DS14 4 PDF

Design Standards No.
14
Appurtenant Structures for Dams

(Spillways and Outlet Works)
Chapter 4: General Outlet Works Design Considerations
Phase 4 Final
U.S. Department of the Interior July 2021

Mission Statements
The U.S. Department of the Interior protects and manages the Nation’s
natural resources and cultural heritage; provides scientific and other
information about those resources; and honors its trust responsibilities or
special commitments to American Indians, Alaska Natives, and affiliated
Island Communities.
The mission of the Bureau of Reclamation is to manage, develop, and

protect water and related resources in an environmentally and
economically sound manner in the interest of the American public.
Design Standards Signature Sheet
Design Standards No. 14
Appurtenant Structures for Dams

Phase 4 Final
Foreword
Purpose
The Bureau of Reclamation (Reclamation) design standards present technical guidance,
requirements and processes to enable design professionals to prepare design documents and
reports necessary to manage, develop, and protect water and related resources in an
environmentally and economically sound manner in the interest of the American public.
Compliance with these design standards assists in the development and improvement of
Reclamation facilities in a way that protects the public’s health, safety, and welfare; recognizes
needs of all stakeholders; and achieves lasting value and functionality necessary for Reclamation
facilities. Responsible designers accomplish this goal through compliance with these design
standards and all other applicable technical codes, as well as incorporation of the stakeholders’
vision and values, that are then reflected in the constructed facilities.
Application of Design Standards

Reclamation design activities, whether performed by Reclamation or by a non-Reclamation
entity, must be performed in accordance with established Reclamation design criteria and
standards, and approved national design standards, if applicable. Exceptions to this requirement
shall be in accordance with provisions of Reclamation Manual Policy, Performing Design and
Construction Activities, FAC P03.
In addition to these design standards, designers shall integrate sound engineering judgment,
applicable national codes and design standards, site-specific technical considerations, and
project-specific considerations to ensure suitable designs are produced that protect the public’s
investment and safety. Designers shall use the most current edition of national codes and design
standards consistent with Reclamation design standards. Reclamation design standards may
include exceptions to requirements of national codes and design standards.
Deviations and Proposed Revisions

Reclamation designers should inform the Technical Service Center (TSC), via Reclamation’s
Design Standards Website notification procedure, of any recommended updates or changes to
Reclamation design standards to meet current and/or improved design practices.
Chapter Signature Sheet
Bureau of Reclamation
Technical Service Center
Design Standards No. 14
Appurtenant Structures for

Dams (Spillways and Outlet
Works)
Chapter 4: General Outlet Works Design
Considerations
DS-14(4):1 Phase 4 Final

July 2021
Design Standards No. 14 is a new document. Chapter 4 of this Design Standards

was developed to provide:
• Technical processes for evaluating existing outlet works and selecting the
type and size of outlet works modifications for existing dams.
• Technical processes for selecting the type, location, and size of a new outlet
works for existing and/or new dams.
• A list of key technical references for evaluating existing outlet works and
selecting the type, location, and size of a new outlet works for existing
and/or new dams.
1
DS-14(4) refers to Design Standards No. 14, chapter 4.
Prepared by:
John H. LaBoon 3/27/2014

John LaBoon, P.E. Date
Design Standard Team Leader, Waterways and Concrete
Dams Group
Technical Approval:
Robert K. McGovern 3/27/14

Robert McGovern, P.E. Date
Civil Engineer, Waterways and Concrete Dams Group
Security Review:
MIGUEL HERNANDEZ Digitally signed by MIGUEL HERNANDEZ
Date: 2021.07.14 13:03:52 -06'00'
Miguel A. Hernandez Date

Civil Engineer, Waterways and Concrete Dams Group 1
Peer Review:
Tomas E. Hepler, P.E. 3/27/2014

Tom Hepler, P.E. Date
Technical Specialist, Waterways and Concrete Dams
Group
Submitted:
Digitally signed by ERNEST HALL
ERNEST HALL Date: 2021.07.19 08:36:29 -06'00'
Ernest Hall, P.E. Date
Chief, Civil Engineering Services Division #2
Approved:
RICHARD LAFOND Digitally signed by RICHARD LAFOND
Date: 2021.07.19 10:07:25 -06'00'
Richard LaFond, P.E. Date

Director, Technical Service Center
Acronyms and Abbreviations
ACER Assistant Commissioner - Engineering and Research
ACI American Concrete Institute
ASCE American Society of Civil Engineers
ASR alkali-silica reaction
CFD computational fluid dynamics
CIPP cured-in-place pipe
CJ construction joint
CrJ contraction joint
CtJ control joint
DBE design basis earthquake
DM decision memorandum
DOC Designers’ Operating Criteria
EJ expansion joint
EM engineering manual or monograph
FEM Finite Element Model
ft feet
ft/d feet per day
ft/lb feet per pound
ft/s feet per second
ft/s2 feet per second squared
ft2 square feet
ft2/s square feet per second
ft3 cubic feet
ft3/s cubic feet per second
ft3/s/ft cubic feet per second per foot
HDPE high density polyethylene
HP high pressure (as in high pressure gate)
IDF Inflow Design Flood
kN/m2 kiloNewtons per square meter
kW/m2 kilowatts per square meter
lb pounds
lb/in2 pounds per square inch
lb/in2/in pounds per square inch per inch
lb/ft2 pounds per square foot
lb/ft2/ft pounds per square foot per foot
lb/ft3 pounds per cubic foot
lb/lf pounds per linear foot
m2 square meters
m3/s cubic meters per second
m3/s/m cubic meters per second per meter
m/s2 meters per second squared
M&I municipal and industrial
M-O Mononobe-Okabe
mPA megaPascals
MSA maximum sized aggregate
OCJ optimal construction joint
O&M operation and maintenance
OVIC Ongoing Visual Inspection Checklist
PC point of curvature
PFM potential failure mode
PMF Probable Maximum Flood
PT point of tangency
PTI Post Tensioning Institute
PVC polyvinyl chloride
RCA reservoir capacity allocation
RCC roller compacted concrete
Reclamation Bureau of Reclamation
ROV remote operating vehicle
RWS reservoir water surface
SOP Standing Operating Procedures
SSD saturated surface dry
sta. station
TM technical memorandum or technical manual
TSC Technical Service Center
U unformed concrete surface
USCOLD United States Committee on Large Dams
USCS Unified Soil Classification System
Contents
Page
4.1 Scope .................................................................................................. 4-1

4.2 Definitions and Concepts ................................................................... 4-1
4.2.1 Outlet Works ........................................................................ 4-2
4.2.1.1 River Outlet Works .............................................. 4-2
4.2.1.2 Municipal and Industrial Outlet Works ............... 4-4
4.2.1.3 Sluice Outlet Works ............................................. 4-4
4.2.1.4 Power Outlet Works ............................................. 4-7
4.2.1.5 Canal Headworks ................................................. 4-7
4.2.2 Dams .................................................................................... 4-7
4.2.2.1 Concrete Dams ................................................... 4-13
4.2.2.2 Embankment Dams ............................................ 4-13
4.2.2.3 Composite Dams ................................................ 4-13
4.3 Function ........................................................................................... 4-13
4.3.1 General ............................................................................... 4-14
4.3.2 Checklist and Procedure – Outlet Works Design .............. 4-16
4.3.2.1 Checklist ............................................................ 4-16
4.3.2.2 Procedure ........................................................... 4-17
4.3.3 Sedimentation .................................................................... 4-21
4.3.3.1 Introduction ........................................................ 4-21
4.3.3.2 Design Considerations for Sediment at New
and Existing Dams ....................................... 4-22
4.3.4 Relationship Between Reservoir Storage Levels and
Outlet Works Position .................................................. 4-24
4.3.5 Outlet Works Configuration .............................................. 4-25
4.4 Design Floods and Discharge Requirements ................................... 4-36
4.4.1 Inflow Design Flood and Other Design Floods ................. 4-36
4.4.2 Construction Diversion Floods .......................................... 4-36
4.4.3 Discharge Requirements .................................................... 4-37
4.5 Outlet Works Location, Type, and Size ........................................... 4-37
4.5.1 Outlet Works Location ....................................................... 4-37
4.5.1.1 Dam Abutments ................................................. 4-37
4.5.1.2 Reservoir Rim .................................................... 4-38
4.5.1.3 Beneath/Outside the Foundation-Dam Contact . 4-39
4.5.1.4 Through a Dam .................................................. 4-39
4.5.1.5 Outlet Works Foundations ................................. 4-40
4.5.2 Outlet Works Type and Size .............................................. 4-40
4.5.2.1 Uncontrolled Outlet Works ................................ 4-43
4.5.2.2 Controlled Outlet Works .................................... 4-43
4.5.2.3 Considerations for Selecting Outlet Works
Type and Size ............................................... 4-59
4.5.2.4 Procedure for Selecting Outlet Works Type
and Size ........................................................ 4-61
4.5.3 Examples ............................................................................ 4-62
DS-14(4) July 2021 4-i

Contents (continued)
Page
4.6 General Hydraulic Considerations .......................................................63

4.6.1 Discharge Capacity ................................................................63
4.6.1.1 Crest Control (Uncontrolled or Free Flow) ...........64
4.6.1.2 Orifice Control (Controlled Flow) .........................65
4.6.1.3 Pipe Control (Pressurized Flow) ............................67
4.6.1.4 Multiple Hydraulic Controls ..................................67
4.6.1.5 Discharge Capacity Design Procedures .................68
4.6.1.6 Existing Outlet Works............................................73
4.6.1.7 New Outlet Works .................................................73
4.6.2 Flood Routing ........................................................................74
4.6.2.1 Current Data ...........................................................74
4.6.2.2 Starting RWS .........................................................75
4.6.2.3 Starting Time .........................................................75
4.6.2.4 Time Increments ....................................................76
4.6.2.5 Complete Routings.................................................76
4.6.2.6 Robustness (Freeboard) Study ...............................76
4.6.3 Reservoir Evacuation and First Filling ..................................76
4.6.3.1 Current Data ...........................................................77
4.6.3.2 Starting RWS .........................................................78
4.6.3.3 Hydrology ..............................................................79
4.6.3.4 Reservoir Evacuation Risk and Hazard
Classifications ..................................................81
4.6.3.5 Reservoir Evacuation Rates ...................................83
4.6.3.6 Deviation from Reservoir Evacuation and
First Filling Guidelines ....................................84
4.6.4 Other Hydraulics ....................................................................85
4.6.4.1 Intake Structures Hydraulics ..................................86
4.6.4.2 Conveyance Features Hydraulics ...........................88
4.6.4.3 Control Structures Hydraulics................................99
4.6.4.4 Terminal Structures Hydraulics ...........................100
4.6.4.5 Erosion Protection ................................................104
4.7 General Foundation Considerations ...................................................108
4.7.1 Elastic Foundation ...............................................................108
4.7.2 Foundation Design ...............................................................111
4.7.2.1 Foundation Treatment ..........................................111
4.7.2.2 Foundation Acceptance ........................................124
4.7.2.2.1 Foundation inspection and acceptance
procedures ......................................................124
4.7.3 Drainage and Insulation .......................................................126
4.7.3.1 Drainage ...............................................................126
4.7.3.2 Insulation..............................................................131
4-ii DS-14(4) July 2021

Contents (continued)
Page
4.8 General Structural Considerations .....................................................131

4.8.1 Loading Conditions..............................................................132
4.8.2 Seismic (Earthquake) Loads ................................................138
4.8.3 Stability Design....................................................................141
4.8.3.1 Loading Combinations .........................................142
4.8.3.2 Stability Conditions .............................................142
4.8.4 Reinforced Concrete Design ................................................146
4.8.4.1 Strength Design ....................................................146
4.8.4.2 Loads ....................................................................147
4.8.4.3 Load Combinations ..............................................147
4.8.4.4 Load Factors.........................................................148
4.8.4.5 Strength Reduction Factors (φ) ............................148
4.8.4.6 Serviceability Considerations for Hydraulic
Structures .......................................................149
4.8.4.7 New Concrete and Reinforcement Properties ......149
4.8.4.8 Existing Concrete and Reinforcement
Properties .......................................................150
4.8.5 Reinforcement ......................................................................151
4.8.6 Joints, Waterstops, and Tolerances ......................................151
4.8.6.1 Joints ....................................................................152
4.8.6.2 Waterstops............................................................167
4.8.6.3 Tolerances ............................................................168
4.9 General Electrical/Mechanical Considerations ..................................174
4.9.1 Mechanical Features ............................................................174
4.9.1.1 Gates and Valves..................................................174
4.9.1.2 Air Venting for Gates and Valves ........................186
4.9.1.3 Bulkheads .............................................................186
4.9.1.4 Stoplogs................................................................188
4.9.2 Operating Systems ...............................................................188
4.10 Instrumentation and Monitoring ........................................................189
4.11 Technical References .........................................................................190
4.12 References ..........................................................................................192
Appendices
A Examples: Outlet Works Location, Type, and Size
B Typical Potential Failure Modes (PFMs) for Outlet Works
C First Filling Guidelines
DS-14(4) July 2021 4-iii

Tables
Table Page
4.3.2.2-1 Procedure for outlet works design using quantitative risk analysis
methodology .............................................................................. 18
4.5.2.3-1 Considerations for selecting outlet works type and size .................. 61
4.5.2.4-1 Procedure for selecting outlet works type and size .......................... 62
4.6.1.5-1 Procedure for estimating discharge capacity of an outlet works for
crest control conditions .............................................................. 70
orifice control conditions ........................................................... 71
pipe control conditions ............................................................... 72
4.6.3.4-1 Reservoir evacuation risk considerations for significant and low
hazard dams ............................................................................... 82
4.6.3.5-1 Reservoir evacuation guidelines for storage and/or multipurpose
dams, days .................................................................................. 83
4.8.3.2-1 Minimum safety factors ................................................................. 145
4.8.6.1.6-1 Concrete joints associated with outlet works features ................... 165
4.8.6.3-1 Surface tolerances (Ts) ................................................................... 170
4.8.6.3.5-1 Procedure for selecting surface tolerances (TS) ............................ 173
4.9.1.1-1 Gates and Valves Used in Outlet Works........................................ 176
Figures
Figure Page
4.2.1.1-1 Examples of river outlet works .......................................................... 3

4.2.1.2-1 Examples of canal headworks and M&I outlet works ....................... 5
4.2.1.3-1 Examples of sluice outlet works ........................................................ 6
4.2.1.4-1 Examples of power outlet works........................................................ 8
4.2.2-1 Example of RCA sheet..................................................................... 10
4.3.5-1 Outlet works configuration – common features............................... 26
4.3.5-3 Arrangement 2 for embankment dams ............................................. 29
4.3.5-6 Arrangement 2 for concrete dams .................................................... 32
4.4.3-1 Outlet works – example bypass system associated with an
Arrangement 1 hydraulic control plan view of downstream
control structure ......................................................................... 38
4-iv DS-14(4) July 2021

Figures (continued)
Table Page
4.5.2-1 Outlet works type chart .................................................................... 41

4.5.2.2-1 Examples: tower intake structure .................................................... 45
4.5.2.2-2 Examples: drop inlet intake structure ............................................. 46
4.5.2.2-3 Examples: box intake structure ....................................................... 47
4.5.2.2-4 Examples: front-entrance intake structure ...................................... 48
4.5.2.2-5 Examples: inclined intake structure ................................................ 49
4.5.2.2-6 Examples: trashrack intake structure .............................................. 50
4.5.2.2.3-1 Conveyance feature shapes (cross sections) most used for both
conduits and tunnels ................................................................... 52
4.5.2.2.3-2 Examples: chutes associated with outlet works .............................. 58
4.5.2.2.5-1 Examples: terminal structures associated with outlet works .......... 60
4.6.1.1-1 Crest control ..................................................................................... 65
4.6.1.2-1 Orifice control .................................................................................. 66
4.6.1.3-1 Pipe control ...................................................................................... 68
4.6.1.5-1 Discharge curve - multiple hydraulic controls ................................. 69
4.6.4.1.2-1 Bellmouth flow surface .................................................................... 87
4.6.4.2.2-2 Cavitation damage occurred during operation of sluiceways at
Folsom Dam, California............................................................. 91
4.6.4.2.2-1 Cavitation simulation: (left) cavitation created in Reclamation’s
low ambient pressure chamber: (right) cavitation damage
noted after the test ...................................................................... 91
4.6.4.2.4-1 Parabolic vertical curve illustration ................................................. 96
4.6.4.2.4-2 Superelevation illustration ............................................................... 98
4.6.4.4-1 Terminal structures ........................................................................ 101
4.6.4.4.3-1 Trajectory of a free jet illustration. ................................................ 104
4.6.4.5-1 Erosion potential – erodibility index versus stream power. ........... 107
4.7.2.1.1-1 Cleaning and treatment of rock foundation ................................... 113
4.7.2.1.2-1 Slush grouting ................................................................................ 114
4.7.2.1.2-2 Dental concrete .............................................................................. 115
4.7.2.1.2-3 Beveled surfaces to eliminate feathered edges .............................. 116
4.7.2.1.3-2 Ring or pressure grouting............................................................... 119
4.7.2.1.3-1 Backfill grouting ............................................................................ 119
4.7.2.1.5-1 Anchor bars .................................................................................... 122
4.7.2.1.5-2 Rock bolts ...................................................................................... 123
4.7.3.1-1 Drainage – zoned filter encasing downstream conduit section ...... 128
4.7.3.1-2 Drainage – drainage holes in downstream tunnel .......................... 129
4.7.3.1-3 Air supply/demand ......................................................................... 130
4.8.1-1 Concrete temperature history ......................................................... 133
4.8.6.1.1-1 CJ orientation (horizontal and vertical) ......................................... 153
4.8.6.1.2-1 Transverse CrJs without foundation keys for flow surface
slabs.......................................................................................... 155
DS-14(4) July 2021 4-v

Figures (continued)
Table Page
4.8.6.1.2-2 Transverse CrJs with foundation keys for flow surface slabs........ 156
4.8.6.1.2-3 Longitudinal CrJs for flow surface slabs and transverse CrJs
for flow surface walls............................................................... 157
4.8.6.1.3-1 Transverse CtJs without foundation keys for flow surface slabs ... 158
4.8.6.1.3-2 Transverse CtJs with foundation keys for flow surface slabs ........ 159
4.8.6.1.3-3 Longitudinal CtJs for flow surface slabs and transverse CtJs
and CJs for flow surface conduits and tunnels......................... 160
4.8.6.1.4-1 Surface delamination near joints .................................................... 162
4.8.6.1.5-1 EJs .................................................................................................. 164
4.8.6.2-1 Retrofit and strip waterstops .......................................................... 169
4.8.6.3-1 Surface roughnesses ....................................................................... 170
4.8.6.3-2 Measuring surface roughnesses ..................................................... 171
4.9.1.1-1 Bufferfly valve ............................................................................... 178
4.9.1.1-2 Clamshell gate ................................................................................ 178
4.9.1.1-3 Ensign valves ................................................................................. 179
4.9.1.1-4 Fixed-cone valve or Howell-Bunger valve .................................... 179
4.9.1.1-5 Fixed-wheel gate or wheel-mounted gate ...................................... 180
4.9.1.1-6 Gate valve ...................................................................................... 180
4.9.1.1-7 Hollow-jet valve............................................................................. 181
4.9.1.1-8 Jet-flow gate ................................................................................... 181
4.9.1.1-9 Needle valve................................................................................... 181
4.9.1.1-10 Outlet gate ...................................................................................... 181
4.9.1.1-11 Paradox gate ................................................................................... 182
4.9.1.1-12 Ring-follower gate ......................................................................... 182
4.9.1.1-14 Ring-seal gate................................................................................. 183
4.9.1.1-13 Roller-mounted gate, similar to caterpillar, tractor, and
coaster gates ............................................................................. 183
4.9.1.1-15 Sleeve valve ................................................................................... 184
4.9.1.1-16 Top-seal radial gate ........................................................................ 184
4.9.1.1-17 Unbonneted slide gate .................................................................... 185
4.9.1.1-18 Bonneted slide gate ........................................................................ 185
4.9.1.3-1 Bulkheads ....................................................................................... 187
4-vi DS-14(4) July 2021

Chapter 4
General Outlet Works Design

Considerations
4.1 Scope
Design Standards No. 14 - Appurtenant Structures for Dams (Spillways and
Outlet Works) provides technical guidance concerning the Bureau of
Reclamation’s (Reclamation) procedures and considerations for analyzing and
designing two key types of appurtenant structures associated with storage and/or
multipurpose dams and/or dikes. These appurtenant structures are spillways and
outlet works. Chapter 4 provides technical processes for evaluating existing
outlet works, along with selecting, locating, and sizing new outlet works. See
Section 4.3.2, “Checklist and Procedure – Outlet Works Design,” in this chapter,
which summarizes these technical processes. These processes should be followed
by Reclamation staff and others involved with analyzing and designing outlet
works. These processes are used for all design activities such as appraisal,
feasibility, and final design [1].1 Specifically, this chapter provides general outlet
works design considerations applicable to both existing and new dams. Unless
otherwise noted, information provided in this chapter is applicable to the
evaluation, analysis, and design of lined (primarily with reinforced concrete), high
velocity, and high flow outlet works. Also, if the outlet works is used to help pass
flood events, consideration should be given to the processes associated with the
selection of the Inflow Design Flood (IDF)2 that is addressed in Chapter 2,
“Hydrologic Considerations,” of this design standard. Finally, it should be
stressed that this design standard will minimize duplication of other existing
technical references and, wherever possible, it will reference existing procedures
and considerations that should be used for the analysis and design of outlet works.
4.2 Definitions and Concepts

The following definitions and concepts are provided to clarify and explain the
terminology used in this design standard. These definitions and concepts are
consistent with other technical references used by Reclamation.
1
Numbers in brackets [ ] indicate references listed at the end of this chapter.
2
For most storage and/or multipurpose dams, selection of the IDF will be based on a
quantitative risk analysis (for IDF selection process, see Chapter 2, “Hydrologic Considerations,”
of this design standard). The IDF will be less than or equal to the Probable Maximum Flood
(PMF).
DS-14(4) July 2021 4-1

Design Standards No. 14: Appurtenant Structures for Dams
4.2.1 Outlet Works

An outlet works is a hydraulic structure that is primarily used to pass normal
(operational) releases through a storage or multipurpose dam and, in some cases,
is used to pass flood flows. An outlet works may also be an important feature of a
construction diversion system (during modifications of existing facilities or new
construction) and be the primary hydraulic structure used to evacuate the reservoir
(see Section 4.6.3, “Reservoir Evacuation and First Filling,” in this chapter).
The term “outlet works” can be classified according to purpose, physical and
structural arrangement, or hydraulic operation. The most common types of outlet
works employed by Reclamation can be grouped into five classifications and are
based on the primary use or purpose of the outlet works. These types are
explained in more detail in the following sections.
4.2.1.1 River Outlet Works

A river outlet works is the most common type of outlet works in Reclamation’s
inventory of outlet works for storage and multipurpose dams. The river outlet
works serves to provide releases that can meet one or more purposes and
requirements for the entire range of reservoir operations. A river outlet works
will usually make releases back into the river or stream that is impounded by the
dam. A river outlet works can be an appurtenant structure located through or
adjacent to concrete and embankment dams or the concrete and embankment
portion of a composite dam.
A river outlet works may be used for meeting normal releases (associated with
irrigation, power generation, municipal and industrial needs, and environmental
enhancement), augmenting flood discharge capacity, and evacuating the reservoir.
Releases from a river outlet works are typically free-flow from the downstream
end of the outlet works into a river or stream. Of note, the intake or sill elevation
of a river outlet works will typically establish the top of dead storage capacity for
a storage or multipurpose dam. The intake or sill elevation position must be
sufficiently below the minimum reservoir operating level (such as top of inactive
storage capacity) so that enough hydraulic head exists to provide required
discharges. For more information about dead storage capacity, inactive storage
capacity, and other reservoir capacity allocations details, see Section 4.2.2,
“Dams,” in this chapter.
In addition to providing enough hydraulic head, the intake or sill elevation should
be located above the projected (estimated) 100-year sediment level. Design and
construction of a low-level sluice outlet works (see section 4.2.1.3) that could
pass sediment to the downstream channel would help make the reservoir
sustainable beyond the 100-year sediment design life. Examples of river outlet
works are illustrated in figure 4.2.1.1-1.
4-2 DS-14(4) July 2021

Figure 4.2.1.1-1. Examples of river outlet works.
DS-14(4) July 2021 4-3

A common type of river outlet works is the low-level outlet works, which can be
located as low as the riverbed. Along with meeting multiple purposes, the
low-level outlet works maximizes the reservoir drawdown potential
(i.e., evacuating the reservoir to the lowest reservoir water surface [RWS]).
Another type of river outlet works is the multiple level outlet works that will have
multiple sills or intakes at different RWS elevations. This type of hydraulic
structure provides flexibility for varying temperatures and water quality releases.
4.2.1.2 Municipal and Industrial Outlet Works

The primary purpose of a municipal and industrial (M&I) outlet works is to
provide releases for domestic use, which could include water supply for
residential and business uses. An M&I outlet works can be an appurtenant
structure located through or adjacent to any type of dam. Releases from an
M&I outlet works can be free-flow (such as into a canal) or pressure flow (such as
into a pipeline). The intake or sill elevation of the M&I outlet works may be set
at or above the top of dead storage capacity for a storage or multipurpose dam.
The intake elevation will be influenced by reservoir operations and the discharge
requirements associated with meeting domestic needs. Examples of M&I outlet
works are illustrated in figure 4.2.1.2-1.
4.2.1.3 Sluice Outlet Works

Sluice outlet works or a sluiceway is typically associated with a concrete dam or
the concrete portion of a composite dam; however, sluicing tunnels may be
provided for an embankment dam. The primary purpose of the sluiceway is to
flush sediment from reservoirs in order to reduce the loss in storage capacity over
time. In concrete dams, sluiceways are also used to reduce the accumulation of
sediment near the upstream face of the concrete dam. The sluice outlet works can
include one or many conduits or pipes located in tiers or groups at the same or
varying elevations. The sluiceway can be located in the spillway overflow
monoliths (blocks) or in nonoverflow monoliths.
Releases from a sluiceway are typically free-flow into a river or stream. The
intake or sill elevation of the lowest tier sluiceway will typically establish the top
of dead storage capacity for a storage or multipurpose dam. Also, the intake or
sill elevation location must be sufficiently below the minimum reservoir operating
level (top of inactive storage capacity) so that enough hydraulic head exists to
provide required discharges. For more information about dead storage capacity,
inactive storage capacity, and other details on reservoir capacity allocations, see
Section 4.2.2., “Dams,” in this chapter. Unlike most other outlet works, a
sluiceway may be positioned at a low reservoir elevation to meet its primary
purpose of flushing sediment from the reservoir. Examples of sluice outlet works
are illustrated in figure 4.2.1.3-1. As with the river outlet works, the types of
sluice outlet works can include low-level and multiple level outlets.
4-4 DS-14(4) July 2021

Figure 4.2.1.2-1. Examples of canal headworks and M&I outlet works.
DS-14(4) July 2021 4-5

Figure 4.2.1.3-1. Examples of sluice outlet works.
4-6 DS-14(4) July 2021

4.2.1.4 Power Outlet Works

The primary purpose of a power outlet works is to convey water from the
reservoir to a powerplant for the generation of electricity. A power outlet works
can be an appurtenant structure located through or adjacent to any type of dam, as
well as located a long distance from the dam through a reservoir rim. Releases
from a power outlet works are pressure flow into the powerplant. The intake or
sill elevation of a power outlet works is set to maximize and/or provide flexibility
with power generation given the reservoir operations. Of note, minimizing
hydraulic head loss is a key consideration associated with the power outlet works.
Examples of power outlet works are illustrated in figure 4.2.1.4-1.
4.2.1.5 Canal Headworks

The primary purpose of a canal headworks is to divert (provide) releases for
irrigation and, in some cases, furnish water for domestic purposes. Specifically,
these purposes could include farming and ranching operations, along with water
supply to communities (i.e., residential and business use). A canal headworks can
be an appurtenant structure located through or adjacent to any type of dam.
Releases from a canal headworks are typically free-flow conditions into a canal.
The intake or sill elevation of a canal headworks is set at a relatively high
reservoir elevation (low to moderate hydraulic head). Examples of canal
headworks are illustrated in figure 4.2.1.2-1. For more details about canal
headworks, refer to Chapter 3, “Diversion Dams and Headworks,” of Design
Standards No. 3 - Water Conveyance Facilities, Fish Facilities, and Roads and
Bridges [2].
4.2.2 Dams
The primary focus of this chapter involves outlet works associated with storage
and multipurpose dams, rather than detention3 and diversion4 dams; however,
there may be similar hydraulic structures associated with other types of dams.
The purpose of storage and multipurpose dams is to impound water during
periods of surplus supply for use during periods of deficient supply. The uses
of the stored water at Reclamation facilities include: irrigation, M&I, recreation,
fish and wildlife, hydroelectric power generation, and other purposes. When
power operation comes into play, the multipurpose dam may serve as a forebay
dam5 (such as Reclamation’s Banks Lake impounded by North and Dry Falls
3
Detention dams are constructed to temporarily store streamflow or surface runoff and then
release the stored water in a controlled manner.
4
Diversion dams are constructed to divert (redirect) water from one waterway (such as a
stream or river) into another waterway (such as a canal or pipeline).
5
Forebay dams impound water from another dam or hydroelectric plant intake structure
(typically a pump-storage facility). A forebay dam can also be designed as a storage,
run-of-the-river, and/or pump-storage dam.
DS-14(4) July 2021 4-7

Figure 4.2.1.4-1. Examples of power outlet works.
4-8 DS-14(4) July 2021

Dams) or an afterbay dam6 (such as Reclamation’s Yellowtail Afterbay Dam).

