Hydraulic Structures

Sheng-Hong Chen

Hydraulic Structures

123

Sheng-Hong ChenWuhan UniversityWuhanChina

ISBN 978-3-662-47330-6 ISBN 978-3-662-47331-3 (eBook)DOI 10.1007/978-3-662-47331-3

Library of Congress Control Number: 2015939917

Springer Heidelberg New York Dordrecht London© Springer-Verlag Berlin Heidelberg 2015This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or partof the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations,recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmissionor information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilarmethodology now known or hereafter developed.The use of general descriptive names, registered names, trademarks, service marks, etc. in thispublication does not imply, even in the absence of a specific statement, that such names are exempt fromthe relevant protective laws and regulations and therefore free for general use.The publisher, the authors and the editors are safe to assume that the advice and information in thisbook are believed to be true and accurate at the date of publication. Neither the publisher nor theauthors or the editors give a warranty, express or implied, with respect to the material contained herein orfor any errors or omissions that may have been made.

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Foreword 1

When my friend Professor Chen Sheng-hong asked me to write a foreword for hisbook “Hydraulic Structures,” I accepted with great pleasure. From our firstencounter 20 years ago at a Beijing technical conference up to now, we have metregularly either in China or in Europe, including a 6-month stay at the SwissFederal Institute of Technology in Lausanne (EPFL). We have had long discus-sions, visited construction sites, and design offices and became friends. The resultsof these common experiences and exchanges in teaching rock mechanics, damengineering, and related topics progressively entered into Prof. Chen’s teaching andlecture notes.

Since the increase in world population and the quest for a sustainable devel-opment enhances the need for dams for flood control, irrigation, and hydro-electricpower plants, Chen decided to gather his lecture notes and write a comprehensivebook on “Hydraulic Structures.”

From the lecture notes to this book, there was, however, a strenuous and longway to go, and the author is to be congratulated for the issue of his perseverance.This impressive book is a comprehensive manual of “Hydraulic Structures”encompassing all the steps from the preliminary project to design, construction,monitoring, and maintenance. It is written in a clear way, going into detail whererequired and gives the interested reader numerous historical and bibliographicreferences.

Engineers dealing with hydraulic structures will appreciate the practicalapproach of this vast topic. This includes besides numerous types of dam spillwayswith their gates, rock slopes, and water tunnels. Teachers and students of DamEngineering will find in this book—fruit of 20 years of research, teaching, andconsulting—most valuable help and information about the various design andcalculation methods. The different types and possible sophistication of geome-chanical modeling are given particular emphasis.

v

In conclusion, Prof. Chen Sheng-hong’s “Hydraulic Structures” should be foundin every public or private engineering library, in universities, technical schools,administrations, and design offices.

All my best wishes for an interesting and valuable read!

April 2015 Dr.-Ing. Peter EggerFormer EPFL and KIT

(Karlsruhe Institute of Technology) Professor

vi Foreword 1

Foreword 2

My first meeting with Prof. Chen Sheng-Hong was in Lille (France) in 1999. Sincethat date we succeeded in building a strong cooperation through yearly academicvisits, Ph.D. co-supervision, joint papers in international journals and conferences,and the organization of lectures for students and young researchers.

During this long time of cooperation, I highly appreciated the scientific and theengineering quality of the work of Prof. Chen as well as that of his Ph.D. students.This work resulted in significant advances in the (i) development of numericalmodeling for fractured rocks including complex issues such as the mechanicalbehavior of highly fractured rocks, water flow in fractured rocks, pro-mechanicalinteraction in fractured rocks, reinforcement of fractured rock mass, behavior offractured rocks under seismic loading, and (ii) the application of advanced mod-eling in the design of complex hydraulic structures, in particular large dams, undercomplex mechanical and environmental loading.

During the visit of Prof. Chen to Lille last year (June 2014), he kindly presentedme with an advanced draft of his book (Hydraulic Structures). I was greatlyimpressed by the large area covered by this book, by the scientific and engineeringbasis of his work, and by the quality of the presentation. It was obvious that thisbook responded to a high need in the field of hydraulic structures for students,researchers, academic faculties, engineers, and staff involved in the field of differentphases of hydraulic structures: project analysis, design, construction, and man-agement with both local and global approaches. Professor Chen conducted a hugestate-of-the-art analysis in the field of hydraulic structures and he crossed it with hisown academic and professional expertise. This work resulted in this exceptionalbook, which I believe will be a reference book in the field of Hydraulic Structures.I would like to outline that this book is one of the first in English presenting thethorough Chinese academic and engineering experience in the field of hydraulicstructures.

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It is my great pleasure and honor to write this foreword and to encouragestudents, researchers, engineers, and staffs involved in hydraulic structure to keepthis book close at hand; they can find significant responses to a wide range of bothacademic and professional questions.

Thanks to Professor Chen for this great contribution.

May 2015 Prof. Isam ShahrourDistinguished Professor, Former Vice-PresidentUniversity of Lille—Science and Technology

viii Foreword 2

Preface

It has been nearly 40 years since I started the study of hydraulic engineering as anundergraduate student. I still can recall vividly the magnificent impression in thewinter of 1980 by a chance of field practicing tour organized by the university,when I first visited one of the most important hydraulic projects in my country atthat time—the Danjiangkou Project with a gravity dam at a height of 97 m. In thefollowing three decades, I have continued my profession in the education andconsultant related to hydraulic engineering, and witnessed a rapid progress of Chinain this field. I have been content with my works and contributed the sustainablecareer passion to the following mutually promote impetuses.

• In an attempt to enlighten and to encourage our students to have a good com-mand of the courses and to be creatively engaged in their career related tohydraulic engineering, I should organize and present appropriate materials in alogical and imaginative way. The students in my classes and field practicingtours, as well as the practicing engineers in the design and construction insti-tutions, also make contribution by asking penetrating questions and demandingconstructive and exercisable answers.

• I am fortunate to have the chance to participate in consultant works for more than30 giant hydraulic projects in China, which is attributable to the fast economydevelopment in the past three decades. For example, accompanied by the con-tinuous consulting service works for the Xiaowan Project with a 294.5m-higharch dam from 1996 until today, covering its abutment excavation and rein-forcement, as well as the dam body placement and reservoir operation, I havebeen growing up, and growing old of course. By these engineering consultingactivities, I am also lucky enough to have got acquainted with and made goodfriends with some field engineers and to have accumulated experiences con-cerning engineering design, construction, and management.

• These education and consulting experiences provide a vast engineering back-ground for my academic research of hydraulic structures, covering theirdeformation, stress, stability, seepage control, and reinforcement. In theseresearches, the structural issues related to the numerical modeling (e.g., FEM,

ix

BEM, CEM), the coupling of strain/seepage/thermal in jointed rock mass andconcrete, the feedback analysis and performance forecasting, etc., are exploredand exercised. These research experiences, in turn, promote the universityeducation and help to undertake the engineering consultant.

