews may be conducted during
1.9 Compliance monitoring any phase of the investigation, design,
construction and commissioning of a dam.
A modern derivative of performance monitoring is
External peer reviews are undertaken typically at
compliance monitoring. This is undertaken to ensure
the request of both the client and the regulatory
that the scheme operates within the allowable
authorities.
envelope defined by the various conditions given in
the resource consents for the scheme. For larger dams a peer review panel will
normally be established to keep an independent
Typically much of the information collected for
eye on the project throughout its development.
performance monitoring of the scheme can be used
The panel will be kept familiar with the design
for compliance monitoring. Some specific
concepts and be informed of modifications to
monitoring, particularly of environmental parameters
the development as they arise.
will also be required.
For smaller structures peer reviews would
typically only be conducted on the final design
concept with possibly additional input during
construction.
External peer reviews will commonly form part direct means of assessing its ongoing performance
of the resource consent process for larger and whether the structure is deteriorating.
structures. Often this will be undertaken by
different reviewers than those on the project
2.2 Settlement and movement
review panel. This is to provide an additional
degree of independence for the publics benefit. Monitoring of the relative movement of dams,
associated structures and slopes around the reservoir
3 Performance reviews
is typically undertaken only on larger structures. On
Performance reviews are undertaken to ensure
smaller structures, the lower imposed loads in
the scheme is operating within the expected and
conjunction with greater inherent conservatism often
allowable bounds as defined bythe design and
makes monitoring of settlement of little value.
the relevant consents. Internal performance
Movement and settlement monitoring is particularly
reviews will be conducted byor on behalf of the
important during the early stages of a dams life
owner to optimise the scheme and to define
during construction, commissioning and the first few
possible future maintenance costs.
years. With time the frequency and extent of this
External performance reviews may be requested
type of monitoring will typically be reduced or even
by regulatory authorities to ensure consent
discontinued.
compliance. This may be done in conjunction
with safety audits (see Part 5of this guideline).
2.3 Seepage or leakage
2.0 Monitoring parameters Monitoring of drainage flows, both natural, such as
springs and engineered flows, is common on even
The parameters monitored are somewhat dependent
the smallest of structures. Unlike settlement
on the nature of the dam, though mostly it is likely
monitoring, monitoring of seepages may be
the same parameters are monitored on different continued at greater frequency for some time into
dams. The main parameters that should be
the dams life. This is in recognition of the delay that
considered for monitoring for safety reasons are:
can occur between filling the dam and the
❍ groundwater levels stabilisation of seepage rates.
❍ settlement and movement In addition to the actual rate or quantity of seepage
❍ leakage / seepage flows flows, the quality of the water emerging can also be
❍ hydrological data an important performance indicator. Sediment in the
measured seepage flows can indicate internal
❍ ecological / environmental effects
erosion of the materials forming the dam.
❍ dam / storage condition surveillance
❍ general surveillance.
2.4 Hydrological data
Monitoring of hydrological parameters is typically
2.1 Groundwater levels
undertaken to provide early warning of extreme flood
The monitoring of water levels and pressures in, events. It may also be undertaken to act as a prompt
under and around dams and their reservoirs is the for increasing the frequency at which other
most common form of safety monitoring. monitoring stations are read. This is particularly
During construction, monitoring of water pressures is relevant for slope movement monitoring.
undertaken to ensure pressures induced do not Hydrological monitoring is also useful for optimising
exceed levels assumed in the design. the use of the reservoir both for safety reasons such
In the commissioning phase, and onward throughout as to reduce flood peaks and economic reasons, for
the dams life, water level monitoring provides a example to capture of water.
2.5 Ecological and environmental effects Often more than one type will be required to
adequately scrutinise a particular parameter. For this
This type of monitoring is predominantly undertaken
reason the complete monitoring system is typically
for resource consent compliance. Parameters
referred to a monitoring network.
monitored can include water quality, water
An example of the interrelationship between
temperature and fish stocks.
different types of monitoring is given in the following
As this form of monitoring does not directly influence
hypothetical situation:-
dam safety, it is not extensively covered in this
An earth dam is showing a reduction in seepage flows from the
guideline.
monitoring of the internal drainage system. This could mean
that:
2.6 Dam/storage condition surveillance Scenario a) the dam has settled or silt has built up on the
This area of monitoring is typically a more upstream face, reducing leakage through the
observational approach. Typical aspects covered embankment or
would include examining the reservoir perimeter for Scenario b) the internal drains are deteriorating and the
possible slope instability, reservoir condition (eg seepage through the dam is no longer being
weed growth etc) and condition of the dam and effectively intercepted
associated structures.
To determine which of these scenarios is more likely,
While surveillance does not usually involve any
water level monitoring will need to be examined. If
measurable values, for smaller dams in particular, it is
the water levels downstream of the drainage system
of equal or higher importance than the more direct
are not increasing, or are decreasing, then Scenario a)
measurements of performance. This is because
is more likely to be occurring and the situation is
surveillance provides a more global perspective of
likely to be one of improving dam stability. If they are
dam reservoir condition.
increasing, Scenario b) could be occurring, resulting
in increased pressures within the dam which could
2.7 General surveillance detrimentally affect stability. These concepts are
Matters outlined in Section 6.0 of Part 2 of this shown on Figure 4.1.
guideline should also be kept under regular This example highlights the fact that changes in
surveillance. monitoring results both increases or decreases, could
indicate a problem. This concept is often poorly
understood, with the emphasis only being placed on
2.8 The monitoring network
increases, particularly in flow or water pressures.
It is important to recognise that different types of
A typical monitoring network for a moderate sized
monitoring should not be considered in isolation.
embankment dam is shown in Figure 4.2.
Figure 4.1: Water Level Monitoring Scenarios