The uses of the stored water are based on the official (authorized) reservoir
capacity allocation (RCA) purposes. Use of the RCA is further discussed in
Section 4.3.3, “Relationship Between Reservoir Storage Levels and Outlet Works
Position,” in this chapter. An example RTA sheet is shown in figure 4.2.2-1.
Storage definitions associated with the RCA for a given storage and
multipurpose dam follow:
• Freeboard. The vertical distance between a stated reservoir water level and
the crest of a dam, without camber in the case of an embankment dam.
• Surcharge capacity. The reservoir capacity provided for use in passing the
IDF through the reservoir. It is the temporary storage between the
maximum RWS elevation and the highest of the following elevations: top
of exclusive flood control capacity, top of joint use capacity, or top of active
conservation capacity.
• Exclusive flood control. The reservoir capacity assigned for the sole
purpose of regulating flood inflows to reduce flood damage downstream. In
some instances, the top of exclusive flood control capacity is above the
maximum controllable RWS elevation (either top of active conservation
capacity or top of joint use capacity). A few examples of Reclamation dams
with exclusive flood control include Ririe, Hoover, Brantley, and Jordanelle
Dams.
• Flood control pool (flood pool). The reservoir capacity above active
conservation capacity and joint use capacity that is reserved for flood runoff
and then evacuated as soon as possible to keep the reservoir volume in
readiness for the next flood. Controlled releases generally take place when
the RWS is within the flood control pool.
• Joint use capacity. The reservoir capacity assigned to flood control

purposes during certain periods of the year (normally when flooding is more
likely to be a concern) and to conservation purposes during other periods of
the year.
6
Afterbay dams are located downstream from other dams and/or hydroelectric plants and are
used to regulate tailwater adjacent to the upstream dams and/or hydroelectric plants.
DS-14(4) July 2021 4-9

Figure 4.2.2-1. Example of RCA sheet.
4-10 DS-14(4) July 2021

• Active conservation capacity (active storage). The reservoir capacity

assigned to regulate reservoir inflow for irrigation, power generation,
M&I use, fish and wildlife, navigation, recreation, water quality, and other
purposes. It does not include exclusive flood control or joint use capacity.
It extends from the lowest RWS associated with the bottom of exclusive
flood control, or the bottom of flood control pool, or the bottom of joint use
capacity to the top of the inactive capacity (or to the top of dead capacity
where there is no inactive capacity).
• Inactive capacity (inactive storage). The reservoir capacity exclusive of

and above the dead capacity from which the stored water is normally not
available because of operating agreements or physical restrictions (such as
minimum hydraulic head needed to meet certain release requirements
associated with power generation, irrigation, M&I, recreation, and
environmental enhancements). Under abnormal conditions, such as a
shortage of water or a requirement for structural repairs, water may be
evacuated from this space. The inactive capacity extends from the top of
inactive capacity to the top of dead capacity.
• Dead capacity (dead storage). The reservoir capacity from which stored
water cannot be evacuated by gravity (using existing appurtenant
structures).
• Live capacity. Reservoir storage that includes exclusive flood control

capacity plus joint use capacity plus active capacity plus inactive capacity.
• Total capacity. Reservoir storage that includes the live capacity plus dead
capacity.
Elevation definitions associated with the RCA and reservoir operations for a
given storage and multipurpose dam follow:
• Crest of dam. The elevation of the uppermost surface of a dam, usually a

road or walkway, excluding any parapet wall, railing, curb, etc. On
embankment dams, the crest of the dam is the top of the embankment, not
including camber, crown, or roadway surface. Camber is the extra height
added to the crest of embankment dams to ensure that the freeboard will not
be diminished by foundation settlement or embankment consolidation.
• Maximum water surface. The maximum or highest RWS reached during

the passing of a flood event up to the PMF. The maximum RWS reached
during the passing of the IDF represents the maximum reservoir elevation
used to size the dam and associated appurtenant structures such as spillways
and outlet works.
DS-14(4) July 2021 4-11

• Top of exclusive flood control. The RWS elevation at the top of the
reservoir capacity allocated to exclusive use for the regulation of flood
inflows.
• Top of joint use. The RWS elevation at the top of the reservoir capacity
allocated to joint use (i.e., flood control and conservation purposes).
• Top of active conservation. The RWS elevation at the top of the capacity
allocated to the storage of water for conservation purposes only. If there is
no joint use capacity associated with the reservoir, the top of active
conservation is the RWS elevation above which no reservoir storage will
occur under normal operating conditions.
• Top of inactive. The RWS elevation below which the reservoir will not be
evacuated under normal conditions.
• Top of dead. The lowest elevation in the reservoir from which water can
be drawn by gravity.
• Streambed at dam axis. The lowest point of elevation in the streambed at

the axis or centerline of the dam prior to construction. This elevation
defines the hydraulic height and normally defines zero storage or surface
area for the area-capacity tables.
• Lowest point of foundation excavation. The lowest point of elevation

below the streambed that is reached during excavation of the dam
foundation (excluding treated narrow/small fault zones).
• Hydraulic height. The vertical distance between the lowest point in the
streambed at the axis or the centerline of the dam—or the invert of the
lowest outlet works, whichever is lower— and the maximum controllable
RWS.
• Structural height. Generally defined as the vertical distance between the

lowest point in the excavated foundation and the crest of the dam.
o For embankment dams, the structural height is the vertical distance

between the dam crest and the lowest point in the excavated
foundation area, including the main cutoff trench, if any, but excluding
small trenches or narrow backfilled areas. The crest elevation does not
include the camber, crown, or roadway surfacing.
o For concrete dams, the structural height is the vertical distance

between the top of the dam and the lowest point of the excavated
foundation area, excluding narrow fault zones.
4-12 DS-14(4) July 2021

There are three general types of storage and multipurpose dams: (1) concrete
dams, (2) embankment dams, and (3) composite dams. These storage and
multipurpose dam types are further discussed in the following sections.
4.2.2.1 Concrete Dams

Less than 10 percent of Reclamation’s inventory of storage or multipurpose dams
are concrete dams. Some of the better known Reclamation concrete dams include
Hoover, Grand Coulee, Shasta, and Buffalo Bill Dams. General types of concrete
dams include arch, buttress, multiple-arch, and gravity structures. Typical
construction materials include conventional mass concrete, reinforced concrete,
roller compacted concrete (RCC), and masonry. With few exceptions, a
competent rock foundation is required for a suitable concrete dam site. For
additional information and details about concrete dams, refer to Design Standards
No. 2 - Concrete Dams [3].
4.2.2.2 Embankment Dams

The vast majority of Reclamation’s inventory of storage or multipurpose dams are
embankment dams. Some of the better known Reclamation embankment dams
include Blue Mesa, Jordanelle, and Horseshoe Dams. General types of
embankment dams include earthfill and rockfill dams. Construction materials are
typically soil and rock from local excavation sources. Other materials may
include concrete, soil cement, and RCC, which may be used as facing elements
and/or impervious barriers. Due to a large footprint and lower stresses in the dam
foundation, the foundation and topographical requirements for embankment dams
are less stringent than those for concrete dams (with appropriate engineering, an
embankment dam can be placed on either a soil or rock foundation). For
additional information and details about embankment dams, refer to Design
Standards No. 13 - Embankment Dams [4].
4.2.2.3 Composite Dams

Reclamation’s inventory of storage or multipurpose dams includes a few
composite dams, which are a combination of concrete and embankment dams.
Some of the better known Reclamation composite dams include Folsom, Pueblo,
and Minidoka Dams. Construction materials include those associated with both
concrete and embankment dams. Competent rock foundations would still be
expected for the concrete portion of a composite dam, while less stringent
foundations (soil and/or rock) may be acceptable for the embankment portion of
a composite dam.
4.3 Function
An outlet works regulates or releases water impounded by a dam. It can release
incoming flows at a limited rate through an uncontrolled pipe, conduit, tunnel,
and/or culvert (as is associated with a detention dam); it can divert incoming
flows into canals or pipelines (as is associated with a diversion dam); or it can
release stored water at rates dictated by downstream needs, by reservoir
DS-14(4) July 2021 4-13

evacuation considerations, or by a combination of multipurpose requirements

such as irrigation, M&I, and environmental enhancement (as is associated with a
storage or multipurpose dam) [5].
4.3.1 General
With few and very unusual exceptions, an outlet works is the one hydraulic
structure that must be included for a storage and/or multipurpose dam. The
importance of a safe, reliable outlet works cannot be overemphasized. Many
issues have been caused by improperly designed, constructed, and/or operated
outlet works or by outlet works of insufficient discharge capacity.
The discharge (such as the discharge capacity to draw down the reservoir in a
timely fashion to mitigate an emergency) is determined by the purposes or uses of
the outlet works. Common uses that should be considered in establishing the
discharge capacity of an outlet works may include one or more or the following:
• Irrigation releases. The discharge capacity is based on the critical period

of low runoff when the reservoir storage is low and daily irrigation demands
are at their peak. This lower-bound release requirement can play a role in
establishing sufficient hydraulic head at the hydraulic control point, which
could be at the intake structure or some downstream location such as a gate
chamber and/or control house needed to meet the discharge requirement.
This hydraulic head is the depth of an allocated reservoir storage space,
which is referred to as the inactive storage capacity.
• Evacuation releases. The discharge capacity is based on lowering an

allocated control space such as exclusive flood control and joint use storage
during a specified timeframe. Also, the discharge can be based on lowering
the active storage space for inspection, maintenance, repair, or emergency
drawdown within a specified timeframe. Upper-bound releases should
generally not exceed the downstream safe channel capacity. The
lower-bound releases should be at least equal to the average inflow expected
during the evacuation time period. For more information, see Section 4.6.3,
“Reservoir Evacuation and First Filling,” in this chapter.
• First filling. The discharge capacity is based on controlling the RWS rate
of rise during the initial reservoir filling of a new dam or the RWS rate of
rise above historical maximums of an existing dam. Anytime the RWS
exceeds the historical maximum level experienced by a dam, first filling
guidelines should apply. For more information, see Section 4.6.3,
“Reservoir Evacuation and First Filling,” of this chapter and Appendix C,
“First Filling Guidelines.”
4-14 DS-14(4) July 2021

• Flood releases. The discharge capacity may be used to release surplus

flood inflows, augmenting the discharge capacities of other hydraulic
structures (such as spillways) or providing the primary ability to pass
floods. For more information about selecting the IDF or other design floods
and routing them, see Chapter 2, “Hydrologic Considerations,” of this
design standard. The lower-bound releases should be at least equal to the
average inflow expected during the flood time period.
• Sedimentation. Due to increasing water demands, aging infrastructure,

and a limited number of feasible and economical sites for new dam
construction [6], Reclamation must limit the loss of reservoir capacity due
to factors such as sedimentation. One way of making dams and reservoirs
more sustainable is designing outlet works with the ability to pass sediment
downstream. For more information, see Section 4.3.3, “Sedimentation,” of
this chapter.
• Power releases. The discharge capacity required to generate electrical

power. To meet power requirements, the discharge may vary with time of
the day and/or season. The discharge capacity would be associated with a
reservoir storage space that would typically be bounded by the top of
inactive storage and either the top of active conservation or top of joint use
storage.
• Diversion releases (during construction). The discharge capacity

associated with passing flows through or around a construction site. The
maximum release capacity is typically based on selecting and/or identifying
a construction diversion flood (frequency flood) and designing the diversion
system (which could include the outlet works) to safely accommodate the
construction diversion flood. For more information about identifying and/or
selecting a construction diversion flood, see Chapter 2, “Hydrologic
Considerations” of this design standard.
• Other releases. The discharge capacity associated with specific

requirements such as environmental enhancement (preservation of aquatic
life, abatement of stream pollution, etc.) and M&I needs. Unless these other
release requirements are the primary purpose of the outlet works, the
discharge capacity will likely be controlled by other factors (see previous
bullets) because required releases tend to be fairly small. However, these
other releases could determine the minimum release capability of the outlet
works, which could result in including a smaller bypass system.
See Section 4.4, “Design Floods and Discharge Requirements,” of this chapter
for more details.
DS-14(4) July 2021 4-15

In addition to providing sufficient discharge capacity, the outlet works must be

located so that releases do not erode or undermine the downstream toe of the
dam. The outlet works’ flow surfaces must be erosion resistant to withstand the
high scouring velocities created by the elevation drop from the RWS to the
tailwater (downstream) level. A feature typically referred to as a terminal
structure is often required to dissipate the kinetic energy of the moving water at
or below the tailwater level.
An important consideration associated with embankment dams is to isolate the

outlet works from the embankment dam (such as a tunnel outlet works through
the dam abutment, rather than through the embankment dam). In some cases,
constructing a tunnel outlet works may not be possible. In these cases, robust
design and construction efforts should be employed such as placing the outlet
works in a foundation notch (below or outside of the dam-foundation contact),
then encasing the reinforced concrete outlet works in conventional mass
concrete or reinforced concrete. The additional concrete used to fill the notch
would conform to the embankment-foundation contact and isolate the outlet
works from the embankment dam. Also, steel lining and/or embedded steel
pipe (encased in the reinforced concrete outlet works) can further add to a
robust design. For more details about lining, see Section 4.5.2.2.3,
“Conveyance Features,” of this chapter.
4.3.2 Checklist and Procedure – Outlet Works

Design
This section is the primary focus of chapter 4 and summarizes how Reclamation
analyzes and designs both new outlet works and modifications of existing outlet
works. The “Checklist – Outlet Works Design Considerations” (Checklist)
itemizes technical activities, and Table 4.3.2.2-1, “Procedures for Outlet Works
Design Using Quantitative Risk Analysis,” provides the design steps.
4.3.2.1 Checklist
The Checklist outlines Reclamation’s approach to identifying and evaluating
outlet works type, location, and size, along with refining analyses and designs of
an outlet works. The remainder of this chapter augments this Checklist.
Note: The Checklist provides listings of major technical activities but does not
provide the overarching project management process used by Reclamation. For
additional guidance about Reclamation’s project management processes, refer to
the Final Design Process Guidelines [7] and the Safety of Dams, Project
Management Guidelines [8].
4-16 DS-14(4) July 2021

Additional clarification of the following Checklist includes:
• Data. A Data Table summarizes considerations that are necessary to

prepare analyses and designs for modifying existing outlet works and
constructing new outlet works. This list covers all levels of analyses and
design, ranging from appraisals and feasibilities to final designs. It is
important to note that activities associated with the Data Table parallel
and/or are interactive with activities associated with Location Table and the
Type and Size Table.
• Location. A Location Table summarizes considerations that are necessary

to properly locate a new outlet works (for an existing outlet works, the
location of the modification is already defined). As with the Data Table,
this table covers all levels of analyses and design, ranging from appraisals
and feasibilities to final designs. It is important to note that activities
associated with the Location Table parallel and/or are interactive with
activities associated with the Data Table and the Type and Size Table.
• Type and size. A Type and Size Table summarizes considerations that are
necessary to properly select the type and size of a new outlet works or
modification to an existing outlet works. As with the Data and Location
Tables, this table covers all levels of analyses and design, ranging from
appraisals and feasibilities to final designs. It is important to note that
activities associated with the Type and Size Table parallel and/or are
interactive with activities associated with the Data Table and the Location
Table.
• Analysis and design. An Analysis and Design Table summarizes

considerations needed to refine and/or finalize the modification to an
existing outlet works or the analysis and design of a new outlet works. This
table covers all levels of analyses and design, ranging from appraisals and
feasibilities to final designs.
It is important to note that the Data Table, Location Table, and Type and Size
Table are parallel to and interact with one another.
4.3.2.2 Procedure
Quantitative risk analysis methodology will be part of evaluating, analyzing, and/or
designing modifications to existing outlet works or designing new outlet works.
The procedure for applying quantitative risk analysis methodology is summarized
in table 4.3.2.2-1.
DS-14(4) July 2021 4-17

Table 4.3.2.2-1. Procedure for Outlet Works Design Using Quantitative Risk Analysis Methodology
Step 1 Based on topography, geology, and hydrology— along with loading conditions and load
(Locate, Lay combinations— locate, lay out, and size the modified or new outlet works. For examples of
Out, and Size) locating, typing, and sizing an outlet works, see Appendix A, “Examples: Outlet Works
Locations, Type, and Size,” of this chapter. For flood and seismic loadings, initial
assumptions are made in terms of the return periods to be used for the maximum and
minimum discharge capacity, along with design earthquake (see Table 4.5.2.4-1, “Procedures
for Selecting Outlet Works Type and Size,” of this chapter). For more details about selecting
the maximum and minimum discharge capacity and design earthquake, see Section 4.4,
“Design Discharges,” and Section 4.8.2, “Seismic (Earthquake) Loads,” of this chapter.
Step 2 When modifying an existing outlet works, prepare or update baseline risk analysis and
(Perform Risk prepare modified risk analysis. When designing a new outlet works, prepare baseline risk
Analysis) analysis. Note: Risk analyses should be comprehensive where total risks are estimated
(i.e., evaluates all credible potential failure modes [PFMs] associated with static, hydrologic,
and seismic loadings). For a list of typical PFMs associated with outlet works, see
Appendix B, “Potential Failure Modes (PFMs) for Outlet Works,” of this chapter. For more
details about identifying and evaluating PFMs and preparing or updating risk analyses, refer to
Best Practices in Dam and Levee Safety Risk Analysis [9].1
Step 3 Evaluate risk analysis results in terms of:
(Evaluate Risk • Are total modified risks (for existing outlet works) or baseline risks (for new outlet works)
Analysis acceptable? (If YES, go to last bullet – if NO, go to next bullet.)
Results)
• What PFMs significantly contribute to the total risks? (As an example, risks associated
with an earthquake-induced separation between the outlet works conduit and
surrounding embankment, leading to internal erosion failure of the dam, might be very
large; therefore, a more remote earthquake than initially assumed as the design load
could reduce this PFM risk and also total risks).
• Are construction risks (associated with modifying an existing outlet works or

constructing a new outlet works) acceptable? (If YES, go to Step 5 – if NO, go to
Step 4.)
Step 4 Identify revised loading conditions (such as more remote flood and/or earthquake design load
(Revise Loading return periods) and changes to the outlet works design that would result in reduced risks for
Conditions) PFMs that significantly contribute to the total risks, along with limiting construction risks.
Repeat Steps 1 through 3.
Step 5 Identify minimum static, hydrologic, and seismic loadings that would reduce total risks to
(Identify acceptable levels (results from Step 3 or Step 4). It should be highlighted that for a new outlet
Minimum works or new features of an existing outlet works, all appropriate structural criteria, guidelines,
Loading codes, and safety factors must be met as a minimum. Designs using quantitative risk analysis
Conditions) may dictate that these minimum structural and stability requirements be exceeded but never
decreased. Note: Presently, hydrologic load uncertainties are addressed in a Robustness
(freeboard) study (see Chapter 2, “Hydrologic Considerations,” of this design standard).
Processes to evaluate static and seismic load uncertainties are not well defined, but they
would generally follow a similar approach noted for the hydrologic load uncertainties.
Step 6 Evaluate nonrisk factors (i.e., water delivery requirements, cost, physical constraints) that
(Evaluate need to be considered in addition to the risk factors.
Nonrisk Factors)
Step 7 Based on the previous steps, refine modifications to existing outlet works or design of new
(Refine) outlet works.
1 For the remainder of this document, reference [9] will be referred to as Best Practices.
4-18 DS-14(4) July 2021

CHECKLIST – Outlet Works Design Considerations

Data Table Location Table Type and Size Table Analysis and Design Table
1. Reservoir and site topography (develop topography 1. When possible, avoid locating outlet works near 1. Identify outlet works type: river, M&I, sluiceway, power, or canal: See 1. Finalize hydraulic analyses and designs for
for identified potential outlet works locations): Refer or through embankment dams (embankment sections 4.2, 4.3, and 4.4 in this chapter. recommended viable alternative outlet works: See
to Design Data Collection Guidelines [10].* material may settle, causing unfavorable section 4.6 and appendix A in this chapter).
foundation conditions, as well as increase 2. Identify potential combinations of intake structure, conveyance • Discharge Capacity (section 4.6.1).
2. Reservoir and site geology (develop geologic data potential for internal erosion). The exceptions features, control structure, and terminal structure types. • Flood Routing (section 4.6.2).
including subsurface and material data for identified should be based on no other viable, Considerations will include: dam type; outlet works type; discharge • Reservoir Evacuation and first filling (section 4.6.3).
potential outlet works locations): Refer to Design cost-effective alternatives: See sections 4.3.3 capacity; foundation conditions; loading conditions; and reservoir • Other Hydraulics (section 4.6.4).
Data Collection Guidelines [10].* and 4.5 of this chapter. operational requirements and diversion: See section 4.5 of this
chapter. 2. Finalize foundation analyses and designs for
3. Seismicity (earthquakes), which includes earthquake 2. Locate outlet works near or through dam recommended viable alternative outlet works: See
return periods that could range from a Design Basis abutment or reservoir rim for embankment 3. Initial sizing (including elevations and dimensions) of outlet works via section 4.7 and appendix A in this chapter).
Earthquake (DBE) for noncritical structures to dams: See sections 4.3.3 and 4.5 of this discharge capacity estimates: See section 4.6 of this chapter. • Elastic Foundation (section 4.7.1).
risk-based earthquake loadings for critical structures chapter. • Foundation Design (section 4.7.2).
that could be in the range of 10,000- to 50,000-year 4. Evaluate and select hydrologic and seismic design loadings in risk • Drainage and Insulation (section 4.7.3).
Parallel with and/or interactive between data, location, and type/size
Parallel with and/or interactive between data, location and type/size

return periods: See section 4.8 of this chapter. 3. Outlet works integral with concrete dams may framework: See sections 4.4 and 4.8 of this chapter.
provide the best location. If not, consider dam 3. Finalize structural analyses and designs for
4. Hydrology (floods), which includes flood and nonflood abutment or reservoir rim: See section 4.5 of 5. Refine viable outlet works via refining discharge capacity and flood recommended viable outlet works alternative(s): See
season frequency events to determine the discharge this chapter. routings (if applicable). Also, refine design for foundation, structural, section 4.8 in this chapter).
capacity and identify/select construction diversion mechanical, and electrical considerations: See sections 4.6, 4.7, 4.8,
• Loading Conditions (section 4.8.1).
floods: See section 4.4 of this chapter. 4. Location may be influenced by the possibility of and 4.9 of this chapter.
• Seismic (Earthquake) Loading (section 4.8.2).
the outlet works being used for diversion during
5. Reservoir operations would be defined in the construction. An example would be a tunnel 6. Identify initial control features location and type including emergency • Stability Design (section 4.8.3)
Standing Operating Procedures (SOP) for existing outlet works that is used to direct riverflows or guard gate/valve, regulating gate/valve, and stoplogs or bulkhead. • Reinforced Concrete Design (section 4.8.4).
Reclamation dams. Also, release requirement around the dam construction site. Also, location Note: consider minimum release requirements that may require • Reinforcement (section 4.8.5).
agreements with other agencies or owners may need could be influenced by the sedimentation additional smaller gates/valves (bypass consideration). Base this on • Joints, Waterstops, and Tolerances (section 4.8.6)
to be addressed. For other non-Reclamation existing loading potential. initial hydraulic, foundation, structural, mechanical, and electrical
dams or for new dams, reservoir operations should be analyses: See sections 4.6, 4.7, 4.8, and 4.9 of this chapter. 4. Finalize mechanical and electrical designs for
well defined by Owner/Client: Refer to Design Data 5. Preferred foundation is rock, if available. Some recommended viable outlet works alternative(s): See
Collection Guidelines [10.]* soils may provide suitable foundation (gravel to 7. Estimate initial baseline risks for viable alternative outlet works (adjust section 4.9 in this chapter.
gravelly soils, sands to sandy soils, and some as needed): See appendix B of this chapter and refer to Best • Mechanical Features (section 4.9.1).
6. Reservoir storage is defined in the SOP for existing fine-grained soils with low to medium Practices [9]. • Operating Systems (section 4.9.2).
Reclamation dams. For other non-Reclamation compressibility, but permeability as related to
existing dams or for new dams, reservoir storage internal erosion potential must be carefully 8. Lay out and prepare cost estimates of viable alternative outlet works 5. Determine need for instrumentation and monitoring: See
should be well defined by the Owner/Client. If not evaluated): See sections 4.5 and 4.7 of this (combinations of intake structure, conveyance features, control section 4.10 in this chapter.
available, reservoir storage will be developed from chapter. structures, and terminal structure) which have acceptable initial
reservoir topography. Also, RCA should be defined baseline risks: See appendix B of this chapter. 6. Verify that baseline risks indicate “decreasing justification
and include some or all of the following: dead 6. For soil foundations that are removed and to take action to reduce risks” for the recommended
storage capacity, inactive capacity, active replaced with engineered fill or for soil 9. Refer to Best Practices [9] and Estimate Worksheet – Guide for viable outlet works alternative(s): See appendix B in this
conservation capacity, joint use capacity, and foundation disturbed before placement of Designers [11]. chapter and Best Practices [9].
exclusive flood control. Additionally, sedimentation concrete, minimum compactive levels would
loading potential should be evaluated and defined: include 94% compaction (cohesionless soils) 10. Develop viable construction diversion scheme, based on construction 7. Prepare technical documentation, such as design
See section 4.2.2 and 4.3.3 of this chapter, and refer using the vibratory hammer test or 95% Proctor schedule, resulting in acceptable construction risks: See chapter 2 of summary, supporting technical memoranda and reports,
to Design Data Collection Guidelines [10].* density (cohesive soils). It may be necessary to this design standard and refer to Best Practices [9]. decision memoranda, designers’ operating criteria, and
either design the outlet works to accommodate final construction report: See Safety of Dams Project
* NOTE: Dam design data collection requirements settlement or treat the foundation to minimize 11. Select recommended viable alternative outlet works. Management Guidelines [8].
are used because there are no design data the settlement: Refer to section 4.7 of this
requirements specifically identified for outlet works. chapter.
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4.3.3 Sedimentation
Design considerations for accommodating sediment loading should not be
overlooked; therefore, the following guidance should be carefully considered. In
addition to this guidance, consult with the Sedimentation and River Hydraulics
Group in Reclamation’s Technical Service Center (TSC).
4.3.3.1 Introduction
Without reservoir sediment management, a reservoir storing water will continue
to fill with sediment over time, causing storage loss and infrastructure impacts,
particularly to outlet works and powerplant intakes. The rate of reservoir
sedimentation varies across the world and is very site specific, ranging from an
average annual storage loss of 2.3 percent in China to 0.2 percent in parts of
North America [12]. Sedimentation rates in the United States may be as high as
an average annual storage loss rate of 2.0 percent per year. The traditional
approach in the design of dams in Reclamation is to size a dead pool to account
for 100 years of sediment accumulation and locate the outlet works intake
elevation at the top of the dead pool. However, reservoir sediment accumulation
affects all levels of the reservoir [13], affecting all storage allocations by use
(e.g., conservation, multi-use, or flood pool). Many Reclamation facilities are
already nearing or are past their original design life of 100 years. These
reservoirs still serve critical water storage needs, and these needs will likely
continue for the indefinite future. These aging reservoir facilities likely have no
plan for sediment management or other reservoir site available to replace the lost
storage capacity, so periodic retrofitting and upkeep are necessary for continued
use.
As previously noted in Section 4.3.1, “General,” of this chapter, current and new
Reclamation facilities need to be designed and/or retrofitted for sustainable use in
terms of limiting the loss of reservoir capacity due to sedimentation. One way of
making dams and reservoirs more sustainable is designing outlet works with the
ability to pass sediment downstream.
There are several cases of Reclamation facilities that already pass measurable
amounts of sediment downstream. Such facilities include Paonia Dam in
Colorado, Guernsey Dam in Wyoming, and Black Canyon Dam in Idaho.
In the case of Paonia Dam, the outlet works was designed with a dead pool to
allow reservoir sedimentation, where the outlet works intake elevation is 68 feet
above the outlet exit elevation. Since dam closure in 1962, sediment has
deposited throughout the reservoir, reducing the reservoir capacity by 25 percent,
with the dead pool nearly full of sediment. Operators at the dam have observed
plugging of the outlet works under traditional operations. Beginning in
DS-14(4) July 2021 4-21

2010-2011, the operations of the dam had to be changed to manage the incoming
sediment, now at the level of the outlet works intake. Paonia Reservoir has a
Storage Capacity to Mean Annual Inflow (C:I) ratio of 0.16, which means the
reservoir can only store 1/6 of the mean annual runoff. Under new operations, the
reservoir is drawn down at the end of the irrigation season to flush deposited
sediments, pass incoming sediments, and reduce the amount of storage loss
(maintain storage capacity). Previous studies have investigated the potential of
constructing a lower outlet works intake to pass sediment and increase storage
capacity to meet irrigation demands downstream [14]. Additional studies have
included analyzing the timing of operations and potential outlet works
modifications to sluice more sediment through the outlet works to maintain or
improve reservoir capacity.
There are a variety of techniques to remove sediment from a reservoir, and

sediment pass-through can also occur with a full reservoir, in the form of venting
turbid density currents [12]. Turbid density currents are a denser plume of
sediment relative to clear reservoir water. Turbid density currents follow the
bottom topography of the reservoir and have the potential to travel over long
distances, arriving at the base of the dam. Turbid density currents traveling
80 miles were documented in Lake Mead shortly after the closure of Hoover Dam
[15]. Outlet works located at the base of the dam can vent turbid density currents,
passing significant amount of sediment, and thereby reducing the amount of
storage loss. If outlet works modification is not feasible, a curtain upstream of the
dam face can be constructed to vent turbid density currents upward to higher
outlet works and/or spillway structures [16].
4.3.3.2 Design Considerations for Sediment at New and Existing

Dams
The design should meet clearly defined objectives for reservoir sediment
management. These objectives could include:
• Maintenance and/or recovery of reservoir storage

• Maintenance of open reservoir pool for recreation use
• Decrease in the sediment concentration entering the penstock intake
Based on a defined set of objectives, several sources of literature (Basson and

