Earth Dams and Reservoirs

Earth Dams and
Reservoirs
Conservation
Engineering
Division
July 2005
TR60
Earth Dams and Reservoirs
Issued July 2005
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TDD). USDA is an equal opportunity provider and employer.
(210-VI-TR60, July 2005)
Preface
This Technical Release (TR) describes design procedures and provides minimum requirements for planning and designing earth dams and associated
spillways. This TR was developed to provide uniform criteria for earth dams
and reservoirs. NRCS plans, designs, and constructs complex dams under
widely varying conditions. It is essential that these dams be constructed
with uniform criteria to ensure consistent performance. As new experience,
materials, and knowledge become available, this document will be revised.
This TR applies to all Low Hazard Class dams with a product of storage
times the effective height of the dam of 3,000 acre-feet2 or more, those more
than 35 feet in effective height, and all Signicant and High Hazard Class
dams. Requirements are stated as maximum or minimum limits and may
not be satisfactory design criteria for all sites. In some cases, problems may
arise where proven solutions are not available or alternate procedures may
need to be evaluated before the best solutions can be developed and selected. Experience, state laws and regulations, investigations, analysis, expected maintenance, environmental considerations, or safety laws may dictate
more conservative criteria to ensure satisfactory performance.
This edition of the TR incorporates all previously issued revisions and
amendments, as well as signicant changes in chapters 2 (24-hour Design
Storms), 5 (Slope Stability Analysis), and 7 (New Earth Spillway Breach
Model) that were widely distributed and reviewed. This edition also makes
numerous editorial corrections, including SCS to NRCS; emergency spillway to auxiliary spillway; and Class a, b, c to Low, Signicant, High Hazard
Class, respectively.
ii
(210-VI-TR60, July 2005)
Contents:
Part 1
General .....................................................................................................................1-1
Dam classication ...................................................................................................1-1
Classes of dams .......................................................................................................1-1
Peak breach discharge criteria..............................................................................1-1
Utility cables and pipelines....................................................................................1-2
Cut slope stability ...................................................................................................1-2
Joint use of reservoir capacity ..............................................................................1-2
Visual resource design ...........................................................................................1-3
Safety and protection .............................................................................................1-3
Water supply pipes ..................................................................................................1-3
Streamow diversion during construction ..........................................................1-3
Reservoir conservation storage ............................................................................1-4
Part 2
Hydrology.................................................................................................................2-1
Precipitation and runoff amounts .........................................................................2-1
Principal spillway ...................................................................................................2-1
Auxiliary spillway and freeboard ..........................................................................2-1
Design hydrographs ................................................................................................2-5
Principal spillway hydrographs.............................................................................2-5
Stability design (auxiliary spillway) and freeboard hydrographs.....................2-5
Dams in series .........................................................................................................2-5
Upper dam ...............................................................................................................2-5
Lower dam ...............................................................................................................2-5
Large drainage areas...............................................................................................2-6
Part 3
Sedimentation .........................................................................................................3-1
Part 4
Geologic investigations ..........................................................................................4-1
Subsidence ..............................................................................................................4-1
Auxiliary spillways .................................................................................................4-1
Mass movements .....................................................................................................4-1
Karstic areas ............................................................................................................4-1
Multipurpose dams .................................................................................................4-1
Other .........................................................................................................................4-1
Part 5
Earth embankments and foundations ..................................................................5-1
Height .......................................................................................................................5-1
Top width .................................................................................................................5-1
Embankment slope stability ..................................................................................5-1
End of construction ................................................................................................5-2
Rapid drawdown .....................................................................................................5-2
Steady seepage without seismic forces ...............................................................5-4
Steady seepage with seismic forces .....................................................................5-4
Seepage ....................................................................................................................5-4
(210-VI-TR60, July 2005)
iii
Zoning .......................................................................................................................5-5
Surface protection ..................................................................................................5-5
Vegetative protection..............................................................................................5-5
Structural protection ..............................................................................................5-5
Part 6
Principal spillways ..................................................................................................6-1
Capacity of principal spillway ...............................................................................6-1
Elevation of principal spillways ............................................................................6-1
Single-purpose oodwater retarding dams..........................................................6-1
Other dams ..............................................................................................................6-1
Routing of principal spillway hydrographs .........................................................6-1
Design of principal spillways ................................................................................6-2
Hydraulics ................................................................................................................6-2
Risers ........................................................................................................................6-2
Conduit .....................................................................................................................6-2
Joints ........................................................................................................................6-4
Outlets ......................................................................................................................6-6
Trash racks ..............................................................................................................6-6
Antivortex device ....................................................................................................6-6
High sulfate areas ...................................................................................................6-6
Part 7
Auxiliary spillways..................................................................................................7-1
Closed type spillways .............................................................................................7-1
Spillway requirements ............................................................................................7-1
Capacity of auxiliary spillways .............................................................................7-1
Elevation of the crest of the auxiliary spillway ..................................................7-1
Auxiliary spillway routings ....................................................................................7-1
Hydraulic design .....................................................................................................7-2
Structural stability ..................................................................................................7-2
Vegetated and earth auxiliary spillways...............................................................7-2
Layout .......................................................................................................................7-2
Stability design of earth and vegetated earth spillways .....................................7-3
Integrity design of earth and vegetated earth spillways ....................................7-3
Rock auxiliary spillway ..........................................................................................7-4
Structural auxiliary spillways ................................................................................7-4
Glossary
Glossary ..................................................................................................................A-1
iv
(210-VI-TR60, July 2005)
Table 2-1
National Weather Service References: Precipitation Data
2-2
Table 2-2
Minimum principal spillway hydrologic criteria
2-3
Table 2-3
Principal spillway volume adjustments
2-7
Table 2-4
Minimum quick return ow for prinicipal spillway hydrographs
2-7
Table 2-5
Minimum auxiliary spillway hydrologic criteria
2-8
Figure 2-1 Principal spillway runoff volumes in north-central and southeastern states 2-9
Figure 2-2 Principal spillway runoff volumes in snowmelt producing ood areas
2-12
Figure 2-3 Areal adjustment, auxiliary spillway and freeboard
2-14
Figure 2-4 Dimensionless design storm distribution, auxiliary spillway

and freeboard
2-14
Figure 4-1 Seismic zone map
4-2
Table 5-1
Minimum top width of embankment
5-1
Figure 5-1 Mohr-Coulomb Envelope for upstream drawdown
5-2
Table 5-2
5-3
Slope stability criteria
Figure 5-2 Mohr-Coulomb Envelope for downstream steady seepage
(210-VI-TR60, July 2005)
5-4
Technical Release Number 60

Peak breach discharge criteria
General
Breach routings are used to help delineate the area potentially impacted by inundation should a dam fail and
can be used to aid dam classication.
Dam classication
In determining dam classication, a number of factors must be considered. Consideration must be given
to the damage that might occur to existing and future
developments should the dam suddenly release large
quantities of water downstream due to a breach, failure, or landslide into the reservoir. The effect of failure
on public condence is an important factor. State and
local regulations and the responsibility of the involved
public agencies must be recognized. The stability of
the spillway materials, the physical characteristics of
the site and the valley downstream, and the relationship of the site to industrial and residential areas including controls of future development all have a bearing on the amount of potential damage in the event of
a failure.
Dam classication is determined by the above conditions. It is not determined by the criteria selected for
design. The policy on classication is in 210-V-NEM
(National Engineering Manual), Part 520, Subpart C,
DAMS.
Classes of dams
The following classes of dams have been established
by policy and repeated here for convenience of the
user.
Low Hazard Classdams located in rural or agricultural areas where failure may damage farm
buildings, agricultural land, or township and
country roads.
Signicant Hazard Classdams located in predominantly rural or agricultural areas where failure may damage isolated homes, main highways
or minor railroads, or cause interruption of use
or service of relatively important public utilities.
High Hazard Classdams located where failure
may cause loss of life, serious damage to homes,
industrial and commercial buildings, important
public utilities, main highways, or railroads.
Stream routings made of the breach hydrograph will

be based upon topographic data and hydraulic methodologies mutually consistent in their accuracy and
commensurate with the risk being evaluated.
The minimum peak discharge of the breach hydrograph, regardless of the technique used to analyze the
downstream inundation area, is:
1. For depth of water at the dam at the time of failure
where H w 103 ft
Q max = (65 ) H w1.85
2. For depth of water at the dam at the time of failure
where H w < 103 ft
( V ) (Hw )
Q max = (1,100 ) B r1.35
where B r = s
A
2.5
but not less than Q max = ( 3.2) H w nor more than
Q max = (65 ) H w1.85
3. When the width of the valley, L, at the water surface

elevation corresponding to the depth, Hw, is less than,
T=
(65 ) H w 0.35
0.416
replace the equation, Q max = (65 ) H w1.85 , in 1 and 2

above with,
Q max = ( 0.416 ) ( L ) H w1.5
where:
Qmax = the peak breach discharge, ft3/sec
Br
= breach factor, acre
Vs
= reservoir storage at the time of failure, acreft
Hw
= depth of water at the dam at the time of
failure; however, if the dam is overtopped,
depth is set equal to the height of dam, ft
(210-VI-TR60, July 2005)
1-1
= cross-sectional area of embankment at the

assumed location of breach, usually the
template section (normal to the dam longitudinal axis) at the general ood plain location, ft2
= theoretical breach width at the water surface elevation corresponding to the depth,
Hw, for the equation, Q max = (65 ) H w1.85 , ft
= width of the valley at the water surface elevation corresponding to the depth, Hw, ft
The peak discharge value determined by using principles of erosion, hydraulics, and sediment transport
may be used in lieu of the peak discharge computed
using the above equations.
Utility cables and pipelines

Existing pipelines, cables, and conduits of a wide variety of sizes, materials, and functions are frequently
encountered at dam sites. These conduits are usually
located at shallow depths in the ood plain. They constitute a hazard to the safety of the dam and must be
either relocated away from the site or reconstructed or
modied to provide the durability, strength, and exibility equal in all aspects to the principal spillway designed for the site, in accordance with service criteria
and procedures. Overhead cables or power lines must
be relocated or raised as necessary to prevent damage
or hazard to the public.
Every reasonable effort should be made to have such
conduits, cables, and pipelines removed from the site.
Most utilities and industries will want their facility removed from the site for easy maintenance. Only as a
last resort and under the limitations imposed below
are conduits permitted to remain under an earth dam
embankment.
Conduits permitted to remain under any part of the
embankment below the crest of the auxiliary spillway
are to be:
provided with seepage control against potential
piping;
properly articulated on all yielding foundations;
encased in concrete or otherwise treated to ensure durability and strength equal to that of the
principal spillway; and
made watertight against leaking either into or out
of the pipe.
1-2
Enclosure of the conduit cable or pipeline within another conduit that meets the requirements of this section and is positively sealed at the upstream end to
prevent seepage into the enclosing conduit is acceptable. Such an enclosing conduit must extend the full
distance through which the conduit, cable, or pipeline
being enclosed is beneath the embankment.
Cut slope stability

Natural and excavation cut slopes must be planned
and formed in a stable and safe manner. Spillways, inlet and outlet channels, borrow pits, reservoir edges,
abutment areas, and foundation excavations are all locations where these considerations are needed. Field
investigations, methods of analysis, design and construction requirements, and resultant specications
must recognize and provide for safe functional performance.
Joint use of reservoir capacity