Figure 4.2: Typical Dam Monitoring Network Moderately Sized Embankment
3.0 Monitoring instruments and systems an appropriate level of technology for the
structure, is the best option.
There are numerous manufacturers instruments and
2 Redundancy
systems for measuring the parameters above. It is
not the purpose of this guideline to discuss the An allowance should always be made for a
proprietary products available for instrumentation, but proportion of the instruments failing or giving
to make some general points. faulty readings. This is particularly true for water
pressure measurements. Some types of
1 Simple vs complex
instruments can only practically be installed
There is often a tendency to use highly complex during construction. It therefore advisable to
monitoring systems and equipment. Such allow for instruments malfunctioning with time.
systems will give high quality output and are
For larger structures it is good practice to have
often continuously monitored in real time for
additional instruments installed for the purpose
early warning purposes.
of providing a cross-check on results. These
However, complex systems and instruments are back-up instruments should also be of a different
often less reliable because of their very fine type and a simpler style.
installation and environmental tolerances. They
This is particularly true of structures relying on
are typically also more expensive, so only a few
continuous recording for advanced warning. A
may be installed sometimes at the expense of
network of backup instruments for cross-
providing adequate monitoring coverage.
checking is vital to ensure that no potential
Simple instruments are typically more robust safety incidences are missed and no false alarms
and reliable but do not give the accuracy and are sounded.
rapid response of their complex counterparts.
3 Background readings
A combination of simple and complex
Background or baseline monitoring is important,
instruments, giving comprehensive coverage at
particularly for structures with higher hazard
categories, to give a comparison between the no information is available. If there is any uncertainty
pre- and post-development information. This is about performance then reviewers undertaking
also vital for compliance monitoring. safety evaluations of the structure may need to be
This is typically done for hydrological data such conservative, possibly unnecessarily.
as river flow, but groundwater pressures in the Monitoring and surveillance data from larger dams
slopes around the reservoir may also need and their associated structures will normally be
monitoring before the reservoir induces changes stored in a computer based database. This allows
on the groundwater regime. Other issues such rapid retrieval of historical information and analysis of
as slope movement may also be of interest. trends. Graphical presentation of data is vital so that
4 Alarm levels rapid comparisons between measurements over
time can be made.
Key instruments in a monitoring network are
often selected for use as alarm triggers. Those
selected should be the most reliable and/or 5.0 Frequency and extent of monitoring
located in the critical areas. The concept of and surveillance
alarms is discussed in greater depth in Section
6.0 of this Part. Figure 4.4 indicates the type and frequency of
monitoring and surveillance that could be expected
for dams. Figure 4.3 indicates the extent of the
4.0 Data recording and storage monitoring network or numbers of instruments.
The data collected during monitoring and surveillance Both issues are only indicative as monitoring
is of vital importance in ascertaining the performance depends on the size of the structure, type of
standard and tracking the performance history of a construction and site specific details. Although the
dam. A change in any reading can only be frequencies given are not intended as minimal they
understood in the context of past results. are toward the lower end of appropriate monitoring
Trends, extreme values and patterns in readings all frequencies. In many situations continuous
give indications as to the performance of the monitoring of key points is undertaken.
structure. The emphasis is on earth dams because they are
For this reason all monitoring and surveillance data more common. Some of the monitoring options
should be retained for future reference. This is in the given may not be appropriate for other dam types.
owners interest, as the availability of historical data The extent of the monitoring network in Figure 4.3 is
significantly reduces the uncertainty that will arise if considered typical for earth dams in various hazard
categories. Monitoring networks for specific items,
Figure 4.3: Typical Number of Instruments For A Hazard Category