Rooseboom, 1997 [16]; Morris and Fan, 1998 [17]; Utah Division of Water
Resources, 2010 [13]) provide considerations to aid in the design of outlet works
to pass sediment. A compilation of these general considerations are listed below:
• The design life of the reservoir sediment management plan should be

consistent with the expected operational service life of the entire project.
• The location of the sluice outlet works is the most important

consideration:
4-22 DS-14(4) July 2021

o In general, the sluice outlet works should be located at a low elevation

in the reservoir.
o The existence of a dead pool will hamper flushing effectiveness until

the dead pool fills.
o Produce retrogressive erosion in the reservoir (maintain or improve

reservoir capacity).
o Consider the ability to vent turbidity currents with a full pool.
o The placement of both sluices and service intakes should be planned

so that the service intakes will be maintained free of sediment by
sluice operation.
o If site conditions make it impossible to place the sluice outlet works

below the service intakes, it may be feasible to divert the flushing flow
into the vicinity of the service intakes by constructing a low dike
partway across the channel upstream of the dam, thereby directing the
flushing channel along the desired alignment.
• If possible, place the intake structure near the old riverbed on the outside
bend.
• Design the sluice outlet works for a sufficient size to pass high sediment
flows. Discharge capacity should ideally be designed for the 5- to 10-year
flood inflow capacity.
• In general, the sluice outlet works should be as wide as possible.
• Two side-by-side sluices are preferred, rather than two sluices at different
levels, because the former arrangement will produce lower backwater at a
given discharge.
• Design of upstream gates (near or on the intake structure) should

include consideration of the future elevation of sediment on the gates
(e.g., clogging, extra lift forces).
• For the passing of coarse sediments (sands and gravels), the sluice outlet
works flow surfaces need to be abrasion resistant (e.g., high strength
concrete), and consideration should be given to joints along the flow
surfaces, which are the weakest points. Coatings on the outlet work flow
surfaces may slow the abrasive effects of the sediment.
DS-14(4) July 2021 4-23

• Operation of the reservoir may require partial or full drawdown to flush or

sluice sediments to maintain capacity.
These design considerations are a preliminary list to follow in the design of sluice
outlet works with the consideration to future sedimentation and sustainability.
4.3.4 Relationship Between Reservoir Storage Levels

and Outlet Works Position
The primary factor in locating the outlet works position is attaining the required
discharge. The outlet works must be located sufficiently below the minimum
reservoir operating level to provide the hydraulic head needed for the required
discharge. As previously discussed in Section 4.2.2, “Dams,” of this chapter,
Reclamation uses the official (authorized) RCA to achieve specific purposes
associated with a given storage or multipurpose dam. The RCA will establish key
storage and elevation requirements, which, in turn, will influence the position of
the outlet works (for definitions of RCA terms and an example of a RCA sheet,
see Section 4.2.2, “Dams,” and figure 4.2.2-1 in this chapter, respectively). The
relationship between reservoir storage, as defined by the RCA and outlet works
position, is further highlighted by the following bullets:
• Inactive storage capacity. It is common practice to make allowances for

the inactive storage capacity to accommodate sediment deposition, fish and
wildlife conservation, and recreation, along with sufficient hydraulic head
(above the outlet works intake) to meet minimum discharge requirements.
With this in mind, the outlet works position must be high enough to avoid
sediment deposits (typically above the estimated 100-year sediment level),
but at the same time, low enough to permit either a partial or a complete
drawdown below the top of the inactive storage, which may be needed for
maintenance, inspection, and/or addressing emergency evacuation, along
with meeting first filling requirements. Design and construction of a
low-level sluice outlet works (see sections 4.2.1.3 and 4.3.3.2 of this
chapter) that could pass sediment to the downstream channel would help
make the reservoir sustainable beyond the 100-year sediment design life.
• Conveyance feature size. The size (or cross-sectional area) of the

conveyance feature (conduits and/or tunnels) for a required discharge is
inversely proportional to the square root of the available hydraulic head for
producing the discharge. This relationship is expressed by the following
equations (assuming pressure or pipe flow conditions):
4-24 DS-14(4) July 2021

Q2
H = K1hv ...or...H = K 2
A2
Where: Q is the total discharge (ft3/s)
hv is the velocity head where hv = V2/2g = Q2/2ga2 (ft)
H is the total hydraulic head needed to produce Q (ft)
K1, K2 are the coefficients determined from the hydraulic head
losses (hL) and velocity head (hv) associated with a given Q,
or K1 = (hv+hL)/hv and K2 = K1/2g
A is the required (wetted) area of the conveyance feature (ft2)
The above relationship can be used to develop an economic study which

determines the initial size of the outlet works conveyance features for a
given total hydraulic head (H). The total hydraulic head is based on the
allocated reservoir storage associated with the inactive and active
capacities. For further details, refer to Design of Small Dams [5]. For
more details about the hydraulics of an outlet works, see Section 4.6,
“General Hydraulic Considerations,” of this chapter.
• Diversion (during construction). If an outlet works will be part of the

diversion system and/or be used to drain the reservoir, it will typically be
positioned at or near riverbed level. For this situation, an operating sill may
be located at a higher level or be designed to be raised in the future. In
other words, an intake structure may have a sill elevation set at the top of
dead pool level, as well as a separate temporary diversion intake set at a
lower elevation that is used during construction, then plugged at the end of
construction. This approach typically uses a drop inlet or tower intake
structure and will provide an allocated dead storage or inactive storage
between the operating sill and riverbed. This storage space would
accommodate sediment and debris accumulation over time.
4.3.5 Outlet Works Configuration

There are some common or typical configurations (features) associated with an
outlet works. Generally speaking, features common to most outlet works are
illustrated in figure 4.3.5-1 and include:
• Approach, inlet, or entrance (upstream) channel. This channel conveys

water from the reservoir to the intake structure. Although not common,
there are some applications of safety/debris/log booms for outlet works that
are located high in the reservoir and may be subject to concentrations of
wind/wave driven debris and human encroachment via boats.
DS-14(4) July 2021 4-25

Figure 4.3.5-1. Outlet works configuration – common features.
4-26 DS-14(4) July 2021

• Intake structure could be a box inlet or intake tower and might also
include trashracks, gates/valves, and bulkheads (if appropriate). This
structure conveys water from the reservoir to the conveyance feature.
• Conveyance feature could be a conduit, tunnel, or chute. These features

convey water from the intake structure to the control structure and/or
terminal structure. The conveyance feature may include multiple elements
such as combinations of conduits, tunnels, and chutes, etc. The conveyance
feature configuration will be influenced by many factors including geology,
topography, and operational requirements.
• Control structure could be a gate chamber, access shaft/adit/conduit,

and/or control house, which contains the gates/valves along with operating
equipment. In some cases, the control structure may be combined with the
intake structure.
• Terminal structure could be a hydraulic jump stilling basin, flip bucket,

stilling well, or impact basin. This structure either dissipates most of the
kinetic energy associated with moving water and conveys the water from
the conveyance feature to the exit channel, or it conveys high energy flow
downstream where the kinetic energy is dissipated within the natural river
or stream channel.
• Exit, outlet, or discharge (downstream) channel conveys water from the

terminal structure to the river or stream.
Other considerations that will influence the outlet works configuration include:
• Dual gates/valves. Reclamation’s practice is to use at least two gates or

valves in series (one guard or emergency8 gate/valve and one regulating
gate/valve for each outlet) that can be operated under unbalanced hydraulic
head conditions. For more details about gates and valves, see Section 4.9,
“General Electrical/Mechanical Considerations,” of this chapter.
• Hydraulic control arrangements. As part of the design for outlet works,

gate/valve arrangements should be defined.
8
The terms “guard” and “emergency” gate/valve are considered interchangeable. In some
cases where there are more than two gates/valves in series, the furthest upstream gate/valve is
designated as “emergency,” while the gate/valve immediately upstream of the regulating
gate/valve is typically designated as “guard.” An example is the outlet works for Theodore
Roosevelt Dam, Arizona, where there is an emergency wheel-mounted gate upstream of guard
ring-follower gates and regulating jet-flow gates.
DS-14(4) July 2021 4-27

o For embankment dams and embankment portions of composite

dams, where the outlet works pass through the embankment dam, there
are three preferred or acceptable gate/valve arrangements, and one least
preferred gate/valve arrangement, which are illustrated by figures 4.3.5-2
through 4.3.5-5. There is also a fifth gate/valve arrangement that does
not conform to arrangements 1 through 4 and can vary from acceptable
to not acceptable, depending on the number, type, and location of
gates/valves and whether the outlet works is pressurized. This
arrangement is very common for modified conditions. These
arrangements include:
▪ Arrangement 1. Hydraulic control (regulating gates/valves) is

located in a downstream control structure (near the downstream
end of outlet works), and hydraulic control (emergency or guard
gates/valves) is located in a control structure at/near the
projected centerline of the dam/dike. Both upstream and
downstream conveyance features are pressurized, with the
downstream pressurized pipe inside a larger access conduit
and/or tunnel (see figure 4.3.5-2). For an embankment dam, the
furthest downstream extent of the reservoir head (pressurized
conditions) would be at or upstream of the projected
embankment core material (zone 1). Nonpressurized conditions
(pressure pipe inside a larger access conduit and/or tunnel)
would exist along the projected zoned filter materials (zones 2
and 3) for the embankment dam downstream of the reservoir
hydraulic control (emergency or guard gates/valves). Examples
of outlet works with gate/valve arrangement 1 include Glen
Elder river outlet works, Choke Canyon Dam river outlet works,
and Ridgway Dam river outlet works.
▪ Arrangement 2. Hydraulic control (emergency or guard

gates/valves and regulating gates/valves) is located in a control
structure at/near the projected centerline of the dam. Upstream
conveyance feature is pressurized, and downstream conveyance
feature is free flowing (not pressurized) (see figure 4.3.5-3).
For an embankment dam, the furthest downstream extent of the
reservoir head would be at or upstream of the projected
embankment core material (zone 1). Free-flow conditions
would exist along the projected zoned filter materials (zones 2
and 3) downstream of the hydraulic control (emergency or
guard gates/valves and regulating gates/valves). Examples of
outlet works with gate/valve arrangement 2 include Big Sandy
Dam river outlet works and Spring Creek Dam river outlet
works.
4-28 DS-14(4) July 2021

Figure 4.3.5-2. Arrangement 1 for embankment dams: Preferred outlet works configuration for
embankment dams: hydraulic control at downstream control structure, with guard/emergency
gate/valve at/near centerline of dam/dike, and downstream pressurized pipe (between dam/dike
centerline and control structure inside larger access conduit).
Figure 4.3.5-3. Arrangement 2 for embankment dams: Acceptable outlet works configuration
for embankment dams: hydraulic control at/near centerline of dam/dike, with free-flow
conditions downstream of the regulating gate/valve.
Figure 4.3.5-4. Arrangement 3 for embankment dams: Acceptable outlet works configuration
for embankment dams: hydraulic control at upstream intake with free-flow conditions
downstream of the regulating gate/valve.
DS-14(4) July 2021 4-29

Figure 4.3.5-5. Arrangement 4 for embankment dams: Least acceptable outlet works configuration for
embankment dams: hydraulic control at downstream control structure (i.e., pressurized flow conditions
upstream of the regulating gate/valve along most of the outlet works). Additional design precautions/
redundancies, such as steel-lined conduit, should be considered if this arrangement is pursued.

gates/valves and regulating gates/valves) is located at/near the
intake structure with free-flow conditions throughout the
conveyance feature (downstream of the hydraulic control) (see
figure 4.3.5-4). For an embankment dam, the furthest
downstream extent of the reservoir head would be at/near the
projected upstream slope of the embankment. Free-flow
conditions would exist along most of the dam footprint.
Examples of outlet works with gate/valve arrangement 3 include
Cresent Lake Dam river outlet works, Kachess Dam river outlet
works, and Lake Sherburne Dam river outlet works.

gates/valves and regulating gates/valves) is located at the
downstream end of the outlet works with pressurized flow
conditions upstream of the hydraulic control (see figure 4.3.5-5).
For an embankment dam, the furthest downstream extent of the
reservoir head would be along most of the dam footprint (from the
intake structure to the hydraulic control, which is at/near the
downstream end of the outlet works). With few exceptions, this
gates/valves arrangement should not be considered for an outlet
works associated with an embankment dam. Examples of outlet
works with gate/valve arrangement 4 include Anita Dam river
outlet works and Washington Dam river outlet works.
▪ Arrangement 5. A fifth gate/valve arrangement has been used,

which involves a hydraulic control (emergency or guard
gate/valve) within the dam or on the upstream face of the dam.
The conveyance feature is pressurized from the upstream dam face
to a control structure that contains the regulating gate/valve. The
control structure is typically located at or downstream of the
downstream face of the dam. This gate/valve arrangement can be
a combination of the previously noted gate/valve arrangements
4-30 DS-14(4) July 2021

and tends to occur when an existing outlet works is modified, such

as adding a pipe or penstock, which conveys water to a new
location/ feature (municipality, powerplant, and canal) (similar to
figure 4.3.5-9 for concrete dams). The acceptability of this
arrangement for an embankment dam is dependent on the number,
type, and location of gates/valves, redundancies in the conduit
design, and whether the outlet works is pressurized. Examples of
outlet works with gate/valve arrangement 5 include Cheney Dam
M&I outlet works, French Canyon Dam river outlet works, and
Vallecito Dam river outlet works.
o For concrete dams and concrete portion of composite dams, where the
outlet works (sluiceways, M&I, power, and canal) pass through the
concrete dam, there is more flexibility with gate/valve arrangements. The
five gate/valve arrangements noted for outlet works that pass through
embankment dams have been applied to outlet works that pass through
concrete dams. These five gate/valve arrangements are generally
acceptable with a preference for having the guard or emergency
gate/valve located within the dam or on the upstream face of dam.
Similar locations of the gate/valve arrangement apply to concrete dams as
noted for embankment dams. These arrangements are illustrated by
figures 4.3.5-6 through 4.3.5-9. Examples of each arrangement include:
▪ Arrangement 1. Examples of outlet works with gate/valve

arrangement 1 (similar to figure 4.3.5-2 for embankment dams)
include American Falls Dam M&I outlet works and Stony Gorge
Dam river outlet works.

arrangement 2 (see figure 4.3.5-6) include Davis Dam sluiceway,
Pueblo Dam river outlet works (spillway), and Canyon Ferry Dam
river outlet works.

arrangement 3 (see figure 4.3.5-7) include Brantley Dam river
outlet works (low-flow) and Mountain Park Dam M&I (joint use)
outlet works.

arrangement 4 (see figure 4.3.5-8) include Nambe Falls Dam river
outlet works, East Canyon Dam river outlet works, and Monticello
Dam river outlet works.

arrangement 5 (see figure 4.3.5-9) include Angostura Dam river
outlet works and Glen Canyon Dam river outlet works.
DS-14(4) July 2021 4-31

Figure 4.3.5-6. Arrangement 2 for concrete dams (typically

applies to concrete gravity or thick arch dams): Acceptable
outlet works configuration for concrete dams; hydraulic control
within dam (gate chamber) with free-flow conditions downstream
of the regulating gate/valve.
Figure 4.3.5-7. Arrangement 3 for concrete dams

(applies to all types of concrete dams): Acceptable
outlet works configuration for concrete dams; hydraulic
control at upstream intake with free-flow conditions
downstream of the regulating gate/valve.
4-32 DS-14(4) July 2021

Figure 4.3.5-8. Arrangement 4 for concrete dams (applies to

all types of concrete dams): Acceptable outlet works
configuration for concrete dams if there are provisions for
upstream bulkhead or gate/valve; hydraulic control at
downstream control structure with pressure flow conditions
from intake structure to the regulating gate/valve.
Figure 4.3.5-9. Arrangement 5 for concrete dams (applies to all types of concrete
dams): Acceptable outlet works configuration for concrete dams; hydraulic control
at downstream control structure and guard gate within dam (gate chamber) or on
upstream dam face with pressure flow conditions from intake structure to the
regulating gate/valve.
DS-14(4) July 2021 4-33

o For tunnel outlet works adjacent to all types of dams

(embankment, concrete, and composite), there is some flexibility
with gate/valve arrangements, and those associated with
embankment and concrete dams can be used. The five gate/valve
arrangements noted for outlet works that pass through embankment
and concrete dams have been applied to tunnel outlet works.
Similar locations of the gate/valve arrangement apply to tunnel

outlet works, as noted for embankment and concrete dams. These
five gate/valve arrangements for tunnels are treated similarly
to the arrangement for embankment dams in terms of
acceptability (i.e., arrangements 1 through 3 are generally
acceptable; arrangement 4 should be avoided, if at all possible; and
arrangement 5 may or may not be acceptable, depending on
gate/valve location). Examples of each arrangement include:
▪ Arrangement 1. Examples of tunnel outlet works with

gate/valve arrangement 1 include Bradbury Dam river
outlet works, Mason Dam river outlet works, and
New Waddell Dam river outlet works.

gate/valve arrangement 2 include Owyhee Dam river
(Tunnel No. 1) outlet works, A.R. Bowman Dam river
outlet works, and El Vado Dam river outlet works.

gate/valve arrangement 3 include Ruedi Dam (auxiliary)
river outlet works.

gate/valve arrangement 4 include Buffalo Bill Dam river
outlet works and New Melones Dam river outlet works.

gate/valve arrangement 5 include the four river outlet
works associated with Hoover Dam and Theodore
Roosevelt Dam river outlet works.
• Bulkhead and stoplogs. Bulkhead slots and, in some cases, stoplog slots,
guides, or seats are provided on or near the intake structure, which results in
the ability for future unwatering of the upstream conveyance feature
(conduit or tunnel). Additionally, stoplogs and/or bulkhead slots or guides
provided at the end of some terminal structures (such as hydraulic jump
stilling basins) may be needed for future unwatering of the terminal
4-34 DS-14(4) July 2021

structure. It should be highlighted that although many of Reclamation’s

outlet works have bulkhead seats or slots, careful evaluation must take place
before installing the bulkhead and unwatering the outlet works. A number
of potential issues may complicate unwatering the outlet works, including:
o Bulkhead seats or slots may have been designed for only limited
(small) hydraulic heads, such as those associated with original
construction of the outlet works. In this case, the bulkhead seat or
slot may not be able to accommodate a full or nearly full reservoir.
o Bulkheads may not exist (i.e., they were never fabricated during
original construction). Also, bulkheads may be shared by multiple
dams and require scheduling and transporting to a given dam.
o The unwatered outlet works features (such as the intake structure

and upstream conduit or tunnel) may not have been designed to
accommodate external hydrostatic loads associated with a full or
nearly full reservoir (i.e., hydrostatic loads could result in instability
[floatation] or exceed the structural capacities of the outlet works
features).
For more details about bulkhead and stoplogs, see Section 4.9, “General
Electrical/Mechanical Considerations,” of this chapter.
• Isolate outlet works from embankment dam. As previously noted in

Section 4.3.1, “General,” of this chapter, for embankment dams/dikes,
isolate the outlet works from the dam/dike by one of the following three
options:
o The first option would include the outlet works conveyance feature
(tunnel) through the dam/dike abutments or reservoir rim. This
option is applicable to rock foundations.
o The second option would be concrete encasement of outlet works

conveyance feature (conduit) in a foundation notch across the dam
footprint that would be below or outside the dam-foundation
contact. This option is applicable to rock foundations.
o The third and least desirable option would be locating the

outlet works conveyance feature (conduit) along or near the
foundation-dam contact (either near the riverbed or on an abutment).
Embankment materials will encase the outlet works conveyance
feature. The outlet works should be considered a potential
discontinuity within the embankment, requiring special design and
construction considerations to ensure compaction and filter criteria
are met. This option is applicable to both rock and soil foundations.
DS-14(4) July 2021 4-35

4.4 Design Floods and Discharge

Requirements
For storage or multipurpose dams, there are two primary hydrologic loadings
and a number of discharge requirements that should be evaluated and will be
factors in determining the location, type, and size of the outlet works.
4.4.1 Inflow Design Flood and Other Design Floods

In some situations, the outlet works will be used to help pass flood events. If
this is the case, floods could determine the discharge capacity of the outlet
works. The flood events could range from operational floods, which are
typically more frequent than the IDF (such as the 100-year flood), to the IDF.
For reference, the IDF is the maximum flood hydrograph, or ranges of
hydrographs, used in the design of a dam and its appurtenant structures,
particularly for sizing the dam, spillway, and outlet works. Features are
designed to safely accommodate floods up to and including the IDF. The IDF
will be equal to or smaller than the current critical PMF.9 As described in
detail in Chapter 2, “Hydrologic Considerations,” of this design standard,
selection of the IDF and other design floods for an existing and/or new dam is
based on quantitative risk analysis methodology.
4.4.2 Construction Diversion Floods

The outlet works may be an important component of a diversion system used
during construction. If this is the case, consideration must be given to safely
passing both normal streamflow and flood events during the construction
period (i.e., diverting flows through and/or around the construction area with
no or limited impacts to construction efforts and the downstream area).
Diversion methods are sized by balancing cost of the diversion method and the
risk associated with a larger flood occurring than the flood used to size the
diversion method. The process for identifying/selecting the construction
diversion flood used to size the diversion method is described in detail in
Chapter 2, “Hydrologic Considerations,” of this design standard.
9
It should be noted that more than one type of PMF can occur at a given dam site
(rain-on-snow, thunderstorm, etc.), which leads to an important concept: the critical PMF. This
flood event is defined as the PMF that would typically result in the highest maximum RWS.
4-36 DS-14(4) July 2021

4.4.3 Discharge Requirements

As discussed in Section 4.3.1, “General,” of this chapter, the discharge
capacity for an outlet works is dictated by the intended purposes, such as
irrigation, reservoir evacuation, flood, power generation, diversion, sediment
release, and other release requirements (environmental enhancement and
M&I needs). The size of the outlet works will be based on the maximum
discharge requirement; however, the outlet works will need to provide a full
range of release capability that satisfies all discharge requirements. In some
cases, meeting all discharge requirements will result in very large to very
small discharge releases. Rather than using large gates/valves to achieve
small releases (which can result in adverse hydraulic conditions such as
cavitation), a bypass system will be used. This bypass system will include
smaller pressurized pipes and hydraulic controls (smaller gates/valves) that
will meet small discharge requirements (see figure 4.4.3-1).
4.5 Outlet Works Location, Type, and Size

It is very important to understand that an outlet works is a key feature of a
dam, and its location, type, and size will ensure reliable and safe reservoir
operations.
4.5.1 Outlet Works Location

Consideration should be given to the location of the outlet works, which will
be site specific, but there are some overarching considerations to keep in mind
when locating outlet works.
4.5.1.1 Dam Abutments

Preferred locations for an outlet works are the dam abutments adjacent to or
near the ends of the dam (especially for embankment dams). This would
involve subsurface (tunnel) outlet works for embankment, concrete, and
composite dams. Locating the outlet works would be dependent on
topography, geology, and economics.
DS-14(4) July 2021 4-37

Bypass for future M&I or

power outlet works.
Discharge capacity of
100 ft3/s within the active
conservation storage.
Flow
River outlet works used

primarily for reservoir
evacuation. Discharge
capacity of 1,250 ft3/s at the
active conservation storage.
Low flow bypass. Discharge

capacity of 200 ft3/s and
10 ft3/s minimum releases
within the active conservation
storage.
Figure 4.4.3-1. Outlet works – example bypass system associated with an

Arrangement 1 hydraulic control plan view of downstream control structure.
4-38 DS-14(4) July 2021

4.5.1.2 Reservoir Rim

Another potential location for an outlet works is the reservoir rim (located
away from the dam). This would involve subsurface (tunnel) outlet works for
embankment, concrete, and composite dams. Locating the outlet works would be
dependent on topography, geology, and economics. In a case where outlet works
releases are made back into the natural stream or riverbed, rather than a pipeline,
penstock, or canal, care should be taken to evaluate the exit channel and
downstream area. There could be situations where locating an outlet works
through the reservoir rim would allow releases to enter a different drainage area
than that associated with the main river or stream. During outlet works operation,
this could adversely impact downstream areas that were not subject to releases
prior to the construction of the dam or outlet works. The downstream
consequences (both property damage and potential life loss) will need to be fully
evaluated before locating an outlet works that could release flows into a different
drainage area or a tributary that enters the main waterway downstream from the
dam.
4.5.1.3 Beneath/Outside the Foundation-Dam Contact

An acceptable location for an outlet works would be below or outside the dam
foundation contact. As previously noted in Section 4.3.5, “Outlet Works
Configuration,” of this chapter, this would involve constructing the outlet works
in an excavated notch and encasing in concrete so that the outlet works is isolated
from the dam. This location of the outlet works is applicable for embankment,
concrete, and composite dams.
4.5.1.4 Through a Dam

The least acceptable location for an outlet works would be through (above or
inside the foundation-dam contact) an existing or new embankment dam and/or
dike, or the embankment portion of a composite dam, unless there are very
unusual circumstances. An unusual circumstance might involve the dam
abutments, the reservoir rim, and notching into the foundation, which does not
offer technically feasible, cost-effective locations for an outlet works. As
previously noted in Section 4.3.5, “Outlet Works Configuration,” of this chapter,
the outlet works should be treated as a potential discontinuity within the
embankment dam, requiring special design and construction considerations to
ensure that compaction and filter criteria are met.
An outlet works can be located through (integral with) an existing or new

concrete dam. Also, the concrete portion of a composite dam may be able to
accommodate the outlet works. Locating the outlet works on or through the
concrete dam, or the concrete portion of a composite dam, would be acceptable as
long as it does not produce unacceptable stress concentrations associated with the
dam. There may be both economic and technical reasons to have the outlet works
DS-14(4) July 2021 4-39

integral with the dam, which could provide outlet works releases with the most
direct path between the upstream reservoir and the downstream river or stream.
It should be pointed out that although outlet works have been placed in new
conventional mass concrete dams without much disruption to construction
operations, care must be taken when placing outlet works in new RCC dams to
avoid significant impacts to construction (RCC placement) operations. This can
be done by isolating the outlet works from RCC placement, which can be
accomplished by encasing the outlet works in conventional concrete. The encased
concrete is shaped to allow RCC placement on or adjacent to the encased outlet
works (such an approach was used for the outlet works associated with
Reclamation’s Upper Stillwater Dam).
4.5.1.5 Outlet Works Foundations

An outlet works can be located on rock or soil foundations; however, locating an
outlet works on a rock foundation, if it is available, is highly recommended.
More robust design and construction considerations will be needed for a soil
foundation. These considerations are further discussed in Section 4.7, “General
Foundation Considerations,” of this chapter.
4.5.2 Outlet Works Type and Size

Reclamation has historically identified an outlet works by its primary purpose,
physical and structural arrangement, or hydraulic operations [5]. Some examples
are:
• M&I and canal headworks are examples of identifying outlet works based
on its primary purpose.
• A cut-and-cover or tunnel outlet works are examples of identifying outlet

works based on physical and structural arrangements.
• Gated or ungated, pressurized or free-flow outlet works are examples of

identifying outlet works based on hydraulic operations.
These approaches fully define the outlet works type. For more information, see
the outlet works type chart (see figure 4.5.2-1).
4-40 DS-14(4) July 2021

Figure 4.5.2-1. Outlet works type chart.
DS-14(4) July 2021 4-41

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4-42 DS-14(4) July 2021

4.5.2.1 Uncontrolled Outlet Works

Uncontrolled outlet works are typically limited to detention and diversion dams and
would not be appropriate hydraulic structures for storage and/or multipurpose dams.
For the most part, uncontrolled outlet works are low-level river outlet works
associated with smaller dams and/or dikes that will pass flow at a limited rate
directly into the river, stream, or drainage area immediately downstream of the
dam. Also, there are some intermediate and high level canal headworks that are
used to divert uncontrolled flows. Uncontrolled outlet works operate similarly to
culverts. If additional information is needed about uncontrolled outlet works, refer
to the Design of Small Canal Structures [18].
4.5.2.2 Controlled Outlet Works

Controlled outlet works associated with storage and/or multipurpose dams are
typically classified into five types, which include river outlet works, M&I outlet
works, sluice outlet works, power outlet works, and canal headworks (for more
details, see Section 4.2.1, “Outlet Works,” of this chapter). Also, the controlled
outlet works types are further defined by position or elevation and hydraulic
control arrangement (for more details, see Section 4.3.4, “Relationship Between
Reservoir Storage Levels and Outlet Works Position,” and Section 4.3.5, “Outlet
Works Configuration,” of this chapter). In addition, the controlled outlet works
types are defined by common features that were briefly touched on in
Section 4.3.5, “Outlet Works Configuration,” of this chapter. These common
features are discussed in more detail in the following sections.
4.5.2.2.1 Approach, Inlet, or Entrance (Upstream) Channel

This feature is typically associated with an outlet works that may be used for
diversions during construction, which could be located very low in the reservoir,
or it is associated with an outlet works (such as a canal headworks) that is located
at a relatively high elevation. In some geologic and topographic settings, the
approach channel may be vulnerable to clogging with sediment (which enters the
reservoir from drainage area) with material from unstable excavated and natural
slopes. Where the accumulation of such material occurs at or near the intake
structure, plugging could result, leading to diminished discharge capacity [19].
Of note, the entrance channel flow velocities are usually less than flow velocities
through the trashracks (2 to 5 ft/s), and the entrance channel is widened near
the intake structure to permit a smooth, uniform flow into all trashrack
openings [5].
4.5.2.2.2 Intake Structure

This feature forms the entrance to an outlet works. It typically includes auxiliary
features, such as trashracks, fishscreens, and bypass systems, and it may include
temporary diversion openings and provisions for installing a bulkhead or stoplogs.
For additional details concerning trashracks, fishscreens, bulkheads, and
DS-14(4) July 2021 4-43