A reservoir site may be used more efciently where
hydrologic conditions permit joint use of storage capacity by ood water and conservation storage. The
following requirements must be met for joint use storage dams.
There is reasonable assurance that water will be
available to meet objectives.
Flood protection objectives of the project are
satised.
Spillway conditions are such that the dam will
perform safely.
Special hydrologic studies must be made to show that
the requirements can be met. This may include hydrometeorologic instrumentation and analysis.
Hydraulic features must include an ungated spillway
outlet at the top of the joint use pool. A gated opening
must be provided at the bottom of the joint use pool
adequate for use of the conservation storage and evacuation of the joint use pool.
Provisions must be made for operation of the joint use
pool to ensure functioning of the dam as designed.
These must include a competent operating and maintaining organization and a specic operation and maintenance plan. These requirements must be a part of
the planning process and agreed to by the sponsors or
owner.
(210-VI-TR60, July 2005)
Visual resource design
be adequate for their intended use; and
The public generally prefers lake or waterscape scenery. Therefore, when permanent pools are created
by dam construction, they can enhance the visual resource if the water views are emphasized. A visual design objective must focus public views toward the permanent pool and reduce the visual focal effects of the
structural elements.
Visual focus on the lake is achieved by locating roads
and walkways so that the entering or rst perceptions
of the site are of the waterscape scenery. In most landscapes, the lake will automatically predominate if other elements are visually designed to be subordinate.
Borrow areas must be shaped to blend with the surrounding topography. These areas must be revegetated
with herbaceous and woody plants to visually t the
existing surrounding vegetation. Fences must be constructed parallel to the contour as much as possible,
be located behind existing vegetation, as seen from the
major viewpoints, and be placed low in the landscape.
Dams must be shaped to blend with the natural topography to the extent feasible.
be provided with seepage control against potential piping.
Streamow diversion during construction

Streamow past the dam site, unless controlled, occurs at a somewhat random time with variable frequency and magnitudes. A hazard exists during dam
construction beginning when the embankment, cofferdam, or other ancillary structures obstruct the natural
streamow. During construction, a greater risk usually exists for some time than after the dam is completed. The risk is different for each dam because of the
varying factors of construction time, climate, watershed size, and diversion capacity. An evaluation should
be made of the risk from embankment failure by overtopping and other similar hazards during construction.
The risk involved in overtopping during construction
increases with the following factors:
dams of higher hazard class
greater volume of reservoir storage
dams with larger watersheds
Safety and protection
longer critical construction time periods
Many dams are hazardous to the public. Features designed for recreation or sh and wildlife are especially attractive to the public since they provide an opportunity to use the water. All dams must be designed to
avoid hazardous conditions where possible. Open-top
risers, steep-walled channels and chutes, plunge pools,
and stilling basins are hazardous and require special
attention. All dams must be provided with safety fences, guard rails, or other safeguards as necessary to
protect the public and operation and maintenance personnel.
The embankment and spillways must be fenced where
necessary to protect the dam from livestock and foot
and vehicular trafc.
Water supply pipes

Water supply pipes or conduits for other purposes installed under any part of the embankment below the
crest of the auxiliary spillway are to:
provide durability, strength, and exibility equivalent to the principal spillway;
be watertight against anticipated pressures;
smaller diversion release rates (less unit discharge per unit watershed area)
The consequence of overtopping during construction
may vary from a slight amount of erosion on a homogeneous clay dam to a breach of an embankment including loss of a temporary diversion coffer dam. The
erosion or breach causes increased inundation and
sedimentation of downstream areas.
The risk may be evaluated based upon experience of
comparable dams constructed in the same hydrologic setting. An evaluation may also be made using available streamow records to obtain stage-duration-frequency information for a range of diversion rates.
Streamow data should be used when available; otherwise, an evaluation may be made using climatological
record data for generation of synthetic hydrographs
to develop stage duration-frequency information for a
range of diversion rates.
The size of diversion must be designed to provide an
acceptable level of risk. The probability required to
protect against overtopping varies from 20 percent to
5 percent chance in any one year. A 10 percent chance
probability is frequently used when the critical con-
(210-VI-TR60, July 2005)
1-3
struction period is limited to one construction season.

An alternative to a larger diversion capacity is to provide protection against erosion to the embankment
surface (reinforcement) up to the desired elevation of
acceptable risk.
Reservoir conservation storage

Reservoirs with water stored for conservation purposes must be analyzed using a water budget to determine
a dependable water supply.
For most purposes, a dependable water supply is dened as one that is available at least 8 out of 10 years
or has a probability of 80 percent chance in any one
year. A purpose such as municipal and industrial water
may require a 95 percent chance probability of existing
in any one year. Other purposes, such as recreation,
require an analysis of the reservoir surface elevation
uctuation to evaluate the acceptable percent chance
of occurrence.
1-4
(210-VI-TR60, July 2005)
A special study may show that local streamow records can be used directly or regionalized to develop
design runoff volumes.
Hydrology
This section describes hydrologic criteria for determining spillway discharges and oodwater storage
volumes. Detailed procedures for developing principal spillway, auxiliary spillway, and freeboard hydrographs are found in the NRCS National Engineering
Handbook, chapter 21, section 4, Hydrology (NEH-4).
Methods of ood routing hydrographs through reservoirs and spillway systems are contained in chapter
17, NEH-4. Special studies, as used in this text, refer to
all site-specic studies with prior concurrence of selected procedures.
Precipitation and runoff amounts

Principal spillway
Precipitation data must be obtained from the most recent National Weather Service (NWS) reference which
is applicable to the area under study. References that
contain precipitation data for return periods up to 100
years and for durations up to 10 days are listed in sections A and B of table 2-1.
The return period for design precipitation amounts is
dependent on the dam classication, purpose, size, location, and type of auxiliary spillway. Table 2-2 shows
minimum return period. The minimum allowable areal adjustment ratios for 1- and 10-day precipitation
amounts are tabulated in table 2-3 (a).
A storm duration of not less than 10 days must be
used for sizing the principal spillway. The procedure in
chapter 21, NEH-4 for developing the storm distribution uses both the 1-day and 10-day runoff volumes.
The procedure for estimating runoff volumes must be
selected based on which one requires the higher auxiliary spillway crest elevation when the principal spillway
hydrograph is routed through the structure. Procedures
to be used to estimate runoff volumes include:
The runoff curve number (CN) procedure described in NEH-4. Use average antecedent runoff
conditions (ARC II) or greater unless a special
study shows that a different condition is justied.
The CN adjustment for 10-day storm is estimated
from table 2-3(b).
Runoff volumes, based on stream gage studies
which also account for snow melt, from gures
2-1(a) and (b) or 2-2(a) and (b).
Transmission losses reducing the runoff volume in arid

and semiarid climatic areas may be used if the climatic index, as dened in chapter 21, NEH-4, is less than
one. If transmission losses appear to be signicant
even though the climatic index is one or more, such as
in cavernous areas, special studies are required.
Obtain quick return ow from the map, gure 2-1(c),
or table 2-4, as appropriate.
Auxiliary spillway and freeboard

The most recent NWS references applicable to the location of the dam site shall be used to determine precipitation amounts, spatial distributions, and temporal distributions. Table 2-1 provides references current
as of date of this publication. See the NWS Web site,
http://www.nws.noaa.gov/oh/hdsc/index.html, for the
most current references.
Minimum precipitation amounts shall be in accordance with table 2-5.
The discharge capacity, stability (surface erosion potential), and integrity (breaching potential) of the auxiliary spillway shall be evaluated as follows:
Both a short duration (6 hour or longer) and a
long duration (24 hour or longer) storm shall be
analyzed and the most critical results used to
check the discharge capacity and the integrity of
the auxiliary spillway.
Only the short duration storm shall be used to
check the stability of the auxiliary spillway.
For locations where NWS references provide estimates of local storm and general storm values,
both storms shall be analyzed. For other locations, at least a 6-hour and a 24-hour duration
storm shall be analyzed.
In areas without applicable NWS references for spatial
distribution, minimum areal adjustment ratios shown
in gure 2-3 may be used. Spatial adjustments shall not
be applied for drainage areas less than 10 square miles.
In areas without applicable NWS reference for temporal distribution, the dimensionless auxiliary and freeboard storm distribution shown in gure 2-4 may be
used. Alternately, the 24-hour storm can be constructed by critically stacking incremental rainfall amounts
of successive 6-, 12-, and 24-hour durations as described in Hydrometeorological Report 52 (HMR52).
(210-VI-TR60, July 2005)
2-1

Table 2-1
National Weather Service References1/: Precipitation Data
A. Durations to 1 day and return periods to 100 years

Technical Memorandum HYDRO-35. Durations 5 to 60 minutes for the eastern and central states (1977)
Technical Paper 40. 48 contiguous states (1961) (Use for 37 contiguous states east of the 105th meridian)
Technical Paper 42. Puerto Rico and Virgin Islands (1961)
Technical Paper 43. Hawaii (1962)
Technical Paper 47. Alaska (1963)
NOAA Atlas 2. Precipitation Atlas of the Western United States (1973).
Vol. I, Montana
Vol. II, Wyoming
Vol. III, Colorado
Vol. V, Idaho
Vol. VI, Utah
Vol. IX, Washington
Vol. X, Oregon
Vol. XI, California
B. Durations from 2 to 10 days and return periods to 100 years

Technical Paper 49. 48 contiguous states (1964)
Technical Paper 51. Hawaii (1965)
Technical Paper 52. Alaska (1965)
Technical Paper 53. Puerto Rico and Virgin Islands (1965)
C. Durations from 5 minutes to 60 days and return periods to 100 years
NOAA Atlas 14 Volume 1. Precipitation Frequency Atlas for the Semiarid Southwest United States (2003)
NOAA Atlas 14 Volume 2. Precipitation Frequency Atlas for the Ohio River Basin and Surrounding States (2004)
D. Probable maximum precipitation (PMP)
Hydrometeorological Report 49. Colorado River and Great Basin Drainages (1977)
Hydrometeorological Report 51. For 37 contiguous states east of the 105rd meridian (1978)
Hydrometeorological Report 52. Application of PMP estimates, states east of the 105th Meridian (1982)
Hydrometeorological Report 53. Seasonal variation of 10 square-mile PMP estimates, states east of the 105th
meridian (1980)
Hydrometeorological Report 54. PMP and snowmelt criteria for southeast Alaska (1983)
Hydrometeorological Report 55A. Between the Continental Divide and the 103rd meridian (1988)
Hydrometeorological Report 56. Tennessee Valley (1986)
Hydrometeorological Report 57. Pacic Northwest (1994)
Hydrometeorological Report 59. California (1999)
Technical Report 42. Puerto Rico and Virgin Islands (1961)
Technical Report 47. Alaska (1963)
1/ National Weather Service, National Oceanic and Atmospheric Administration (NOAA), U.S. Department of Commerce
2-2
(210-VI-TR60, July 2005)