Not very long ago, I perceived that I was losing career energy and passion due topersonal reasons; then I was aware that it could be the right time for stepping into alife stage that Bertrand Russell described in his prose entitled “How to Grow Old”that “… gradually the river grows wider, the banks recede, the waters flow morequietly, and in the end, without any visible break, they become merged in the sea.”Therefore, I decided to complete this last academic book concerning hydraulicstructures, as a full stop to conclude a phase of active engineering works, afterwardthe time may come for another new mission designed by God.

This book is designed to provide useful, pragmatic, basic, and up-to-dateknowledge and a road map for the design, construction, and management ofhydraulic structures. It is aimed primarily at students who are planning to becomehydraulic engineers, but it should also appeal to practicing engineers and engi-neering geologists with several experiences, as well as at postgraduate students andresearchers wishing for a comprehensive and straightforward introduction to thecurrent theories and practices with regard to hydraulic structures. In addition, thisbook will also be a useful reference for relevant contractors and consultants.

The author hopes to provide a logical and imaginative framework for teaching,studying, and exercising the basic principles of the subject that is developed rightfrom the start and is unfolded through elaboration on the topics related to theplanning and investigation, the basic theories (e.g., hydrology, geology, environ-ment, economy, material), the prevalent design tool kits (e.g., analysis of actionsand their effects), and the design and construction as well as management of typicalhydraulic structures (e.g., layout, configuration, safety calibration, modification,foundation treatment, miscellaneous, surveillance, instrumentation, emergencyaction plan, aging and mitigation). Continuing the spirit of our predecessors, thisbook is not only about the fundamentals of related engineering knowledge but alsoon the concept of sharing experience and knowledge of practice engineers, which isreflected in the following distinct features:

• The history and state of the art concerning hydraulic engineering and structures,equally emphasizing on both the world’s and Chinese recent experiences, areelaborated comprehensively in this book (Chap. 1).

• In many cases, a hydraulic project will be of multi-purpose, and the studycomprises a large number of matters; some or all of them will influence theselection of the project site and scale, while others will dominate the types,sizes, and locations of the structures. Hence, the entire project must be inves-tigated as a whole before the design requirements for each single structure (e.g.,dam) can be firmly established. This book covers and presents many basic andpractical concepts as well as techniques for the design and study of multi-purpose hydraulic projects (Chaps. 2 and 3), inclusive of the planning andeconomic evaluation for the project; the ecology and environment protection

x Preface

studies and engineering hydrology and geology studies, for the project sites; andthe exploration and property studies on the construction materials (concrete,soil, rock).

• It is a basic requirement that the design of hydraulic structures should makeallowance for the actions, and when analyzing a given set of actions, it iscommonly necessary to employ many techniques. This book has tried to groupthe various routine calculation techniques for actions in a single chapter(Chap. 4) so that it would not be necessary to discuss the same technique morethan once. However, several particular actions such as elastic resistance anduplift diagram will retain in the corresponding chapters.

• In the recent decades, there has been a magnificent progress in the analysis ofstructural performances under various anticipated actions, ranging from tradi-tional calculation (e.g., gravity method and trial load method) to modernmathematical modeling (e.g., FEM), from traditional physical (e.g., brittlematerial) modeling to geomechanical and emulating material modeling, andfrom laboratory testing to systematic field instrumentation and monitoring. Thisbook is particularly heartened by the illustration of these modern and prevalenttool kits for structural analysis, which should be helpful to those who alreadyhave some knowledge of the basic concepts (Chap. 5). In doing so, the attemptto balance and complement the theoretical aspects of the subject with practicalapplications is exercised.

• The book provides and reviews recent advances in important design method-ologies related to the reliability theory, the CAD technique, and the optimaltheory (Chap. 6). Students and engineers will find use in these new develop-ments. My hope is that after working through the book and recommendedreferences and bibliography, the reader will be ready and able to designhydraulic structures methodically, thoroughly, confidently, and efficiently.

• The book closely links the whole hydraulic project comprising various hydraulicstructures in lieu of traditional structure design solely. Rock slopes are geologybodies located on the surface of the earth’s crust, which are often parts of or atthe vicinity of hydraulic structures. Their failure and deformation will give riseto an important impact on the safety and normal operation of hydraulic projects.Since more and more hydraulic projects built in western China are situated onthe deep valleys in this mountainous area, the stability and stabilization study onthem are introduced in this book (Chap. 14). Over these years, the role of themanagement and aging mitigation has expanded beyond the framework of civilconcrete structures to meet various needs of hydraulic structures (e.g., concretesin dam body, tunneling, and spillway lining; rocks and soils of dam body andfoundation). The challenges are wider covering issues of environmental pro-tection and sustainable development. Recognizing this, I decide that it is timelyfor the book to be reviewed and updated by management (Chap. 18). Thisincludes the latest standards and practices as well as technologies applicable anduseful for handling of issues such as surveillance and monitoring, nondestruc-tive testing, aging scenarios, and mitigation. My belief is that university students

Preface xi

and engineering practitioners should know and understand the basic principlesand techniques described in this book.

• I am well aware that hydraulic structure design is mostly about the application ofengineering concepts rather than the use of mathematical and mechanicaltechniques. Therefore, I am convinced that comprehensive design ability forhydraulic structures should be emphasized throughout the book (Chaps. 7−13,15–17) rather than merely on computational formulas or routine processes. Byproviding knowledge and engineering examples concerning the assumptionsand principles, parameters and criteria, evaluations and modifications, treat-ments and countermeasures, etc., the book is intended to present more philos-ophy in the “design” apart from general description of the hydraulic structuresand related computations. I strongly expect that individual lecturers will bring inother engineering examples drawn from their own experiences. However, I dohope that they would discuss their engineering examples within the simpleframework described in this book.

The courses at Wuhan University which form the basis of this book have beendeveloped jointly with my colleagues over the decades. I am fortunate to have hadassistance and encouragement from them and other friends, particularly Profs TanGuang-ming (Wuhan University, China), Peter Egger (EPFL, Switzerland), andIsam Shahrour (Lille University 1, France) for their general help and suggestions.My special thanks go to my family and confidants for their warm company, lovingconcern, and steady support, all these were essential for the successful completionof the book. I am grateful to Wuhan University for allowing me the time to writethis book. I also thank Mr. Wang HL and Mrs. Xu Q for their help with theproduction of some of the figures.