(Spillways and Outlet Works) Design Standards
stoplogs, see Section 4.9, “General Electrical/Mechanical Considerations,” of this

chapter. The selection of the type of intake structure is based on:
• The purpose(s) it serves (i.e., normal river/stream releases, reservoir

evacuation, M&I, etc.).
• Range of reservoir head under which it operates.
• Frequency of reservoir drawdown.
• Anticipated level of trash and debris, which will have a bearing on

frequency of cleaning trashracks and potential loading conditions.
• Anticipated ice and wave conditions.
• Hydraulic control arrangement (i.e., if some or all of the gates and/or valves
are placed at the intake structure, an intake tower will likely be the selected
type). For more details about hydraulic control arrangements, see
Section 4.3.5, “Outlet Works Configuration,” of this chapter.
Common intake structures types for outlet works include:
• Intake tower, including selective level intakes (see figure 4.5.2.2.2-1)
• Drop inlet intake structure (see figure 4.5.2.2.2-2)
• Box intake structure (see figure 4.5.2.2.2-3)
• Front-entrance intake structure (see figure 4.5.2.2.2-4)
• Inclined intake structure, including selective level intakes (see

figure 4.5.2.2.2-5)
• Trashrack intake structure (see figure 4.5.2.2.2-6)
Note: Although an intake structure typically associated with a concrete dam is

identified as a trashrack structure, it should be noted that almost all intake structures
have either trashracks or fishscreens, or both.
4-44 DS-14(4) July 2021

Example: Left and right abutment dual

tower intake structures.
Figure 4.5.2.2-1. Examples: tower intake structure.
DS-14(4) July 2021 4-45

Example: Drop inlet intake structure prior to first

filling of reservoir.
Approach channel
Centerline of upstream conduit to

tunnel, which extends through
abutment.
Figure 4.5.2.2-2. Examples: drop inlet intake structure.
4-46 DS-14(4) July 2021

Example: Box intake structure prior to

first filling of reservoir.
Figure 4.5.2.2-3. Examples: box intake structure.
DS-14(4) July 2021 4-47

Figure 4.5.2.2-4. Examples: front-entrance intake structure.
4-48 DS-14(4) July 2021

Example: Inclined intake structure

located on upstream dam slope
(exposed portion above the
reservoir water surface).
Figure 4.5.2.2-5. Examples: inclined intake structure.
DS-14(4) July 2021 4-49

Example: Trashrack intake structures.
Figure 4.5.2.2-6. Examples: trashrack intake structure.
4-50 DS-14(4) July 2021

4.5.2.2.3 Conveyance Features

Although there are open channel conveyance features associated with some outlet
works (appurtenant structures for low-head dams, high-level canal outlet works,
and short chute sections that connect the downstream end of a conduit or tunnel to a
terminal structure, such as hydraulic jump stilling basin), the majority of outlet
works conveyance features associated with storage or multipurpose dams are
tunnels and conduits, both pressurized and free-flow conditions. Depending on the
hydraulic control arrangement (i.e., location of gates/valves), the outlet works
conveyance feature may be a continuous tunnel or conduit connecting the intake
structure to the control structure and/or terminal structure, or there could be
upstream and downstream conveyance features that are separated by a control
structure (such as a gate chamber and/or shaft, which is further discussed below in
Section 4.5.2.2.4, “Control Structure,” of this chapter).
Shapes (cross sections) of tunnel and conduit conveyance features typically

include:
• For pressure tunnels and conduits, a circular wetted cross section is the
most efficient, both hydraulically and structurally.
• For a free-flow tunnel and conduit, a horseshoe wetted cross section or a

flat bottom cross section (modified horseshoe) provides the best hydraulics
but is not as structurally efficient as a circular wetted cross section.
The shapes Reclamation uses most frequently are illustrated in figure 4.5.2.2.3-1. It
should be noted that other shapes have been used less frequently and include single,
double, and triple barrel cross sections. To facilitate the selection and size of the
shape, many shapes have been analyzed, resulting in reaction coefficients for
bending moments, thrusts, and shears at selected locations along the centroidal axis
of the conduits and tunnels. The reaction coefficients reflect multiple loading
conditions, which represent most vertical (downward) and lateral (side) loads,
along with foundation (upward) reactions that conduits and tunnels might
experience [20, 21]. These reaction coefficients are used to structurally size the
specific conduit or tunnel conveyance feature.
As previously mentioned, the types of outlet works conveyance features

include tunnels, conduits, and chutes, which are further discussed in the following
bullets.
DS-14(4) July 2021 4-51

Inside circular
shape typically
used for pressure
flow conditions
Inside horseshoe or Horseshoe

modified horseshoe (inside) shape
shapes typically
used for free-flow
(unpressurized)
conditions
Modified horseshoe
(inside) shape
Figure 4.5.2.2.3-1. Conveyance feature shapes (cross sections) most used for both
conduits and tunnels.
4-52 DS-14(4) July 2021

• Tunnels. These conveyance features can be used as part of an outlet works

associated with concrete, embankment, and composite dams. As a general
rule, it is not practical to build tunnels smaller than about 7 feet inside
diameter because it makes accessing, inspecting, and repairing difficult.
Particularly as a feature of an appurtenant structure for an embankment
dam, tunnels are preferred over conduits through or under the dam,
whenever tunneling through abutments and/or foundations is considered
feasible and economically competitive with other conveyance features.
When deciding whether to locate tunnels through the abutments or
foundations of an embankment dam, versus locating conduits through or
beneath an embankment dam, consider the following important factors:
o Because a tunnel is isolated from the embankment dam

(i.e., encased in rock), it is much less prone to internal erosion than a
conduit through or beneath an embankment dam.
o Limited or no foundation settlement, differential movement, or

structural displacement would be typically expected for a tunnel that
is encased in rock.
With a few exceptions, lining of the tunnel conveyance feature (shotcrete,

reinforced and/or unreinforced concrete, and steel) is typically included for
an outlet works associated with a storage and/or multipurpose dam. The
need to line the tunnel, and the types of lining to be used, are based on the
following:
o For pressure tunnels with average velocities exceeding 5 ft/s, lining

is recommended to prevent damage to downstream gates/valves
from tunnel muck fines and rockfalls [22].
o For pressure tunnels in competent rock which can withstand full

internal hydrostatic pressure (i.e., no possibility of a “blowout”),
only limited lining may be needed. The lining may be unreinforced
concrete or shotcrete. When the rock is less competent, more robust
lining should be considered [5]. The lining is typically reinforced
concrete and may also include steel lining. A steel liner is typically
used in a pressurized tunnel downstream of the grout curtain
associated with a dam and prevents pressurized seepage flow from
entering the surrounding rock formation. This is more critical for an
outlet works located in an embankment dam abutment where
pressurized flow from the tunnel may pass through joints or cracks
in the rock formation and reach the embankment dam contact
downstream of the embankment impervious zone.
DS-14(4) July 2021 4-53

o For pressure tunnels where provisions are made to periodically

unwater the tunnel by use of gates/valves, bulkheads, and/or
stoplogs, it is appropriate to line the entire cross section. The lining
is intended to accommodate the external rock and hydrostatic loads,
along with protecting inspection personnel from rockfalls and/or
collapse of a portion of the tunnel [5]. Design considerations should
be given to unwatered tunnels safely accommodating external loads.
Of note, before unwatering a pressure tunnel to inspect it, verify that
the lining can accommodate the external loads (rock and
hydrostatic). If there is any question about the stability and/or
structural integrity of the unwatered tunnel lining, other methods of
inspecting (such as remote operating vehicles [ROV]) should be
pursued. The lining is typically reinforced concrete.
o For free-flow tunnels in competent rock, lining may only be needed

along the sides and floor to form a smooth waterway. When the
rock is less competent (i.e., possibility of rockfalls), it is appropriate
to line the entire cross section [5] to accommodate external rock and
hydrostatic loads, as well as to protect inspection personnel from
rockfalls and/or collapse of a portion of the tunnel. The lining is
typically reinforced concrete.
o For a portion of free-flow tunnels adjacent to the reservoir or

immediately downstream of a pressure tunnel, it may be necessary
to combine lining with grouting and/or drainage to address
hydrostatic pressure buildup [5]. The lining is typically reinforced
concrete and may also include steel lining.
o When the tunnel serves as access and containment for a smaller

pressure pipe, it is common practice to line the entire cross section
to protect the pressure pipe and operating personnel from rockfalls.
The lining also limits seepage and protects the pressure pipe, along
with any lighting and electrical equipment [5]. The lining is
typically reinforced concrete.
Other considerations associated with steel pipe lining or other types

of lining, such as high density polyethylene (HDPE) pipe or
cured-in-place pipe (CIPP) for reinforced conduit conveyance
features, include:
o Steel liners and/or embedded pipe are commonly used to form and
structurally reinforce entrances, transitions, separations (wyes,
bifurcations, etc.) and combinations (merging of two or more
conveyance features), and gate/valve bodies.
4-54 DS-14(4) July 2021

o Steel liners, steel pipes, and other types of liners have been and are
effective modifications to existing outlet works conveyance features
that have deteriorated over time or are structurally deficient.
For additional details concerning tunnels, see Chapter 4, “Tunnels, Shafts,

and Caverns,” of Design Standards No. 3, “Water Conveyance Facilities,
Fish Facilities, and Roads and Bridges [23].
• Conduits. These conveyance features can be used as part of an outlet

works associated with concrete, embankment, and composite dams. As a
general rule, if the conduit will be accessed for future inspections and/or
maintenance by personnel, it should be no smaller than 5 feet in diameter.
General considerations for locating conduits include:
o For concrete dams, conduits within dams should be located away

from the upstream-downstream contraction joints (CrJs) separating
the dam blocks (monoliths).
o For concrete dams, depending on the purpose of the outlet works,

geometry of the dam, and location of the downstream waterway
(river, canal, pipeline, etc.), the conduits can be located in either
overflow or nonoverflow monoliths.
o For concrete dams, the conduits can be located beneath or outside

the concrete dam-foundation contact, in an excavated notch or
channel, and encased in concrete.
o For embankment dams with rock foundations, the conduits can be

located beneath or outside the embankment dam-foundation contact,
in an excavated notch or channel, and encased in concrete.
o For embankment dams with rock or soil foundations, where the

conduits must be located through or below the dam, considerations
include:
▪ Embankment height (above the conduit) is limited to

150-200 feet due to structural considerations.
▪ Seepage cutoff collars should never be used. In lieu of

these features, seepage along the conduit will be controlled
by careful selection of embankment materials, special
attention to placement and compaction of the embankment
materials, and placement of a properly graded filter zone to
safely convey any seepage out of the embankment
surrounding the conduit [24, 25].
DS-14(4) July 2021 4-55

▪ Conduits should have a reasonably smooth outside surface

that is free from projecting or indented features, which
could hinder compaction of embankment material against
the conduit. This is particularly important in the
impervious core zone of an embankment dam. Whenever
possible, the sides of the conduit should be sloped
approximately 1:10 (horizontal to vertical) for the
conduit section that extends through the impervious zone
of the embankment dam. The sloping sides will facilitate
compaction directly against the conduit using
pneumatic-tired rollers or other approved equipment.
The intent is to minimize hand-operated power tampers
(i.e., eliminate or minimize special compaction10) [24, 25].
Also, an excavated channel should be wide enough to allow
for backfill compaction parallel to the conduit. Finally, the
excavated slopes in a channel should be no steeper than 2:1
within the impervious zone of the embankment dam.
o For embankment dams with pressure conduits, design

considerations should be given to the unwatered conduit safely
accommodating external loads (soil and hydrostatic). Of note, when
access is required, verify that the conduit can accommodate external
loads. If there is any question about the stability and/or structural
integrity of the unwatered conduit, other methods (such as an ROV)
should be pursued.
Considerations should be given to steel pipe lining, steel pipes, or other

types of lining, such as HDPE pipe or CIPP for reinforced conduit
conveyance features, pertaining to:
o Steel liners and/or embedded pipes are commonly used to form and
structurally reinforce entrances, transitions, separations (wyes,
bifurcations, etc.) and combinations (merging of two or more
conveyance features), and gate/valve bodies.
o Steel liners and/or embedded pipes should be considered as a design

feature when there is the potential for significant foundation
settlement. Also, as previously noted, when an outlet works is
located adjacent to or through an embankment dam, steel liner
and/or steel pipe should be considered at least through the projected
10
Special compaction should be minimized or excluded to reduce the potential for a change in
compactive effort (between the special compaction and pneumatic-tired rollers) and/or variable or
poor compaction associated with special compaction efforts. This could lead to weak zones and
seepage paths in the embankment materials that parallel the outlet works conduit.
4-56 DS-14(4) July 2021

impervious core zone of the embankment dam. Finally, a more

robust and preferred design would include extending the steel liner
through the entire portion downstream of the impervious zone of the
embankment dam.
o Steel liners, steel pipes, and other types of liners (i.e. HDPE or
CIPP) have been and are effective modifications to existing outlet
works conveyance features that have deteriorated over time or are
structurally deficient.
• Chutes. These conveyance features can be used as part of an outlet works

associated with concrete, embankment, and composite dams. They are
primarily used to transition from a conduit or tunnel to a terminal
structure such as the river outlet works at Reclamation’s Twitchell Dam (see
figure 4.5.2.2.3-2). Also, the chute may serve as a combined outlet works
and spillway conveyance feature such as the sluices that release water into
the spillway chute at Reclamation’s Shasta Dam (see figure 4.5.2.2.3-2).
4.5.2.2.4 Control Structure

This feature contains the gates/valves and, depending on the gate/valve arrangement
(location), could be part of the intake structure (Arrangement 3), such as the sluice
outlet works at Reclamation’s Elephant Butte Dam and the river outlet works at
Bumping Lake Dam; a stand-alone structure located downstream of the intake
structure (Arrangements 1 and 2), such as the river outlet works at Reclamation’s
McPhee Dam and Taylor Park Dam; or part of the terminal structure
(Arrangement 4), such as the river outlet works at Reclamation’s Anita Dam.
The types of control structures include gate chambers with access shafts or access
conduits/tunnels and gate houses (Arrangements 1 and 2) and control houses
(Arrangements 1, 4, and 5). Along with including the gates/valves, the control
structure could include bypass systems and access to the conveyance features. For
additional details concerning gates/valves, see Section 4.9, “General
Electrical/Mechanical Considerations,” of this chapter).
4.5.2.2.5 Terminal Structure

This feature dissipates the kinetic energy associated with high velocity water
exiting the conveyance feature. The selection of the type of terminal structure is
based on:
• The purpose(s) it serves (i.e., normal river/stream releases, reservoir

evacuation, M&I, etc.).
• Range of reservoir head under which it operates.
• Maximum and minimum discharge requirements.
DS-14(4) July 2021 4-57

Three-tiered
sluice outlet
Combined outlet works and spillway chute.
Outlet works chute.
Figure 4.5.2.2.3-2. Examples: chutes associated with outlet works.
4-58 DS-14(4) July 2021

• Flow velocity and depth.
• Downstream channel conditions (i.e., geology, tailwater).
• Hydraulic control arrangement. For more details about hydraulic control

arrangements, see Section 4.3.5, “Outlet Works Configuration,” of this
chapter.
• Site conditions, such as harsh, cold climates. In a cold climate where

frequent winter operations may be needed, a terminal structure that
produces less spray may be desirable to reduce ice buildup.
Common terminal structure types for outlet works include:
• Hydraulic jump stilling basin (see figure 4.5.2.2.5-1), such as the river outlet
works at Palisades Dam and Silver Jack Dam.
• Impact basin (see figure 4.5.2.2.5-1), such as the four river outlet works at
Reach 11 detention dikes.
• Stilling well (see figure 4.5.2.2.5-1), such as the river outlet works at
Rattlesnake Dam and Sugar Pine Dam.
• Combined spillway-outlet works terminal structure (see figure 4.5.2.2.5-1),

such as the river outlet works at Agency Valley Dam and the sluiceway at
Grand Coulee Dam.
• Plunge pool (see figure 4.5.2.2.5-1), such as the river outlet works at Crystal
Dam, Morrow Point Dam, and El Vado Dam.
4.5.2.2.6 Exit, Outlet, or Discharge (Downstream) Channel

This feature may be required to convey discharges from the terminal structure to
the river/stream. The channel dimensions and the need for erosion protection
(such as riprap) should be based on the nature of the material through which the
channel is to be excavated [5].
4.5.2.3 Considerations for Selecting Outlet Works Type and Size

The general considerations for selecting the type and size of a new outlet works
and/or modifying an existing outlet works include: project requirements
(frequency and duration of operation, which, in some cases, could involve flood
control requirements), dam type (concrete, embankment, composite), site
conditions (topography, geology, climate, etc.), hydrologic and seismic loading
requirements, meeting release requirements such as diversion during construction,
irrigation, M&I, power generation, and reservoir evacuation. Essential
considerations for selecting the type and size of a new outlet works and/or
modifying an existing outlet works are summarized in table 4.5.2.3-1.
DS-14(4) July 2021 4-59

Hydraulic jump stilling basin

terminal structure (type II).
Double chamber impact basin

terminal structure (type VI).
Triple chamber stilling well

terminal structure.
Spillway chute
Outlet works exit portal
Combined spillway-outlet works

terminal structure (type II with
wave suppressor).
Plunge pool at base of dam.
Figure 4.5.2.2.5-1. Examples: terminal structures associated with outlet works.
4-60 DS-14(4) July 2021

Table 4.5.2.3-1. Considerations for Selecting Outlet Works Type and Size
Functional Considerations Safety Considerations

1. Adequate discharge capacity to meet all 1. High operating reliability.
requirements, such as diversion during
construction, irrigation, M&I, power
generation, and reservoir evacuation.
Also, in some cases where the outlet
works will be used to help pass flood
events, adequate discharge capacity to
safely accommodate floods up to and
including the IDF (see Chapter 2,
“Hydrologic Considerations,” of this
design standard for procedures for
selecting the IDF).
2. Compatible with type of dam and/or dike. 2. Structurally capable of safely
accommodating normal operations and
earthquake loadings; i.e., credible static
and seismic potential failure modes risk
estimate contributions to the total risks are
acceptable (see Appendix B, “Potential
Failure Modes (PFMs) for Outlet Works,”
of this chapter).
3. Satisfies project requirements, such as 3. Hydraulically capable of safely releasing
operational release requirements flows for any required uses which, in
associated with the RCA, discharge some cases, could involve flood releases
capacities of downstream dams, and up to and including the IDF; i.e., credible
channel capacity. hydrologic potential failure modes risk
estimate contributions to the total risks are
acceptable (see Appendix B, “Potential
Failure Modes (PFMs) for Outlet Works,”
of this chapter).
4. Effectively uses site topography and
geology.
5. Cost-effective structure.
4.5.2.4 Procedure for Selecting Outlet Works Type and Size

A general procedure is used to select the type and size of a new outlet works
and/or modify an existing outlet works. This procedure is intended to provide
guidance and may not be suited to every situation (i.e., in some cases, the
selection of the outlet works type and size can be made without performing all the
steps). For those outlet works that will be used to help pass flood events, this
procedure is integral with the IDF selection process for both existing and new
dams discussed in Chapter 2, “Hydrologic Considerations,” of this design
standard. Specifically, the process includes: assuming an IDF; identifying and
sizing the outlet works in combination with sizing the spillway, and reservoir
surcharge that would safely accommodate the assumed IDF; estimating and
DS-14(4) July 2021 4-61

determining if total risks are acceptable for the assumed IDF; and if not, repeating
the previous steps until the total risks are acceptable. Additionally, the outlet
works type and size must meet any other required uses such as diversion releases
during construction, irrigation releases, power releases, and reservoir evacuation.
The previously noted activity is outlined in table 4.5.2.4-1.
Table 4.5.2.4-1. Procedure for Selecting Outlet Works Type and Size
Step 1 Determine several combinations of outlet works releases (in combination
(Discharge- with other hydraulic structure releases, if appropriate) and reservoir normal
Storage storage and flood surcharge storage (if applicable) required to meet all uses,
Balance) such as diversion during construction, irrigation, M&I, power generation,
reservoir evacuation, and, in some cases, help safely accommodate floods
up to the IDF. Note: It may be necessary to consider that the downstream
safe channel capacity may be exceeded during flood events and reservoir
evacuation.
Step 2 Identify preliminary outlet works configuration and hydraulic control
(Configuration arrangement that will meet the release requirements and any downstream
and Hydraulic release restrictions in combination with other hydraulic structures (if
Control appropriate), and reservoir normal and flood storage requirements. This step
Arrangement) may involve hydraulic analysis and design (discharge capacity estimates,
flood routings, reservoir evacuation, water surface profiles, etc.), along with
some preliminary structural and foundation analysis and design.
Step 3 Lay out and evaluate the preliminary outlet works alternatives to verify that
(Preliminary size and type will work for site conditions and meet project requirements.
Layout)
Step 4 (Viable Identify the preliminary outlet works that will meet the release requirements
Outlet Works) in combination with normal reservoir and flood storage requirements.
The outlet works type and size resulting from this procedure must be further
evaluated to determine if total risks are acceptable. Once it has been determined
that total risks are acceptable, nonrisk factors (such as cost) are evaluated to refine
the outlet works type and size. Final selection of the outlet works type and size will
be based on both risk and nonrisk factors. For more details concerning evaluating
both risk and nonrisk factors, see Table 4.3.2.2-1, “Procedure for Outlet Works
Design Using Quantitative Risk Analysis,” of this chapter.
4.5.3 Examples
Appendix A, “Example: Outlet Works Locations, Type, and Size,” of this chapter
provides additional details for locating, typing, and sizing outlet works. These
examples include:
4-62 DS-14(4) July 2021

• Example 1 – New Embankment Dam and New Multipurpose River

Outlet Works. Presents an overview of locating, typing, and sizing a new
multipurpose river outlet works associated with a new embankment dam.
• Example 2 – Existing Concrete Dam and New Multipurpose River

Outlet Works. Presents an overview of locating, typing, and sizing a new
multipurpose river outlet works associated with modifying an existing
concrete dam.
• Example 3 – Existing Embankment Dam and Existing River Outlet

Works. Presents an overview of typing and sizing a modified river outlet
works associated with modifying an existing embankment dam.
4.6 General Hydraulic Considerations

This section provides general hydraulic considerations for determining the type,
location, and size of a modified or a new outlet works. Detailed hydraulic
analysis and design can be found in Chapter 5, “Hydraulic Considerations for
Spillways and Outlet Works,” of this design standard.
As previously noted, unless highlighted, this chapter is applicable to the

evaluation, analysis, and design of reinforced concrete, high velocity, and high
flow outlet works.
4.6.1 Discharge Capacity

Discharge capacity is usually presented in the form of drawings (discharge curves)
and/or tables with discharges (cubic feet per second) related to RWS elevations
(feet). Estimation of discharge capacity is based on either analytical methods or
physical models. Analytical methods will typically be used for all levels of design
(appraisal, feasibility, and final design levels), while physical models are typically
limited to final design levels. Furthermore, physical models are employed for
atypical designs involving unusual topography, geometry, and/or discharges and
velocities that exceed experience levels.
Key in the estimation of discharge capacity is determining the hydraulic control(s)

for the full range of outlet works operation (i.e., full range of RWS that would
invoke outlet works releases). Hydraulic controls for most Reclamation outlet
works will normally involve pipe control. In some occasions, orifice and/or crest
control may come into play. With the exception of canal headworks, typical or
normal operations of river, M&I, sluiceway, and power outlet works are almost
always associated with sufficient hydraulic head (depth of reservoir above the
outlet works entrance) that would result in pipe flow conditions. Because canal
headworks tend to be located high in the reservoir, insufficient hydraulic head
DS-14(4) July 2021 4-63

(due to reservoir fluctuation) to maintain pipe flow conditions could exist during
normal operation. Also, during atypical operations such as drawing down
(emptying) the reservoir, insufficient hydraulic head to maintain pipe flow
conditions could exist for river, M&I, sluice, and power outlet works. In these
cases, orifice and/or crest control conditions could exist. Further details of these
hydraulic control conditions include those discussed below.
4.6.1.1 Crest Control (Uncontrolled or Free Flow)

Crest control occurs when there is a free (water) surface and subcritical flow
conditions 11 exist upstream of the control structure (such as a sill associated with
an intake structure), then pass through a critical state (i.e., when the Froude
number 12 is equal to unity or when the specific energy 13 is at a minimum for a
given discharge) at or just downstream of the crest or sill to a supercritical flow
condition. 14 The governing equation for crest control is the weir equation (see
figure 4.6.1.1-1 and table 4.6.1.5-1 for more details).
3
Q = CLH 2 (weir equation)
Where: Q is the total discharge (ft3/s).

H is the total hydraulic head above the outlet works sill
(i.e., RWS elevation (ElRWS) minus outlet works sill crest
elevation (ElOW)) (ft).
C is the coefficient of discharge (initial suggested values include:
2.62 for broad-crested weir, 3.3 for sharp-crested weir, and
3.7 for an ogee crest). The coefficient of discharge is
variable, depending on factors such as head (H), crest shape
(ogee, sharp-crested weir, broad-crested weir, etc.), control
structure entrance (inlet structure, piers, etc.), approach
channel depth (P) and geometry, and downstream
conditions (suppression, submergence).
L is the crest length (ft.)
11
Subcritical flow conditions occur when the Froude number is less than unity with low
velocity flow described as tranquil and streaming [26].
12
Froude number is defined as the ratio of inertial forces to gravity forces or average flow
velocity (V) divided by the square root of the product of gravity (g) and hydraulic depth (D),
which is typically the wetted area (A) divided by the top width (T) of the water surface [26].
13
Specific energy is defined as energy per pound of water measured from the channel bottom
or the sum of flow depth (d) and velocity head (V2/2g) [26].
14
Supercritical flow conditions occur when the Froude number is greater than unity with high
velocity flow described as rapid, shooting, and torrential [26].
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Figure 4.6.1.1-1. Crest control.
4.6.1.2 Orifice Control (Controlled Flow)

A constriction of the wetted area (such as a partially opened gate) between the
upstream reservoir and downstream conveyance features (such as a conduit that
is free flowing, not pressurized) creates a pressure and velocity change. The
governing equation is derived from the Bernoulli15 and continuity16 equations (see
figure 4.6.1.2-1 and table 4.6.1.5-2 for more details).
15
Bernoulli or energy equation is based on the total energy or head (H) being equal to the sum
of the head above a datum (z1-Eldaum), the flow depth (d), and the velocity head (V2/2g). With this
in mind, and applying the principle of conservation of energy (continuity), the Bernoulli equation
is defined as total head at point 1 (H1=z1+d1+V12/2g) equal to the total head at a downstream
point 2, plus the loss of head (hL) between point 1 and point 2 (H2=z2+d2+V22/2g+hL) [26].
16
Continuity equation is based on the total discharge (Q) being constant throughout and
discharge is the product of average velocity (V) and wetted area (A). Given this, the continuity
equation is defined as the product of average velocity (V1) and wetted area (A1) at point 1 equal to
the product of average velocity (V2) and wetted area (A2) at point 2 [26].
DS-14(4) July 2021 4-65

Q = CA 2gH a fice equation)
Where: Q is the total discharge (ft3/s).

Ha is the total hydraulic head above the orifice opening centerline
elevation (i.e., RWS elevation (zRWS) minus orifice opening
centerline elevation (zORF) or the downstream tailwater
elevation if it exceeds the centerline of the orifice opening
(zTWS)) (ft).
C is the coefficient of discharge (initial suggested value includes:
0.6 for vertical or horizontal wall entrance conditions and
0.9 for bellmouth entrance conditions, which are further
detailed in Design of Small Dams [5]).
A is the area of orifice opening (i.e., product of the opening width
(L) and the minimum dimension (d) between the top of the
flow surface and the bottom of the opening) (ft2).
g is the acceleration due to gravity (ft/s2).
Figure 4.6.1.2-1. Orifice control.
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4.6.1.3 Pipe Control (Pressurized Flow)

Pipe control (pressurized flow) exists when the water is being confined in a closed
system (such as a conduit or tunnel) between the upstream reservoir and
downstream river channel, creating a pressure and velocity change. The
governing equation is derived from the Bernoulli and the continuity equations
(see figure 4.6.1.3-1 and table 4.6.1.5-3 17 for more details).
H2
Q2 = Q1 ⇒ Q2 = K P H 2 (form of Bernoulli equation)
H1
Where: Q1 is the assumed total discharge (ft3/s).