Table 2-2
Minimum principal spillway hydrologic criteria
Class of dam
Purpose of dam
single irrigation
only 2/
Product of storage X effective height
less than 30,000

greater than 30,000
Low
Existing
or planned
upstream
dams
none
less than 30,000

single or
multiple 4/
greater than 30,000
none
Precipitation data for maximum frequency of

use of auxiliary spillway types: 1/
Earth
Vegetated
1/2 design life
1/2 design life
3/4 design life
3/4 design life
P50
P25 3/
1/2 (P50 + P100)
1/2 (P25 + P50)
all
any 5/
P100
P50
Signicant
single or
multiple
all
none or
any
P100
P50
High
single or
multiple
all
none or
any
P100
P100
Precipitation amounts by return period in years. In some areas, direct runoff amounts determined by gure 2-1 and 2-2 or procedures in chapter 21, NEH-4 should be used in lieu of precipitation data.
Applies to irrigation dams on ephemeral streams in areas where the annual rainfall is less the 25 inches.
The minimum criteria are to be increased from P25 to P100 for a ramp spillway.
Low Hazard Class dams involving industrial or municipal water are to be designed with a minimum criteria equivalent to that
of Signicant Hazard Class.
Applies when the upstream dam is located so that its failure could endanger the lower dam.
(210-VI-TR60, July 2005)
2-3
The maximum 6-hour rainfall should occur in the second 6-hour quadrant. The next highest 6-hour incremental rainfall should occur in the third 6-hour quadrant, the next highest in the rst, etc.
The NRCS runoff curve number procedure dened in
NEH-630 and NEH-4 shall be used to determine runoff volumes. Antecedent runoff condition (ARC) II
or greater shall be assumed. The same curve number
shall apply throughout the entire storm.
Special probable maximum precipitation (PMP) studies can be considered and may be conducted by NWS
or other hydrometeorologists with experience in such
work. Useful special studies may have been conducted by federal or state agencies or major dam owners. Special studies should be considered especially
for large drainage areas, areas of signicant variation
in elevation, or areas located at the boundary of two
studies where discontinuities occur.
Methods in the Federal Guidelines for Dam Safety
Inow Design Floods, FEMA 94, may alternately
be used to proportion the embankment and auxiliary
spillway, provided downstream land use controls exist
to prevent voiding incremental risk assumptions after
the dam is completed.
Design hydrographs
Dams in series
Upper dam
The hydrologic criteria and procedures for the design
of an upper dam in a system of dams in series must
be the same as, or more conservative than, those for
dams downstream if failure of the upper dam could
contribute to failure of the lower dam. The dam breach
criteria described earlier will be used to develop the
breach hydrograph peak discharge.
Lower dam
For the design of a lower dam, hydrographs shall be
developed for the areas controlled by the upper dams
based on the same hydrologic criteria as the lower
dam. The hydrographs are routed through the spillways of the upstream dams and the outows routed
to the lower dam where they are combined with the
hydrograph from the intermediate uncontrolled drainage area. The combined principal spillway hydrograph
is used to determine the capacity of the principal spillway and the oodwater retarding storage requirement
for the lower site. The combined stability design (auxiliary spillway) hydrograph is used to evaluate the stability (erosion resistance) of any vegetated or earth
spillway at the lower site. The combined freeboard
hydrograph is used to determine the height of dam and
to evaluate the integrity of any vegetated or earth spillway at the lower site.
Principal spillway hydrographs

Procedures in chapters 16 and 21, NEH-4 and applicable national computer programs shall be used to develop the principal spillway hydrograph using precipitation and runoff amounts as described in the preceding
section.
If upon routing a hydrograph through the upper dam,

the dam is overtopped, or its safety is questionable, it
is considered breached. For design of the lower dam,
the breach hydrograph must be routed downstream
to the lower dam and combined with the uncontrolled
area hydrograph.
When the area above a proposed dam is hydrologically

complex, the area should be divided into two or more
hydrologically homogeneous sub-basins for developing
the design hydrograph.
In design of the lower dam, the time of concentration

(Tc) of the watershed above an upper dam is used to
develop the hydrographs for the upper dam. The Tc
of the uncontrolled area above the lower site is used
to develop the uncontrolled area hydrographs. If the
Tc for the total area exceeds the storm duration, the
precipitation amounts for the stability design (auxiliary spillway) and freeboard hydrographs must be
increased by the values in the applicable NWS references (table 2-1).
Streamow records may be used to develop the principal spillway hydrograph where a special study shows
they are adequate for this purpose.
Stability design (auxiliary spillway) and freeboard hydrographs

Procedures in chapters 16 and 21, NEH-4 and applicable national computer programs shall be used to develop stability design (auxiliary spillway) and freeboard
hydrographs using precipitation and runoff amounts
and sub-basins, if necessary, as described in the preceding sections.
2-4
The minimum precipitation amounts for each of the

required hydrographs may be reduced by the areal reduction factor for the total drainage area of the dam
system.
(210-VI-TR60, July 2005)
Large drainage areas

When the area above a proposed dam approaches 50
square miles, it is desirable to divide the area into
hydrologically homogeneous sub-basins for developing the design hydrographs. Generally, the drainage
area for a sub-basin should not exceed 20 square miles.
Watershed modeling computer programs, such as the
NRCS Technical Release (TR) 20 Project FormulationHydrology or NRCS SITES Water Resources Site
Analysis, may be used for inow hydrograph development. This software can be downloaded from http://
www.wcc.nrcs.usda.gov/hydro/hydro-tools-models.
html.
If the Tc for the entire drainage area is greater than 24
hours, storm durations longer than the Tc should be
tested to determine the duration that gives the maximum reservoir stage for the routed stability design
(auxiliary spillway) and freeboard hydrographs.
Table 2-3
10
15
20
25
30
35
40
Studies to make use of available stream ow records are

encouraged for purposes such as unit hydrograph development, watershed storage and timing effects, and calibration of watershed models.
Principal spillway volume adjustments
(a)
Area
(m2)
Precipitation amounts may exhibit marked variation in a

large watershed. This variation is based upon topographical and meteorological parameters such as aspect, orientation, mean elevation of sub-basin, and storm orientation. Consideration shall be given to having the NWS
make a special PMP study for large watersheds with
drainage areas more than 100 square miles. Individual
watershed PMP studies can take into account orographic
features that are smoothed in the generalized precipitation studies. A special study also may be warranted in areas where signicant snowmelt can occur during the design storms.
(b)
--Area/point ratio-1 day
10 days
1.000
0.977
0.969
0.965
0.961
0.957
0.954
1.000
0.991
0.987
0.983
0.981
0.979
0.977
Area
(m2)
--Area/point ratio-1 day

10 days
-------------------------------- Runoff curve numbers -------------------------------------1 day

10 days
1 day
10 days
1 day
10 days
45
50
60
70
80
90
100
0.951
0.948
0.944
0.940
0.937
0.935
0.932
100
99
98
97
96
95
94
93
92
91
90
89
88
87
86
85
84
83
82
81
0.976
0.974
0.972
0.970
0.969
0.977
0.966
* If area is greater than 100 square miles, request PMP from

Conservation Engineering Division (CED).
100
98
96
94
92
90
88
86
84
82
81
79
77
76
74
72
71
69
68
66
80
79
78
77
76
75
74
73
72
71
70
69
68
67
66
65
64
63
62
61
65
64
62
61
60
58
57
56
54
53
52
51
50
49
47
46
45
44
43
42
60
59
58
57
56
55
54
53
52
51
50
49
48
47
46
45
44
43
42
41
41
40
39
38
37
36
35
34
33
33
32
31
30
29
28
28
27
26
25
24
* This table is used only if the 100-year frequency 10-day

point rainfall is 6 or more inches. If it is less, the 10-day CN
is the same as that for the 1-day CN.
(210-VI-TR60, July 2005)
2-5

Table 2-4
Minimum quick return ow for prinicipal spillway hydrographs
Ci
------- QRF ------in/d

ft3/sec/mi2
Ci
------- QRF -------in/d

ft3/sec/mi2
1.00
1.02
1.04
1.06
1.08
0
0.011
0.022
0.033
0.045
0
0.30
0.60
0.90
1.20
1.50
1.52
1.54
1.56
1.58
0.233
0.239
0.244
0.249
0.254
6.28
6.42
6.56
6.70
6.83
1.10
1.12
1.14
1.16
1.18
0.056
0.067
0.078
0.089
0.100
1/50
1.80
2.10
2.40
2.70
1.60*
1.65
1.70
1.75
1.80
0.259
0.270
0.280
0.290
0.299
6.95
7.26
7.53
7.79
8.05
1.20
1.22
1.24
1.26
1.28
0.112
0.122
0.133
0.144
0.153
3.00
3.29
3.58
3.86
4.12
1.85
1.90
1.95
2.00
2.05
0.309
0.318
0.326
0.335
0.343
8.30
8.54
8.77
9.00
9.22
1.30
1.32
1.34
1.36
1.38
0.163
0.171
0.180
0.188
0.195
4.37
4.61
4.83
5.05
5.25
2.10*
2.20
2.30
2.40
2.50
0.351
0.367
0.382
0.396
0.410
9.44
9.86
10.26
10.65*
11.02
1.40
1.42
1.44
1.46
1.48
0.202
0.209
0.216
0.222
0.228
5.44
5.63
5.80
5.97
6.13
2.60
2.70
2.80
2.90
3.00**
0.423
0.436
0.449
0.461
0.473
11.38
11.73
12.07
12.41
12.73
* Change in tabulation interval

** For Ci greater than 3, use:
QRF (ft3/sec/mi2) = 9(Ci-1)0.5
or
QRF (in/d) = 0.03719 [QRF (ft3/sec/mi2)]
where:
QRF = quick return ow
Ci
= climatic index
in/d = inches per day
2-6
(210-VI-TR60, July 2005)

Table 2-5
Class of Dam
Low 2
Minimum auxiliary spillway hydrologic criteria

Precipitation data for 1
Product of storage
X effective height
Existing or
planned upstream dams
Auxiliary spillway hydrograph
Freeboard hydrograph
less than 30,000
none
P100
P100 + 0.12(PMP P100)
P100 + 0.06(PMP P100)
P100 + 0.26(PMP P100)
greater than
30,000
P100 + 0.40(PMP P100)
Signicant
all
none or any
P100 + 0.12(PMP P100)
P100 + 0.40(PMP P100)
High
all
none or any
P100 + 0.26(PMP P100)
PMP
P100 = Precipitation for 100-year return period. PMP = Probable maximum precipitation
Dams involving industrial or municipal water are to use minimum criteria equivalent to that of Signicant Hazard Class.
Applies when the upstream dam is located so that its failure could endanger the lower dam
Figure 2-1
(a)
Principal spillway runoff volumes in north-central and southeastern states
100-year, 10-day runoff (inches), principal spillway hydrograph
100-year 10-day runoff volumes (inches)

for developing the principal spillway hydrograph
4.0
4.5
10.5
5.0 6.0
3.5
7.0
10.5
7.5
8.5
8.0
Area 2
8.5
8.0
Area 3
7.5
3.0
4.0
4.0
10.5
9.0
10.0
8.0
9.0
9.0
7.0
10.0
8.0
Are
a2
Are
a3
Area 1
6.0
5.0
10.0
9.0
5.0
4.0
3.0
6.0
4.5
5.0
4.5
6.0
5.0
5. 0
6.0
Ratios for 50- and 25 year

10-day runoff volumes
Area 1
0.85
0.70
Area 2
0.90
0.80
Area 3
0.92
0.90
200
400
(210-VI-TR60, July 2005)
7.0
6.0
8.0
Multiply map values by:

9.0
50-year 10-day runoff

25-year 10-day runoff
4.5
5.0
8.0
10.0
To obtain:
5.0
8.0
7.0
5.0
4.0
5.0
3.5
9.0
P100 + 0.12(PMP P100)
10.0
any 3
Area 1
Area 2
all
600 MI
2-7