Sheng-Hong Chen

xii Preface

Contents

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1 Hydraulic Projects and Hydraulic Structures . . . . . . . . . . . . . . 1

1.1.1 Types of Hydraulic Structures . . . . . . . . . . . . . . . . . 11.1.2 Layout of Hydraulic Projects . . . . . . . . . . . . . . . . . . 31.1.3 Classification of Hydraulic Projects and Their

Design Safety Standards . . . . . . . . . . . . . . . . . . . . . 61.2 History of Hydraulic Engineering . . . . . . . . . . . . . . . . . . . . . 7

1.2.1 3000 BC–300 AD. . . . . . . . . . . . . . . . . . . . . . . . . 111.2.2 300 AD–1800 AD . . . . . . . . . . . . . . . . . . . . . . . . 121.2.3 1800 AD–1940 AD. . . . . . . . . . . . . . . . . . . . . . . . 191.2.4 1940–End of Twentieth Century . . . . . . . . . . . . . . . 23

1.3 Water Resources and Hydropower Resources in China . . . . . 341.4 Hydraulic Engineering in China . . . . . . . . . . . . . . . . . . . . . 37References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

2 Planning and Design of Hydraulic Projects . . . . . . . . . . . . . . . . 412.1 Purposes of Hydraulic Projects . . . . . . . . . . . . . . . . . . . . . . 41

2.1.1 Flood Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . 412.1.2 Irrigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422.1.3 Power Generation . . . . . . . . . . . . . . . . . . . . . . . . . 422.1.4 Navigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 432.1.5 Domestic and Municipal Purposes. . . . . . . . . . . . . . 432.1.6 Environment Protection . . . . . . . . . . . . . . . . . . . . . 442.1.7 Recreation and Other Purposes . . . . . . . . . . . . . . . . 44

2.2 Planning for Hydraulic Projects . . . . . . . . . . . . . . . . . . . . . 452.2.1 Tasks and Requirements of Planning . . . . . . . . . . . . 452.2.2 Principles of Planning . . . . . . . . . . . . . . . . . . . . . . 462.2.3 State of the Art and Trends in the Planning . . . . . . . 47

2.3 Ecology and Environment Protection. . . . . . . . . . . . . . . . . . 482.3.1 Ecological and Environmental Issues

in Hydraulic Projects. . . . . . . . . . . . . . . . . . . . . . . 48

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2.3.2 Environmental Protection Designfor Hydraulic Projects . . . . . . . . . . . . . . . . . . . . . . 51

2.3.3 Environmental Impact Monitoringand Reviewing for Hydraulic Projects . . . . . . . . . . . 55

2.4 Engineering Hydrology . . . . . . . . . . . . . . . . . . . . . . . . . . . 562.4.1 Engineering Hydrologic Issues in Hydraulic

Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 562.4.2 Collection of Hydrologic Messages and Data . . . . . . 562.4.3 Hydrologic Computation . . . . . . . . . . . . . . . . . . . . 57

2.5 Engineering Geology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612.5.1 Engineering Geologic Issues in Hydraulic

Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612.5.2 Geologic Mapping . . . . . . . . . . . . . . . . . . . . . . . . 622.5.3 Geologic Exploration and Investigation . . . . . . . . . . 642.5.4 Regional Tectonic Stability and Earthquake

Hazard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 732.6 Location and Exploration for the Sources

of Construction Materials . . . . . . . . . . . . . . . . . . . . . . . . . . 782.6.1 Tasks of Construction Material Investigation . . . . . . 782.6.2 Requirements in Planning Phase . . . . . . . . . . . . . . . 792.6.3 Requirements in Preliminary Phase . . . . . . . . . . . . . 792.6.4 Requirements in Feasibility Phase . . . . . . . . . . . . . . 80

2.7 Economy Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 802.7.1 Tasks of Economy Evaluation . . . . . . . . . . . . . . . . 802.7.2 National Economy Evaluation . . . . . . . . . . . . . . . . 812.7.3 Financial Evaluation . . . . . . . . . . . . . . . . . . . . . . . 822.7.4 Integrated Economy Evaluation . . . . . . . . . . . . . . . 82

2.8 Phases of Investigation and Design of Hydraulic Projects. . . . 832.8.1 Phases of Investigation and Design

for Water Resources Projects . . . . . . . . . . . . . . . . . 842.8.2 Phases of Investigation and Design

for Hydropower Projects . . . . . . . . . . . . . . . . . . . . 862.9 Preparation and Compilation of Design Reports . . . . . . . . . . 86

2.9.1 General Requirements . . . . . . . . . . . . . . . . . . . . . . 862.9.2 Contents and Outlines—Specifically

for Feasibility Report . . . . . . . . . . . . . . . . . . . . . . 87References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

3 Study on Material Properties . . . . . . . . . . . . . . . . . . . . . . . . . . 953.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 953.2 Rock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

3.2.1 Basic Physical and Mechanical Propertiesof Intact Rock . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

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3.2.2 Basic Physical and Mechanical Propertiesof Discontinuity . . . . . . . . . . . . . . . . . . . . . . . . . . 103

3.2.3 Basic Physical and Mechanical Propertiesof Rock Mass. . . . . . . . . . . . . . . . . . . . . . . . . . . . 105

3.2.4 Parameter Back Analysis . . . . . . . . . . . . . . . . . . . . 1073.3 Soil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113

3.3.1 Particle Size and Composition . . . . . . . . . . . . . . . . 1143.3.2 Soil Classification and General Characteristics . . . . . 1183.3.3 Density of Soil . . . . . . . . . . . . . . . . . . . . . . . . . . . 1193.3.4 Permeability of Soil . . . . . . . . . . . . . . . . . . . . . . . 1193.3.5 Deformation and Strength of Soil . . . . . . . . . . . . . . 1203.3.6 Compaction Characteristics of Soil . . . . . . . . . . . . . 122

3.4 Concrete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1233.4.1 Deformation and Strength of Concrete. . . . . . . . . . . 1253.4.2 Density of Concrete . . . . . . . . . . . . . . . . . . . . . . . 1263.4.3 Permeability of Concrete . . . . . . . . . . . . . . . . . . . . 1263.4.4 Thermal and Its Related Characteristics

of Concrete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1273.4.5 Durability of Concrete . . . . . . . . . . . . . . . . . . . . . . 131

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

4 Actions on Hydraulic Structures and TheirEffect Combinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1394.1 Definition and Classification of Actions. . . . . . . . . . . . . . . . 139

4.1.1 Definition of Actions. . . . . . . . . . . . . . . . . . . . . . . 1394.1.2 Classification of Actions . . . . . . . . . . . . . . . . . . . . 139

4.2 Self-weights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1414.2.1 Self-weight of Concrete Dam . . . . . . . . . . . . . . . . . 1414.2.2 Self-weight of Embankment Dam . . . . . . . . . . . . . . 1434.2.3 Earth Pressure . . . . . . . . . . . . . . . . . . . . . . . . . . . 1434.2.4 Silt (Sediment) Pressure. . . . . . . . . . . . . . . . . . . . . 144

4.3 Thermal Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1454.3.1 Temporal Features of Thermal Action . . . . . . . . . . . 1454.3.2 Spatial Features of Thermal Action

and Thermal Stress . . . . . . . . . . . . . . . . . . . . . . . . 1464.3.3 Computation of Thermal Action . . . . . . . . . . . . . . . 150