Q2 is the calculated total discharge (ft3/s).
H1 is associated with Q1 and is the estimated total head equal to the
difference between the RWS and the downstream reference
elevation. H1 is further defined as the sum of the system
head losses (hL1) and the exit velocity head (hV1) (ft).
H2 is associated with Q2 and is the estimated total head equal to the
difference between the RWS and the downstream reference
elevation. H2 is further defined as the sum of the system
head losses (hL2) and the exit velocity head (hV2) (ft).
KP is Q1/(H1)1/2
4.6.1.4 Multiple Hydraulic Controls

The typical hydraulic control condition will be pipe flow over the majority of
RWS ranges; however, as previously noted, orifice and/or free-flow conditions
may exist for some specific operating conditions and/or limited RWS ranges and
should be accounted for when estimating the release capacity of an outlet works.
The most common example of a multiple hydraulic control condition for an outlet
works will be a crest control discharge curve associated with lower RWSs, and
then shifting to pipe control discharge curve for higher RWSs.
17
Table 4.6.1.5-3 appears later, in Section 4.6.1.5, “Discharge Capacity Design Procedures” in
this chapter.
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Figure 4.6.1.3-1. Pipe control.
4-68 DS-14(4) July 2021

4.6.1.5 Discharge Capacity Design Procedures

When using analytical methods, the general steps for estimating the discharge
capacity of an outlet works when the hydraulic control is crest control are
summarized in table 4.6.1.5-1.
Similar steps apply for estimating the discharge capacity of an outlet works when
the hydraulic control is orifice or pipe control. These steps are summarized in
tables 4.6.1.5-2 and 4.6.1.5-3.
As previously noted, more than one hydraulic control will typically come into
play during portions of the full range of RWSs that invoke outlet works releases.
A composite discharge capacity curve and/or table is developed which combines
discharge estimates from tables 4.6.1.5-1, 4.6.1.5-2, and 4.6.1.5-3. Discharge
curves illustrating multiple hydraulic controls for fully opened gates or valves
(100 percent opened) are presented in figure 4.6.1.5-1. Also, discharge curves
illustrating partial gate or valve openings (less than 100 percent opened) are
illustrated in the same figure.
Figure 4.6.1.5-1. Discharge curve - multiple hydraulic controls.
DS-14(4) July 2021 4-69

Table 4.6.1.5-1. Procedure for Estimating Discharge Capacity of an Outlet Works for
Crest Control Conditions
Step 1 Assume a constant coefficient of discharge (C), crest length (L), and crest
(Initial elevation. Typical assumed (initial) C for a sharp crested weir or bellmouth
Assumptions) entrance is 3.30 and 2.62 for a broad crested weir such as a sill.
Step 2 Compute an initial discharge capacity (curve and/or table), where:

(Initial 3
Discharge Q = CLH 2
(weir equation)
Curve)
Where H is the hydraulic head above the outlet works intake structure sill
and/or entrance (i.e., RWS elevation (zRWS) – outlet works intake structure sill
and/or entrance elevation (zCRT)).
Step 3 Crest control conditions are typically a small part of an outlet works discharge
(Initial curve (lower portion of RWS range) and seldom come into play. If crest
Composite control is a factor, use step 2 estimates in combination with orifice and/or
Discharge pipe flow condition estimates to construct a combined discharge curve for the
Curve) entire range of RWSs (see tables 4.6.1.5-2 and 4.6.1.5-3).
Step 4 If the outlet works will pass flood events, route floods (hydrographs) to
(Initial Flood determine the maximum RWSs (see Section 4.6.2, “Flood Routing,” in this
Routings chapter for more details). Also, the outlet works will typically be key in
and/or reservoir evacuation and first filling studies, which should be completed at
Evacuation) this time (see Section 4.6.3, “Reservoir Evacuation and First Filling,” in this
chapter for more details).
Step 5 If results from step 4 are sensitive (small changes in discharge estimates
(Refine associated with crest control conditions could appreciably change flood
Coefficient routing and/or reservoir evacuation and first filling results), refine coefficient
of Discharge) of discharge (C) by estimating variable C using hydraulic handbooks [27],
finite volume analysis (such as FLOW3D), or physical models. Also,
additional details can be found in Chapter 5, “Hydraulic Considerations for
Step 6 Re-estimate combined discharge curve (with orifice and/or pipe flow
(Revise Flood conditions estimates) for the entire range of RWSs (see tables 4.6.1.5-2 and
Routings 4.6.1.5-3). Re-route floods and re-evaluate reservoir evacuation and first
and/or filling (see Section 4.6.3, “Reservoir Evacuation and First Filling,” in this
Evacuation) chapter for more details).
Similar steps for estimating the discharge capacity of an outlet works, where the
hydraulic control is orifice or pipe control, applies and are summarized in the
following tables:
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Orifice Control Conditions
Step 1 Assume a constant coefficient of discharge (C), area of orifice opening (A),
(Initial and centerline elevation of orifice opening. Typical assumed (initial) C for an
Assumptions) orifice is 0.60 for vertical or horizontal wall entrance conditions and
0.9 for bellmouth entrance conditions (refined C from step 5 will typically be
between 0.60 to 0.98), depending on the application (such as radial or
wheel-mounted gate associated with a short tube; vertical or horizontal wall
with or without a bellmouth entrance.
Step 2 Compute an initial discharge capacity (curve and/or table), where:
(Initial
Discharge Q = CA 2gH a (orifice equation)
Curve)
Where Ha is the hydraulic head above the orifice opening centerline

elevation, i.e., RWS elevation (zRWS) – orifice opening centerline elevation
(zORF) or the downstream tailwater elevation if it exceeds the centerline of the
orifice opening (zTWS).
Step 3 Orifice control conditions are typically a small part of an outlet works
(Initial discharge curve (lower portion of RWS range) and seldom come into play. If
Composite orifice control is a factor, use the estimate in step 2, combined with estimates
Discharge of crest and/or pipe flow conditions, to construct a combined discharge curve
Curve) for the entire range of RWS (see tables 4.6.1.5-1 and 4.6.1.5-3).
Step 4 If the outlet works will pass flood events, route floods (hydrographs) to
(Initial Flood determine the maximum RWS (see Section 4.6.2, “Flood Routing,” in this
Step 5 If results from step 4 are sensitive (small changes in discharge estimates
(Refine associated with orifice control conditions could appreciably change flood
Coefficient of routing and/or reservoir evacuation and first filling results), refine coefficient
Discharge) of discharge (C) by estimating variable C using hydraulic handbooks [27],
procedures for estimating discharge coefficients for short tubes found in
Design of Small Dams [5], finite volume analysis (such as FLOW3D), or
physical models. Also, additional details can be found in Chapter 5,
“Hydraulic Considerations for Spillways and Outlet Works,” of this design
standard.
Step 6 Re-estimate combined discharge curve (with crest and/or pipe flow
(Revise Flood conditions estimates) for the entire range of RWS (see tables 4.6.1.5-1 and
and/or filling studies (see Section 4.6.3, “Reservoir Evacuation and First Filling,” in
Evacuation) this chapter for more details).
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Pipe Control Conditions
Step 1 (Initial Assume pressure flow conditions and estimate head losses (hL) between the
Assumptions) reservoir and downstream river channel for an assumed discharge (Q1).
Additional details about typical head losses can be found in Design of Small
Dams [5] and Chapter 5, “Hydraulic Considerations for Spillways and Outlet
Works” of this design standard.
Step 2 (Initial Compute total head (H1) for assumed discharge (Q1) and controls
Discharge (gates/valves) are fully opened, where:
Curve)
H1 = hV 1 +  hL1
Compute an initial discharge capacity (curve and/or table), where:
H2
Q2 = Q1 (form of Bernoulli equation)
H1
Where H2 is the total head between assumed RWS elevations (zRWS) and
downstream reference elevations (zDS).
Notes: General guidance for downstream reference elevation (ElDS) includes:
• For unsupported flow (free-flow conditions), use centerline elevation

of downstream exit.
• For support flow where tailwater is at or below centerline elevation of

downstream exit, use crown (top) elevation of downstream exit.
• For support flow where tailwater is between centerline and top of

downstream exit, use crown (top) elevation of downstream exit.
• Where tailwater exceeds downstream crown (top) elevation of exit,

use tailwater surface elevation.
zDS could vary with discharge, so some iteration may be needed to estimate
the discharge (Q2) for a given total head (H2) (i.e., tailwater surface for
500 ft3/s versus 1,000 ft3/s could be very different). Also, a key factor in
estimating the discharge capacity of pressure flow conditions is estimating
the head losses (hL).
Step 3 (Initial Since pipe control conditions are typically the majority of an outlet works
Composite discharge curve (applies to most of the RWS range) and will come into play
Discharge on a regular basis, care must be taken in developing the step 2 estimate,
Curve) which is in combination with crest and/or pipe flow conditions estimates, to
construct a combined discharge curve for the entire range of RWS (see
tables 4.6.1.5-1 and 4.6.1.5-3).
Step 4 (Initial If the outlet works will pass flood events, route floods (hydrographs) to
Flood determine the maximum RWS (see Section 4.6.2, “Flood Routing,” in this
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Pipe Control Conditions
Step 5 (Refine If results from step 4 are sensitive (small changes in discharge estimates
Coefficient of associated with pipe control conditions could appreciably change flood
Discharge) routing and/or reservoir evacuation and first filling results), refine total head
estimates (H1) by employing finite volume analysis (such as FLOW3D) or
physical models. Also, additional details can be found in Chapter 5,
“Hydraulic Considerations for Spillways and Outlet Works,” of this design
standard.
Step 6 Re-estimate combined discharge curve (with crest and/or orifice flow
(Revise Flood conditions estimates) for the entire range of RWS (see tables 4.6.1.5-1 and
and/or filling studies (see Section 4.6.3, “Reservoir Evacuation and First Filling,” in
Evacuation) this chapter for more details).
4.6.1.6 Existing Outlet Works

For existing outlet works that are part of Reclamation’s inventory of dams,
discharge capacities have been determined and are typically well defined. The
primary source for current (official) outlet works discharge capacities information
is the SOP for a given dam. The discharge capacities found in the SOP represent
existing operating conditions and will typically provide adequate information
unless operational and/or physical changes are being considered, such as raising
the normal or flood-induced maximum RWS, or modifying or replacing features
of the existing outlet works. In these cases, the existing discharge capacity should
be re-evaluated and (if needed) re-estimated. Another source for existing outlet
works discharge capacities are physical (hydraulic) model study reports, which
are available for many Reclamation facilities. Also, actual flow measurements
from river gages, flowmeters, or other measuring devices can be used to verify
existing discharge curves or to develop discharge curves. General analytical
procedures for evaluating and estimating the discharge capacity have been
previously noted. Finally, details on reevaluating and re-estimating the discharge
capacity are further addressed in Chapter 5, “Hydraulic Considerations for
For existing outlet works that are not part of Reclamation’s inventory, discharge
capacity information may not always be available. If this is the case, estimates
will be developed using either analytical methods or physical models. General
procedures for evaluating and estimating the discharge capacity have been
previously noted. Details on evaluating and estimating the discharge capacity are
further addressed in Chapter 5, “Hydraulic Considerations for Spillways and
Outlet Works,” of this design standard.
4.6.1.7 New Outlet Works

For new outlet works, discharge capacity estimates will be developed using either
analytical methods or physical models. The hydraulic control(s) for the new
outlet works is first determined, and then discharge capacities are estimated.
DS-14(4) July 2021 4-73

General procedures for evaluating and estimating the discharge capacity are
previously noted. Details on evaluating and estimating the discharge capacity are
further addressed in Chapter 5, “Hydraulic Considerations for Spillways and
Outlet Works” of this design standard.
4.6.2 Flood Routing

Flood routing involving outlet works will only apply to those situations where the
outlet works will be used during floods, typically in combination with other
hydraulic structures such as spillways. Reservoir flood routings are typically
based on one-dimensional level pool conditions (sometimes referred to as static
flood routings), where the change in reservoir storage is the difference between
inflow and outflow during a given time interval. Key considerations for preparing
a flood routing are discussed below.
4.6.2.1 Current Data

For an existing dam, the source for current data is usually the SOP. However,
data may need to be collected, created, and/or extended if current data are not
available. For a new dam, data will be collected and/or developed. These data
include:
• Reservoir storage (acre-feet) versus reservoir elevation (feet) portrayed

as a curve or in tabular form. If reservoir storage data and/or existing
topography are not sufficient, an acceptable method of extending
(extrapolating) reservoir storage is by assuming a linear (straight-line)
extension of the reservoir surface area curve to higher elevations. The
incremental reservoir storage can be estimated by using the prismoidal
equation18 for a given depth bounded by two RWS and the reservoir surface
areas associated with these RWS. For existing reservoirs, sediment
accumulation may affect available reservoir storage that, in turn, could
affect flood routing results.
• Reservoir operations, which could influence when and how hydraulic

structures releases are made.
18
Prismoidal equation - ∆VOL=(∆H/6)x(A1+A2+4xAM), where: ∆VOL is incremental storage
(acre-feet); ∆H is depth between two RWS elevations (feet); A1 and A2 are the reservoir surface
areas which bound the incremental depth (acres); and AM is the reservoir surface area associated
with the midpoint RWS within the incremental depth (acres). Note: The average end area method
for estimating volume, ∆VOL=(∆H/2)x(A1+A2), should only be used when a prismoid varies in
only one direction (like a wedge). If the prismoid varies in two or three directions (such as a
pyramid), the average end area method will either underestimate or overestimate the correct
volume and should not be used (an example of this is a truncated pyramid shape or frustum that
defines splitter walls in a segmented fuseplug spillway control structure – the walls slope in two
directions).
4-74 DS-14(4) July 2021

• Discharge capacity for each appurtenant structure (including dam crest

for overtopping conditions), which will be involved in routing the hydrograph
(see Section 4.6.1, “Discharge Capacity,” in this chapter for more details).
4.6.2.2 Starting RWS

The starting RWS elevation is perhaps the most sensitive variable that can be
adjusted in a flood routing. General guidelines include:
• For reservoirs without flood control (refer to the SOP for any specific
requirements for an existing dam). If not noted in the SOP for an existing
dam or if dealing with a new dam, the maximum starting RWS will usually be
the maximum normal conditions, typically the top of active conservation.
Please note that although the maximum normal RWS is typically assumed for
design purposes, a range of starting RWS will need to be evaluated when
dealing with quantitative risk analysis.
• For reservoirs with flood control (again, refer to the SOP for any specific
requirements for an existing dam). If not noted in the SOP for an existing
dam or if dealing with a new dam, the maximum flood control reservation
RWS (RWS typically less than the maximum normal conditions, which
provides additional flood storage space in the reservoir) will be used as
a minimum, and the maximum normal conditions (the top of active
conservation and/or top of joint use) will be used as a maximum. As
previously noted, a range of starting RWS will need to be evaluated for
quantitative risk analysis.
4.6.2.3 Starting Time

The starting time for routing a hydrograph can change the resulting maximum RWS
and the appurtenant structures discharge. General guidelines are summarized in the
following bullets:
• For reservoirs without flood control and hydrographs without

antecedent flood conditions (i.e., inflow is greater than base flow
conditions). The starting RWS is maintained until inflow exceeds the
discharge capacity of the appurtenant structures (typically referred to as
“outflow equals inflow”).
• For reservoirs without flood control and hydrographs with antecedent

flood conditions. The starting time is usually set at the beginning of the
flood event (typically referred to as “time equals zero”).
• For reservoirs with flood control and hydrographs with or without

antecedent flood conditions. Outflow is restricted to conform with flood
damage reduction requirements up to a specified RWS or a range of RWS
(i.e., rule curves), above which there are typically no discharge restrictions.
DS-14(4) July 2021 4-75

4.6.2.4 Time Increments

To ensure that the maximum RWS elevation and/or maximum appurtenant
structure discharges are determined, use 1-hour (or smaller) time increments
before and after the maximum RWS is reached (Note: This may require multiple
routings to identify the timeframe when the maximum RWS occurs, then refining
time increments during this timeframe, possibly in the range of 3 to 6 hours
before and after the maximum RWS occurs). Time increments as small as
15 minutes may be needed for short duration hydrographs such as a thunderstorm
event. The intent is to determine when outflow equals inflow at the maximum
RWS, and when outflow exceeds inflow as the reservoir is drawn down.
4.6.2.5 Complete Routings

All flood routings should be run until the RWS elevation recedes to the starting
RWS or has reached a steady-state condition (i.e., does not continue to recede due
to outflow equals inflow). This can provide durations for the outlet works and
other hydraulic structure operation and/or dam overtopping, which is used for
assessment purposes (such as evaluating adverse hydraulic potential and/or
identifying flow surface tolerances). It should be highlighted for hydrographs
with multiple peaks, ensure the routings extend past the last peak.
4.6.2.6 Robustness (Freeboard) Study

As discussed in Chapter 2, “Hydrologic Considerations,” of this design standard,
uncertainties are evaluated and addressed by a robustness study. These
uncertainties may be related to the method of estimating floods, reservoir and dam
operations, gated spillway or outlet works misoperations, reduction of spillway or
outlet works discharge capacity due to debris and other mechanisms, and future
events associated with upstream and downstream developments. To account for
these uncertainties, plausible “what-if” scenarios are evaluated by simulating the
what-if conditions in the flood routings. These scenarios could create elevated
maximum RWS above the design maximum RWS, which will be used to establish
freeboard requirements for either an existing or a new dam. See Chapter 2,
“Hydrologic Considerations,” of this design standard for the robustness
(freeboard) study details and examples.
4.6.3 Reservoir Evacuation and First Filling

Important considerations for storage and multipurpose dams include the ability to
evacuate (lower or drain) the reservoir in a timely manner and control first filling
rates of a reservoir. For the most part, the key hydraulic structure used to lower
the reservoir in a timely manner or control the rise of the reservoir is the outlet
works; however, all hydraulic structures, including the outlet works, gated
spillways, and power penstocks, could be employed to control the reservoir [28].
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It should be highlighted that a reservoir evacuation study is typically associated

with an emergency situation. Generally speaking, an emergency situation could
initiate rapid lowering of the reservoir.19 Care must be exercised with the rate of
lowering the reservoir due to potential damage or failure of an appurtenant
structure (adverse hydraulics), dam (slope failure), or reservoir rim (landslide).
Because it is important to fully understand the dam facilities’ ability to evacuate

the reservoir and control first filling, appropriate documentation should be
available in Reclamation’s inventory for all existing storage and multipurpose
dams. Additionally, an evaluation and documentation should be prepared as part
of any design to modify existing dams or construct new dams. First filling
guidelines should be completed before initial filling of the reservoir begins.
Typically, they are issued as a separate document and may also be included in the
Designers’ Operating Criteria (DOC) and SOP. See Appendix C, “First Filling
Guidelines,” for more details.
Reservoir evacuation and first filling studies use similar steps as previously noted
for flood routing. The following sections summarize key considerations for
preparing reservoir evacuation and/or first filling studies.
4.6.3.1 Current Data

For an existing dam, the best source for current data is usually the SOP; however,
data may need to be collected, created, and/or extended if current data are not
available. For a new dam, data will be collected and/or developed. These data
include:
• Reservoir storage (acre-feet) versus reservoir elevation (feet) portrayed

as a curve or in tabular form.
• Reservoir operations, which could influence when and how hydraulic

structures releases are made.
• Discharge capacity for each appurtenant structure, which will be

involved in evacuation and/or first filling operations (see Section 4.6.1,
“Discharge Capacity,” in this chapter for more details). All waterway
release facilities should be considered available for evacuation to the extent
that their reliability in an emergency situation can be reasonably certain.
For example, the use of canal outlet works and powerplants for evacuation
may be limited; (see Assistance Commissioner - Engineering and Research
(ACER) Technical Memorandum No. 3 [28]).
19
As an example, in 1967, a potential internal erosion failure of Reclamation’s Fontenelle Dam
(embankment) was averted by the rapid lowering (evacuation) of the reservoir by the outlet works.
DS-14(4) July 2021 4-77

4.6.3.2 Starting RWS

For reservoir evacuation studies, as with flood routings, the starting RWS
elevation is perhaps the most sensitive variable. One of the following three RWS
elevations should be selected to determine reservoir evacuation requirements:
• Top of joint use capacity. If a reservoir has a flood control requirement, a

RWS associated with the top of joint use capacity may have been
established and would be considered the maximum normal condition.
• Top of active conservation capacity. If a reservoir does not have a flood

control requirement (joint use storage or exclusive flood control), the RWS
associated with the top of active conservation capacity would be considered
the maximum normal condition.
• Other RWS elevations. Some RWS other than the top of joint use
capacity or the top of active conservation capacity can be considered if
current reservoir operations (for an existing dam) or planned reservoir
operations (for a new dam) indicate that another RWS is more appropriate.
Several examples include the following:
o An existing reservoir has never filled over an extended period of

time. In this case, the historical maximum RWS or higher may be
an appropriate starting RWS. Since seepage, which might lead to
internal erosion, may not be observed until first filling occurs
(i.e., exceeding historical maximum RWS), there may be an
elevated risk of failure potential as the reservoir reaches and
exceeds the historical maximum RWS. It is at this time that
reservoir evacuation capabilities may be critical.
o For an existing or new dam that is intended to store most of a flood

event with limited or no releases during the flood event, the RWS
associated with part or all of the exclusive flood control or flood
surcharge may be an appropriate starting RWS.
For first filling studies, the starting RWS will vary, depending on the site-specific
conditions. Some of the considerations will include:
• Existing dams. First filling conditions will exist for RWSs that exceed the
maximum historical RWS. Filling rates will be unique for a given dam and
may vary from lower to upper reservoir elevation ranges. A normal or
common rate might be 1 foot per day (ft/d), with ranges of less than 1 to
3 ft/d for embankment dams. A normal or common rate of 10 ft/d is not
excessive for concrete dams on competent rock foundations. Also,
intermediate “holds” on (or stoppage of) reservoir filling may be
incorporated into the first filling requirements. These “holds” provide
4-78 DS-14(4) July 2021

time windows to monitor dam conditions and, if needed, revise filling rates.
In particular, ample time must be provided to issue, and for the public to
heed, warnings in the event that problems develop. See Appendix C, “First
Filling Guidelines,” for more details.
• New and modified dams. First filling conditions will be established prior
to completing construction. As noted for existing dams, filling rates will
be unique for a given dam and may vary from lower to upper reservoir
elevation ranges. The filling rates for new or modified dams would be
similar to the rates for existing dams, along with appropriate “holds.” See
Appendix C for more details.
4.6.3.3 Hydrology
Reservoir inflows for the period of evacuation or first filling are based on
streamflow records for the reservoir (existing) or for a given dam site (new).
• Reservoir evacuation. Before a reservoir evacuation study can take place,

the baseflow must be defined. The inflow will be the largest consecutive
mean monthly streamflows for the reservoir evacuation period. The
following steps are followed when estimating base flows and conducting
evacuation studies:
o Obtain mean monthly inflows (ft3/s) for the site. Sources for mean
monthly inflows include the U.S. Geological Survey’s (USGS)
Surface-Water Data for the Nation and historic reservoir operations
data.
o Make an initial estimate of the required evacuation period based on

reservoir storage to be evacuated and the discharge capacity of the
waterways. An initial estimate of 3 to 4 months is typical.
o Develop an inflow hydrograph of the highest consecutive mean

monthly inflows, which is equal to the estimated time of the
evacuation made in the previous bullet.
o Select an initial RWS and perform an evacuation flood routing to

determine the evacuation time.
o Compare the computed evacuation time (from the evacuation flood

routing) to the estimated duration of the inflow hydrograph.
o If the computed evacuation time is greater than the estimated inflow

hydrograph, add 1 additional month to the hydrograph and rerun the
evacuation flood routing. Continue this process until the computed
evacuation time is within the estimated inflow hydrograph.
DS-14(4) July 2021 4-79

o After the evacuation time for the selected initial RWS has been
determined, a parametric assessment can be made to determine how
sensitive the evacuation time versus RWS elevation is for extended
inflow hydrographs. This assessment is done by varying the initial
RWS and varying the starting month of the hydrograph. Earlier
starting months will require adding 1 month of average inflows at the
beginning of the hydrograph. Later starting months may require
adding 1 month of average inflows at the end of the hydrograph. If
similar evacuation times for associated RWSs are achieved, no further
action is needed; however, if there are significant increases in the
evacuation time required to reach target RWSs, further evaluation may
be warranted to assess what impacts (if any) may result from the
increased evacuation times.
o Example:
▪ Initial evacuation time estimated to be 4 months based on

dividing the storage (acre-feet) to be evacuated by the
average discharge capacity (ft3/s) associated with the
hydraulic head that bounds the storage to be evacuated and
adding 1 month to account for inflows.
▪ The inflow hydrograph for the initial estimated 4-month

period (using the highest consecutive mean monthly inflows)
is based on February, March, April, and May, with mean
monthly inflows of 5,400 ft3/s, 7,100 ft3/s, 8,900 ft3/s, and
6,900 ft3/s, respectively. The hydrograph would be defined
as 5,400 ft3/s during the first 28 days, 7,100 ft3/s during the
next 31 days, 8,900 ft3/s during the next 30 days, and 6,900
ft3/s during the final 31 days.
▪ Evacuation flood routing results indicate that it will require

more than 4 months to evacuate the reservoir using the
estimated inflow hydrograph and the selected initial RWS.
▪ Inflow hydrograph expanded to 5 months by including the

June mean monthly inflow of 5,100 ft3/s over 30 additional
days and new routings performed. The mean monthly inflow
for June was greater than the mean monthly inflow for
January. New evacuation routings indicate evacuations times
do not exceed 5 months.
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▪ Parametric routings show that evacuation times for starting

the hydrograph at the beginning of January or at the
beginning of March do not exceed evacuation times for
starting the evacuation at the beginning of February.
Additional parametric routings using different initial RWS
elevations also show minimal effect in evacuation times.
• First filling. The inflow will be the combination of base flow (mean monthly
streamflows for the anticipated filling period – see “Reservoir Evacuation”
bullet, above, for details) and a frequency flood. The frequency flood will be
selected so that total risks during first filling are at acceptable levels. The
process for selecting the frequency flood for first filling is very similar to the
process for selecting construction diversion floods. For more information, see
Chapter 2, “Hydrologic Considerations,” of this design standard. If there are
no risk considerations, the minimum frequency flood can be based on five
times the length of the filling period with a minimum return period of 5 years.
As an example, a large reservoir requiring 5 years to fill might require outlet
works sized to pass the 25-year flood, in addition to the mean inflow.
4.6.3.4 Reservoir Evacuation Risk and Hazard Classifications

Acceptable reservoir evacuation guidelines are based on the site-specific level of
risk and downstream hazard potential. It should be highlighted that risk associated
with reservoir evacuation relies on previous risk analyses (possibly updated) for
existing high hazard dams and current risk analyses for new high hazard dams.
High risk would be associated with Reclamation’s Public Protection Guidelines
threshold values for increasing justification to take action to reduce or better define
risk [29]. In almost all cases, this would be a temporary condition because
Reclamation would take action to reduce risk to below the threshold levels.
Significant risk would be associated with risks which were below but near the
Public Protection Guideline threshold values. These risks may or may not be
temporary, depending on the dam safety decisions that were made. Low risk would
be associated with risks that were well below (at least an order of magnitude below)
the Public Protection Guideline threshold values [29]. For a high hazard dam, an
overall risk analysis should be prepared or updated in accordance with
Section 4.3.2.2, “Procedure,” of this chapter.
Risk is evaluated in more general terms for significant and low hazard dams. In
these cases, risk is a general subjective representation of the likelihood of the
occurrence of adverse events. Table 4.6.3.4-1 provides considerations to assist in
estimating the risk as low, significant, or high for significant and low hazard dams.
Defining significant risk is subjective without the benefit of a risk analysis. The
factors in table 4.6.3.4-1 should be considered, and if there are not compelling
factors in either the higher risk or lower risk set of factors, a significant risk
categorization may be appropriate.
DS-14(4) July 2021 4-81

Table 4.6.3.4-1. Reservoir Evacuation Risk Considerations for Significant and Low
Hazard Dams
Hydrologic Factors
Higher Risk Factors Lower Risk Factors
• High possibility of hurricanes or flash • Uncontrolled spillway
floods • Low ratio of flood to storage
• Gated spillway volumes in the reservoir
• High ratio of flood to storage volumes
in the reservoir
Geologic/Geotechnical Factors
• High seismicity at site • Low seismicity at site
• Active faults in or near a dam • No active faults in or near dam
foundation foundation
• Possibility of foundation • Massive competent rock
displacement during a major foundation
earthquake • Good defensive design measures
• High potential for rock solutioning against internal erosion.
• High potential for foundation
liquefaction
• High potential for internal erosion
Structural Factors
• Severe deterioration of structural • Concrete structures in good
members condition
Operating Factors
• Remote site and dam visited • Well trained and experienced
infrequently operating personnel
• Reliable backup power
The downstream hazard classifications of low, significant, and high are based on
the probable loss of human life and the impacts on economic, environmental, and
lifeline consequences20 in the event of a dam failure and uncontrolled release of
the reservoir. The downstream hazard classification levels build on each other
(i.e., the higher order classification levels add to the list of consequences for the
lower classification levels) [30]. For more details about the downstream hazard
classifications, see Chapter 2, “Hydrologic Considerations,” of this design
standard.
20
Lifeline consequences include loss of communication and power, water and sewer services,
and food supply.
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4.6.3.5 Reservoir Evacuation Rates

In general, for storage and/or multipurpose dams, release capabilities should be
sufficient to draw down the reservoir, within a period of 1 to 4 months, to the
lower of the following levels:
• A RWS commensurate with a storage capacity (acre-feet) that is 10 percent

of the reservoir storage capacity at the start of the evacuation
• A RWS which is less than 50 percent of the hydraulic height21 of the dam
In addition to these general guidelines, site-specific guidelines should be

evaluated and are summarized in table 4.6.3.5-1. These site-specific guidelines
determine emergency evacuation time (in days) associated with a given
evacuation stage (reservoir depth or volume) and levels of risk and downstream
hazard. These guidelines are based on Reclamation’s experience, which reflects
a reasonable balance between risks, hazards, and costs. The guidelines are
considered conservative and may be adjusted to take into account site-specific
conditions. Although it is desirable for a reservoir to meet the evacuation time
requirements for all four stages noted in table 4.6.3.5-1, intake elevations of
release facilities (such as the sill elevation of a river outlet works) may limit
evacuation to RWS levels above some stage elevations. Consequently, the values
provided for the various stages should be used only when it is physically possible
to lower the reservoir to the associated elevations.
Table 4.6.3.5-1. Reservoir Evacuation Guidelines for Storage and/or Multipurpose Dams, Days
Signif-
High icant Signif- Low
High Hazard, High Signif- Hazard, icant Low Hazard, Low
Hazard, Signif- Hazard, icant Signif- Hazard, Hazard, Signif- Hazard,
Evacuation High icant Low Hazard, icant Low High icant Low
Stage Risk Risk Risk High Risk Risk Risk Risk Risk Risk
75% height1 10-20 20-30 30-40 20-30 30-40 40-50 40-50 50-60 60-90
50% height1 30-40 40-50 50-60 40-50 50-60 60-70 60-70 70-90 90-120
10% storage2 40-50 50-60 60-70 50-60 60-70 70-80 70-80 80-120 120-160
25% height1 60-80 70-90 80-100 70-90 80-100 90-110 90-110 100-160 150-220
1 Height is hydraulic height, which is always measured from the streambed to the maximum controllable RWS (typically,
top of active conservation or top of joint use).
2 Reservoir storage between the top of dead storage and the initial (normal) RWS. This note is intended to resolve a
conflict found in Assistant Commissioner – Engineering and Research (ACER) Technical Memorandum No. 3, “Criteria
and Guidelines for Evacuating Storage Reservoirs and Sizing Low-Level Outlet Works” [28], which indicates dead storage
should not be considered (table 1 in reference) and also indicates storage between the original streambed and the initial
RWS should be used (table 4 in the reference).
21
Hydraulic height is defined as the difference between the lowest point in the original
streambed at the dam axis or centerline and the maximum controllable RWS (typically top of joint
use or top of active conservation).
DS-14(4) July 2021 4-83