Figure 4.4: Frequency of Monitoring and Surveillance

such as landslides that may threaten the dam have Alarms can be set at different levels, which will also
not been include in the numbers provided. These usually change during the lifetime of a dam as data on
would be to be considered on an individual basis. historical performance accumulates. For larger dams,
The large range for the low hazard category given the level of hazard and complexity of the
recognises the significant spread of dam size in that structures involved, two alarm levels are often set, a
category. At the lower end, it is conceivable that no warning and an alert (or alarm). The term alarm is
monitoring could be required, with reliance placed on used less often these days because of the negative
observational surveillance. Toward the upper end of public perception of the term.
the low hazard category, several monitoring points
may be appropriate. 6.1 Setting of alarm levels
Figure 4.4 gives monitoring frequencies for different
Three sets of alarm levels are generally used:
components of a typical dam. The information has
❍ warning level
been summarised from the NZSOLD Guidelines,
which should be reviewed for additional information. ❍ alert level
Monitoring of specific threats such as seismicity, ❍ data check.

volcanism and active landslides will typically need to 1 Warning level
be continuous. River flow and rainfall are also often The warning level is the first or lower setting and
monitored continuously for safety and economic is typically defined as:
reasons.
The level at which the instrument is reading outside
expected levels.
6.0 Alarms: settings and response With time the definition may change to a
more quantitative one based on comparison
It is normal practice to assign alarm levels or trigger
with previous records. For this reason the
and response to monitoring instruments. When a
warning level alarm is sometimes known as
reading exceeds an alarm level, a predetermined
a historical check or alarm. Simple statistical
procedure is triggered. This procedure may involve
analysis is used to assess whether the
anything from simply cross-checking the reading with
reading falls outside the normal distribution
other instruments to evacuation of the public
for that instrument. The original design
downstream.
assumptions must be examined to check
that warning alarm levels are in an
appropriate range.
Figure 4.5: Physical Instrument Setup and Monitoring Results
2 Alert level and assessed reliability. The remaining instruments