Figure 2-1 Principal spillway runoff volumes in north-central and southeastern statescontinued
(b)
Ratios of volumes of runoff (A1/Q10), principal spillway hydrograph
Ratios of volumes runoff (Q1/Q10)

for developing the principal spillway hydrograph
L. S
rior
upe
L.
L. Michigan
n
ro
Hu
rio
nta
L. O
L.
e
Eri
Legend
Q1 1-day volume runoff
Q10 10-day volume runoff
2-8
200
400
(210-VI-TR60, July 2005)
600 MI

Figure 2-1 Principal spillway runoff volumes in north-central and southeastern statescontinued
(c)
Quick return ow
(210-VI-TR60, July 2005)
2-9

Figure 2-2 Principal spillway runoff volumes in snowmelt producing ood areas
(a)
2-10
100-year, 10-day runoff (inches)
(210-VI-TR60, July 2005)

Figure 2-2
(b)
Principal spillway runoff volumes in snowmelt producing ood areascontinued
Ratios of volumes of runoff (Q1/Q10)
(210-VI-TR60, July 2005)
2-11
Ratio:
Area rainfall
Map rainfall
Figure 2-3 Areal adjustment, auxiliary spillway and freeboard

1.0
Pacific coasta
l climate
Humid
and su
bhumid
climate
Arid
and
sem
iarid
clim
ate
0.9
0.8
0.7
0.6
0.5
10
15
20 25 30 35 40 45 50 60 70 80 90 100
Areal precipation adjustments for
drainage areas 10 to 100 square miles
Figure 2-4 Dimensionless design storm distribution, auxiliary spillway and freeboard
1
0.95
0.9
0.85
0.8
0.75
0.7
Accumulation
0.65
0.6
0.55
0.5
0.45
0.4
0.35
0.3
0.25
0.2
0.15
0.1
0.05
0
2-12
0.1
0.2
0.3
0.4
0.5
0.6
Duration
0.7
0.8
0.9
(210-VI-TR60, July 2005)
trap efciency of the reservoir;
Sedimentation
Reservoirs used to store or retard water from surface
runoff will trap and store a large portion of the sediment in the runoff water. Therefore, allocate storage
capacity for the calculated sediment accumulation
during the design life of the reservoir. Criteria and general procedures needed to determine the volume required for sediment accumulation and its allocation in
the reservoir are contained in NEH-3, Sedimentation.
The latter also includes procedures for determining:
sediment yield for present conditions and for the
future after planned land treatment and other
measures are applied in the drainage area of the
dam;
distribution and types of sediment expected to

accumulate;
proportion of the sediment that will be continuously submerged vs. that aerated; and
densities to which the sediment will become
compacted.
If the amount of sediment accumulation calculated exceeds two watershed inches in 50 years for the uncontrolled drainage area of the dam, reevaluate the entire
watershed to determine if more economical methods
of reducing sediment yield or trapping sediment may
be feasible and applicable.
(210-VI-TR60, July 2005)
3-1
3-2
(210-VI-TR60, July 2005)
Auxiliary spillways
Geologic investigations
The intensity and detail of geologic site investigations shall be consistent with the class of dam, complexity of site geology, and the data needed for design.
General requirements, procedures, and criteria are set
forth in the NEM-531 and NEH-8.
Following are the geologic conditions that require special consideration beyond the minimum investigations
spelled out in the above reference.
Seismic assessment
Dams in zones 3 and 4, Alaska, Puerto Rico, and the
Virgin Islands, and High Hazard Class dams in zone 2
(g. 4-1) require special investigations to determine
liquefaction potential of noncohesive strata, including very thin layers, and the presence at the site of any
faults active in Holocene time. As part of this investigation, a map must be prepared showing the location
and intensity of magnitude of all intensity V or magnitude 4 or greater earthquakes of record, and any historically active faults, within a 100-kilometer (62-mile)
radius of the site. (Obtain earthquake information for
this map from NOAA at www.ngdc.noaa.gov/seg/hazard/int_srch.shtml and USGS at wwwneic.cr.usgs.
gov/.) The report should also summarize other possible earthquake hazards such as ground compaction,
landslides, excessive shaking of unconsolidated soils,
seiches, and in coastal areas, tsunamis.
Large dams with auxiliary spillways in soft rock or cemented soil materials that cannot be classied as soil
as dened in NEH-628, chapter 52 or as rock, as generally dened for engineering purposes, and spillways in
rocks with extraordinary defects require a special individual evaluation.
Mass movements
Evaluate landslides and landslide potential at dam and
reservoir sites, especially those in shales and where
unfavorable dip-slope or other adverse rock attitudes
occur. Summarize the history of mass movement in the
project area. Auxiliary spillway cuts and reservoir effects must be given careful consideration.
Karstic areas
Limestone and gypsum in reservoirs and at dam sites
require special investigational methods and careful
evaluation of subsidence, leakage hazards, and construction costs. Multipurpose structures in these areas
are especially critical.
Multipurpose dams
Investigate the ground water regime and hydraulic
characteristics of the entire reservoir area of water
storage dams and evaluate for leakage. Use the water
budgets to determine the need for reservoir sealing.
Subsidence
Investigate the potential for surface subsidence due to
past or future solid, liquid (including ground water) or
gaseous mineral extraction. NEM-531, subpart B sets
forth criteria for these evaluations.
Evaluate the impact of the preemption of mineral deposits, including sand and gravel, by dams and reservoirs.
Other
Special studies and evaluations may be necessary
where compaction shales; some types of siliceous, calcareous or pyritic shales; rebound joints; dispersed
soils; or artesian waters occur at a site.
In arid and semiarid areas and in eolian deposits, determine the potential of moisture decient soil materials to collapse upon saturation or wetting. If the
potential exists, make extensive and intensive site investigations to provide quantitative information for design and construction.
(210-VI-TR60, July 2005)
4-1

Figure 4-1 Seismic zone map
80
90
100
110
2
1
106
45
2
1
3
40
3
35
35
2
3
1
30
0
0
2
Minium Seismic Coeficients
Coefficients
0
0.05
0.10
3 and 4
Base on seismic
assesment
106
4-2
Zone
0
1
2
Seismic Zone Map

Contiguous States
(210-VI-TR60, July 2005)

Figure 4-1 Seismic zone mapcontinued
Kauai
0
Lihue
e
Oc
Oahu
Niihau
an
Honolulu
Molokai
1
Kaunakakai
Pa
ci
fic
Wailuku
Lanai City
Lanai
Maui
2
2
Kahoolawe
10
10
20
30
40
Statute Miles
Hawaii
Minium Seismic Coeficients
Zone
0
1
2
Coefficients
0
0.05
0.10
3 and 4
Base on seismic
assesment
Hilo
Seismic Zone Map

Hawaii
(210-VI-TR60, July 2005)
4-3
4-4
(210-VI-TR60, July 2005)
The width may need to be greater than the above minimums to:
Earth embankments and

foundations
meet state and local standards;
Earth embankments constructed of soil and rock are

the principal means of impounding water. The earth
embankment and its foundation must withstand the
anticipated loads without movements leading to failure. Measures must be provided for adequate seepage
control.
Height
The design height of an earth embankment must be
sufcient to prevent overtopping during passage of
either the freeboard hydrograph or stability design
hydrograph plus the freeboard required for frost conditions or wave action, whichever is larger. The design
height must also meet the requirements for minimum
auxiliary spillway depth. The design height of the dam
must be increased by the amount needed to compensate for settlement.
Top width
The minimum top width of embankment is shown in
table 5-1.
Table 5-1
accommodate embankment zoning;

provide roadway access and trafc safety; and
provide structural stability.
An increase in top width is a major design feature in
preventing breaching after embankment slumping
caused by earthquake ground motion.
When the embankment top is used as a public roadway, the minimum width shall be 16 feet for one-way
and 26 feet for two-way trafc. Guardrails or other
safety measures shall be used and must meet the requirements of the responsible road authority.
Embankment slope
stability
Analyze the stability of embankment slopes using generally accepted methods based on sound engineering
principles. Document all analyses including assumptions regarding shear strength parameters for each
zone of the embankment and each soil type or horizon in the foundation. Documentation should include
methods used for analyses and a summary of results.
Design features necessary to provide required safety
factors should be noted.
Minimum top width of embankment
Top Width (ft)

Total height of embankment,
H, (ft)
14 or less
1519
2024
2534
3595
Over 95
All dams
Single purpose
oodwater
retarding
Multipurpose or
other purposes
8
10
12
14
N/A
N/A
N/A
N/A
N/A
N/A
14
16
N/A
N/A
N/A
N/A
(H+35)/5
26
(210-VI-TR60, July 2005)
5-1
Evaluate the effect of seismicity on each site.

Determine whether the site is in a seismically active
area, its proximity to active faults, and the predicted
ground motion intensity at the site. If the site is located
in zone 3 or 4 shown in gure 4-1, perform special seismic studies. Otherwise, use the horizontal acceleration
factors shown in gure 4-1 in a pseudo-static stability
calculation using conditions summarized in table 5-2.
Analyze embankment stability for each of the following conditions in the design life of the structure that
are appropriate to the site. If a condition is not analyzed, clearly document the reasons. Document any
correlated shear strength parameters, including correlations to eld performance, used to justify a lack of
detailed analyses of a particular condition.
End of construction
This case should be analyzed when either embankment or foundation soils (or both) are predicted to develop signicant pore pressures during embankment
construction. Factors determining the likelihood of
this occurring include the height of the planned embankment, the speed of construction, the saturated
consistency of foundation soils, and others. Perform
appropriate shear tests to model placement conditions of embankment soils, as summarized in table 5-2.
Consider the highest likely placement water content of
embankment soils in the shear-testing program. Either
eld vane shear tests or laboratory tests should determine the unconsolidated/undrained strength of slowly
permeable foundation soils. The undrained strength of
foundation clays should be corrected for plasticity index when eld vane shear tests are used for measurement.
condition should be analyzed assuming that soils are

saturated from temporary pool storage to the elevation
of the auxiliary spillway. This condition should be analyzed if it is possible that in the future the riser could
become plugged or other circumstances could cause
the temporary impoundment to this higher elevation.
For this condition, assume a zone of saturated soils in
the embankment occurs based on transient ow nets
that determine the portion of the embankment likely to become saturated during the temporary storage.
Transient ow nets may be used to examine the temporary saturation of the portion of the embankment
above permanent normal pool. Select shear parameters for the analyses according to table 5-2, as illustrated in gure 5-1.
Use innite slope equations and appropriate safety factors in analyzing the stability of zones in the exterior
slope of the embankment with soils having zero effective cohesion parameters, when the critical failure is
wholly within soils of this character. If cohesionless
zones occur with other soil types in a cross section being analyzed, circular arc or wedge-shaped surfaces
should also be explored that intersect the soil zones
with cohesion to locate the minimum safety factor.
Note that different safety factors are considered adequate for innite slope analyses than for failure surfaces that are deeper within the prole. See table 5-2 for
details.
Figure 5-1 Mohr-Coulomb Envelope for upstream drawdown

Effective stress (CD)
Normal stress
Use the appropriate degree of conservatism in the

analysis that is consistent with the adequacy of the site
investigation and the soil-testing program. Consider
the complexity of the site and consequences of failure in determining the level of detail in the analyses.
Minimum required safety factors are summarized in table 5-2 for each condition analyzed.
Rapid drawdown
Analyze the stability of the upstream embankment
slope for the condition created by a rapid drawdown
of the water level in the reservoir from the reservoir
level from which a phreatic line is likely to develop.
Ordinarily, assume a phreatic line has developed from
the normal full reservoir elevation. Then, assume the
water in the reservoir is rapidly lowered to the elevation of the lowest gated or ungated outlet and analyze
the stability of the embankment following this drawdown. For rare situations, the upstream drawdown
5-2
(210-VI-TR60, July 2005)
Total stress (CU)
Composite envelope
Normal stress