4.4 Seepage Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1544.4.1 General Concept . . . . . . . . . . . . . . . . . . . . . . . . . . 1544.4.2 Theory and Computation of Seepage Field. . . . . . . . 1574.4.3 Computation of Seepage Force . . . . . . . . . . . . . . . . 1624.4.4 Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

4.5 Fluid Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1644.5.1 Hydrostatic Pressure . . . . . . . . . . . . . . . . . . . . . . . 1644.5.2 Hydrodynamic Force . . . . . . . . . . . . . . . . . . . . . . . 165

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4.6 Seismic Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1834.6.1 Earthquake Inertia Force . . . . . . . . . . . . . . . . . . . . 1844.6.2 Seismic Hydrodynamic Forces . . . . . . . . . . . . . . . . 1884.6.3 Seismic Dynamic Earth Pressure. . . . . . . . . . . . . . . 189

4.7 Load (Action Effect) Combinations . . . . . . . . . . . . . . . . . . . 1904.7.1 Partial Coefficient Method . . . . . . . . . . . . . . . . . . . 1914.7.2 Safety Factor Method . . . . . . . . . . . . . . . . . . . . . . 191

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192

5 Analysis of Action Effects for Hydraulic Structures . . . . . . . . . . 1955.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1955.2 Physical Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196

5.2.1 Principles of Modeling Similitude . . . . . . . . . . . . . . 1975.2.2 Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1985.2.3 Loads on the Model and Loading System . . . . . . . . 1995.2.4 Measuring System. . . . . . . . . . . . . . . . . . . . . . . . . 2005.2.5 Geomechanical Modeling. . . . . . . . . . . . . . . . . . . . 200

5.3 Mathematical Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . 2025.3.1 Typical Methods for Mathematical Modeling . . . . . . 2025.3.2 Limit Equilibrium Method of Rigid Body . . . . . . . . 2065.3.3 Finite Element Method for Elastic Problems. . . . . . . 2235.3.4 Finite Element Method for Seepage Problems. . . . . . 2285.3.5 Finite Element Method for Thermal

and Thermal Stress Problems . . . . . . . . . . . . . . . . . 2305.3.6 Finite Element Method for Dynamic Problems . . . . . 2315.3.7 Block Element Method . . . . . . . . . . . . . . . . . . . . . 236

5.4 Monitoring Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2395.4.1 Statistical Modeling. . . . . . . . . . . . . . . . . . . . . . . . 2405.4.2 Deterministic Modeling . . . . . . . . . . . . . . . . . . . . . 2455.4.3 Mixed Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . 247

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249

6 Design Criteria and Methods for Hydraulic Structures . . . . . . . . 2536.1 Safety and Reliability Calibration

for Hydraulic Structures. . . . . . . . . . . . . . . . . . . . . . . . . . . 2536.1.1 Basic Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . 2536.1.2 Principles of Structural Reliability. . . . . . . . . . . . . . 2546.1.3 Partial Safety Factor Method

for Hydraulic Structures. . . . . . . . . . . . . . . . . . . . . 2616.2 Optimal Design for Hydraulic Structures . . . . . . . . . . . . . . . 268

6.2.1 Basic Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . 2686.2.2 Mathematical Models for Structural

Optimal Design . . . . . . . . . . . . . . . . . . . . . . . . . . 2696.2.3 Solution of Optimal Problems . . . . . . . . . . . . . . . . 271

xvi Contents

6.2.4 Optimal Design of Concrete Gravity Dams . . . . . . . 2726.2.5 Optimal Design of Concrete Arch Dams . . . . . . . . . 274

6.3 Computer Aided Design for Hydraulic Structures . . . . . . . . . 2766.3.1 Basic Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . 2766.3.2 Structure of CAD System . . . . . . . . . . . . . . . . . . . 2766.3.3 Development and Application of CAD Technology

in the Chinese Hydraulic Engineering . . . . . . . . . . . 278References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281

7 Gravity Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2837.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283

7.1.1 Features and Working Conditionsof Gravity Dams. . . . . . . . . . . . . . . . . . . . . . . . . . 284

7.1.2 Design Theory and Profile of Gravity Dams. . . . . . . 2887.1.3 Layout of Gravity Dam Projects . . . . . . . . . . . . . . . 2887.1.4 Main Design Tasks for Gravity Dams . . . . . . . . . . . 292

7.2 Loads and Load Combinations of Gravity Dams. . . . . . . . . . 2937.2.1 Load Computation—With Particular Emphasizing

on the Uplift . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2947.2.2 Load (Action Effect) Combinations . . . . . . . . . . . . . 298

7.3 Stability Analysis for Gravity Dams . . . . . . . . . . . . . . . . . . 2987.3.1 Stability Analysis Along Dam Base. . . . . . . . . . . . . 2997.3.2 Stability Analysis Along Deep-Seated Slip Planes . . . 3027.3.3 Stability Analysis of Bank-Slope Monoliths . . . . . . . 3067.3.4 Engineering Countermeasures for the Improvement

of Stability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3077.4 Stress Analysis for Gravity Dams . . . . . . . . . . . . . . . . . . . . 309

7.4.1 Purposes and Methods of Stress Analysis. . . . . . . . . 3097.4.2 Stress Analysis by Gravity Method . . . . . . . . . . . . . 3107.4.3 Influence of Non-load Factors on the Stress

Distribution in Gravity Dams . . . . . . . . . . . . . . . . . 3157.4.4 Stress Control Standard for Gravity Dams . . . . . . . . 318

7.5 Profile Design for Gravity Dams. . . . . . . . . . . . . . . . . . . . . 3197.5.1 Design Principles . . . . . . . . . . . . . . . . . . . . . . . . . 3197.5.2 Basic Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3207.5.3 Practical Profile . . . . . . . . . . . . . . . . . . . . . . . . . . 320

7.6 Flood Release and Erosion Prevention of Gravity Dams . . . . 3227.6.1 Design of Dam Spillways . . . . . . . . . . . . . . . . . . . 3237.6.2 Crest Profile of Overflow Spillway Dams . . . . . . . . 3277.6.3 High-Speed Flow Problems in the Spillway

Dam Design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3307.6.4 Energy Dissipation and Scouring Protection . . . . . . . 330

Contents xvii

7.7 Appurtenant Features of Gravity Dams . . . . . . . . . . . . . . . . 3437.7.1 Materials for Gravity Dams . . . . . . . . . . . . . . . . . . 3437.7.2 Appurtenant Structures of Gravity Dams . . . . . . . . . 344

7.8 Foundation Treatment and Preparation for Gravity Dams . . . . 3537.8.1 Excavation and Clearance . . . . . . . . . . . . . . . . . . . 3547.8.2 Consolidation Grouting . . . . . . . . . . . . . . . . . . . . . 3557.8.3 Curtain Grouting. . . . . . . . . . . . . . . . . . . . . . . . . . 3567.8.4 Contact Grouting . . . . . . . . . . . . . . . . . . . . . . . . . 3607.8.5 Drainage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3607.8.6 Treatment of Weak Seams and Karst. . . . . . . . . . . . 362