4.6.3.6 Deviation from Reservoir Evacuation and First Filling

Guidelines
The previously noted guidelines should apply to the majority of storage and
multipurpose dams; however, it may be impractical to provide sufficient release
capacity to meet the guidelines for reservoir evacuation and/or first filling. As an
example, some reservoirs may be too large (volume) with small release capacity
to meet reservoir evacuation guidelines. Another example might be a very small
reservoir where the release capacity is insufficient to limit RWS rise during first
filling. For either an existing dam or new dam, if the evacuation guideline
timeframes or first filling criteria cannot be met, appropriate documentation
should be prepared.
When evaluating evacuation capacity at a high hazard dam using the guidelines
outlined in table 4.6.3.5-1, consideration should also be given to the dominant
PFMs for the dam being considered. If the dominant PFMs are slow developing
PFMs (such as Internal Erosion PFMs, in which the embankment or foundation
materials being eroded are somewhat erosion resistant), lowering the reservoir
may be very influential in preventing this type of PFM from fully developing. If
the dominant PFMs are likely to develop rapidly (such as a PFM related to
liquefaction of foundation materials, leading to significant lowering of the dam
crest and overtopping of the lowered crest, resulting in a breach of the dam),
evacuation capability may have little impact on the ability to slow down or stop
the progression of the PFM. Consideration of the site-specific risks can provide
additional justification to either pursue improvement of evacuation capability or
to not take additional action.
• For new dams. Either a technical memorandum (TM) or decision

memorandum (DM) should document the following:
o The rate of RWS rise during first filling period using the maximum
discharge capacity of the proposed hydraulic structures (outlet
works, spillways, power penstocks, etc.), which will be used to
control the reservoir.
o The evacuation period resulting from using the maximum

drawdown capabilities of the proposed hydraulic structures, which
will be used to lower the reservoir.
o Reservoir levels and corresponding storage volume at the end of the

reservoir evacuation stages specified by table 4.6.3.5-1.
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o Estimates of the size and cost of the outlet works and other
hydraulic structures needed to meet the guidelines. If the cost
cannot be justified, alternative operational plans or other actions
may need to be considered.
• For existing dams. Either a TM or DM should document the following:
o Reliability and present conditions of the dam and hydraulic

structures, plus any other items that may limit evacuation such as:
(1) the condition of the reservoir relative to the slope stability of the
reservoir rim, (2) the stability of accumulated silt around an intake
structure during rapid drawdown, and (3) any release restrictions in
the downstream channel.
o If first filling has not occurred, the rate of RWS rise during first
filling period using the maximum discharge capacity of the existing
hydraulic structures (outlet works, spillways, power penstocks, etc.),
which will be used to control the reservoir.
o The evacuation period resulting from using the maximum

drawdown capabilities of the existing hydraulic structures, which
will be used to lower the reservoir.
o Reservoir levels and corresponding storage volume at the end of the

reservoir evacuation periods specified by the guidelines.
Estimate the modifications (size and cost) of the outlet works and other hydraulic
structures needed to meet the guidelines. Unless modifications can be
accomplished at relatively little expense, existing structures will typically not be
modified for the sole purpose of meeting reservoir evacuation and/or first filling
guidelines; however, when future modifications are proposed to the dam and/or
hydraulic structures with inadequate release capacities, the design shall consider
increased release capacities to the extent that it can be achieved at a reasonable
incremental cost increase.
4.6.4 Other Hydraulics

The previous sections are focused on estimating the discharge capacity of an
outlet works. To further define, evaluate, and design outlet works, additional
hydraulic considerations come into play. These additional hydraulic
considerations are grouped to specific features of the outlet works, such as intake
structures, conveyance features, control structures, and terminal structures.
DS-14(4) July 2021 4-85

4.6.4.1 Intake Structures Hydraulics

Intake structures are located within the reservoir at a level that will result in
sufficient hydraulic head to meet discharge requirements, as well as meeting
any water quality and temperature requirements. As previously noted in
Section 4.5.2.2.2, “Intake Structure,” of this chapter, there are different types of
intake structures, but there are some common hydraulic considerations that apply
to most of them, which deal with flow passing from the reservoir and through the
intake structure. These considerations are discussed in the following sections,
which include:
• Trashracks. See section 4.6.4.1.1 of this chapter.

• Entrances. See section 4.6.4.1.2 of this chapter.
• Vertical curvature. See section 4.6.4.1.3 of this chapter.
4.6.4.1.1 Trashracks
With few exceptions, an intake structure will include trashracks, which are needed
to prevent debris from entering the intake structure with the flow, leading to
possible plugging, or at least diminished discharge capacity. Initial sizing is
based on a general consideration that the net surface area of the trashrack
(openings) should be sufficient to limit average flow velocities to 1 to 2 ft/s for
normal operations and 5 to 6 ft/s for flood or emergency operations. The size or
gross (surface) area of the trashracks can be estimated by multiplying the net area
by 1.25. For more details, see Chapter 5, “Hydraulic Considerations for
4.6.4.1.2 Entrances
To minimize head losses and cavitation potential, the entrance to an intake
structure should be streamlined to provide smooth, gradual changes in the flow.
A bellmouth (elliptical) entrance that conforms to, or slightly encroaches upon,
the free-jet profile (nappe-shape of an unsupported water jet) is the preferred
entrance shape [5].
• Circular entrance. The bellmouth shape can be approximated by:
x2 y2 for horizontal entrance (for vertical

1= +
(0.5D) 2 (0.15 D) 2 entrance-reverse coordinates)
Where: x is the coordinate whose x-x axis is parallel to and 0.65D

from the entrance centerline (ft).
y is the coordinate whose y-y axis is normal (perpendicular)
to the entrance centerline and 0.5D from the
entrance face (ft).
D is the diameter of the conduit or tunnel at the
downstream end of the entrance (ft).
4-86 DS-14(4) July 2021

• Square or rectangular entrance. The bellmouth shape for the top, bottom,
and side contractions can be approximated by:
x2 y2 for horizontal entrance (for vertical

1= +
D 2 (0.33D) 2 entrance-reverse coordinates)
Where: x is the coordinate whose x-x axis is parallel

to and 0.65D from the entrance centerline (ft).
entrance face (ft).
D is the vertical height of the conduit or tunnel at the
downstream end of the entrance for the top and
bottom curves and is the horizontal width of the
conduit or tunnel at the downstream end of the
entrance for the side curves (ft).
• Square or rectangular entrance with bottom level with upstream floor.

The bellmouth shape for the top will need to accommodate a sharper
contraction, while the sides and bottom contractions will be suppressed.
The bellmouth shape for the top can be approximated by:
x2 y2
1= + for horizontal entrance
D 2 (0.67 D) 2
Where: x is the coordinate whose x-x axis is parallel

to and 0.65D from the entrance centerline (ft).
entrance face (ft).
D is the vertical height of the conduit or tunnel at the
downstream end of the entrance for the top and
bottom curve (ft).
For an illustration of a bellmouth entrance, see figure 4.6.4.1.2-1.
Figure 4.6.4.1.2-1. Bellmouth flow surface.
DS-14(4) July 2021 4-87

4.6.4.1.3 Vertical Curvature

For some intake structures, such as the drop inlet, a vertical bend (curvature) will
be part of the conveyance feature within the intake structure. The vertical bends
should be defined by a radius (r) along the centerline of the conveyance feature
within the intake structure, where the radius is typically equal to 1.5 to 2 times the
wetted diameter of the conveyance features. Note: For noncircular conveyance
feature shapes, use equivalent diameter.22
4.6.4.2 Conveyance Features Hydraulics

Conveyance features located immediately upstream of an outlet works intake
structure and downstream of an outlet works intake structure include approach
channels, chutes, conduits, and/or tunnels. These conveyance features pass flow
from the reservoir to and through the intake structures, as well as pass flow from
the intake structure to the terminal structure. The conveyance feature (such as an
approach channel) located immediately upstream of the intake structure is
generally of less concern in terms of significant loading conditions that could lead
to damage or failure of this feature, resulting in an uncontrolled release of the
reservoir. However, it should be noted that (hydraulic) head losses associated
with the approach channel should be accounted for in the computation of the
discharge capacity of an outlet works. As a general guideline, the maximum
average velocity in the approach channel should be less than or equal to
maximum velocity through the intake structure trashracks (for more information,
see Section 4.6.4.1.1, “Trashracks,” of this chapter).
The conveyance features (such as a chute, conduit, or tunnel) located immediately

downstream of the intake structure are more likely to be subject to significant
loading conditions (such as large flows and high velocities) that could potentially
lead to damage or failure of this feature. Therefore, the focus of the following
text is on the downstream conveyance feature. There are a number of hydraulic
considerations that should be evaluated, as described in the following sections.
These hydraulic considerations include:
• Transitions. See section 4.6.4.2.1 of this chapter.
• Cavitation potential. See section 4.6.4.2.2 of this chapter.
• Freeboard for conveyance features. See section 4.6.4.2.3 of this

chapter.
22
Equivalent diameter is defined as four times the hydraulic radius (R) of the noncircular
shape. For more details, see Chapter 5, “Hydraulic Considerations for Spillways and Outlet
Works,” of this design standard.
4-88 DS-14(4) July 2021

• Vertical curvature, horizontal curvature, and superelevation. See

section 4.6.4.2.4 of this chapter.
• Stagnation pressure. See section 4.6.4.2.5 of this chapter.
4.6.4.2.1 Transitions
The entrance and exit transition shapes are important to evaluate in terms of
minimizing adverse hydraulic conditions.
• Contractions and expansion. To minimize head losses and cavitation

potential, the contractions and expansions in pressurized or unpressurized
conduits or tunnels should be gradual [5]. For more information about
contractions and expansions in an unpressurized conduit or tunnel (open
channel flow), see Chapter 3, “General Spillway Design Considerations,” of
this design standard.
o Contractions. For a pressurized condition, the maximum

converging angle should not exceed the value estimated from the
following equation:
1
tan  =
U
Where: α is the angle of the conduit wall surface

with respect to its centerline (degrees).
U is a dimensionless parameter defined as
VAVG /(gDAVG)½.
VAVG is the average of the velocities at the beginning
and end of the contraction (ft/s).
DAVG is the average diameter (for circular section)
or average equivalent diameter (for square
or rectangular section) at the beginning and
end of the transition (ft). For a definition of
equivalent diameter, see Section 4.6.4.1.3,
“Vertical curvature,” of this chapter.
o Expansions. For a pressurized condition, the maximum diverging

angle should not exceed the value estimated from the following
equation:
DS-14(4) July 2021 4-89

1
tan  =
2U
Where: α is the angle of the conduit wall surface

with respect to its centerline (degrees).
U is a dimensionless parameter defined as
VAVG /(gDAVG)½.
VAVG is the average of the velocities at the beginning
and end of the transition (ft/s).
DAVG is the average diameter (for circular section)
or average equivalent diameter (for square
or rectangular section) at the beginning and
end of the transition (ft).
• Combining and dividing conveyance features. It is not uncommon for

conveyance features to be merged (combined) into one conveyance feature
or divided (separated) into multiple conveyance features. An example is the
bifurcation (dividing one into two) of a pressure conveyance feature
immediately upstream of gates/valves. This might be done to provide
more flexibility with releasing a larger range of flows and/or limiting the
conveyance feature size to use available or feasible gate/valve sizes.
Another advantage of a bifurcation in an outlet works is that if each
downstream conduit has its own gate/valve arrangement (guard/emergency
and regulating gates/valves), one conduit can be shut down (close
guard/emergency gate/valve) for inspection or maintenance without
unwatering the entire outlet works. Reclamation typically sizes the
downstream wetted area(s) to be less than or equal to the upstream wetted
area(s) of combined or divided conveyance features. However, for a
pressurized system where gates/valves are located downstream of the
combined or divided conveyance feature, hydraulic control will be
maintained at a gate/valve (i.e., wetted area of the gate/valve will be smaller
than the upstream wetted area of the conveyance feature), so it is not critical
that the downstream wetted area(s) of the conveyance feature be equal to or
less than the upstream wetted area(s) of the conveyance feature.
4.6.4.2.2 Cavitation Potential

Damage and/or failure of outlet works have resulted, and can result, from
cavitation23 (see figures 4.6.4.2.2-1 and 4.6.4.2.2-2). A case study includes
23
Cavitation is defined as the formation of bubbles or voids in low pressure zones within a
liquid (outlet works releases) due to flow surface irregularities and/or changes in flow surface
geometry. The bubbles or voids pass into downstream higher pressure zones, rapidly collapse, and
issue high pressure shock waves. If the collapsing bubbles or voids are near a flow surface, high
frequency impacts occur, which result in fatigue and erosion of flow surface materials [31].
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Figure 4.6.4.2.2-1. Cavitation simulation: (left) cavitation created in Reclamation’s low

ambient pressure chamber; (right) cavitation damage noted after the test.
Figure 4.6.4.2.2-2. Cavitation damage occurred during operation of sluiceways at Folsom Dam, California.
Root cause was determined to be inadequate aeration of flow immediately downstream of regulating gates.
Remedial action included aeration slots and increased air supply downstream of regulating gates.
DS-14(4) July 2021 4-91

Folsom Dam sluice outlet works. Because of Reclamation’s past experiences,

considerable research and development have been undertaken to the point that
most hydraulic analyses and designs of outlet works will include evaluation of
cavitation potential and subsequent mitigation, if needed. Evaluation of cavitation
potential is based on estimating the cavitation index (σ), which is a function of
pressure and velocity [9, 31]:
p − pv
= (cavitation index equation)
V 2
2
Where: σ is the cavitation index.

p is the pressure at the flow surface (atmospheric pressure plus
hydrostatic pressure) (lb/ft2).
pv is the vapor pressure of water (typical value is 25.65 lb/ft2 at
50 oF) (lb/ft2).
ρ is the density of water which is temperature dependent (typical
value is 62.4 lb/ft3 at 50 oF) (lb/ft3).
V is the average flow velocity (ft/s).
General relationships between the cavitation indices and surface tolerances or

roughnesses (TS)24 are summarized in Section 4.8.5.3, “Tolerances,” of this
chapter. As part of the standard step water surface profile analyses, cavitation
indices profiles are estimated along the length of the conveyance feature. Details
on evaluating and estimating cavitation potential are further addressed in
Chapter 5, “Hydraulic Considerations for Spillways and Outlet Works,” of this
design standard.
4.6.4.2.3 Freeboard for Conveyance Features

In this case, freeboard is defined as the difference (in feet) between the water
surface and the top of the walls of the chute or crown of the conduit or tunnel.
Standard step water surface profile analyses are made to determine depth of flow
and average velocity along the length of the conveyance feature. Details on
evaluating and estimating freeboard for conveyance features are further addressed
in Chapter 5, “Hydraulic Considerations for Outlet Works and Outlet Works,” of
this design standard. There are a number of cases associated with outlet works
where freeboard should be evaluated, including:
24
Surface roughnesses or tolerances (TS) are defined by an offset (isolated abrupt surface
irregularities where the dimension of the irregularity perpendicular to the flow is large relative to
its dimension parallel with the flow) and slope (variations caused by surface irregularities where
the dimension parallel with the flow is large relative to the variation perpendicular to the flow)
[31].
4-92 DS-14(4) July 2021

• For existing and new outlet works conduits and tunnels that are
designed to remain in free flow conditions. The wetted area should
generally not exceed 75 percent of the total area of the conduit or tunnel at
the downstream end during maximum discharge [5]. Under this limitation,
air will be able to pass up the conduit or tunnel from the downstream end
and prevent the formation of subatmospheric pressure. Subatmospheric
pressure could lead to unstable flow conditions (such as slug-flow) and/or
pressurization of the conduit or tunnel. Also, upstream venting of the
conduit or tunnel has been and can be used to help prevent the formation of
subatmospheric pressure. However, it is not advisable to rely solely on
upstream venting and allowing the wetted area to exceed 75 percent of the
total downstream area of the conduit or tunnel. Finally, care should be
taken with the evaluation of the vertical and horizontal curvatures of the
conduit or tunnel profile and alignment to ensure that sealing does not occur
along some portion by surging, air bulking, or wave action.
• For new outlet works channels or chutes. In many cases, a chute is used
to transition flows from the downstream end of a conduit or tunnel to a
terminal structure or exit channel. In these cases, Reclamation uses an
empirical relationship for freeboard, which is a function of average flow
velocity (V) and depth of flow (d) [5]. This freeboard estimate is used to
establish the minimum chute wall height and is typically associated with the
design discharge, supercritical flow condition, and accounts for flow surface
roughness, wave action, air bulking, splash, and spray.
1
FBC = 2 + 0.025V (d ) 3 (chute wall freeboard equation)
Where: FBC is the minimum freeboard above the water surface (ft).
d is the flow depth (ft).
Additional guidance on analytically evaluating air entrainment and air bulking

can be found in Engineering Monograph No. 41, Air-Water Flow in Hydraulic
Structures [32].
• For existing outlet works channels or chutes. Releasing more than the
original design discharge may result in freeboard encroachment up to
overtopping the channel or chute, leading to adverse flow conditions and
damage or progressive failure of the conveyance features, and uncontrolled
release of part or the entire reservoir. To further evaluate this condition, air
entrainment and air bulking potential should be estimated [9].
4.6.4.2.4 Vertical Curvature, Horizontal Curvature, and Superelevation

For pressurized flow conditions, the vertical and horizontal bends (curvature)
should be defined by a radius (r) along the centerline of the conveyance features
(pipe, conduit, or tunnel) where the radius is greater than or equal to three times the
DS-14(4) July 2021 4-93

(equivalent) diameter of the conveyance features. Note: For noncircular

conveyance feature shapes, use equivalent diameter.
In some cases, where unpressurized conditions exist in a conduit, tunnel, channel,

or chute associated with an outlet works, a vertical and/or horizontal change in
direction may be needed as a result of operational considerations, along with
site-specific topography and/or geology. These changes in direction are addressed
through vertical and horizontal curves.
• Vertical curvature. Vertical curvature is used to change the

orientation/direction of the conveyance features (i.e., applicable to chutes,
tunnels, and conduits). Both concave25 and convex26 curvatures have and
can be used in the design of conveyance features [5].
For concave curvature, generally used for the downstream chute

conveyance feature or between the chute conveyance feature and a flip
bucket terminal structure, simple (circular) curves can be used. An
approximate relationship, which provides a minimum curvature, is defined
by the following equation:
2qV 2dV 2
r= r=
pF pF
Where:
r is the minimum radius of curvature (ft).
q is the unit discharge (ft3/s/ft).
V is the average velocity (ft/s).
pF is the normal dynamic pressure exerted on the flow
surface (lb/ft2).
The minimum radius (r) should not be less than 10d. When selecting the
radius of curvature (r), consider both the minimum value of 10d and the
resulting dynamic pressure (pF). The dynamic pressure must be included
in the structural and stability design of the conveyance feature (including
foundation considerations).
For convex curvature, vertical (parabolic) curves should be used and

should be flatter than the trajectory of a free jet to prevent separation of
flow from the flow surface (see Section 4.6.4.4.3, “Trajectory of a Free
Jet,” of this chapter for more details about estimating trajectory of a free
25
Concave is defined as inward curvature.
26
Convex is defined as outward curvature.
4-94 DS-14(4) July 2021

jet). The following vertical curve equation can be used to lay out the
flow surface. Also, when checking the vertical curve with the free jet
trajectory equation found in Section 4.6.4.4.3, “Trajectory of a Free Jet,”
in this chapter, use k = 1.5).
rslp
y= x 2 + G1 x + PC (vertical or parabolic curve)
2
Where: y is the elevation of a point on the curve (ft).

x is the distance in stations (sta) between the point of
curvature (PC) and a point along the curve (one
station = 100 ft).
rslp is the rate of change of grade (slope) per station, where:
(𝐺 −𝐺 )
rslp = 2 1
𝐿𝑆𝑇𝐴
G1 is the initial grade (%). G2 is the final grade (%). A
downward slope has a negative value.
LSTA is the length in stations of the curve (horizontal
distance between the beginning of the curve or PC,
and the end of the curve or point of tangency [PT])
(sta).
PC is the elevation at the beginning of the curve or point of
curvature PC (ft).
To clarify the vertical curve equation, see figure 4.6.4.2.4-1. Also, the
procedure for sizing a vertical curve is:
1. Select upstream and downstream grades (G1 and G2).

For a downward slope of 1 foot in 100 feet, the grade would
have a value of -1.0 percent.
2. Select a length for the vertical curve (LSTA).

For a 30-foot vertical curve, the length would be 0.30 stations
3. Compute the PC and points along the curve.
4. Compute the water (free) jet trajectory as a check, using k = 1.5.
5. If vertical curve is flatter than trajectory, curve can be shortened and

re-estimated.
6. If trajectory is flatter than the vertical curve, lengthen the curve and
re-estimate.
DS-14(4) July 2021 4-95

Figure 4.6.4.2.4-1. Parabolic vertical curve illustration.
• Horizontal curvature. Based on details concerning horizontal curvature in

channels found in the U.S. Army Corps of Engineers’ Hydraulic Design of
Flood Control Channels, Engineering Manual (EM) 1110-2-1601 [33], the
following guidance is provided to the reader.
As previously noted, the best hydraulic performance in a discharge

channel (such as an outlet works conduit or tunnel flowing partially full or
a transition chute connecting a conduit or tunnel downstream portal with a
terminal structure) is achieved when the channel walls are parallel to the
direction of flow. However, in some cases, horizontally curved channels
are employed to better adapt to the operation, topography, and/or geology.
In this case, the curved outlet works channel (conduit, tunnel, and/or
chute) causes the water surface to rise on the outside wall and lower on the
inside wall, which is due to centrifugal force. This condition is called
“superelevation” (see “Superelevation” bullet below for more details).
Horizontal curvature can be used in the conveyance features that are
upstream or downstream of the outlet works intake structure.
Conveyance features upstream of the intake structures and flowing

partially full (such as approach channels) are typically associated with
subcritical flows (i.e., Froude number is less than 1.0). For this condition,
the horizontal curvature at the centerline of the channel or structure
should be at least three times the channel or structure width and can be
defined by a simple (circular) curve.
Conveyance features downstream of control structures (such as chutes,

tunnels, and conduits) are typically associated with supercritical flows
(i.e., Froude number is greater than 1.0). For this condition, adverse
4-96 DS-14(4) July 2021

hydraulics in the form of cross waves and standing waves can result,
which could lead to elevated water surfaces and unsymmetrical flow
conditions. To minimize adverse hydraulics, spiral transition curves in
combination with simple (circular) curves should be used.
For an unbanked flow surface, the spiral transitions upstream and

downstream of a simple curve can be estimated by the following
equation:
1.82VT
Ls = (upstream and downstream spiral length for unbanked curve)
gd
Where: Ls is the minimum length of the upstream and

downstream spirals for unbanked curves (ft).
T is the conveyance feature width at the water surface (ft).
For a banked flow surface, the spiral transitions upstream and

downstream of a simple curve can be estimated by the following
equation:
Ls = 30y (upstream and downstream spiral length for banked curve)
Where: Ls is the minimum length of the upstream and

downstream spirals for banked curves (ft).
∆y is the total rise in water surface on outside wall (ft). See
the “Superelevation” bullet below for more details.
For an unbanked or banked flow surface, the radius of the simple curve,
in combination with the spiral transitions upstream and downstream of the
simple curve, should not be less than the estimate provided by the
following equation:
4V 2T
rmin = (minimum radius of simple curve)
gd
Where: rmin is the minimum radius of the simple curve

around the centerline of the channel or structure (ft).
T is the conveyance feature width at the water surface (ft).
DS-14(4) July 2021 4-97

• Superelevation. Based on details concerning superelevation in channels

found in the U.S. Army Corps of Engineers’ Hydraulic Design of Flood
Control Channels, EM 1110-2-1601 [33], the following equation can be
used to approximate the total rise in the water surface for both unbanked
and banked flow surfaces along horizontal curvature (see figure 4.6.4.2.4-2)
[9, 33]:
Figure 4.6.4.2.4-2. Superelevation illustration.
C SE V 2T
y = (total rise in water surface)
gr
Where: ∆y is the total rise in water surface on the outside

wall (ft).
CSE is a coefficient ranging from 0.5 for all subcritical flow
and for chutes with spiral transitions or spiral banks
to 1.0 for trapezoidal channels subject to
supercritical flow and for rectangular channels with
circular curves subject to supercritical flow.
T is the channel width at elevation of centerline of water
surface (ft).
g is acceleration due to gravity (ft/s2).
r is the radius of channel centerline curvature (ft).
4-98 DS-14(4) July 2021

Note: When dealing with horizontal curvature associated with

conveyance features, the total freeboard should include the superelevation
estimate (∆y) and the value estimated in Section 4.6.4.2.3, “Freeboard for
Conveyance Features” in this chapter.
4.6.4.2.5 Stagnation Pressure

Damage and/or failure of conveyance features have resulted and can result from
stagnation pressure,27 sometimes referred to as “hydraulic jacking.” Although
there are no case histories associated with Reclamation’s inventory of outlet
works, there is potential for stagnation pressure damage and/or failure similar to
some of the stagnation pressure incidences associated with Reclamation’s
inventory of spillways (such as Big Sandy Dam service spillway). Because of
Reclamation’s past experiences, considerable research and development have
taken place and have been incorporated into most hydraulic analyses, and designs
of outlet works will include evaluation of stagnation pressure potential and
subsequent mitigation, if necessary [9, 34].
Assessment of stagnation pressure potential is based on inspecting flow surfaces

for existing outlet works, evaluating floor joint details and floor cracking for both
existing and new outlet works, and estimating uplift pressures (beneath the flow
surface) based on average flow velocities, joint opening, and/or crack size. As
part of the standard step water surface profile analyses, average velocity profiles
are used to estimate uplift profiles along the length of the conveyance feature.
Details on evaluating and estimating stagnation pressure potential are further
addressed in Chapter 5, “Hydraulic Considerations for Spillways and Outlet
4.6.4.3 Control Structures Hydraulics

Control structures are features or components of an outlet works that contain gates
or valves used to control the flow through the outlet works. As previously noted
in Section 4.5.2.2.4, “Control Structure,” of this chapter, control structures could
be:
• Incorporated into the intake structure, such as a wet-well tower (hydraulic

control arrangement 3);
27
Stagnation pressure refers to two conditions that can result in damage and/or failure of the
outlet works: (1) high velocity, high-pressure flows enter cracks or open joints in the outlet works
flow surface (such as a transition chute between the downstream portal of a conduit or tunnel and
a terminal structure), which results in uplift pressure that lifts (displaces) portions of the outlet
works conveyance feature; and (2) High velocity, high-pressure flows enter the foundation
through cracks or open joints in the outlet works flow surface, which results in internal erosion of
the foundation and loss of support of portions of the outlet works conveyance feature [34].
DS-14(4) July 2021 4-99

• Located between the intake structure and the terminal structure, such as a
gate chamber (hydraulic control arrangement 1 or 2); or
• Located at the downstream end of the outlet works, such as a control

house (arrangement 1 or 4).
Maintaining hydraulic control at the gate or valve is a common hydraulic

consideration that applies to most control structures. This is accomplished by
establishing the wetted area of a fully open gate or valve to less than the wetted
area of the upstream conveyance features. As a general guideline, the upstream
conveyance features should have a wetted area greater than or equal to 1.1 times
the wetted area of the gate or valve. Another general guideline is to include a
straight section of the conveyance feature upstream and downstream of the gate
or valve greater than or equal to 5 times the diameter of the upstream and
downstream pipe.
4.6.4.4 Terminal Structures Hydraulics

Terminal structures located immediately downstream of the conveyance features
include stilling basins, energy dissipators, and flip buckets (figure 4.6.4.4-1).
These structures are intended to dissipate or manage the kinetic energy of the
flow, so it can be returned to the river or stream without significant scour or
erosion that could damage or fail the dam and appurtenant structures [5].
For sizing of symmetrical, typical terminal structures, procedures found in

EM No. 25, Hydraulic Design of Stilling Basins and Energy Dissipators [35], and
Research Report No. 24, Hydraulic Design of Stilling Basins for Pipe or Channel
Outlets [36], are used. These procedures are based on Reclamation’s designs of
hundreds of terminal structures. For asymmetrical, atypical terminal structures
and/or for releases outside the ranges noted in this reference, other design and
analysis approaches are used including finite volume analysis, commonly referred
to as computational fluid dynamics (CFD), and physical modeling. Details on
hydraulically evaluating, analyzing, and designing terminal structures are further
addressed in Chapter 5, “Hydraulic Considerations for Spillways and Outlet
There are a number of hydraulic considerations associated with terminal

structures that are highlighted in the following sections. These hydraulic
considerations include:
• Freeboard for terminal structures. See section 4.6.4.4.1 of this chapter.