Table 5-2
Slope stability criteria
Design
condition
1. End of
construction
(upstream or
downstream
slope)
Primary
assumption
Zones of the
embankment
or layers of
the foundation
are expected
to develop
signicant pore
pressures during
construction
2. Rapid
drawdown
(upstream
slope)
Drawdown from
the highest normal
pool to the lowest
ungated outlet
3. Steady
seepage
without
seismic forces
(downstream
slope)
Phreatic line
developed from
pool at the
principal spillway
crest
4. Steady
seepage with
seismic forces
(downstream
slope)
Phreatic line
developed from
principal spillway
crest with no uplift
Remarks
Embankment soils that
are slowly permeable
should be tested at
water contents that are
as wet as likely during
construction (usually
wet of optimum)
Shear strength to
be used
Minimum
safety factor
UU includes
triaxial UU tests,
unconned
compression (qu)
tests, and eld vane
shear tests
1.4 for failure

surfaces
extending into
foundation
layers
Saturated slowly
permeable foundation
soils that are not
predicted to fully
consolidate during
construction
Permeable embankment
zones and/or foundation
strata
Consider failure
surfaces both within
the embankment and
extending into the
foundation
CU or CD
1.3 for
embankments
on stronger
foundations
where the
failure surface
is located
entirely in the
embankment
Lowest shear
strength from a
composite envelope
of CU and CD
envelopes (g. 5-1)
1.2
Consider failure
the embankment and
extending into the
foundation
Lowest shear
strength from
a composite
envelope of CU
and (CU+CD)/2
envelopes (g. 5-2)
1.5
Consider failure
the embankment and
extending into the
foundation
Lowest shear
strength from
a composite
envelope of CU
and (CU+CD)/2
envelopes (g. 5-2)
1.1
Uplift pressure
simulated by
phreatic line
developed from
auxiliary spillway
crest applied
to saturated
embankment and
foundation soils
(210-VI-TR60, July 2005)
1.1 for innite

slope analysis
1.1 for innite

slope analysis
5-3
Steady seepage without seismic forces

Using shear parameters, as specied in table 5-2 and illustrated in gure 5-2, analyze the downstream slope
considering a phreatic line developed from the reservoir at the principal spillway crest. Subject saturated
soils below the phreatic line to an uplift force simulated by a phreatic surface developed from the auxiliary spillway crest. Phreatic surfaces for the analyses
may be developed using ow nets or Casagrande procedures.
Use innite slope equations and appropriate safety factors as under Rapid Drawdown condition.
Steady seepage with seismic forces

Using shear parameters, as specied in table 5-2, analyze the downstream slope considering a phreatic line
developed from a pool at the principal spillway crest.
Apply a horizontal acceleration constant appropriate to the seismic zone in which the site is located, as
specied in gure 4-1. Do not use uplift forces due to
a reservoir stage at the auxiliary spillway because the
likelihood of a simultaneous occurrence of an earthquake and an auxiliary spillway ow event is extremely remote.
Use innite slope equations and appropriate safety factors in analyzing the stability of zones in the exterior
slope of the embankment with soils having zero effective cohesion parameters. The equations should incorporate the horizontal acceleration constant specied
in gure 4-1.
Figure 5-2 Mohr-Coulomb Envelope for downstream

steady seepage
Normal stress
Effective stress (CD)
Consider following additional guidance in analyzing

slope stability.
Only effective stress (CD) parameters are appropriate for soils that will consolidate as rapidly as
load is applied. These parameters are applicable
for all conditions of stability analyzed for these
soil types.
The end of construction condition is usually the
one that controls the design of embankments
when it is applicable. Special designs including
staged construction or monitoring pore pressures during construction may be required to
achieve objectives for some site conditions such
as soft clay foundation soil horizons.
Total stress parameters used in the construction
of composite shear strength envelopes should
not consider large negative pore pressures that
may develop during shear testing. Either maximum deviator stress or maximum principal effective stress ratio failure criteria should usually
be used to dene total stress parameters. Total
stress parameters interpreted from maximum
arbitrary strain criteria should be used only when
other criteria are less limiting.
Innite slope equations should model the predicted seepage pattern in the slope being analyzed.
The three equations used are for no seepage, for
horizontal seepage paths, and for seepage paths
parallel to the slope face.
Residual effective stress parameters should be
used for modeling slope stability analyses involving ssured clays or shales if pre-existing
movements have occurred. These parameters
are based on drained shear strength tests where
stresses are determined at high strain values beyond the peak strength. Residual parameters may
also be considered for designing against shallow
slope failures in desiccated clay embankments.
Total stress (CU)

(CU+CD)/2
Composite envelope
Normal stress
Seepage
To the extent needed, an analysis shall be made of
anticipated seepage rates and pressures through the
embankment, foundation, abutments, and reservoir
perimeter (when storage is desired). Controls and
treatment should be adequate to:
accomplish the intended reservoir function;
provide a safely operating structure; and
prevent damage to downstream property.
5-4
(210-VI-TR60, July 2005)
Zoning
multiple purpose dams; and
Embankment zoning can be used when needed to:

obtain a stable structure with the most economical use of available materials;
control seepage in a safe manner; or
reduce to a minimum the uncertainties of material strengths and resultant stability.
Embankment zones should be a minimum of 10 feet
wide except for lters and drains with specied and
controlled gradation. Drains and lters should meet
the requirements contained in Soil Mechanics Notes.
dams with uctuating normal water levels.

Protection must extend from the lowest drawdown elevation that presents an erosion hazard, to a few feet
above the crest of the lowest ungated spillway. The upper limit shall be based on an analysis of anticipated
wave height and run up.
Quality of riprap and other structural protection must
be consistent with the anticipated life of the dam and
designed to be structurally stable.
Soil materials which exhibit signicant shrinkage,

swell or dispersion should be used only with extreme
care. If possible, they should not be used for embankment construction. When there is no economical alternative to their use, they must be:
treated to improve their performance;
placed in zones where effects will not be detrimental; or
protected by use of lters and drains or self-healing transition zones.
Surface protection
Embankment surfaces must be protected against surface erosion. Protection may be vegetative, gravel,
rock riprap, soil cement, structural, or similar treatment of durable quality and proven satisfactory performance.
Vegetative protection
Vegetative protection may be used on surfaces where
the following conditions can be met:
inundation of the surfaces is of such frequency
that vegetative growth will not be inhibited;
vigorous growth can be sustained under average climatic conditions by normal maintenance
without irrigation; and
stable protection can be designed according to
the procedures in TR-56.
Structural protection
Protection against wave erosion by riprap or other
structural measures shall be provided for:
dams where vegetation will not provide effective
control;
(210-VI-TR60, July 2005)
5-5
5-6
(210-VI-TR60, July 2005)
Principal spillways
The structural design and detailing of principal spillways must conform to the recommendations of NEH6, Structural Design, and NRCS standard drawings. All
component parts of principal spillways except easily
replaceable parts such as gates and trash racks shall
be equally durable.
Capacity of principal spillway

The required capacity of the principal spillway depends on the:
purpose of the dam;
amount of storage provided by the retarding
pool;
kind of auxiliary spillway;
stream channel capacity and stability downstream;
potential damage from prolonged storage in the
retarding pool;
potential damage downstream from prolonged
high outow rates;
possibility of substantial runoff from two or
more storms in the time required to empty the
retarding pool;
limitations imposed by water rights or other legal
requirements;
environmental concerns;
planned or potential alterations of the channel
downstream; and
necessity to pass base and ood ows during
construction.
The principal spillway may be single-stage, having an
ungated inlet at only one elevation, or multiple-stage,
having inlets at two or more elevations. In the case of
multiple-stage spillways, the lower stage or stages usually perform the primary ood control function, and
the high stage has the capacity needed to prevent the
auxiliary spillway from functioning more frequently
than permissible.
The principal spillway capacity should be adequate to
empty the retarding pool in 10 days or less. This requirement is considered met if 15 percent or less of the
maximum volume of retarding storage remains after
10 days. Where low release rates are required to meet
the objectives of the project, a longer period than 10

days may be needed. For these situations, additional
storage is required to minimize the opportunity for increased frequency of auxiliary spillway ow due to recurring storms.
Compute the 10-day drawdown from the time the maximum water surface elevation is attained during the
passage of the principal spillway hydrograph. The entire design inow hydrograph including quick return
ow, upstream releases, and outow must be considered in determining the evacuation time of the retarding storage. The inow from storm runoff must be considered for the entire evacuation time.
For dams where more than 15 percent of the retarding storage volume remains after 10 days, the elevation
of the crest of the auxiliary spillway must raised. The
raised crest elevation is determined by adding the remaining retarding storage volume to the initial retarding storage volume.
Elevation of principal spillways

Single-purpose oodwater retarding dams
The crest of the principal spillway or of the low stage
inlet of a two-stage principal spillway shall be set at
the submerged sediment pool elevation. For dry dams,
the elevation of the principal spillway inlet shall be
placed as described above and provisions made to
drain the reservoir in a reasonable time and, thus, satisfy the functional or legal requirements of the dam.
Other dams
When conservation storage will be provided, the elevation of the crest of the lowest ungated inlet of the
principal spillway is determined by the volume, area,
or depth of water required for the planned purpose or
purposes and the required sediment storage. The lowest crest may be the crest of the low-stage inlet, singlestage inlet, or an open spillway.
Routing of principal spillway hydrographs

Reservoir ood routing used to proportion dams and
associated spillways shall be based on the assumption
that all sedimentation expected in the reservoir during its design life has occurred. The reservoir stagestorage curve used for routing should reect the anticipated accumulation of sediment. The initial reservoir
stage for principal spillway hydrograph routing shall
be at the crest of the lowest ungated inlet or (if not
subtracted from the stage-storage curve) the anticipat-
(210-VI-TR60, July 2005)
6-1
ed elevation of the sediment storage, whichever is higher, except as provided below.