7.9 Roller Compacted Concrete (RCC) Gravity Dams . . . . . . . . . 3677.9.1 Features of RCC Dams . . . . . . . . . . . . . . . . . . . . . 3677.9.2 History of RCC Dams . . . . . . . . . . . . . . . . . . . . . . 3687.9.3 Design of RCC Dams . . . . . . . . . . . . . . . . . . . . . . 3697.9.4 Construction of RCC Dams . . . . . . . . . . . . . . . . . . 376

7.10 Other Types of Gravity Dams. . . . . . . . . . . . . . . . . . . . . . . 3777.10.1 Slotted Gravity Dams . . . . . . . . . . . . . . . . . . . . . . 3777.10.2 Hollow Gravity Dams . . . . . . . . . . . . . . . . . . . . . . 3797.10.3 Stone Masonry Gravity Dams. . . . . . . . . . . . . . . . . 382

7.11 Buttress Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3847.11.1 Classification of Buttress Dams . . . . . . . . . . . . . . . 3867.11.2 Features of Buttress Dams . . . . . . . . . . . . . . . . . . . 3867.11.3 Massive-Head Buttress Dams . . . . . . . . . . . . . . . . . 3877.11.4 Flat-Slab and Multi-Arch Buttress Dams . . . . . . . . . 3907.11.5 Development of Buttress Dams in China . . . . . . . . . 392

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393

8 Arch Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3978.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397

8.1.1 Features of Arch Dams . . . . . . . . . . . . . . . . . . . . . 3998.1.2 Topographic and Geologic Requirements

for Arch Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . 4018.1.3 Classification of Arch Dams. . . . . . . . . . . . . . . . . . 404

8.2 Loads and Load Combinations . . . . . . . . . . . . . . . . . . . . . . 4108.2.1 Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4108.2.2 Combinations of Action Effects

(Load Combinations). . . . . . . . . . . . . . . . . . . . . . . 4118.3 Stress Analysis for Arch Dams . . . . . . . . . . . . . . . . . . . . . . 412

8.3.1 Methods for Stress Analysis . . . . . . . . . . . . . . . . . . 4128.3.2 Analysis of Foundation Deformation . . . . . . . . . . . . 4158.3.3 Independent Arch Method . . . . . . . . . . . . . . . . . . . 4198.3.4 Trial Load Method . . . . . . . . . . . . . . . . . . . . . . . . 4218.3.5 Strength Calibration for Dam Body . . . . . . . . . . . . . 426

xviii Contents

8.4 Stability Analysis for Dam Abutments . . . . . . . . . . . . . . . . . 4278.4.1 Sliding Conditions of Abutment Rock Masses . . . . . 4298.4.2 Analysis Methods . . . . . . . . . . . . . . . . . . . . . . . . . 4308.4.3 Limit Equilibrium Method of Rigid Body . . . . . . . . 431

8.5 Design of Dam Body . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4368.5.1 Arch Dam Layout . . . . . . . . . . . . . . . . . . . . . . . . . 4368.5.2 Procedure and Key Issues in the Design . . . . . . . . . 4398.5.3 Optimal Design . . . . . . . . . . . . . . . . . . . . . . . . . . 4468.5.4 Factors Affecting the Layout . . . . . . . . . . . . . . . . . 446

8.6 Flood Release and Energy Dissipation of Arch Dams . . . . . . 4518.6.1 Layout of Flood Release . . . . . . . . . . . . . . . . . . . . 4518.6.2 Types of Dam Body Spillways . . . . . . . . . . . . . . . . 4528.6.3 Energy Dissipation and Scouring Protection

of Arch Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . 4588.7 Materials and Structural Elements of Arch Dams . . . . . . . . . 462

8.7.1 Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4628.7.2 Structural Elements . . . . . . . . . . . . . . . . . . . . . . . . 463

8.8 Foundation Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4718.8.1 Foundation Excavation . . . . . . . . . . . . . . . . . . . . . 4718.8.2 Consolidation Grouting . . . . . . . . . . . . . . . . . . . . . 4728.8.3 Curtain Grouting. . . . . . . . . . . . . . . . . . . . . . . . . . 4748.8.4 Foundation Drainage . . . . . . . . . . . . . . . . . . . . . . . 4768.8.5 Treatment of Large-Scale Discontinuities . . . . . . . . . 4778.8.6 Prestress Reinforcement . . . . . . . . . . . . . . . . . . . . . 4808.8.7 Karst Foundation Treatment . . . . . . . . . . . . . . . . . . 481

8.9 Layout of Arch Dam Projects . . . . . . . . . . . . . . . . . . . . . . . 4818.10 Stone Masonry Arch Dams . . . . . . . . . . . . . . . . . . . . . . . . 486

8.10.1 Working Features of Stone Masonry Arch Dams . . . 4868.10.2 Structural Features of Stone Masonry Arch Dams . . . 487

8.11 RCC Arch Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4888.11.1 Layout of RCC Arch Dam Projects . . . . . . . . . . . . . 4908.11.2 Design of RCC Arch Dams . . . . . . . . . . . . . . . . . . 4918.11.3 Upstream Waterproof and Construction Joints . . . . . 494

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495

9 Embankment Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4979.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497

9.1.1 Design Requirements for Embankment Dams . . . . . . 4999.1.2 Classification of Embankment Dams . . . . . . . . . . . . 5009.1.3 Layout of Embankment Dam Projects . . . . . . . . . . . 503

9.2 Loads and Load Combinations . . . . . . . . . . . . . . . . . . . . . . 5059.2.1 Loads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5059.2.2 Load Combinations . . . . . . . . . . . . . . . . . . . . . . . . 506

Contents xix

9.3 Seepage Analysis for Embankment Dams . . . . . . . . . . . . . . 5069.3.1 Permeable Characteristics of Embankment

Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5069.3.2 Hydraulic Method . . . . . . . . . . . . . . . . . . . . . . . . . 5079.3.3 Seepage Failures and Countermeasures . . . . . . . . . . 515

9.4 Stability Analysis for Embankment Dams . . . . . . . . . . . . . . 5199.4.1 Strength Properties of Soil . . . . . . . . . . . . . . . . . . . 5199.4.2 Stability Analysis Methods and Allowable

Safety Factor . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5209.4.3 Test and Selection of Shear Strength Parameters . . . . 525

9.5 Stress and Deformation Analysis for Embankment Dams . . . . 5289.5.1 Consolidation and Settlement Analysis . . . . . . . . . . 5289.5.2 Stress and Strain Analysis . . . . . . . . . . . . . . . . . . . 5329.5.3 Cracking Provisions . . . . . . . . . . . . . . . . . . . . . . . 533