• Minimum radius of curvature. See section 4.6.4.4.2 of this chapter.
• Trajectory of a free jet. See section 4.6.4.4.3 of this chapter.
4-100 DS-14(4) July 2021

Type II – Hydraulic jump for

high dam spillways and large
canal structures
Type I – Hydraulic jump,

horizontal apron
Type IV – Stilling basin with wave suppressor

(if needed) for canal structures, small outlet
works, and diversion dams
Type VI – Stilling
basin for pipe or open
channel outlets
Type III – Short hydraulic

jump stilling basin for
canal structures, small
outlet works, and small
spillways
Type VIII –
Stilling basin for
hollow-jet valve
Stilling well
Type IX – Baffled apron for
canal or spillway drops
Figure 4.6.4.4-1. Terminal structures.
DS-14(4) July 2021 4-101

4.6.4.4.1 Freeboard for Terminal Structures

For terminal structures such as stilling basins, the freeboard is defined as the
difference (in feet) between the water surface and the top of the walls. The most
common terminal structure employed by Reclamation is the hydraulic jump
stilling basin. For this terminal structure, the standard step water surface
profile analyses are performed to determine initial flow depths (d1) and average
velocity (V1) before the hydraulic jump (entering the stilling basin). Then, the
force-momentum relationship is used to determine the flow depth or conjugate
depth (d2) after the hydraulic jump (exiting the stilling basin) [5]. This
relationship is expressed by the following equation and applies to all hydraulic
jump terminal structures with horizontal floors and vertical walls:
d2 1 + 8F 2 − 1
=
d1 2
Where: d2 is the conjugate depth or depth at the downstream

end of the hydraulic jump (ft).
d1 is the depth of flow entering the stilling basin (ft).
F is the Froude number entering the stilling basin = V1 / (gd1)1/2.
V1 is the average velocity entering the stilling basin (ft/s).
The following empirical expression has proven to provide acceptable freeboard

estimates for most situations:
FBT = 0.1(V1 + d 2 ) (terminal structure wall freeboard equation) [5]
Where: FBT is the minimum freeboard above the water surface

(ft).
V1 is the average velocity entering the stilling basin (ft/s).
d2 is the conjugate depth or depth at the downstream end of the
hydraulic jump (ft).
4.6.4.4.2 Minimum Radius of Curvature

For some terminal structures, such as a flip bucket, concave curvature of the flow
surface is used to establish a trajectory of the discharge to a point downstream
where the kinetic energy can be safely dissipated. As previously discussed
in Section 4.6.4.2.4, “Vertical Curvature, Horizontal Curvature, and
Superelevation,” of this chapter, an approximate relationship that establishes a
minimum radius for concave curvature is defined by the following equations:
4-102 DS-14(4) July 2021

2qV 2dV 2
r= r=
pF pF
Where: r is the minimum radius of curvature (ft).

q is the unit discharge (ft3/s/ft).
pF is the normal dynamic pressure exerted on the flow surface
(lb/ft2).
The minimum radius (r) should not be less than 5d. When selecting the radius of
curvature (r), consider both the minimum value of 5d and the resulting dynamic
pressure (pF). The dynamic pressure must be included in the structural and
stability design of the conveyance feature (including foundation considerations).
4.6.4.4.3 Trajectory of a Free Jet

For some terminal structures, such as a flip bucket or overtopping a concrete dam,
it is important to estimate the trajectory of discharge to determine the downstream
impingement area (such as a plunge pool), which must be capable of dissipating
much of the kinetic energy. It has been determined that the trajectory equation
noted in Design of Small Dams, 3rd edition, Chapter 9, “Spillways,” equations 19
and 23 overestimate the trajectory (i.e., estimate a flatter path) [5]. In lieu of
using that equation, the following equation should be used to estimate the free jet
trajectory [37] (also, for clarification, see figure 4.6.4.4.3-1):
x2
y = x tan  0 −
4khv cos 2  0
Note: If the brink is horizontal (i.e., Ө0 = 0 degrees), the previous equation

reduces to:
x2 x2
y=− =
4khv 2Vb2
Where: k = 1.0 is the trajectory coefficient used to alter the

undernappe shape (flatter or steeper than unsupported free
jet). When k = 1.0, undernappe follows a free jet trajectory;
and when k > 1.0, undernappe is flatter than free jet
trajectory.
hv = hvb is velocity head at brink of jet springing free from flip
bucket or dam crest (ft) = Vb2/2g.
Vb is the brink velocity (ft/s) for the flip bucket. For concrete dam
overtopping, Vb = 1.399Vc = 0.808(2gH)0.5.
Vc is the critical velocity (ft/s) = Q/(L dc).
DS-14(4) July 2021 4-103

dc is the critical depth occurring upstream of brink where jet

springs free from dam (ft) = 0.67H.
H is the total head or overtopping depth of dam (ft).
L is the crest length (ft).
Q is the total discharge (ft3/s).
θ0 is the initial angle of the jet from horizontal at the brink of jet
springing free from the flip bucket or dam crest (degrees).
θ0 is positive if the jet is initially inclined upward and
negative if the jet is initially inclined downward.
Figure 4.6.4.4.3-1. Trajectory of a free jet illustration. Note: Jet is exiting a

pressurized outlet works, which changes downstream reference from the
floor to the centerline of the downstream exit.
4.6.4.5 Erosion Protection

Erosion protection is a key consideration when evaluating existing outlet works
and designing new outlet works. Primary applications of erosion protection
include: armoring upstream outlet works approach channels and downstream
outlet works exit channels, along with armoring plunge pool terminal structures.
For more information about erosion, see Chapter D-1, “Erosion of Rock and
Soil,” of Best Practices [9].
4-104 DS-14(4) July 2021

• Estimating erosion potential. The initial step in determining if erosion

protection is needed involves evaluating erosion potential of the soil or rock
channel materials.
o For soil channel materials, erosion potential can be initially

assessed using procedures found in Reclamation’s Computing
Degradation and Local Scour – Technical Guideline for Bureau of
Reclamation [38]. The recommended approach uses a number of
empirical equations based on experimental and prototype studies.
For a more detailed erosion potential evaluation, the SITES method28 is used,
which was developed by the U.S. Department of Agriculture.
For a preliminary assessment of soil erosion due to a plunging water jet

(i.e., estimating plunge pool erosion potential associated with a flip bucket
terminal structure), a number of empirical relationships follow.
YS = 1.90 H 0.225 q 0.54 cos S (Yildiz and Unzucek equation) [9, 39]
Where: YS is the depth of erosion below tailwater (meters [m]).

H is the elevation difference between the reservoir and tailwater
surface (m).
q is the unit discharge (cubic meters per second per meter [m3/s/m]).
αS is the water jet impingement angle with the tailwater from vertical
(degrees).
0.15
K S (q X H Y hS )
YS = 0.3 0.1
(Mason and Arumugan equation) [9, 40]
g dS
Where: YS is the depth of erosion below tailwater (m).

H is the elevation difference between the reservoir and tailwater
surface (m).
q is the unit discharge (m3/s/m).
hS is the tailwater depth above original ground surface (m).
KS is equal to 6.42-3.1H 0.10.
g is the acceleration due to gravity (meters per second squared [m/s2]).
dS is the median grain size (D50) (m).
X is equal to 0.6-H / 300.
Y is equal to 0.15+H / 200.
28
SITES method http://www.nrcs.usda.gov/technical/Eng/sites.html) is based on observed
behavior of soil and grass-lined spillways.
DS-14(4) July 2021 4-105

• For rock and soil channel materials, erosion potential can be initially
assessed by comparing erodibility index29 to stream power30 (see
figure 4.6.4.5-1). Rock erosion is governed primarily by the spacing and
orientation of the discontinuities, with the properties of the intact rock
being less important, except in very soft material. The concept of rock
mass index correlated with power, and how it relates to removing rock by
flowing water, is expressed as the erodibility index. The erodibility index
has been further correlated empirically to the erosive power of flowing
water, which is termed “stream power.” This correlates data used to
develop the stream power erodibility index relationship based on logistic
regression [41]. The governing equations for the stream power-erodibility
index method are noted below:
K h = M s Kb K d J s (erodibility index equation)
Where: Kh is the erodibility index.

Ms is the mass strength for the rock (i.e., uniaxial
compressive strength) – (megapascals [MPa]).
Kb is the particle or fragment size that forms the mass
(based on joint spacing or rock mass classification
parameters) equal to RQD/Jn.
Kd is the interblock strength equal to Jr/Ja, which is based
on Barton’s Q-system.31 Jr is the joint roughness
number, and Ja is the joint alteration number.
Js is a factor that accounts for the relative shape and
orientation of the rock blocks.32
Jn is a modified joint set number.33
RQD is the rock quality designation, which is determined
by measuring the core recovery percentage of core
chunks that is greater than 100 millimeters in
length, ranging from less than 25 percent (very
poor) to 90-100 percent (excellent).
29
Erodibility index is the rock or soil mass properties index which characterizes the potential
removal due to flowing water. The erodibility index is a function of mass (intact) strength of the
rock or soil, mean block size of the rock or soil, interblock friction resistance, and the orientation
of the rock or soil feature relative to the flowing water.
30
Stream power is the rate of energy (power) dissipation, which is a function of flow depth,
flow velocity, and the energy grade line.
31
Refer to chapter D-1, “Erosion of Rock and Soil,” of Best Practices [9], for suggested values.
32
Ibid.
33
Ibid.
4-106 DS-14(4) July 2021

Figure 4.6.4.5-1. Erosion potential – erodibility index versus stream power [41].
PS =  W VdS (stream power equation for surface flows), and
 W QZ
PS = (stream power equation for free fall jet)
A
Where: PS is the rate of energy (power) dissipation

(kilowatts per square meter
[kW/m2]).
γW is the unit weight of water (kilonewton per cubic meter
[kN/m3]).
V is the average velocity of flow (meters per second [m/s)].
d is the depth of flow (m).
S is the slope of the energy grade line.
Q is the total discharge at the location being examined
(cubic meters per second [m3/s]).
Z is the head or height from which the free jet falls (m).
A is the area of the jet as it impacts the rock or soil surface
(square meters [m2]).
Once erodibility indices (Kh) and stream power values (P) have been
estimated, they can be compared (plotted) on figure 4.6.4.5-1 to determine
the likelihood of erosion initiation. It should be noted that likelihood of
erosion initiating can be interpolated between lines noted on figure 4.6.4.5-1.
DS-14(4) July 2021 4-107

• Determining erosion protection requirements. Erosion channel

protection can include vegetative cover (grass), riprap, grouted riprap,
gabions, RCC, soil cement, and precast concrete blocks. For more
information about vegetative cover, gabions, RCC, soil cement, and precast
concrete blocks, refer to the Technical Manual: Overtopping Protection for
Dams [42].
Riprap is one of the most common erosion channel protection materials

Reclamation uses. Design of riprap armorment includes determining the
median rock size or D50 (i.e., 50 percent of rock is smaller than D50),
thickness of riprap layer, gradation of riprap and bedding layer (if
needed), and edge treatment [43]. Additional information can be found in
Chapter 5, “Hydraulic Considerations for Spillways and Outlet Works,”
of this design standard.
For some types of outlet works terminal structures, erosion protection

may be required for the concrete flow surfaces. This could be due to
abrasion from high velocity flows or high levels of sediment being
passed. The concrete may be protected by increasing the thickness of the
concrete (increasing clear cover) to provide a sacrificial layer of concrete.
For the regulating valves (fixed-cone valves) at Jordanelle Dam, a steel
liner was used in the energy dissipation structure to protect the concrete
from high velocity flow induced erosion.
4.7 General Foundation Considerations

This section provides general foundation considerations for determining the type,
location, and size of a modified or new outlet works. Detailed foundation
analysis and design can be found in Chapter 6, “Structural Considerations for
Spillways and Outlet Works,” of Design Standards No. 4, “Water Conveyance
Facilities, Fish Facilities, and Roads and Bridges.”
As previously noted, and unless specified otherwise, this chapter is applicable to

the evaluation, analysis, and design of reinforced concrete, high velocity, and
high-flow outlet works.
4.7.1 Elastic Foundation

The following discussion relates to cut-and-cover outlet works, which includes
both surface and subsurface structures. Surface structures could include intake
structures, chutes, and terminal structures, while subsurface structures could
4-108 DS-14(4) July 2021

include conduits, gate chambers, and shafts which are embedded within an
embankment dam. This section does not apply to tunnel outlet works features
such as a tunnel conveyance feature and gate chamber control structure. For more
information about tunnel foundation considerations, see Chapter 4, “Tunnels,
Shafts, and Caverns,” of Design Standards No. 3 – Water Conveyance Facilities,
Fish Facilities, and Roads and Bridges [23].
Although it is highly recommended that a competent rock foundation be located

and prepared for an outlet works, a soil foundation can be acceptable if
appropriate design and construction methods are employed. Due to the range
of foundation types (rock and/or soil), designs for outlet works include a
determination of the base pressure for an elastic foundation. General assumptions
include:
• The foundation is elastic (i.e., settlement at any point is proportional to the

pressure at that point).
• Analyses and designs are typically based on a two-dimensional beam on an

elastic foundation.
• The foundation modulus34 is the elastic deformation resulting from unit

pressure, or elastic uplift that results from a unit tension.
Reclamation would not consider a foundation suitable for an outlet works if the
foundation modulus was less than 200 pounds per square inch per inch (lb/in2/in)
(elastic deformable foundation, typically associated with soft compressible soils).
Suitable foundation modulus ranges have been at least 200 lb/in2/in to
2,000 lb/in2/in or greater (very rigid foundation, typically associated with firm
formation or rock). A reasonable range of foundation moduli is used in a typical
design. This range can be based on field and laboratory test data, technical
references using field data, or assumptions based on experience and/or
observations. By using a range of foundation moduli, magnitudes, and locations
of maximum and minimum foundation stresses (moments and shears) acting on
an outlet works floor slab (such as an intake structure, chute, and/or terminal
structure) foundation stresses can be determined. For those features that are
embedded in an embankment dam (such as conduits and gate chambers or shafts),
estimated foundation displacement, due to dam and foundation settlement over
time, will typically be the key consideration for the subsurface features of an
outlet works. For the surface features of an outlet works, the critical locations of
maximum moments and shears include the slab-wall interfaces and the center of
the slab.
34
Foundation modulus is also referred to as the modulus (coefficient) of subgrade reaction.
DS-14(4) July 2021 4-109

While most rock foundations for an outlet works can be made acceptable with
some preparation, more care is needed in evaluating whether a soil foundation
for an outlet works can be made acceptable (see Chapter 6, “Structural
Considerations for Spillways and Outlet Works,” of this design standard). The
following guidelines are provided, based on the Unified Soil Classification
System (USCS) [44],35 and should be applied on a case-by-case basis:
• In terms of foundation compressibility, the following bullets list soils in

decreasing order of acceptable foundations:
o Soils are generally acceptable foundation materials for surface

features for an outlet works if they are gravel and gravelly soils
(GW, GC, GP, and GM) or sands and sandy soils (SW, SC, SP, and
SM).
o Soils that may be suitable foundation materials for surface features

for an outlet works but may require some additional evaluation,
design, and foundation preparation or treatment are fine-grained
soils (silts and clays) having low to medium compressibility (ML
and CL).
o Soils that are unlikely to be suitable foundation materials for surface

features for an outlet works and that would require additional
evaluation, design, and foundation preparation or treatment (likely
involving excavating the soil and replacing it with engineered fill, or
requiring a new site location having better foundation materials) are
fine-grained soils containing organic material and having low to
medium compressibility (OL), as well as any fine-grained soils
having high compressibility (MH, CH, OH, and PT).
• In terms of foundation permeability as it relates to internal erosion potential,

the following should be considered [45]:
o Seepage issues may exist for well to poorly graded gravels (GW,
GP) and well to poorly graded sands (SW and SP), which are
associated with high permeability.
o Erodibility issues may exist for silty gravel (GM), silty sand (SM),
and silts (ML), even at low gradients.
35
The USCS is a soil classification system used in engineering and geology to describe the
texture and grain size of a soil. The classification system can be applied to most unconsolidated
material and is represented by a two-letter symbol, where the first letter is the soil type (such as
G for gravel and C for clay), and the second letter is the gradation or plasticity (such as P for
poorly graded and L for low plasticity). Therefore, SW would be a well-graded sand, and
CH would be a clay of high plasticity.
4-110 DS-14(4) July 2021

It is important to evaluate these considerations and, if necessary, provide

designed filters to reduce internal erosion potential. For filter
design considerations, see Chapter 5, “Protective Filters,” of
Design Standards No. 13 – Embankment Dams [46].
4.7.2 Foundation Design

4.7.2.1 Foundation Treatment
With the exception of including an outlet works as part of a concrete dam (i.e., the
foundation is the dam, and there is a high level of control in terms of physical
conditions and material properties), foundation treatment evaluation (of rock or
soil foundations) is a very important aspect of the outlet works design and
considerations and is described in the following sections. These considerations
include:
• Shaping. See section 4.7.2.1.1 of this chapter.

• Dental treatment. See section 4.7.2.1.2 of this chapter.
• Grouting. See section 4.7.2.1.3 of this chapter.
• Cleanup. See section 4.7.2.1.4 of this chapter.
• Anchors and cutoffs. See section 4.7.2.1.5 of this chapter.
4.7.2.1.1 Shaping
The foundation should be shaped so that a uniformly varying profile is obtained
that is free of sharp offsets or breaks [47].
• For soil foundations, all organic or other unsuitable materials, such as

stumps, brush, sod, and large roots, should be stripped and wasted.
Additionally, all pockets of soil significantly more compressible than
the average foundation material should be removed and replaced with
engineered fill. All irregularities, ruts, and washouts should be removed
and replaced with engineered fill.
o Unreinforced, undrained cut slopes should be flat enough to prevent

sloughing. Cut slopes in soil should be determined for site-specific
conditions. For reference, many of Reclamation’s excavated soil
slopes have been in the range of 1½:1 to 2:1 (horizontal:vertical) or
flatter. Note: Much flatter cut slopes (in the range of 4:1) are
normally required when excavating through or adjacent to an
embankment dam. The flatter cut slopes (referred to as transverse
bonding slopes) are needed to ensure that the backfill around the
outlet works can be effectively tied (compacted) into the existing
embankment dam cut slopes.
DS-14(4) July 2021 4-111

o Fine-grained (cohesive) soil foundations and engineered fill should be

within 2-percent dry and 1-percent wet of the Proctor optimum
moisture content and at least 95-percent Proctor density. Granular
(cohesionless) soil should be compacted to at least 94-percent
compaction using the vibratory hammer method36 [48].
o Protection of a soil foundation may include leaving temporary cover

of several feet of unexcavated material, or placing several feet of fill
material, to address freezing concerns, as well as placing a 3- to 4-inch
lean concrete pad or 2-inch shotcrete layer on the exposed foundation.
• For rock foundations, eliminate abrupt changes/breaks in the excavated

profile. Also, faults or shear zones may be encountered during excavation,
and the excavation of unsound rock produces depressions or shallow trenches
that must be backfilled with concrete (see figure 4.7.2.1.1-1). General
treatment guidelines for cavities, faults, shear zones, cracks, or seams [49]
include:
o For openings with widths (W) of 2 inches or less, clean to a depth (D)
of three times the width of the opening and treat by filling with slush
grout (for more details, see Section 4.7.2.1.2, “Dental Treatment,” of
this chapter).
o For openings with widths (W) greater than 2 inches and up to 5 feet,
clean to a depth of three times the width of the opening or to a depth
where the opening (O) is 0.5 inch wide or less, but usually not to a
depth exceeding 5 feet, and treat by filling with dental concrete (for
more details, see Section 4.7.2.1.2, “Dental Treatment,” of this
chapter).
o Openings with widths (W) greater than 5 feet constitute a special

situation requiring the depth of cleaning and treatment to be
determined in the field.
If shaping requires blasting, proper procedures are essential to ensure that

the permeability and strength of the rock foundation are not adversely
affected. See Chapter 6, “Structural Considerations for Spillways and
Outlet Works,” of this design standard for blasting background and
considerations.
36
94-percent compaction by the vibratory hammer testing replaces 70- to 80-percent density by
relative density testing.
4-112 DS-14(4) July 2021

Figure 4.7.2.1.1-1. Cleaning and treatment of rock foundation [49].
Unreinforced, undrained cut slopes in rock may be determined on a

case-by-case basis using local geologic conditions and/or reinforcement to
design stable cut slopes (for reference, cut slopes typically range between
¼:1 and ½:1).
Of note, rock foundations susceptible to air or water slaking (deterioration)

and/or freezing should be protected until concrete placement for the outlet
works begins. As with a soil foundation, protection of a rock foundation
subject to slaking may include leaving temporary cover of several feet of
unexcavated material or placing several feet of fill material to address
freezing concerns, as well as placing a 3- to 4-inch, lean concrete pad or
2-inch shotcrete layer on the exposed foundation.
4.7.2.1.2 Dental Treatment

Exploratory drilling or final excavation associated with rock foundations may
uncover faults, shear zones, seams, and shattered or inferior rock extending to
depths that are not practical to remove [48]. These conditions require special
treatment in the form of removing some of the material to depths as noted in
Section 4.7.2.1.1, “Shaping,” of this chapter, and backfilling the excavation with
cement grout or lean concrete. Two types of dental treatment are used:
• Slush grout or joint mortar is a neat cement grout (for cracks less than
½ inch) or a sand-cement slurry (for cracks greater than ½ inch) that is
placed into foundation cracks. Cracks or joints are filled with grout, rather
than spreading grout on the surface (see figure 4.7.2.1.2-1). Slush grout
should be used to fill narrow surface cracks, not to cover areas of the
foundation. To ensure adequate penetration of the crack, the maximum
DS-14(4) July 2021 4-113

particle size in the slush grout mixture should be not greater than one-third
the crack width. The consistency of the slush grout mix may vary from
a very thin mix to mortar as required to penetrate the crack. The
water-cement ratio should be kept as low as possible to prevent shrinkage.
Preferably, the grout should be mixed with a mechanical or centrifugal
mixer, and the grout should be used within 30 minutes after mixing.
Figure 4.7.2.1.2-1. Slush grouting.
The type of cement required will depend on the concentration of sulfates

in the foundation materials and ground water. Low-alkali cement is
required for alkali-sensitive materials. Sand and water quality should be
equal to that required for structural concrete. All cracks should be wetted
before placing slush grout. Slush grout may be applied by brooming over
surfaces containing closely spaced cracks or by troweling, pouring,
rodding, or funneling into individual cracks [48].
• Dental, leveling, shaping, or backfill concrete and concrete fillets are

used to fill or shape depressions, grooves, extensive areas of vertical or
near vertical surfaces, and sawteeth (deep grooves) created by bedding
planes, joints, and other irregularities such as previously cleaned out
solution features, shear zones, large joints, or buried channels (see
figure 4.7.2.1.2-2). Formed dental concrete can be used to fillet steep slopes
and fill overhangs. It may be appropriate in local areas to place a concrete
mat over a zone of closely spaced irregularities. Dental concrete shaping
can be used, rather than removal by blasting, when excessive amounts of
excavation would otherwise be required. Dental concrete slabs should have
minimum thicknesses of 6 inches, depending on the quality of the
foundation. Thin areas of dental concrete over rock projections on a jagged
4-114 DS-14(4) July 2021

Bedding planes may modify cleanup plans.

Here, a decision is made to remove the
rock mass. This affects the decision on the
subsequent treatment.
Block is removed
between fracture zone,
bedding plane, and
joints. Treatment to
further shape the
surface required dental
concrete.
Treating foundation with

dental concrete
Figure 4.7.2.1.2-2. Dental concrete.
DS-14(4) July 2021 4-115

rock surface are likely to crack and should be avoided by using a sufficient
thickness or limiting slab widths with joints. Feathering at the edges of
concrete slabs shall not be permitted. To eliminate feathering, the edges of
slabs shall be sloped no flatter than 45 degrees (see figure 4.7.2.1.2-3).
When fillets of dental concrete are placed against vertical or near vertical
surfaces, feathering on the edges shall not be permitted. Instead, a beveled
surface with a minimum thickness of 6 inches will be required at the edges
of the fillet (see figure 4.7.2.1.2-3).
Figure 4.7.2.1.2-3. Beveled surfaces to eliminate feathered edges [49].
Concrete mix proportions should provide a minimum 28-day strength of

3,000 lb/in2. The maximum size aggregate should be less than one-third
of the minimum thickness of slabs or one-fifth of the narrowest dimension
between the side of a form and the rock surfaces. The cement type will
depend on the concentration of sulfates in the foundation materials and
ground water. Low-alkali cement is required for alkali-reactive materials.
Aggregate and water quality should be equal to that required in structural
concrete.
The rock surface should be thoroughly cleaned and moistened before

concrete is placed to enable a good bond between the concrete and rock
foundation. When overhangs are filled with dental concrete, the concrete
must be well bonded to the upper surface of the overhang. The overhang
should be shaped to allow air to escape during concrete placement to
prevent air pockets between the concrete and the upper surface of the
overhang. The concrete must be formed and placed so that the top of the
concrete is higher than the upper surface of the overhang, so that the
pressure creates a tight contact. Grout pipes should be installed in the
dental concrete to fill air voids where required. If grouting through dental
concrete takes place, pressures should be closely controlled to prevent
jacking the concrete or fracturing the overlaying outlet works features.
Dental concrete should have a roughened, broomed finish and be treated
as a construction joint (CJ) for satisfactory bond with the overlying outlet
works features. Dental concrete should be cured by water or an approved
4-116 DS-14(4) July 2021

curing compound for 7 days or be covered by the outlet works features.

Placement of concrete features may not be permitted for a minimum of
72 hours to allow time to develop sufficient strength and limit cracking
potential before loading the dental concrete [48].
4.7.2.1.3 Grouting
The principal objectives of grouting a rock foundation are to establish an effective
seepage barrier and to consolidate the foundation [45]. With the exception of rock
tunnel conveyance features, grouting is typically limited to the intake structure and
portion of the conveyance feature that crosses grouting zones associated with the dam
(such as a gate chamber or shaft). This section is only applicable to cement (not
chemical) grout. Two types of grouting associated with outlet works surface features
(control structures) are discussed below:
• Consolidation or blanket grouting is the low-pressure injection of cement

grout into the foundation to fill voids, fracture zones, and cracks at and below the
surface of the excavated foundation. The purpose of this grouting is to provide a
firm foundation to support loads from the structure. It is done in rock
foundations when rock jointing and/or fractures are such that significant
foundation deformation could occur as a result of loads from the structure. The
grout is intended to provide uniformity in the foundation. This is accomplished
by drilling and grouting relatively shallow holes (for concrete dams, they are
referred to as “B holes”). The extent of the area grouted and the depth of the
holes should be dependent on local conditions; however, in general, the
horizontal spacing of the grout holes is around 10 to 30-foot centers (spacing),
and the depth of grout holes tends to be in the range of 10 to 20 feet.
Site-specific conditions must be considered when establishing the grouting
pressure; however, as a starting point, an approximate pressure is 1 pound per
square inch per foot (lb/in2/ft) of depth, plus any water pressure. If the outlet
works crosses grouting zones associated with the dam, grouting of this portion of
the outlet works foundation may be a continuation of the grouting program for a
dam [47].
• Curtain grouting is high-pressure injection of cement grout at depth into the

foundation to control seepage. The intent of this grouting is to provide an
impervious foundation barrier from abutment to abutment. The grout holes (for
concrete dams, they are referred to as “A holes” when drilled from a foundation
gallery, or referred to as “C holes” when drilled from the excavated or prepared
surface) are typically located beneath portions of the conveyance features that
cross grouting zones associated with a dam and are usually a single line of holes
drilled on 10-foot centers (although multiple lines of grouting may be needed,
and wider or closer spacing may be required due to site-specific conditions).
The intent is to have spacing such that grout travel overlaps from adjacent holes.
To minimize the potential for damaging the foundation, curtain grouting is
DS-14(4) July 2021 4-117

normally undertaken after consolidation grouting. Although the depth of grout

holes will be determined by site-specific conditions, general practice suggests
hole depths of 30 to 40 percent of the maximum design hydrostatic head for a
hard, dense foundation, and hole depths as much as 70 percent of the maximum
design hydrostatic head for a poor foundation. Site-specific conditions must be
considered when establishing the grouting pressure; however, as a starting point,
an approximate pressure is 1 lb/in2/ft of depth, plus any water pressure. As with
consolidation grouting, if the outlet works crosses grouting zones associated with
the dam, grouting of this portion of the outlet works foundation may be a
continuation of the grouting program for a dam [47].
Two grouting applications, mostly associated with excavated tunnels in rock, are
discussed in the following paragraphs:
• Backfill grouting is used to fill any voids between a structural feature, such as
the outside limit of a reinforced concrete placement, and the excavated limits of
the surrounding rock foundation. Application of backfill grouting focuses on
areas where gravity and concrete shrinkage tend to create voids, such as near the
crown (top) of a tunnel liner. Backfill grouting should not occur until the
concrete feature (such as a tunnel liner) has achieved its design (compressive)
strength (such as 4,500 lb/in2 at 28 days). Low pressures are used, which are in
the range of 15 to 30 lb/in2, plus any water pressure (see figure 4.7.2.1.3-1 for
more details).
• Ring or pressure grouting is similar to consolidation grouting where the intent

is to inject low-pressure cement into the surrounding tunnel foundation to fill
voids, fracture zones, and cracks within at least 20 to 25 feet of the excavation
limits of the tunnel. The ring grout line (i.e., multiple grout holes around the
perimeter of the tunnel at a given location or station along the tunnel) along the
tunnel is typically spaced at 20-foot centers. Location and number of grout holes
in a ring grout line are site specific, but they tend to be spaced between 45 and
90 degrees around the perimeter of the tunnel. It is common for a ring grout line
to be offset (rotated) 45 degrees from the previous and subsequent ring grout
line. Also, drilling grout holes and pressure grouting will not be initiated until
backfill grouting has been completed within approximately 100 feet upstream
and downstream from the ring grout line location (see figure 4.7.2.1.3-2 for more
details). It should be noted that, depending on foundation conditions, ring
grouting may be replaced with backfill (crown) grouting combined with weep
(drainage) holes (see Section 4.7.3.1, “Drainage,” for more details) for tunnel
sections downstream from the dam foundation grouting.
4-118 DS-14(4) July 2021