The alert level is the more extreme trigger and is without alarm settings will provide a degree of
typically defined as: backup. An example of an alarm setting for a water
pressure monitoring instrument is shown in Figure
The level at which the instrument is reading outside
4.5.
acceptable levels.
As shown in Figure 4.5 alarms often include both an
These are less likely to change with time, as
upper and lower limit. This is because a low reading
they are often dependent on design
may be just as important as a high one, as shown by
parameters and assumptions for the dam.
the example provided in Section 3, Figure 4.1, of this
3 Data check
part.
A third trigger level is sometimes used, called
data check. This is defined as:
6.2 Responding to alarms
The level as which the instrument is reading outside
possible levels. The response to an alarm depends on the level of
alarm triggered (warning or alert) and the pre-defined
This check is applied mainly to warn
significance of the alarm. A pre-determined set of
personnel taking the readings that the value
guidelines should be in place so that alarms, when
is unlikely to be a valid result. For example
triggered, can be responded to as quickly as possible.
a measured flow rate several times the
maximum that a drain pipe could possible
carry would be considered outside a 7.0 Emergency procedures
possible level.
For larger dams, emergency procedures or an
Alarm levels are not necessarily set on all emergency action plan should be produced. The
instruments. Key instruments may be selected for
primary purpose of an emergency action plan is to
one or more alarm levels based on their significance
reduce risk of loss of life and property.
Figure 4.6: Emergency Action Plan Example

Response Sequence
The emergency action plan needs to prescribe a set

of actions that need to be undertaken in the event of
an incident. Key information that needs to be in the
emergency action plan includes:
a sequence and details of actions to be taken
a chain of responsibility for dam
a layout plans of the dam, monitoring
network and downstream area that could be
at risk
a persons and agencies to be notified
including personnel and contact details.
a correlation between the emergency action
plan and external, regional and central
government plans
a communications systems and backups
a backup power supplies, monitoring systems
and equipment
a list of contractors, specialists and other
personnel that can be contacted.
The NZSOLD provides additional details on
emergency action plans which should be referred to.
Part 5: Dam safety audits
Introduction 4 Consent compliance

A review of consent compliance may be
This part of the guideline is intended as a guide to
undertaken. This might be at the request of the
assess when it is appropriate to audit the safety of a
regulatory authority as a cross-check on
dam and the degree of sophistication desirable.
compliance or by an owner wanting to apply for
There are several levels of sophistication for auditing modifications to the consents. For larger
dam safety, and different audits are done depending structures, a formal ongoing compliance
on the stage of development of the dam. schedule with regular review points is likely to
The extent, frequency and sophistication of audits is a be required.
function of the hazard category of the dam and its
importance to its owner. A method of determining a
dams hazard category is provided in Part 1 of these
2.0 What sort of audit is best?
guidelines. There is a wide variety of audits depending on who is
getting them done and why. In most cases there is
1.0 Why do a dam safety audit? considerable overlap between the different types.
The main types of audits are detailed below:
Dam safety audits can be done for a range of reasons
which can vary during the various stages of a dams
2.1 Safety Audits
life and depend on who is requesting the review.
The main reasons for doing a dam safety audit are Reviews that can be considered Safety Audits range
summarised below: from quite small to extensive and meticulous.
1 Public or dam safety The most common type of larger safety audit
undertaken in New Zealand is the SEED review
The most common reason for doing a dam
(Safety Evaluation of Existing Dam) which are
safety audit is to ensure the dam is designed,
undertaken on a 5 - 6 yearly basis. For SEED reviews
constructed and operated in a safe manner in
all the components of the scheme are examined and
order to protect public safety or for insurance
assigned a SEED rating based on their assessed level
reasons with the same aim.
of safety. SEED reviews are almost always
2 Dam performance undertaken by independent reviewers and typically
Dam audits may be undertaken by the owner to different reviewers will be used each time a SEED
assess that the scheme is what was paid for or review is undertaken.
that it is operating effectively and safely. For Annual safety audits are also commonly undertaken
larger structures, owners will typically for dams, particularly those with higher hazard
commission reviews as part of their asset categories. These may be conducted internally in the
management procedures and for insurance case of smaller structures or by external reviewers for
purposes. larger structures.
3 Asset sale
If a dam or scheme is to be sold or revalued for 2.2 Due diligence audits
insurance purposes, a due diligence audit or
similar will typically be undertaken. This is to Due diligence audits are undertaken to determine
assure the prospective owner or insurer of the whether the scheme has and is being run proficiently.
value of the dam. These reviews are typically undertaken for the
purpose of selling the dam or for insurance purposes.
While diligence audits are not typically undertaken at
the request of a regulatory authority, they do provide
good background information as to the overall safety,
Part 5: Dam safety audits 2
level of maintenance and potential problems with the

dam or scheme.
3.0 How do monitoring, review and audit

relate to each other?
Monitoring and surveillance of dams was discussed
in Part 4 of this guideline, and Figure 4.4, Part 4
indicated the generally desirable timing and
frequency of the difference types of monitoring and
surveillance.
Figure 5.1 below illustrates how monitoring and
surveillance, reviews and audits relate to the different
phases of a dams life and different information
needs.
Figure 5.1: Typical Dam Review and Audit Flow Chart