9.6 Basic Profile of Embankment Dams . . . . . . . . . . . . . . . . . . 5359.6.1 Crest of Dam . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5359.6.2 Width of Crest . . . . . . . . . . . . . . . . . . . . . . . . . . . 5369.6.3 Slope of Dam. . . . . . . . . . . . . . . . . . . . . . . . . . . . 536

9.7 Soil Available and Compaction Standard . . . . . . . . . . . . . . . 5389.7.1 General Principles in the Selection

of Embankment Materials . . . . . . . . . . . . . . . . . . . 5389.7.2 Requirements for Material Design . . . . . . . . . . . . . . 5399.7.3 Materials for Anti-seepage Devices . . . . . . . . . . . . . 5419.7.4 Materials for Dam Shell. . . . . . . . . . . . . . . . . . . . . 5489.7.5 Materials for Filter, Transition, and Draining . . . . . . 551

9.8 Structural Elements of Embankment Dams. . . . . . . . . . . . . . 5519.8.1 Anti-seepage Devices . . . . . . . . . . . . . . . . . . . . . . 5519.8.2 Draining of Dam Body . . . . . . . . . . . . . . . . . . . . . 5559.8.3 Dam Crest and Slope Pitch . . . . . . . . . . . . . . . . . . 5589.8.4 Filters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 561

9.9 Treatment of Dam Foundation . . . . . . . . . . . . . . . . . . . . . . 5649.9.1 Rock Foundation . . . . . . . . . . . . . . . . . . . . . . . . . 5659.9.2 Sand and Gravel Foundation . . . . . . . . . . . . . . . . . 5669.9.3 Earth Foundation . . . . . . . . . . . . . . . . . . . . . . . . . 576

9.10 Connection of Embankment Damwith the Other Structures . . . . . . . . . . . . . . . . . . . . . . . . . . 5849.10.1 Connection of Embankment Dam with Foundation

and Abutments . . . . . . . . . . . . . . . . . . . . . . . . . . . 5849.10.2 Connection of Embankment Dam with Adjacent

Concrete Structures . . . . . . . . . . . . . . . . . . . . . . . . 5859.11 Selection of Embankment Types . . . . . . . . . . . . . . . . . . . . . 588References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 590

xx Contents

10 Rockfill Dams. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59310.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 593

10.1.1 Classification of Rockfill Dams . . . . . . . . . . . . . . . 59610.1.2 Requirements for Rockfill Dams . . . . . . . . . . . . . . . 59710.1.3 Design Theory of Rockfill Dams . . . . . . . . . . . . . . 599

10.2 Profile of Rockfill Dams . . . . . . . . . . . . . . . . . . . . . . . . . . 59910.2.1 Elevation of Dam Crest . . . . . . . . . . . . . . . . . . . . . 59910.2.2 Crest Width and Structural Requirements . . . . . . . . . 60010.2.3 Slope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60010.2.4 Zoning of CFRD . . . . . . . . . . . . . . . . . . . . . . . . . 601

10.3 Selection of Rockfill Materials and Compaction Standard . . . 60310.3.1 Quality Requirements for Rockfill Materials . . . . . . . 60310.3.2 Compaction Requirements for Rockfill Materials . . . 604

10.4 Structural Elements of Rockfill Dam . . . . . . . . . . . . . . . . . . 60510.4.1 Anti-Seepage Devices . . . . . . . . . . . . . . . . . . . . . . 60510.4.2 Slope Protections . . . . . . . . . . . . . . . . . . . . . . . . . 60810.4.3 Toe Slabs, Face Slabs, and Water Stops

of CFRD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60910.5 Foundation Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . 61610.6 Type Selection of Rockfill Dams . . . . . . . . . . . . . . . . . . . . 618

10.6.1 Materials Available . . . . . . . . . . . . . . . . . . . . . . . . 61810.6.2 Topographic and Geologic Conditions . . . . . . . . . . . 61910.6.3 Climatic Conditions . . . . . . . . . . . . . . . . . . . . . . . 619

10.7 Further Developments and Other Key Issues of CFRD . . . . . 61910.7.1 Advantageous of CFRD. . . . . . . . . . . . . . . . . . . . . 62010.7.2 Layout of Flood Releasing Works and Balance

Between Excavation and Placement. . . . . . . . . . . . . 62110.7.3 Layout of DrawDown Tunnels . . . . . . . . . . . . . . . . 62210.7.4 Materials for Dam Body . . . . . . . . . . . . . . . . . . . . 62310.7.5 Cracking of Face Slab . . . . . . . . . . . . . . . . . . . . . . 62710.7.6 Resistance Against Earthquake . . . . . . . . . . . . . . . . 62910.7.7 Protection of Cushion Zone . . . . . . . . . . . . . . . . . . 63210.7.8 Inverse Filtration. . . . . . . . . . . . . . . . . . . . . . . . . . 63310.7.9 Quality Control of Rockfill Placement . . . . . . . . . . . 634

10.8 Hardfill Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63510.8.1 Anatomy and History . . . . . . . . . . . . . . . . . . . . . . 63510.8.2 Major Features in the Design of Hardfill Dams. . . . . 63810.8.3 Mixing Proportion Design

and Functional Parameters . . . . . . . . . . . . . . . . . . . 639References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 640

Contents xxi

11 Sluices and Barrages. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64311.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 643

11.1.1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64311.1.2 Working Features of Barrages and Sluices . . . . . . . . 64411.1.3 Types of Sluices (Fig. 11.1) . . . . . . . . . . . . . . . . . . 645

11.2 Composition of Sluice and Project Layout . . . . . . . . . . . . . . 64811.2.1 Sluice Chamber . . . . . . . . . . . . . . . . . . . . . . . . . . 64911.2.2 Upstream Transition . . . . . . . . . . . . . . . . . . . . . . . 65011.2.3 Downstream Transition . . . . . . . . . . . . . . . . . . . . . 65011.2.4 Layout of Barrage Project . . . . . . . . . . . . . . . . . . . 651

11.3 Size of Intake. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65211.3.1 Regulating Sluices . . . . . . . . . . . . . . . . . . . . . . . . 65311.3.2 Head Regulators . . . . . . . . . . . . . . . . . . . . . . . . . . 65611.3.3 Drainage Sluices . . . . . . . . . . . . . . . . . . . . . . . . . . 656

11.4 Energy Dissipation and Scouring Protection . . . . . . . . . . . . . 65711.4.1 Features of Energy Dissipation and Scouring

Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65711.4.2 Layout of Energy Dissipation and Scouring

Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65711.4.3 Stilling Basins . . . . . . . . . . . . . . . . . . . . . . . . . . . 65811.4.4 Other Issues in the Energy Dissipation

and Anti-scouring Design . . . . . . . . . . . . . . . . . . . 66711.5 Under Seepage Control for Barrages and Sluices . . . . . . . . . 669