For dams with signicant base ow, principal
spillway hydrograph routings must start not lower
than the elevation of the water surface associated
with the base ow. Signicant base ow is average annual or seasonal ow that would produce
at least 0.5 feet of head over the lowest principal
spillway inlet immediately prior to a ood or occupy more than 10 percent of the oodwater storage capacity.
For dams with joint use storage capacity, when
one of the uses is oodwater detention, routing of
the principal spillway hydrograph may begin at the
lowest anticipated elevation of the joint use pool
in accordance with the operation plan.
Single purpose, low hazard class irrigation dams
with gated outlets and earth or vegetated auxiliary spillways, which are located on ephemeral
streams in areas where the average annual precipitation is less than 25 inches, may be considered to
have discharged up to 70 percent of the storage,
exclusive of sediment storage in determining the
elevation to start routing.
Design of principal spillways

Hydraulics
The principal spillway must be designed to carry the
planned ow for expected head and tailwater conditions. TR-29, Design Note No. 8, NEH-5, the Engineering
Field Handbook for Conservation Practices and other
appropriate references shall be used for hydraulic design.
Risers
Risers for drop inlet spillways must be designed to
maintain the reservoir pool level at or near the inlet
crest elevation during low ow periods, to establish full
pipe ow at as low a head over the crest as practical,
and to operate without excessive surging, noise,
vibration, or vortex action at any reservoir stage. This
requires the riser to have a larger cross-sectional area
than the conduit. Standard risers have an inside width
equal to the width (diameter) D, of the conduit and an
inside length equal to three times the width (diameter)
of the conduit (D x 3D cross section).
Risers shall be designed to exclude trash too large to
pass freely through the spillways, including the outlet
structure, and to facilitate the passage of smaller trash.
Standard D x 3D risers tend to line up longer pieces of
6-2
trash and facilitate their passage into and through the

conduit. Covered risers with standard skirted or bafe
inlets should be used in most cases because they are
most effective in excluding trash without becoming
clogged. Skirted inlets, having a cover with skirts extending below the weir crest elevation, are applicable
where backll or settlement levels will be at least two
times the conduit width (diameter) below the crest.
Bafe inlets are applicable for risers that will be backlled to the crest elevation or where sediment is expected to build up to the crest elevation.
Risers shall be designed structurally to withstand all
water, earth, ice, and earthquake loads to which they
may be subjected. Articulation must be provided to allow movement of the riser with respect to the conduit.
Risers with low-stage inlets at or near the bottom must
be provided with concrete aprons to prevent erosion
of soil and undermining of the riser footing by high velocity ow approaching the inlet.
Standard risers must be used where applicable for low
hazard class dams with an effective height of more
than 35 feet and for all signicant and high hazard
class dams. Prefabricated pipe risers are permissible,
where hydraulically and structurally adequate, for low
hazard class dams not more than 35 feet in effective
height. The riser pipe must be of the same material as
the conduit and at least one standard pipe size larger
than the conduit pipe.
Special riser designs are required for spillways having maximum conduit velocities more then 30 feet per
second and for spillways having conduits larger then
48 inches in width (diameter). Generally, these should
be similar to standard risers, but a special elbow and
transition is required at the junction of the riser and
conduit, and special design of the inlet may be necessary. Hydraulic model testing should be considered if
the maximum total head on the spillway is more than
75 feet or the conduit velocity exceeds 50 feet per second.
Conduit
The conduit should be straight in alignment when
viewed in plan. Changes from straight alignment, if
required, must be accomplished by watertight angle
changes at joints or by special elbows having a radius
equal to or greater than the diameter or width of the
conduit. Thrust blocks of adequate strength must be
provided if special pipe elbows are used. They must be
designed to distribute the thrust due to change in direction for the maximum possible discharge. Drop inlet
(210-VI-TR60, July 2005)
conduits shall be installed with enough slope to ensure

free drainage to the outlet of all parts of the conduit
(including camber) at the time of construction and under the maximum anticipated settlement.
Reinforced Concrete Pipe

Minimum inside diameters on yielding foundations
Low hazard class dams: The minimum diameter of the principal spillway conduit must
be 30 inches, unless a joint extension safety
margin of at least 1.5 inches is used, in which
case, the minimum diameter shall be 18 inches
for maximum ll heights up to 50 feet at the
centerline of the dam and 24 inches for greater
ll heights.
All conduits under earth embankments must support

the external loads with an adequate factor of safety.
They must withstand the internal hydraulic pressures
without leakage under full external load and settlement. They must convey water at the design velocity
without damage to the interior surface of the conduit.
Principal spillway conduits under earth dams may be
designed to support ll heights greater than the original constructed height if there is a reasonable possibility that the embankment height may be raised later to
incorporate additional storage for some approved benecial use.
Signicant hazard class dams: The minimum

diameter of the principal spillway conduit
must be 30 inches, unless a joint extension
safety margin of 1.5 inches is used, in which
case, the minimum diameter shall be 24 inches.
Rigid principal spillway conduits shall be designed as

positive projecting conduits in accordance with the
principles and procedures given in TR-5.
Principal spillway conduits must be of reinforced concrete pressure pipe or cast-in-place reinforced concrete, unless corrugated steel or welded steel pipe is
used.
Cast-in-place rectangular reinforced concrete conduits
must be designed in accordance with principles and
procedures in TR-42, TR-45 or other appropriate design aids.
For Reinforced Concrete Water PipeSteel Cylinder
Type, Prestressed, meeting specication AWWA
Standard C301, the 3-edge bearing strength at the rst
0.001-inch crack shall be used with a safety factor of at
least one.
For Reinforced Concrete Water PipeSteel Cylinder
Type, Not Prestressed, meeting specication AWWA
Standard C300; for Reinforced Concrete Water Pipe
Noncylinder Type, Not Prestressed, meeting specication AWWA Standard C302, and for other types of reinforced concrete pipe, the 3-edge bearing strength at
the rst 0.01-inch crack shall be used with a safety factor of at least 1.33.
Elliptical or other systems of reinforcement requiring
special orientation of pipe sections are not permitted
in spillway conduits.
Reinforced concrete pipe must be designed to support
at least 12 feet of earth ll above the pipe at all points
along the conduit.
High hazard class dams: The minimum diameter of the principal spillway conduit must be
30 inches.
Minimum inside diameters on nonyielding
foundations: The minimum diameter of the
principal spillway conduit for low hazard class
dams must be 18 inches for heights up to 50
feet at the centerline of the dam and 24 inches
for heights greater than 50 feet, and 24 inches
for all signicant and high hazard class dams.
The conduit and cradle or bedding must rest
directly on rm bedrock thick enough so that
there is essentially no foundation consolidation under the conduit. Under these conditions, the cradle or bedding under the conduit
need not be articulated.
Corrugated steel pipe or welded steel pipe
Principal spillways of corrugated steel or welded
steel pipe may be used for single purpose low
hazard class dams with the product of storage
times effective height of dam less than 10,000.
While installation costs of steel pipes may be
less, concrete may compare favorably with steel
when replacement costs and associated problems are considered.
In each case, the following limitations apply:
diameter of pipe not less than 18 inches;
height of ll over the pipe not more than 25 feet;
provision for replacement if the materials will
not last for the design life of the structure;
pipe structurally strong enough to withstand
outside loads and hydraulic pressure; and
(210-VI-TR60, July 2005)
6-3
pipe watertight.
Corrugated steel pipe shall be polymer-coated with
watertight connecting bands. The minimum gage must
be designed for 35 feet of ll over the pipe.
Welded steel pipe conduits must be structurally designed as rigid pipe. A joint extension safety margin of 1.5 inches shall be provided for conduits on
yielding foundation. Welded steel pipe must be protected by a Class A exterior coating as dened in
Conservation Practice Standard 430-FF, Irrigation
Water Conveyance, Pipeline, Steel, or by an exterior coating of coal tar-epoxy paint conforming to Paint
System F, Construction Specication 82 (NEH-645).
Joints between lengths of corrugated steel or welded
steel pipe, other than welded joints, are to be electrically bridged on the outside of the pipe with insulated copper wire, #6 AWG or larger, securely attached to
the uncoated pipe metal at both sides of the joint. This
requirement applies whether or not the cathodic protection is completed by the installation of anodes, etc.
The wire should have a tough, waterproof insulation
designed for direct burial, with a rating of at least 600
volts. Bare wire and exposed pipe metal at the points
of connection are to be thoroughly coated with a coating equivalent to the original pipe coating to prevent
the entry of moisture.
Soil investigations for resistivity and pH of the subgrade and backll materials to be adjacent to the conduit shall be made. The resistivity measurements are
made on saturated samples.
Cathodic protection must be provided for welded steel
pipe conduits according to the criteria in Conservation
Practice Standard 432-FF in the National Handbook of
Conservation Practices (NHCP).
Cathodic protection meeting the above requirements
must be provided for corrugated steel pipe in soil
whose resistivity in a saturated condition is less than
4000 ohms-cm or whose pH is lower than 5.0.
If cathodic protection is not required according to the
above criteria and anodes are not installed during construction of the dam, pipe-to-soil potentials must be
measured within the rst 2 years after construction
or after the water level has stabilized and when the
soil around the conduit is estimated to be at its normal post-construction moisture content. Cathodic protection must be installed at this time if such measurements indicate it is needed.
6-4
Joints
Conduit joints shall be designed and constructed to remain watertight under maximum anticipated hydrostatic head and maximum probable joint opening as
computed from Standard Drawing ES-146 and related
procedures of TR-18, including the effects of joint rotation and the required margin of safety. The required
joint extensibility is equal to the unit horizontal strain
in the earth adjacent to the conduit multiplied by the
length (in inches) of the section of conduit between
joints plus the extension (in inches) due to calculated
joint rotation plus a margin of safety.
A margin of safety of not less than 0.5 inch shall be
used. The required joint extensibility plus the maximum permissible joint gap equals the required joint
length. The required joint extensibility depends on
the maximum potential foundation consolidation under the spillway barrel. For signicant and high hazard
class dams, the consolidation must be estimated from
adequate foundation borings and samples, soil mechanics laboratory tests, and engineering analysis. For
low hazard class dams where undisturbed foundation
samples are not taken for other purposes, approximate
procedures based on soil classication and experience
may be used for estimating foundation consolidation.
Only joints incorporating a round rubber gasket set
in a positive groove which will prevent its displacement from either internal or external pressure under
the required joint extensibility shall be used on precast concrete pipe conduits. Concrete pipe must have
steel joint rings providing rubber to steel contact in
the joint.
Articulation of the conduit (freedom for required rotation) shall be provided at each joint in the conduit, at
the junction of the conduit with the riser and any outlet structure. Concrete bedding for pipe conduits need
not be articulated. Cradles must be articulated if on
yielding foundations. Welded steel pipe conduits need
not be articulated if the pipe and bedding rest directly
on rm bedrock.
Piping and seepage controlUse a lter and drainage diaphragm around any structure that extends
through the embankment to the downstream slope.
Design the diaphragm with single or multiple zones to
meet the requirements of NEH-633, chapter 23.
Locate the diaphragm aligned approximately parallel
to the centerline of the dam or approximately perpendicular to the direction of seepage ow. Extend the diaphragm horizontally and vertically into the adjacent
(210-VI-TR60, July 2005)
embankment and foundation to intercept potential

cracks, poorly compacted soil zones or other discontinuities associated with the structure or its installation.
Design the diaphragms to extend the following minimum distances from the surface of rigid conduits:
horizontally and vertical upward 3 times the outside diameter of circular conduits or the vertical
dimension of rectangular box conduits except
that:
vertical extension need be no higher than the
crest of the auxiliary spillway, or higher than 2
feet below the embankment surface, and
horizontal extension need be no further than 5
feet beyond the sides and slopes of any excavation made to install the conduit.
vertically downward:
for conduit settlement ratios () of 0.7 and
greater (reference NRCS Technical Release
No. 5), the greater of (1) 2 feet or (2) 1 foot
beyond the bottom of the trench excavation
made to install the conduit. Terminate the
diaphragm at the surface of bedrock when it
occurs within this distance. Additional control
of general seepage through an upper zone of
weathered bedrock may be needed.
1.5 times the outside diameter of circular conduits or the outside vertical dimension of box
conduits for conduit settlement ratios () less
than 0.7.
Design the diaphragms to extend in all directions a
minimum of two times the outside diameter from the
surface of exible conduits, except that the diaphragm
need not extend beyond the limits in the above or beyond a bedrock surface beneath the conduit.
Provide minimum diaphragm thickness of 3 feet and
minimum thickness of 1 foot for any zone of a multizone system. Use larger thickness when needed for
capacity, tying into embankment or foundation drainage systems, accommodating construction methods,
or other reasons.
For homogeneous dams, locate the diaphragm in the
downstream section of the dam such that it is:
downstream of the cutoff trench;
downstream of the centerline of the dam when
no cutoff trench is used; and
upstream of a point where the embankment
cover (upstream face of the diaphragm to the
downstream face of the dam) is at least