TP109 Dam Safety Guidelines

Uploaded by

Copyright:

Available Formats

TP109 Dam Safety Guidelines

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

TP109 Dam Safety Guidelines

Uploaded by

Copyright:

Available Formats

dam safety guidelines

5 Dam safety audits 1.0 Why do a dam safety audit?

5 Figure 5.1: Typical Dam Review and Audit Flow Chart 2

Who will find this guideline useful?

How to use this guideline

The guideline falls into 5 parts for different people to

Part Key users

1. Assessing dam hazard category

a owners of existing dams

2. Guideline for building of minimal hazard dams

a owners of existing minimal hazard dams

3. Performance standards for low, significant and high hazard dams

a owners of existing dams

4. Monitoring and surveillance

5. Dam safety audits

How will this affect my existing dam?

You must also inspect and maintain it as summarised

How does this guideline relate to

What future changes are likely?

Optional Response Form

Introduction 2.0 Why apply a hazard category?

1.0 Definitions A dams hazard category determines the frequency

Figure 1.1: Hazard vs Risk

procedures may need to be modified in order to 2 Water depth

7 Nature of stored material 5.0 Determining hazard category

Introduction 1.0 Data Collection

3.3 Embankment 3.4 Spillways

Crest 1 Normal or service spillways

increases the volume of stored water behind the possibility of blockages.

Figure 2.2: Typical Spillway Layout

3.5 Pipes and conduits be contacted.

4.0 Dam construction 3 Foundation

Figure 2.3: Guideline for Design of Conduits through Earthfill Embankments

before continuing. constructed

6 Finishing works ❍ erosion of the dam fill on the upstream face

7.0 Dam maintenance Storage characteristics

Figure 2.4: Catchment Yield Calculation

Figure 2.5: A Worked Example of

2 Estimating storage volume spillway, and a maximum storage volume,

Figure 2.6: Storage Size Calculation

Figure 2.7: A Worked Example of Storage Size Calculation

Figure 2.9: A Worked Example of Embankment Fill Volume

Figure 2.10: Flood Size and Spillway Width Calculations

Figure 2.11: A Worked Example of Flood Size and Spillway

Note: Specialist input would result in a more optimised design solution.

Dam inspection checklist

Figure 2.12: Checklist  Dam Maintenance and Monitoring

Date: Inspected by:

Figure 2.13: Schematic Checklist 

Introduction 2.0 Dam risk

guideline are: about dam design, construction, and operation.

4.0 Dam failures worldwide

are outlined in Part 1 of this guideline. As well as

Numerous studies have been conducted on dam

Figure 3.1: Failures and Actual Proportions

Figure 3.3: Embankment Dam Incidents

Figure 3.4: Factors Influencing Dam Incidents

than an existing comparative structure, it does reduce investigation needs to be undertaken to

performance. spillways. The level of protection provided by

1.0 Definitions A dams hazard category determines the frequency

Crest 1 Normal or service spillways

2 Estimating storage volume spillway, and a maximum storage volume,

Figure 2.12: Checklist Dam Maintenance and Monitoring

Figure 2.13: Schematic Checklist

investigation includes studies into both physical scheme viability

In the first stages of a projects development, the Methods

12.1 Safety reviews 2 Monitoring Often dams do not meet current

2 Construction Often the construction of a dam 1.5 Limitations of this guideline

Figure 4.2: Typical Dam Monitoring Network Moderately Sized Embankment

Figure 4.6: Emergency Action Plan Example