11.5.1 Creep Line Layout . . . . . . . . . . . . . . . . . . . . . . . . 67011.5.2 Anti-seepage and Draining Devices . . . . . . . . . . . . . 67211.5.3 Seepage Analysis for Barrage

and Sluice Foundation . . . . . . . . . . . . . . . . . . . . . . 67511.5.4 Control of Seepage Failure. . . . . . . . . . . . . . . . . . . 68011.5.5 Bypass Seepage and Its Control . . . . . . . . . . . . . . . 681

11.6 Layout and Structural Design for Sluice Chambers . . . . . . . . 68211.6.1 Bottom Floors . . . . . . . . . . . . . . . . . . . . . . . . . . . 68211.6.2 Piers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68911.6.3 Gates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69311.6.4 Parapet Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69311.6.5 Joints and Water Stops . . . . . . . . . . . . . . . . . . . . . 69411.6.6 Service and Access Bridges . . . . . . . . . . . . . . . . . . 696

11.7 Stability Analysis and Foundation Treatment . . . . . . . . . . . . 69611.7.1 Loads and Load Combinations . . . . . . . . . . . . . . . . 69611.7.2 Contact Stress and Bearing Capacity . . . . . . . . . . . . 69811.7.3 Stability Analysis Against Sliding . . . . . . . . . . . . . . 70011.7.4 Floatation Computation . . . . . . . . . . . . . . . . . . . . . 70111.7.5 Settlement Computation. . . . . . . . . . . . . . . . . . . . . 70211.7.6 Foundation Treatment . . . . . . . . . . . . . . . . . . . . . . 702

xxii Contents

11.8 Abutment Transition Structures. . . . . . . . . . . . . . . . . . . . . . 70711.8.1 Type of Abutment Transition Structures. . . . . . . . . . 70711.8.2 Wing Walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70711.8.3 Structure of Retaining Walls . . . . . . . . . . . . . . . . . 709

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711

12 Shore Spillways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71512.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 715

12.1.1 Types of Separate Spillways. . . . . . . . . . . . . . . . . . 71512.1.2 Applicability of Separate Spillways . . . . . . . . . . . . . 717

12.2 Chute (Proper Open Channel or Trough) Spillways . . . . . . . . 71712.2.1 Entrance (Access or Approach) Channels . . . . . . . . . 71812.2.2 Control Structures . . . . . . . . . . . . . . . . . . . . . . . . . 72012.2.3 Chutes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72412.2.4 Terminal Structures and Outlet Channels . . . . . . . . . 735

12.3 Spillways of Other Types. . . . . . . . . . . . . . . . . . . . . . . . . . 73612.3.1 Side-Channel Spillways . . . . . . . . . . . . . . . . . . . . . 73612.3.2 Drop Inlet (Shaft or Morning Glory) Spillways. . . . . 74212.3.3 Siphon Spillways . . . . . . . . . . . . . . . . . . . . . . . . . 74512.3.4 Baffled Apron Drop Spillways . . . . . . . . . . . . . . . . 74712.3.5 Culvert Spillways . . . . . . . . . . . . . . . . . . . . . . . . . 747

12.4 Emergency Spillways . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74812.4.1 Overtopping Emergency Spillways . . . . . . . . . . . . . 74912.4.2 Flushing Embankment Emergency Spillways . . . . . . 75012.4.3 Blast Washout Emergency Spillways. . . . . . . . . . . . 750

12.5 Type Selection and Layout of Spillways . . . . . . . . . . . . . . . 751References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 752

13 Hydraulic Tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75513.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 755

13.1.1 Types and Functions of Hydraulic Tunnels . . . . . . . 75613.1.2 Working Features of Hydraulic Tunnels. . . . . . . . . . 758

13.2 Layout of Hydraulic Tunnels . . . . . . . . . . . . . . . . . . . . . . . 75913.2.1 Procedure of Layout . . . . . . . . . . . . . . . . . . . . . . . 75913.2.2 Longitudinal Profile . . . . . . . . . . . . . . . . . . . . . . . 76013.2.3 Gates in the Tunnel. . . . . . . . . . . . . . . . . . . . . . . . 76213.2.4 Route of Tunnels . . . . . . . . . . . . . . . . . . . . . . . . . 764

13.3 Intakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76513.3.1 Types of Tunnel Intakes . . . . . . . . . . . . . . . . . . . . 76613.3.2 Components of Tunnel Intakes . . . . . . . . . . . . . . . . 768

13.4 Body of Tunnels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77113.4.1 Shape of Cross Section . . . . . . . . . . . . . . . . . . . . . 77113.4.2 Cross-sectional Dimension . . . . . . . . . . . . . . . . . . . 77213.4.3 Lining of Tunnel Body . . . . . . . . . . . . . . . . . . . . . 774

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13.5 Outlets and Energy Dissipation. . . . . . . . . . . . . . . . . . . . . . 78113.6 Countermeasures Against Cavitation to Hydraulic Tunnels . . . 783

13.6.1 Profile Design . . . . . . . . . . . . . . . . . . . . . . . . . . . 78413.6.2 Aeration Slots . . . . . . . . . . . . . . . . . . . . . . . . . . . 786

13.7 Stability of Surrounding Rock Mass During Tunneling . . . . . 78713.7.1 Stress Concentration in Surrounding Rock Mass . . . . 78713.7.2 Deformation of Surrounding Rock Mass . . . . . . . . . 78813.7.3 Stability of Surrounding Rock Mass . . . . . . . . . . . . 788

13.8 Structural Analysis of Lining . . . . . . . . . . . . . . . . . . . . . . . 79013.8.1 Design Loads and Their Combinations . . . . . . . . . . 79313.8.2 Elasticity Theory for Lining Calculation . . . . . . . . . 80013.8.3 Structural Mechanics Method

for Lining Calculation . . . . . . . . . . . . . . . . . . . . . . 80413.9 Bolt and Shotcrete Supports . . . . . . . . . . . . . . . . . . . . . . . . 804

13.9.1 Principles of Bolt and Shotcrete Supporting . . . . . . . 80413.9.2 Design of Bolting and Shotcrete Support . . . . . . . . . 80613.9.3 Several Notes on the Bolt

and Shotcrete Supporting . . . . . . . . . . . . . . . . . . . . 809References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 810

14 Rock Slopes in Hydraulic Projects . . . . . . . . . . . . . . . . . . . . . . . 81314.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 813

14.1.1 Classification of Rock Slopes . . . . . . . . . . . . . . . . . 81714.1.2 Main Tasks in the Rock Slope Design. . . . . . . . . . . 819

14.2 Factors Influencing the Stability of Rock Slope . . . . . . . . . . 82214.2.1 Stratum and Rock Characteristics . . . . . . . . . . . . . . 82314.2.2 Geologic Structure . . . . . . . . . . . . . . . . . . . . . . . . 82314.2.3 Rock Mass Structure . . . . . . . . . . . . . . . . . . . . . . . 82414.2.4 Action of Water . . . . . . . . . . . . . . . . . . . . . . . . . . 82614.2.5 Action of Vibration (Shaking) . . . . . . . . . . . . . . . . 82814.2.6 Slope Shape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83014.2.7 Geostress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83014.2.8 Action Due to Other Engineering Structures . . . . . . . 832