one-half of the difference in elevation
between the top of the diaphragm and the
maximum potential reservoir water level.
For zoned embankments, locate the diaphragm
downstream of the core zone and/or cutoff
trench, maintaining the minimum cover as indicated for homogeneous dams. When the downstream shell is more pervious than the diaphragm material, locate the diaphragm at the
downstream face of the core zone.
It is good practice to tie these diaphragms into
the other drainage systems in the embankment
or foundation. Foundation trench drains and/or
embankment chimney drains that meet the minimum size and location limits are sufcient and
no separate diaphragm is needed.
Design the minimum capacity of outlets for diaphragms not connected to other drains by assuming the coefcient of permeability (k) in the
zone upstream of the diaphragm is 100 times
the coefcient of permeability in the compacted embankment material. Assume this zone has
a cross-sectional area equal to the diaphragm
area and the seepage path distance equal to that
from the embankment upstream toe to the diaphragm. This higher permeability simulates a
sealed lter face at the diaphragm with partially
lled cracks and openings in the upstream zone.
For channels, chutes or other open structures,
seepage and piping control can be accomplished in conjunction with drainage for reduction of uplift and water loads. The drain,
properly designed to lter the base soils, is to
intercept areas of potential cracking caused by
shrinkage, differential settlement, or heave and
frost action. These structures usually require
the use of footings, keywalls and counterforts,
and drainage is properly located immediately downstream of these features. This drainage
when properly designed can control piping and
provide signicant economies due to the effect
on soil loads, uplift pressures, overturning forces and sliding stability.
Outlets
The choice of outlet is to be based on a careful consideration of all site and ow conditions
that may affect operation and energy dissipation.
Cantilever outlet and plunge pools may be
(210-VI-TR60, July 2005)
6-5
Trash racks
Trash racks shall be designed to provide positive protection against clogging of the spillway under any operating level. The average velocity of ow through a
clean trash rack must not exceed 2.5 feet per second
under the full range of stage and discharge. Velocity
must be computed on the basis of the net area of opening through the rack.
installed where their use:

does not create a piping hazard in the foundation of the structure.
is compatible with other conditions at the site.
Plunge pools shall be designed to dissipate the energy and be stable. Unless the pool is to be in bedrock or
very erosion resistant materials, riprap will be necessary to insure stability. Design Note 6, Armored Scour
Hole for Cantilever Outlet, shall be used for design.
If a reservoir outlet with a trash rack or a ported concrete riser is used to keep the sediment pool drained,
the trash rack or riser must extend above the anticipated sediment elevation at the riser to provide for full
design ow through the outlet during the design life of
the dam. The velocity through the net area of the trash
rack above the maximum sediment elevation must not
exceed 2 feet per second when the water surface in
the reservoir is 5 feet above the top of the trash rack
or riser inlet.
Cantilever outlets shall be supported on bents or piers

and must extend a minimum of 8 feet beyond the bents
or piers. The bents must be located downstream from
the intersection of the downstream slope of the earth
embankment with the grade line of the channel below
the dam. They must extend below the lowest elevation
anticipated in the plunge pool. The invert of the cantilever outlet must be at least 1 foot about the tailwater
elevation at maximum discharge.
Antivortex device
All closed conduit spillways designed for pressure
ow must have adequate antivortex devices.
SAF basins may be used when there is adequate

control of tailwater. Use TR-54 for structural
design and NEH-14 for hydraulic design.
High sulfate areas

Under certain conditions, concrete is susceptible to
deterioration from sulfate ions, especially those derived from sodium and magnesium sulfates. In areas
where experience or soil tests indicate the potential
for problems, the following shall be used for design
purposes.
Impact basins may be used where positive measures are taken to prevent large debris from
entering the conduit. TR-49 is to be used for
hydraulic design.
Sulfate concentration 1/
(parts per million)
Hazard
Corrective measures
0 150
Low
None
150 1,000
Moderate
Use Type II Cement. (ASTH C-150). Adjust mix to protect

against sulfate action.
1,000 2,000
High
Use Type V Cement (ASTM C-150). Adjust mix to protect

against sulfate action. Use soils in contact with concrete
surfaces that are low in sulfates.
2,000 UP
1/
6-6
Do not use concrete materials unless measures are taken

to protect concrete surfaces from sulfates. Product manufacturers should be consulted.
Sulfate concentration is for soil water at the concrete surface.
(210-VI-TR60, July 2005)
Spillway requirements
Auxiliary spillways
Auxiliary spillways are provided to convey excess water through, over, or around a dam. They are usually open channels excavated in natural earth, earthll,
rock, or constructed of reinforced concrete.
Closed type spillways

An open channel auxiliary spillway must be provided
for each dam except as provided below:
Low hazard class dams with a product of storage times the effective height of the dam of less
than 10,000 a closed conduit principal spillway
having a conduit with a cross-sectional area of
12 square feet or more, an inlet which will not
clog, an elbow designed to facilitate the passage
of trash, and large enough to pass the routed
freeboard hydrograph is the minimum acceptable
design without an open channel auxiliary spillway.
Dams with drainage areas of 10 square miles or
less (except those covered by item 1) a closed
conduit principal spillway having a conduit with
a cross-sectional area of 20 square feet or more,
an inlet which will not clog, an elbow designed to
facilitate the passage of trash and large enough
to pass the routed freeboard hydrograph peak
discharge without overtopping the dam is the
minimum acceptable design without an open
channel auxiliary spillway.
Dams with drainage areas greater than 10 square
miles (except those covered by item 1) a closed
type primary auxiliary spillway may be used in
lieu of an open channel auxiliary spillway. Drop
inlet spillways with a standard two-way covered
top inlet must have a minimum unobstructed
cross-sectional area of each opening of the
conduit of 40 square feet. All other closed type
primary auxiliary spillways must have a minimum unobstructed cross-sectional area of each
opening of 80 square feet. The ratio of width to
height in both cases is must be between 0.75 and
1.33. The spillways must be large enough to pass
the routed freeboard hydrograph peak discharge
without overtopping the dam.
Capacity of auxiliary spillways

Auxiliary spillways must be proportioned so they will
pass the stability design hydrograph at the safe velocity determined for the site. They must have sufcient
capacity to pass the freeboard hydrograph with the
water surface in the reservoir at or below the elevation
of the design top of the dam. In no case is the capacity
of the auxiliary spillway to be less than 200
ft3/sec or 237 DA 0.493. The minimum difference in elevation between the crest of the auxiliary spillway and
the settled top of the dam is 3 feet. State law may establish minimum capacity or depth greater than those
given above.
Elevation of the crest of the auxiliary spillway
Table 2-2 gives the maximum allowable frequency of
use of earth and vegetated auxiliary spillways. The
minimum retarding storage volume and the associated principal spillway discharge must be such that the
discharge through the auxiliary spillway will not occur
during the routing of the principal spillway hydrograph
and the 10-day drawdown requirement is met or the
crest elevation of the auxiliary spillway is raised as
noted under Capacity of Principal Spillway.
For earth spillways, it refers to sites where peak ows
of short duration may be expected and where erosion
resistant soils and moderate slopes exist. When vegetated spillways are used, the sites must have these
same characteristics, and in addition, conditions must
be such that vigorous vegetation can be maintained
without irrigation. When conditions are less favorable,
auxiliary spillways shall be designed for less frequent
use. This may be done by raising the crest elevation,
increasing the capacity of the principal spillway, adding a structural primary auxiliary spillway, or a combination of the above.
The maintenance required for the auxiliary spillway
will be increased as the frequency and duration of ow
increase. Good design requires balancing the spillway
maintenance cost against the increased cost of modifying the other elements of the dam to reduce the ow
frequency.
Auxiliary spillway routings

The stability design and the freeboard hydrographs
must be routed through the reservoir starting with the
water surface at the elevation of the lowest ungated
principal spillway inlet, the anticipated elevation of the
sediment storage, the elevation of the water surface
associated with signicant base ow or the pool elevation after 10 days of drawdown from the maximum
(210-VI-TR60, July 2005)
7-1
stage attained when routing the principal spillway

hydrograph, whichever is higher, except as provided in
the following:
dams with gated spillways and joint use storage capacity stability design and freeboard
hydrograph routings are to be started at or above
the elevation of the lowest ungated outlet or at
the elevation of the water surface associated
with the average annual base ow, whichever is
higher.
single purpose, low hazard class irrigation dams
stability design and freeboard hydrograph
routings are to be started at or above the water
surface elevation of the irrigation storage.
Hydraulic design
The relationship between the water surface elevation
in the reservoir and the discharge through the auxiliary spillway shall be evaluated by computing the head
losses in the inlet channel upstream of the control section or, if a control section is not used, by computing
the water surface prole through the full length of the
spillway. Bernoullis equation and Mannings formula
shall be used to evaluate friction losses, compute water surface proles and determine velocities. Policy on
the selection of ow resistance values is given in the
discussion of the various types of auxiliary spillways.
Structural stability
The spillway must be investigated, analyzed, designed
and constructed adequately to establish and maintain
stability during the passage of design ows without
blockage or breaching. Excavated open cut spillways
must have cut and ll slopes in earth and rock which
are stable against sliding. Cut slope stability must be
evaluated for the long-term weathered, natural moisture condition and for adverse moisture conditions associated with rapid drawdown from the auxiliary spillway design discharge.
Vegetated and earth auxiliary

spillways
Vegetated and earth auxiliary spillways are open channels and usually consist of an inlet channel, a control
section, and an exit channel. Subcritical ow exists in
the inlet channel and the ow is usually supercritical
in the exit channel.
Vegetated auxiliary spillways are usually trapezoidal
in cross-section and are protected from damaging erosion by a grass cover. They are adapted to sites where
a vigorous grass growth can be sustained by normal
maintenance without irrigation.
7-2
Earth spillways are used in those areas where vegetative growth cannot be maintained. They are similar to
vegetated spillways, but are designed for lower velocities, lower stresses, and less frequent use. Normally,
they require more maintenance after a ow occurs.
Earth and vegetated auxiliary spillways are designed
on the basis that some erosion or scour will occur during passage of infrequent storms, but the spillway will
not breach during passage of the freeboard storm.
Hydraulic data in TR-39 Hydraulics of Broad Crested
Spillways can be used in the design of vegetated or
earth auxiliary spillways. A minimum vegetal retardance curve index of 5.6 as dened in Agriculture
Handbook 667 (AH-667) Stability Design of GrassLined Open Channels shall be used to determine hydraulic capacity and vegetal stress in vegetated spillways. A minimum Mannings n of 0.02 shall be used for
earth spillways. Actual hydraulic capacity of the spillway will be based on an appraisal of the roughness
condition at the site.
Layout
Guidance on the layout of auxiliary spillways is provided in NEH-628.50, Earth Spillway Design. Spillways
must be located away from the dam whenever possible. The layout and prole of vegetated or earth
spillways should provide safety against breaching
of the spillway during the passage of the freeboard
hydrograph. Both extending the length and attening
the grade of the exit channel to delay or prevent headcut formation, and maximizing the bulk of material to
contain any headcut advancement should be considered.
The inlet channel must be level for a minimum distance of 30 feet upstream from the exit channel. This
level part of the inlet channel (control section) must
be the same width as the exit channel, and its centerline must be straight and coincident with the centerline of the exit channel. A curved centerline is permissible in the inlet channel upstream from the level part,
but it must be tangent to the centerline of the level
part. Any curved inlet channel should be depressed below the level part to reduce velocities.
The exit channel must be straight and perpendicular to
the level part of the inlet channel for a distance equal
to at least one-half of the maximum base width of the
dam. Curvature may be introduced below this point if
it is certain that the owing water will not impinge on
the dam should the channel fail at the curve.
(210-VI-TR60, July 2005)
When the upstream edge of the exit channel is considered as a control section for hydraulic calculations, the exit channel grade shall be sufcient to ensure supercritical ow for all discharges equal to or
greater than 25 percent of the maximum discharge
through the spillway during the passage of the freeboard hydrograph. However, the slope in the exit channel need not exceed 4 percent (s = 0.04 ft/ft) to meet
this requirement.
The exit channel can be terminated at some point
above the maximum tailwater elevation, or can be
extended to the principal spillway outlet or natural
stream channel below the dam. The exit channel can
contain several different grades. In either layout, erosion will occur wherever allowable stresses are exceeded and maintenance is required to protect the
integrity of the spillway. Land rights must be considered in making the decision on how to handle the return ow to the natural or constructed stream channel
downstream from the dam, and where eroded materials will be deposited.
Stability design of earth and vegetated earth

spillways
Limitations during routing of the stability design (auxiliary spillway) hydrograph the maximum stress limitations given below for vegetated or earth spillways
apply to the exit channel. They must not be exceeded
in the reach where an exit channel failure might cause
the ow to impinge on the toe of the dam. The stress
limitations are based on the maximum discharge
in routing the stability design (auxiliary spillway)
hydrograph and the assumption that uniform ow conditions exist in the exit channel.
When the anticipated average use of an earth or vegetated spillway is more frequent than once in 50 years,
the allowable stress will be determined in accordance
with AH-667. The allowable values may be increased
20 percent when the anticipated average use is once
in 50 years, or 50 percent when the anticipated average use is once in 100 years. The allowable stress shall
be determined for the actual vegetal cover conditions
that can be reasonably expected to exist at the time of
the ow. Values for grasses or mixtures not included in
AH-667 shall be determined by comparing their characteristics with those that are described. Where special studies or investigations have been made to determine the allowable stress for a species, soil, and
condition, those values may be used in lieu of those
shown in the handbook.
Ramp spillways are not generally favored by the dam

engineering profession, but may be used where alternate solutions are not practical. Ramp spillways shall
not be steeper than 10 per cent. Ramp spillways must
be constructed with the same compaction procedures
and quality control as the earth embankment. The upper one foot of vegetated ramp spillways should be top
soil.
Integrity design of earth and vegetated earth

spillways
The spillway shall be evaluated for headcut development and advancement during passage of the freeboard storm using the procedures in NEH-628.51,
Earth Spillway Erosion Model, and NEH-628.52, Field
Procedures Guide for the Headcut Erodibility Index.
The spillway design must be such that the spillway will
not breach (i.e., headcut will not advance beyond the
upstream edge of the level part of the inlet channel)
during passage of the freeboard storm.
Special precautions for high hazard class dams
Special consideration must be given to the layout of
spillways on high hazard class dams to assure the spillway will not breach under the most extreme conditions of ow. The length of the exit channel is to be
increased to the maximum extent possible so that
the area most susceptible to erosion is at a considerable distance from the dam. Within the limitations of
the site, the prole of the spillway is to be such that a
maximum bulk of material is provided.
It is preferable that the ow be conned without the
use of levees, but when they are necessary they are to
be high enough to contain the peak ow of the routed
freeboard hydrograph. Levees must be constructed of
erosion resistant materials and compacted to the degree necessary to develop this resistance. They must
have a top width not less than 12 feet and, if not protected with riprap, have side slopes not steeper than 3
horizontal to 1 vertical on the side where water ows.
When constructed on a foundation subject to piping or
undermining, they must be keyed into the foundation
with a compacted core having a bottom width not less
than the top width of the levee and of sufcient depth
to reach sound material, or to a depth equal to the
height of the levee, whichever is less.
Crest control structures shall be provided to maintain a uniform surface where the soils are highly erodible from on-site runoff and very low ows through the
spillway. The effective bulk length may be increased
by installing barriers that will effectively stop a gully
advancing through the spillway. Consideration should
be given to the reduction of the duration and volume
(210-VI-TR60, July 2005)
7-3
of ow through the auxiliary spillway by raising the elevation of the crest of the spillway, thereby increasing the volume of storage in the retarding pool. An alternate or complementary procedure is to increase the
capacity of the principal spillway by means of a two
stage inlet of sufcient size to carry an appreciable
amount of the outow hydrograph.
Rock auxiliary spillway

Some of the principles used for the layout of earth
auxiliary spillways are applicable to rock auxiliary
spillways. Allowable average frequency of use and permissible velocities must be ascertained for the specific site based on knowledge of the hardness, condition,
durability, attitude, weathering characteristics, and
structure of the rock formation. An individual appraisal is necessary to determine the proper roughness coefcient, n. The design is to be such that the auxiliary
spillway will not breach during passage of the freeboard storm.
Structural auxiliary spillways

Structural spillways shall be designed so that the passage of the freeboard hydrograph will not cause serious damage to the embankment or the structures
themselves. The conguration of a structural spillway
must be compatible with the foundation conditions
at the site, the channel stability downstream from the
spillway, the possible range of tailwater depth, and the
proximity of the spillway to the embankment. The inlet
portion of a chute spillway shall consist of a straight
inlet, a box drop inlet, an ogee crest, or other appropriate hydraulic structure which will produce critical
ow at the crest and result in a determinate stage-discharge relationship.
7-4
The hydraulic design of structural auxiliary spillways

shall be in accordance with the principles set forth
in NEH-5, Hydraulics; NEH-11, Drop Spillways; NEH14, Chute Spillways; and U.S. Department of Interior,
Bureau of Reclamation publications, or based on model studies, with consideration given to the effects of air
entertainment by water traveling at supercritical velocities.
The design discharge for hydraulic proportioning of
structural auxiliary spillway must not be less than twothirds of the planned structure capacity during passage of the routed freeboard hydrograph, except that
all headwalls and sidewalls shall be designed to prevent overtopping during passage of the full maximum
freeboard discharge. When the magnitude of a structural auxiliary spillway exceeds that of structures
commonly designed by NRCS, model studies or other
special studies shall be made.
The outlet section of concrete chute spillways must
consist of a hydraulic jump basin, such as a SAF, deector bucket, roller bucket, or other appropriate hydraulic structure which will dissipate the energy of the
high velocity discharge.
Structural auxiliary spillways must be designed to
withstand lateral earth pressures, uplift, seepage and
other hydrostatic and hydrodynamic pressures. They
must be structurally designed for the full maximum
freeboard discharge with uplift and sliding safety factors of not less than 1.0 and in accordance with the
principles set forth in NEH-6, Structural Design; NEH11, Drop Spillways and NEH-14, Chute Spillways, utilizing TR-50, TR-54; and other appropriate and available design working aids.
(210-VI-TR60, July 2005)
Glossary
Auxiliary spillway. The spillway designed to convey
excess water through, over, or around a dam.
Auxiliary spillway system. A single auxiliary or
combination of auxiliary spillways designed to work
together.
Base ow. The sustained or fair-weather discharge
which persists after storm runoff and associated quick
return ow have been depleted. It is usually derived
from groundwater discharge or gradual snow or ice
melt over extended periods of time, but need not be
continuous ow. (It can be based on annual or seasonal periods, depending upon when major oods usually occur.)
Breach hydrograph. The outow hydrograph attributed to the sudden release of water in reservoir storage due to a dam breach.
Conservation storage. Water impounded for consumptive uses such as municipal, industrial and irrigation and nonconsumptive uses such as recreation and
sh and wildlife.
Control section. In an open channel spillway, it is
that section where accelerated ow passes through
critical depth.
Effective height of dam. The difference in elevation in feet between the lowest open channel auxiliary spillway crest and the lowest point in the original
cross section on the centerline of the dam. If there is
no open channel auxiliary spillway, the top of the dam
becomes the upper limit.
Exit channel of an open channel spillway. The portion downstream from the control section which conveys the ow to a point where it may be released without jeopardizing the dam.
Freeboard hydrograph. Used to evaluate the total
spillway ow capacity of the dam and, consequently, establish the minimum settled elevation of the top
of the dam. It is also used to evaluate the integrity
(breaching resistance) of a vegetated or earth auxiliary spillway.
Inlet channel of an open channel spillway. The
portion upstream from the control section.
Joint extensibility. The amount of a pipe joint that
can be extended from the fully engaged position without losing strength or watertightness. In case of rubber
gasket joints, it is measured from the center of the gasket to the point of are of the bell ring or collar when
the joint is fully closed.
Dam. An articial barrier together with any associated

spillways and appurtenant works that do or may impound or divert water.
Joint gap. The longitudinal dimension between the

end face of the spigot end of a pipe joint and the corresponding face of the bell end of the connecting pipe. It
does not include the beveled portion designed for sealing compounds.
Design life. A period of time during which a dam is

designed to perform its assigned functions satisfactorily.
Joint use pool. The portion of a reservoir which

serves two or more purposes; for instance, conservation storage and oodwater storage.
Dry dam. A dam that has an ungated outlet positioned

so that essentially all stored water will be drained
from the reservoir by gravity. The reservoir will normally be dry.
Primary auxiliary spillway. The spillway with the

lowest crest elevation in an auxiliary spillway system.
Earth dam. A dam in which the principal barrier is

an embankment of earth or rock ll or combination of
earth and rock ll.
Earth spillway. An open channel spillway in earth
materials without vegetation.
Principal spillway. The lowest ungated spillway designed to convey water from the reservoir at predetermined release rates.
Principal spillway hydrograph. The hydrograph
used to determine the minimum crest elevation of the
auxiliary spillway. It is used to establish the principal
spillway capacity and determine the associated minimum oodwater retarding storage.
Economic life. The period of time during which economic benets accrue to a dam.
(210-VI-TR60, July 2005)
A-1
Quick return ow. The diminishing discharge directly associated with a specic storm that occurs after
surface runoff has reached its maximum. It includes
base ow, prompt subsurface discharge (commonly
called interow), and delayed surface runoff.
Ramp spillway. A vegetated spillway constructed
over an earth dam in a manner such that the spillway
is a part of the embankment.
Retarding pool. The portion of the reservoir allotted
to the temporary impoundment of oodwater. Its upper limit is the elevation of the crest of the auxiliary
spillway.
Retarding storage. The volume in the retarding pool.
Rock spillway. An open channel spillway through
competent, nonerodible, natural rock materials.
Sediment pool. The portion of the reservoir allotted
to the accumulation of submerged sediment during the
design life of the dam.
Sediment storage. The reservoir capacity allocated

to total sediment (submerged and aerated) accumulation during the life of the dam.
Spillway. An open or closed channel, conduit or drop
structure used to convey water from a reservoir. It
may contain gates, either manually or automatically
controlled, to regulate the discharge of water.
Stability design hydrograph. The hydrograph used
to establish the dimensions of the auxiliary spillway.
Storage. The capacity of the reservoir below the elevation of the crest of the auxiliary spillway.
Vegetated spillway. A vegetated open-channel spillway in earth materials.
Visual focal. An element in the landscape upon which
the eyes automatically focus because the elements
size, form, color, or texture contrasts clearly with its
surroundings.
Sediment pool elevation. The elevation of the surface of the anticipated submerged sediment accumulation at the dam.
A-2
(210-VI-TR60, July 2005)

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