14.3 Design Criteria for Slopes . . . . . . . . . . . . . . . . . . . . . . . . . 83214.3.1 Absolute Design Standard–Design Code

Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83414.3.2 Relative Design Standard . . . . . . . . . . . . . . . . . . . . 835

14.4 Limit Equilibrium Method for Slope Stability Analysis . . . . . 83814.4.1 Specifications for Hydraulic Slopes . . . . . . . . . . . . . 83814.4.2 Engineering Application—The Right Reservoir

Bank Landslide (the Pubugou Project) . . . . . . . . . . . 839

xxiv Contents

14.5 Numerical Method for Slope Stability Analysis. . . . . . . . . . . 84014.5.1 Finite Element Method . . . . . . . . . . . . . . . . . . . . . 84114.5.2 Block Element Method . . . . . . . . . . . . . . . . . . . . . 846

14.6 Slope Stabilization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85014.6.1 Principles in the Slope Stabilization . . . . . . . . . . . . 85014.6.2 Stabilization Countermeasures . . . . . . . . . . . . . . . . 851

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 865

15 Hydraulic Steel Gates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86915.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 869

15.1.1 Functions and Components . . . . . . . . . . . . . . . . . . 86915.1.2 Classification of Gates. . . . . . . . . . . . . . . . . . . . . . 87015.1.3 Brief History of Hydraulic Gates . . . . . . . . . . . . . . 873

15.2 Basic Requirements for the Layout of Gates. . . . . . . . . . . . . 87415.3 Plate Steel Gates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 875

15.3.1 Types of Plate Gates . . . . . . . . . . . . . . . . . . . . . . . 87615.3.2 Layout and Structure of the Leaf of Plate Gate . . . . . 87815.3.3 Raising and Lowering Efforts and Hoists . . . . . . . . . 886

15.4 Radial Gates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88815.4.1 Leaf Structure and Layout of Radial Gate . . . . . . . . 88815.4.2 Raising and Lowering Efforts and Hoists . . . . . . . . . 891

15.5 Deep Gates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89215.5.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89215.5.2 Deep Plate Gates . . . . . . . . . . . . . . . . . . . . . . . . . 89315.5.3 Deep Radial Gates . . . . . . . . . . . . . . . . . . . . . . . . 894

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 895

16 Irrigation and Drainage Works . . . . . . . . . . . . . . . . . . . . . . . . . 89716.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89716.2 Water Intake Works . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 898

16.2.1 Types and Features of Water Intake Worksand Their Positions . . . . . . . . . . . . . . . . . . . . . . . . 898

16.2.2 Layout of Undammed Intakes. . . . . . . . . . . . . . . . . 90116.2.3 Layout of Lateral Intakes with Water Damming

by Barrage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90416.3 Aqueducts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91116.4 Inverted Siphons and Culverts . . . . . . . . . . . . . . . . . . . . . . 915

16.4.1 Inverted Siphons. . . . . . . . . . . . . . . . . . . . . . . . . . 91516.4.2 Culverts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 920

16.5 Water Measuring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92316.5.1 Particular Measuring Devices . . . . . . . . . . . . . . . . . 92316.5.2 Measuring by Existing Hydraulic Structures . . . . . . . 927

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 927

Contents xxv

17 Appurtenant Works . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92917.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92917.2 Navigation Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . 929

17.2.1 Classification of Navigation Structures . . . . . . . . . . 92917.2.2 Ship Locks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93017.2.3 Ship Lifts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94017.2.4 Selection of Navigation Structures. . . . . . . . . . . . . . 94517.2.5 Location of Navigation Structures . . . . . . . . . . . . . . 945

17.3 Timber Passing Structures . . . . . . . . . . . . . . . . . . . . . . . . . 94717.3.1 Log Ways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94717.3.2 Timber Slides. . . . . . . . . . . . . . . . . . . . . . . . . . . . 95017.3.3 Log and Raft Conveyers . . . . . . . . . . . . . . . . . . . . 95117.3.4 Selection of Timber Passing Structures . . . . . . . . . . 951

17.4 Fish-Passing Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . 95217.4.1 Classification of Fish-Passing Structures . . . . . . . . . 95317.4.2 Fish Ladders . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95417.4.3 Fish Locks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95817.4.4 Fish Elevators . . . . . . . . . . . . . . . . . . . . . . . . . . . 96017.4.5 Downstream Fish-Passing Facilities . . . . . . . . . . . . . 96017.4.6 Layout of Fish-Passing Facilities. . . . . . . . . . . . . . . 961

17.5 Floating Debris Discharging Structures . . . . . . . . . . . . . . . . 963References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 964

18 Operation and Maintenance of Hydraulic Structures . . . . . . . . . 96718.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96718.2 Hydrologic Observation and Forecasting . . . . . . . . . . . . . . . 967

18.2.1 Water Regime Observation . . . . . . . . . . . . . . . . . . 96818.2.2 Hydrologic Forecasting . . . . . . . . . . . . . . . . . . . . . 96818.2.3 Reservoir Operation . . . . . . . . . . . . . . . . . . . . . . . 970

18.3 Safety Surveillance for Hydraulic Structures . . . . . . . . . . . . . 97018.3.1 Safety Inspection for Dams . . . . . . . . . . . . . . . . . . 97118.3.2 Monitoring for Dams. . . . . . . . . . . . . . . . . . . . . . . 97318.3.3 Safety Review for Dams . . . . . . . . . . . . . . . . . . . . 974

18.4 Instrumentation for Hydraulic Structures . . . . . . . . . . . . . . . 97518.4.1 Deformation Monitoring . . . . . . . . . . . . . . . . . . . . 97518.4.2 Seepage Monitoring . . . . . . . . . . . . . . . . . . . . . . . 99218.4.3 Strain/Stress and Temperature Monitoring . . . . . . . . 99618.4.4 Automated Measurement Techniques

and Data Acquisition for Dams. . . . . . . . . . . . . . . . 100318.5 Remedial Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1005

18.5.1 The Need for Remedial Action . . . . . . . . . . . . . . . . 100518.5.2 Requirements for Remedial Action . . . . . . . . . . . . . 100518.5.3 Emergency Action Plans (EAP) for Dams . . . . . . . . 1006

xxvi Contents

18.6 Aging of Hydraulic Structures . . . . . . . . . . . . . . . . . . . . . . 100818.6.1 Nondestructive Examination . . . . . . . . . . . . . . . . . . 100918.6.2 Aging Diseases of Hydraulic Structures . . . . . . . . . . 101418.6.3 Mitigation of Aging . . . . . . . . . . . . . . . . . . . . . . . 1022

References. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1026

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