Typical reinforced concrete lined tunnel

(backfill grout location circled)
Backfill grout detail
Figure 4.7.2.1.3-1. Backfill grouting.
Typical reinforced concrete lined tunnel

(grout holes highlighted)
Ring grout detail
Figure 4.7.2.1.3-2. Ring or pressure grouting.
DS-14(4) July 2021 4-119

4.7.2.1.4 Cleanup
Foundation cleanup can be labor intensive and costly, but it must not be
neglected. Proper cleanup of a foundation before concrete placement increases
the likelihood that the contact area will meet design intent in terms of the
compressive and shear strength, along with permeability. Poor foundation
cleanup can result in reduced bonding, and compressive and shear strengths,
leading to weak zones and providing a permeable path for seepage [48]. To
ensure proper cleanup of a foundation, both cleaning and water removal need to
be fully addressed.
• Cleaning rock foundations includes barring and prying loose any drummy37
rock, using an air/water jet to remove as much loose material as possible,
and removing (by hand) loose material that an air/water jet misses.
Cleaning soil foundations should include removing loose or disturbed
materials missed by machine excavation that will not be suitable foundation
even after compaction (if needed) [48].
• Water in small quantities can be removed from a rock foundation by

vacuuming (with a shop-vac or air-power venturi pipe) or other approved
methods. Large water quantities from seeps can be isolated, and gravel
sumps can be constructed, pumped, and subsequently grouted. Another
approach for both rock and soil foundations is using well points, which can
temporarily stop the seeps and/or lower the ground water several feet below
the foundation contact, allowing placement of the concrete [48]. It should
be noted that, in some cases, it may be necessary to install well points
before beginning excavation. Finally, the rock foundation should be
washed or wetted before placing concrete to achieve a saturated surface dry
(SSD)38 condition.
4.7.2.1.5 Anchors and Cutoffs

Anchors and cutoffs are important design considerations that should not be
overlooked. These features are used to further stabilize the outlet works and
foundation.
• Anchors. These features could include anchor bars, rock bolts, and
post-tensioned anchors and are usually associated with a rock foundation
(there are some limited applications using soil anchors or soil nails, but this
is the exception, not the rule, for stabilizing the outlet works and soil
foundation).
37
Drummy rock is associated with a foundation that has delaminated or separated layers or
blocks.
38
SSD condition is achieved when the foundation surface pores are saturated, and free surface
water and puddles have been removed from the surface of the foundation. This is the optimal time
to place new concrete on the foundation surface.
4-120 DS-14(4) July 2021

o Anchor bars. The most common anchor with the least tensile
capacity is the anchor bar, which is primarily used to stabilize outlet
works surface features, such as control structure, conveyance
feature, and terminal structure floors and, in some cases, walls (most
Reclamation outlet works surface features with rock foundations
include anchor bars as a design detail). Anchor bars are a passive
anchoring system designed to provide adequate factors of safety for
stability. The anchor bars are typically spaced in a 5- to 10-foot grid
pattern, which is governed by the floor or wall dimensions between
joints. Anchor bar sizes typically range from No. 8 to No. 11
reinforcing bars. Anchor bars are placed in drilled foundation holes
and cement grouted in place with a portion of the anchor bar equal
to embedment length extending out of the foundation (standard hook
length as noted by standard drawings 40-D-60003 and 40-D-60004
and/or the current American Concrete Institute [ACI] code if floor
or wall thickness is not sufficient to contain embedment length
without bending). This embedment length will be encased in the
reinforced concrete floor or wall (see figure 4.7.2.1.5-1 for more
details).
o Rock bolts. The grouted rock bolt is a less frequently used anchor
with more tensile capacity than the anchor bar. Rock bolts are
extensively used to stabilize outlet works excavated surfaces (such
as Reclamation’s Ridges Basin Dam outlet works). On occasion,
grouted rock bolts are also used to stabilize steep rock excavation in
outlet works intake structures, chutes, and terminal structures. Rock
bolts provide active compressive forces within the rock mass, but
they are generally treated as passive anchors within the concrete.
Spacing and size of rock bolts are based on site-specific
analysis/design results (see figure 4.7.2.1.5-2 for more details).
o Post-tensioned anchors. The least used anchor with the greatest

tensile capacity (compared to the anchor bar and rock bolt) is the
post-tensioned anchor. Reclamation’s experience with
post-tensioned anchors associated with outlet works is limited.
Some nonoutlet works applications have addressed concrete dam
stability issues (such as Reclamation’s Stewart Mountain Dam and
Minidoka Dam). These anchors generally provide active resistance
to loads. This is accomplished by anchoring through concrete into
the rock foundation. Tensioning provides compression across the
foundation (concrete-rock) contact. Design procedures are based on
the Post-Tensioning Institute’s Recommendation for Prestressed
Rock and Soil Anchors [50].
DS-14(4) July 2021 4-121

Profile view showing

anchor bar layout.
Section view showing

anchor bar layout.
Anchor bars
Constructing new outlet works. Note anchor bars

installed through mud slab into foundation
associated with outlet works chute.
Figure 4.7.2.1.5-1. Anchor bars.
4-122 DS-14(4) July 2021

Profile view of rock slope excavation and rock bolts layout at the downstream outlet
works portal.
Control house
containing
regulating
gates.
Rock bolts
securing wire
mesh on outlet
works
downstream portal
excavated slope.
Constructing new
multipurpose river
outlet works.
Figure 4.7.2.1.5-2. Rock bolts.
DS-14(4) July 2021 4-123

Cutoffs. These features could include reinforced concrete keys, secant piles, and
soil cement, or RCC diaphragm walls, and they are associated with both rock and
soil foundations. Along with addressing stability needs, cutoffs could affect
seepage potential. The most common cutoff is the reinforced concrete key, which
is primarily used to reduce seepage and/or increase stability to the outlet works
surface features such as chute and terminal structure floors. For more details, see
Chapter 3, “General Spillway Design Considerations,” of this design standard.
4.7.2.2 Foundation Acceptance

During the design, it is very important to clearly define what is, and is not, an
acceptable (adequate) foundation, which will help establish the foundation inspection
and approval process aimed at ensuring that design intent is being met during
construction, as described in the following sections. These sections include:
• Foundation inspection and acceptance procedures. See section 4.7.2.2.1 in

this chapter.
• Critical foundation areas. See section 4.7.2.2.2 in this chapter.
• Documentation. See section 4.7.2.2.3 in this chapter.
4.7.2.2.1 Foundation Inspection and Acceptance Procedures

As part of the design for a modified or new outlet works, foundation inspection and
acceptance procedures should be developed. This first requires a definition of what is
an acceptable foundation, versus an unacceptable foundation, for the outlet works
feature. Once this has been clarified, the following should be included in the
development of the inspection and acceptance procedures:
• Consider treatment measures where an inadequate foundation is identified.
• Apply protective measures to ensure the integrity of an adequate foundation once

it has been prepared and prior to placing the outlet works feature on the
foundation.
• Develop procedures to be used when inspection and approval are made onsite by
the designer of record, geologist, and field personnel.
• Develop procedures to be used when inspection is made by field personnel and

approval is made via telephone by the designer of record.
• Identify appropriate field testing to be conducted prior to or during the foundation

inspection and approval.
• Prepare a foundation inspection checklist, which should be completed during all

foundation inspections and approvals.
4-124 DS-14(4) July 2021

• Provide adequate documentation of foundation conditions, including geologic

mapping and photographs of the foundation area being inspected. Sufficient
detail should be provided so that future problems, should they develop, can be
understood based on the documentation.
For more details, see Chapter 6, “Structural Considerations for Spillways and
4.7.2.2.2 Critical Foundation Areas

Identify critical and noncritical foundation areas and how they will be inspected
and approved. There are several considerations used to identify critical and
noncritical foundation areas including:
• Critical foundation areas are typically associated with significant loading and
settlement/deformation potential, significant seepage potential, and/or tied to
PFMs. Typical outlet works features associated with critical foundation areas
include intake structures, conveyance features, and terminal structures.
Noncritical foundation areas would be the remainder of the outlet works
foundation areas not identified as critical.
• Critical foundation areas may also include areas that have not had an initial
inspection or areas that previously have been inspected and approved but are
now exhibiting differing foundation conditions than at the time of previous
approval. Noncritical foundation areas are typically areas exhibiting similar
conditions to those that have already been inspected and approved.
For critical areas, an onsite foundation inspection and approval should be planned
and involve the designer of record and geologist. For noncritical areas, an onsite
inspection and approval process will typically be carried out by the field personnel,
who must be aware of, and able to identify, dissimilar, irregular, or unusual
conditions that would require additional followup and evaluation (such as the same
level of onsite inspection and approval required for critical foundation areas). For
more details, see Chapter 6, “Structural Considerations for Spillways and Outlet
4.7.2.2.3 Documentation
A DM will be prepared for each foundation inspection. A draft DM should be
prepared by the designer of record before the foundation inspection and approval,
when the designer of record is directly involved (onsite). A draft DM should be
prepared by field personnel before the foundation inspection and approval, when
the designer of record is not directly involved (telephone approval). This draft DM
should be provided to the designer of record prior to the telephone approval. With
few exceptions, the DM for both cases should be finalized and signed within
7 working days following the foundation inspection. However, it is recognized that
there will be circumstances when the DM cannot be finalized within this time
period. When this occurs, the designer of record will coordinate with other
DS-14(4) July 2021 4-125

involved parties to identify a timely and mutually agreed to completion date. See
Chapter 6, “Structural Considerations for Spillways and Outlet Works,” of this
design standard for more details on the contents of a DM and an example of a DM.
4.7.3 Drainage and Insulation

Both drainage and insulation are important considerations that should be fully
evaluated during the design of modified and new outlet works. Inadequate or
inappropriate drainage and insulation designs can lead to significant damage and/or
failure of outlet works features.
4.7.3.1 Drainage
Drains beneath and/or adjacent to appurtenant structures should be provided to
control excessive water pressure, which might lead to instability, including failure
of the outlet works feature or its foundation. Even a minor amount of ground water
can result in structural damage if it is not drained freely and is allowed to build up
pressure, or if it can cause frost heave during freezing temperatures. Historically, it
has been Reclamation’s practice to design appurtenant structures to withstand part
or all of the anticipated water pressure (i.e., assuming drains are not functioning or
are only partially effective). It has been (and is considered prudent) engineering
practice to provide drainage to critical appurtenant structures (i.e., an appurtenant
structure is considered critical if increased risk to the dam and/or downstream
consequences could result from an inability to operate and/or failure). As cited in
detail in Frost Action in Soil Foundations and Control of Surface Structure Heaving
Report [51] and Drainage for Dams and Associated Structures [52], the following
considerations should be included:
• Locations of drainage features should be limited to downstream outlet works

feature (i.e., drainage associated with the conveyance features and terminal
structure) and isolated from the reservoir. For more information concerning
these drainage features, see figures 4.7.3.1-1 and 4.7.3.1-2. Also, see
Section 4.8.6.1.2, “Contraction Joints,” and Section 4.8.6.1.3, “Control
Joints,” in this chapter.
• Minimize disturbance of the foundation, particularly for rock

foundations. For more information concerning these drainage features, see
Section 3.7.3.1, “Drainage,” in Chapter 3, “General Spillway Design
Considerations,” of this design standard. Also, see Sections 4.8.6.1.2,
“Contraction Joints” and 4.8.6.1.3, “Control Joints,” in this chapter.
• Drain access and cleanout capabilities should be included in drainage features.

For more information concerning drain access and cleanout features, see
Chapter 3, “General Spillway Design Considerations,” of this design standard.
4-126 DS-14(4) July 2021

• For outlet works surface features (such as chute conveyance features and
terminal structures), drainage systems are typically laid out in a grid pattern
with spacing of the grid in both the longitudinal (upstream-downstream) and
transverse (lateral or cross-canyon) direction, and they are influenced by
expected flow and loss of drainage efficiency over time. Typically,
transverse drain spacing is the same as the floor slab joint spacing.
Longitudinal collector drains can be located at the outside edges when the
outlet works feature (such as a chute) is less than 30 feet wide. When the
outlet works feature is 30 feet wide or greater, intermediate longitudinal
collector drains spaced between the edge longitudinal collector drains
should be considered [52].
• For outlet works subsurface features (such as conduit and tunnel conveyance
features), the following should be considered:
o Filter requirements can influence type, size, and location of the

drainage system. Detailed guidance can be found in Chapter 5,
“Protective Filters,” of Design Standards No. 13 - Embankment
Dams [46]. Of note, for outlet works through embankment dams,
zoned filters are normally required to encase the downstream end of
the conduit conveyance feature (see figure 4.7.3.1-1).
• For outlet works tunnel conveyance features, drainage and/or weep holes are
often provided in nonpressurized (free flow) tunnels to relieve external
pressure caused by seepage along the outside of the tunnel lining. Weep holes
typically extend through the lining and just into the surrounding foundation.
Their main purpose is to reduce the external hydrostatic pressure on the tunnel
lining. Drainage holes extend further into the foundation to provide
additional drainage of the foundation surrounding the tunnel. Drainage and
weep holes should normally be located above the anticipated maximum water
surface in the tunnel. For a nonpressurized tunnel conveying a pressurized
pipe, drainage and weep holes can be located anywhere above the tunnel floor
(see figure 4.7.3.1-2). The drainage holes are commonly spaced at about
20-foot centers in the upstream-downstream direction, at intermediate
locations between the ring grout holes (for more details, see Section 4.7.2.1.3,
“Grouting,” in this chapter). Drainage and weep holes are typically located
using embedded pipe inserts through the concrete liner and are drilled after
the concrete has set. To avoid cutting the reinforcing bars, drilling holes
directly through the concrete should be prohibited. Also, holes should not be
drilled until backfill and ring grouting have been completed at least 150 feet
from the holes.
• For outlet works tunnel conveyance features, drainage holes may be needed
around the downstream tunnel portal to relieve external pressure caused by
ground water conditions.
DS-14(4) July 2021 4-127

Outlet works: Drainage plan,

sections and detail (downstream
conduit extending through
embankment dam)
Embankment Filter Encasing D/S

Portion of Existing Outlet Works
Conduit:
Zone 2 (sand)
Zone 3 (gravel)
Zone 4 (random fill)
Figure 4.7.3.1-1. Drainage – zoned filter encasing downstream conduit section.
4-128 DS-14(4) July 2021

Note: Right side drain

hole is raised above the
carrier pipe to facilitate
access for cleaning and to
make more visible from
walkway.
Figure 4.7.3.1-2. Drainage – drainage holes in downstream tunnel.
• Consideration should be given to mitigating contamination potential from

adjacent concrete placement during construction. Historically, this has been
accomplished with insulation material, burlap, geotextiles, geomembranes,
and/or steel wool (within weep holes) as a barrier between drains (including
pervious material placed around a drain pipe) and fresh concrete.
• Particularly for appurtenant structures (such as spillways and outlet works)

associated with high-velocity, high-volume releases, care must be taken so that
the drainage system is not subjected to adverse hydraulics, which can damage or
fail the appurtenant structure. Two conditions that should be evaluated include:
(1) excessive back pressure, which could introduce hydrostatic (uplift) pressure
beneath an outlet works chute and/or terminal structures; and (2) stagnation
pressure that could be introduced through cracks and/or open joints, leading to
pressurizing the drainage system [52]. In other words, there should generally be
no direct path (such as drains, open joints, or cracks) through floor slabs and
walls that are subject to high-velocity, high-volume flow conditions.
• Air demand must be considered, which could be associated with providing

a “vacuum break” to allow air to eliminate lowered pressures induced by
high-velocity flow across drain outlets (see figure 4.7.3.1-3). Inlets or
intakes which provide the air should be located above the maximum
tailwater level.
DS-14(4) July 2021 4-129

Flow
River outlet works stilling basin

sections showing the
(vacuum-break) vent pipes for
the underdrain system
Outlet works chute and

stilling basin section showing
the (air demand) eductors or
aspirators that may be needed
when high-velocity flow
moves across drain outlets.
For more information, refer
to Drainage for Dams and
Associated Structures [52].
Figure 4.7.3.1-3. Air supply/demand.
4-130 DS-14(4) July 2021

4.7.3.2 Insulation
Considerable damage and/or failure can result from freezing foundations and
adjacent materials. Unheated appurtenant structure surfaces in contact with
frost-susceptible backfill or foundation exposed to water are subject to frost
penetration, ice lenses, and subsequent loading (frost heave) that can be
significant. For outlet works, insulation needs would typically be limited to
exposed (surface) features, such as chute conveyance features and terminal
structures. To address this concern, insulation requirements are employed
to protect drainage systems associated with concrete slabs and walls.
Typical insulation materials include rigid polystyrene insulating materials. For
more details, see Chapter 3, “General Spillway Design Considerations,” of this
design standard. Also, refer to Frost Action in Soil Foundations and Control of
Surface Structure Heaving [51] and Drainage for Dams and Associated
Structures [52].
4.8 General Structural Considerations

This section provides general structural considerations for determining the type,
location, and size of a modified or new outlet works. Detailed structural analysis
and design can be found in Chapter 6, “Structural Considerations for Spillways
and Outlet Works,” of this design standard.
As previously noted, unless specified otherwise, this chapter is applicable to the

evaluation, analysis, and design of reinforced concrete for high-velocity and
high-flow outlet works. Also, it should be noted that although national building
codes are applicable and establish minimum structural design requirements,
quantitative risk analysis methodology must be considered for design of hydraulic
structures. As a result, design requirements for outlet works will generally equal
or exceed national building code requirements. It should also be stressed that
quantitative risk analysis methodology should never be used to reduce established
codes, standards, and/or criteria. In addition, serviceability requirements, such as
the need to limit cracking of structural concrete for hydraulic structures, are a key
consideration for modification designs for existing outlet works and designs for
new outlet works.
This section includes references to ACI Codes 318 and 350, along with
Reclamation standard drawings based on the codes. As new versions of the
design codes are issued, Reclamation reviews the codes and revises or replaces
the applicable standard drawings (40-D-60003 and 40-D-60004). After the
revisions to the standard drawings are approved, Reclamation issues a
memorandum formally adopting the codes for use in future designs. Designers
are responsible for using the current adopted versions of the design codes.
DS-14(4) July 2021 4-131

4.8.1 Loading Conditions

The following discussion summarizes typical loading conditions for designing a
new outlet works or modifying an existing outlet works.
The more typical loading conditions discussed below will address most outlet
works designs. However, there could be unique loading conditions associated
with a given site and/or operations of an outlet works, which should be included
with these more typical loading conditions:
• Reservoir and tailwater loads. The normal reservoir load is associated

with the maximum normal RWS (either the top of active conservation or the
top of joint use storage, whichever is higher). The maximum reservoir load
is associated with the maximum flood-induced RWS. The tailwater load
may be associated with either the minimum or maximum downstream water
surface expected to occur with a given RWS. For usual, unusual, and
extreme loading combinations associated with stability evaluation, see
Section 4.8.3, “Stability Design,” in this chapter. For structural design
methods, see Section 4.8.4, “Reinforced Concrete Design,” in this chapter.
• Temperature loads. Temperature-induced loads result from variations of

concrete temperatures with the “stress free” temperature, which is typically
associated with the initial set (hardening) of the concrete. To estimate
temperature loads, the initial set is assumed to occur at the maximum heat
of hydration temperature (occurring in the range of 2 to 6 days after
concrete placement). The stress free temperature is the sum of the
placement temperature and the maximum heat of hydration temperature. As
an example, for a concrete placement temperature of 60 °F and a maximum
heat of hydration temperature of 30 °F, the stress free temperature would be
90 °F. Without artificial cooling, the concrete could require several weeks
to multiple months before it reaches a stable annual heating and cooling
cycle. Concrete temperatures greater than the stress free temperature will
result in expansion of the concrete, while temperatures less than the stress
free temperature will result in contraction of the concrete. Particularly near
the concrete surface, concrete temperature can vary greatly due to air
temperatures and radiant heat. As an example, at some locations, it is
common for temperatures to range from considerably below 0 °F to over
130 °F. Figure 4.8.1-1 illustrates a possible concrete temperature curve for
the initial period after placement, temperature ranges the concrete may
experience over time, and the potential impacts. This potentially large
variation from the stress free temperature can lead to tensile stress cracking
due to contraction (typically hair-line surface cracks some distance away
from joints) and compression cracking due to expansion (typically spalling
and/or delamination near joints). It should also be noted that adjacent
concrete placements may not have the same stress free temperature.
4-132 DS-14(4) July 2021

Figure 4.8.1-1. Concrete temperature history.
DS-14(4) July 2021 4-133

Of note is the current industry practice of grinding cement much finer than
in the past, which increases the potential for higher concrete temperatures,
along with increased and/or more rapid strength gains during the curing
process. Because of this practice, it is very important to fully evaluate and
develop concrete mix designs that will meet the design intent, along with
actions needed to accommodate high temperatures during the curing process
and associated cracking potential. Finally, it should be noted that current
(new) concrete materials are not necessarily compatible with older
(existing) concrete, and care must be taken when designing modifications to
existing concrete structures.
Unless a site-specific temperature study is undertaken, temperature loads

are handled by requiring that temperature reinforcement be provided in
hydraulic structures, where minimum temperature reinforcement should be
based on requirements of ACI 350 [53] and a minimum of No. 6 bars at
1-foot spacing, each way, each face [47]. For other (above ground)
structures, the requirements of section 7.12 of ACI 318 [54] may be
appropriate. An area equivalent to No. 9 bars at 1-foot spacing, each way,
each face, should be considered a maximum for temperature reinforcement
unless supported by more detailed structural analysis. Also, details are
incorporated into floor slab joint design to address large near-surface
temperature variations (for more details, see Section 4.8.6, “Joints,
Waterstops, and Tolerances,” in this chapter). For additional discussion of
temperature reinforcement, see Chapter 6, “Structural Considerations for
• Uplift loads. The normal uplift load (in the foundation) and/or external
hydrostatic pressure are associated with the phreatic line,39 which varies
between the maximum normal RWS (either the top of active conservation
or the top of joint use storage, whichever is higher) and the associated
minimum tailwater surface expected to occur with the RWS. The
maximum uplift load and/or external hydrostatic pressure are associated
with the phreatic line, which varies between the maximum flood-induced
RWS and the minimum tailwater surface [47]. An exception to assuming
minimum tailwater conditions during a flood event would be using a
hydraulic jump stilling basin that has the critical location at the upstream
end of the stilling basin. This location is associated with minimum flow
depth (d1) before the hydraulic jump and the uplift equal to the full tailwater
depth (equal to or greater than d2) after the hydraulic jump. Flow-net
analysis may be needed to estimate uplift loads. For usual, unusual, and
extreme loading combinations associated with stability evaluation, see
Section 4.8.3, “Stability Design,” in this chapter. For structural design
methods, see Section 4.8.4, “Reinforced Concrete Design,” in this chapter.
39
Phreatic line is the free surface of water seeping at atmospheric pressure through soil or rock.
4-134 DS-14(4) July 2021

• Dead loads. The dead load is equal to the weight of the outlet works
concrete and any mechanical features. If no site-specific data are available,
the unit weight of concrete (γc) can be assumed to equal 150 lb/ft3. Also,
when applicable, the dead load will include earthfill (soil) and water loads.
If no site-specific data are available, the unit weight of 120 lb/ft3 for
pervious backfill, 130 lb/ft3 for embankment material (dry soil), and
135 lb/ft3 for saturated soil can be used as default values.
• Ice loads. The ice load (in the reservoir or tailwater) is based on
site-specific data. If site-specific data are not available, procedures found in
the Report of the Task Committee on Design Criteria for Concrete
Retaining Walls [55] can be used to estimate ice loads. A default acceptable
estimate of ice load is 10,000 pounds per linear foot (lb/lf) of contact
between the ice and structure for an assumed depth of 2 feet or more when
basic data are not available [47]. Ice loads due to the freezing of standing
water are typically limited to outlet works features exposed to the reservoir
or tailwater. Ice loads (in the form of dead weight) can also be caused by
ice accumulation on a structure from operations or seepage during freezing
conditions. Depending on site-specific conditions, several feet of ice can
form on a structure. The potential for ice accumulation may affect the type
of gate or valve and/or the type of energy dissipation structure selected. For
example, a free discharging outlet works may produce a lot of spray that can
freeze and accumulate on the structure, compared to a submerged discharge
into a stilling well. In addition to designing the concrete structures for ice
loads, ice loads can also affect the design and operation of outlet works
gates or valves. An ice-prevention system may be used to keep the outlet
works operational during winter conditions; however, these systems should
not be relied on to eliminate ice loads.
In addition to ice loads, frost heave is another load that should be

considered. Defensive design measures (such as free-draining fill40 next to
the walls and other drainage features) are used to mitigate loads associated
with frost heave. Sections of an outlet works that may be susceptible to
frost heave include portions of inlet structures above the reservoir level,
conveyance features such as chutes, and portions of stilling basins above the
tailwater level. For more information about mitigating frost heave, refer to
Frost Action in Soil Foundations and Control of Surface Structure Heaving
[51] and Drainage for Dams and Associated Structures [52]. For usual
loading combinations associated with stability evaluation, see Section 4.8.3,
“Stability Design,” in this chapter. For structural design methods, see
Section 4.8.4, “Reinforced Concrete Design,” in this chapter.
40
Free-draining fill will typically be pervious backfill, which is similar to embankment zones
of sands and gravels. Pervious backfill consists of selected materials that are reasonably well
graded to 3-inch minus when adjacent to structures and 5- to 6-inch maximum size (except with
occasional fragments larger than 5 to 6 inches) when not adjacent to structures. Also, pervious
backfill shall not contain more than 5 percent fines (material passing the standard No. 200 sieve).
DS-14(4) July 2021 4-135

• Wind loads. If no site-specific or regional wind data (using American

Society of Civil Engineers [ASCE] 7 [56]) are available, a uniform
horizontal load of 30 pounds per square foot per foot (lb/ft2/ft)
(corresponding to an 86-mile-per-hour sustained wind) [47] on the exposed
area of the outlet works surface feature can be used. For usual loading
combinations associated with stability evaluation, see Section 4.8.3,
“Stability Design,” in this chapter. In this combination, the wind load may
apply if there are high-profile (exposed) outlet works features such as tower
intake structures. Wind loads may also apply for unusual loading
combinations associated with stability evaluation (see Section 4.8.3,
“Stability Design,” in this chapter). For this combination, the wind load
may apply during construction and prior to backfilling outlet works features.
For structural design methods, see Section 4.8.4, “Reinforced Concrete
Design,” in this chapter.
• Silt loads. Silt loads could be a factor for outlet works. Situations could
occur where silt accumulates adjacent to a submerged intake structure. If no
site-specific data are available, an equivalent fluid horizontal pressure of
85 lb/ft2/ft and a vertical pressure of 120 lb/ft2/ft can be used [47]. Note that
the pressure magnitude varies with depth, and the values include the effects
of water within the silt.
• Earthfill loads. For lateral loads, both active and at-rest conditions may
apply, or, depending on direction of movement, passive conditions may
apply. In general, for relatively thin walls, such as those associated with a
chute conveyance feature where adjacent fill has not been compacted, there
may be sufficient deflection that the active soil wedge will form. However,
for more rigid walls or features, such as those associated with a control
structure, conduit, and terminal structure, and/or where adjacent fill has
been compacted, at-rest lateral loading should be considered. As a general
guideline, minimum movement of the wall at the top of fill is related to
various design pressures and summarized by the following bullets [55]:
o Active pressure. For loose (uncompacted) fill, minimum

movement is 0.002H; for dense (compacted) fill, minimum
movement is 0.0005H (where H is depth of fill adjacent to the wall).
o Passive pressure. More movement than cited for active conditions.

For loose (uncompacted) fill, minimum movement is 0.006H; for
dense (compacted) fill, minimum movement is 0.002H.
o At-rest pressure. Less movement than cited for active conditions

and more movement than cited for passive conditions.
4-136 DS-14(4) July 2021

Note that once walls are deflected, they will remain deflected unless the
walls can overcome passive pressure.
Consult with involved geotechnical engineers to develop assumed values

if site data are not available. If this is not possible, and there are no
site-specific data, equivalent lateral pressures of 40 lb/ft2/ft for pervious
backfill and 43 lb/ft2/ft for embankment materials (dry soil), and
85 lb/ft2/ft (saturated soil) can be used (if active pressure conditions
apply) [47]. Additionally, unit weights of 120 lb/ft3 for pervious backfill
and 130 lb/ft3 for embankment materials (dry soil), and 135 lb/ft3
(saturated soil) can be used as default values. Note that the pressure
magnitude varies with depth. Where site-specific data are available, the
total lateral soil pressure (based on Mohr-Coulomb considerations) can be
estimated. For usual, unusual, and extreme loading combinations
associated with stability evaluation, see Section 4.8.3, “Stability Design,”
in this chapter. For seismic loading considerations and structural design
methods, see Section 4.8.2, “Seismic (Earthquake) Loads,” and
• Construction loads. A construction load is temporary and should be

treated as a surcharge load. These loads may be caused by construction
equipment moving adjacent to an outlet works chute wall or adjacent to or
over a conduit, or by the storage of construction materials on fill adjacent to
a wall. If no site-specific data are available, an approximate equivalent
horizontal and vertical uniform surcharge load of 133 lb/ft2/ft and
400 lb/ft2/ft, respectively, can be used. Although this approximate
construction load can be used for preliminary or planning-level designs,
construction loads for final designs should be based on anticipated
equipment moving or placed adjacent to the outlet works. For unusual
loading combinations associated with stability evaluation, see Section 4.8.3,
“Stability Design,” in this chapter. For structural design methods, see
• Earthquake loads. See Section 4.8.2, “Seismic (Earthquake) Loads,” in

this chapter for selecting the seismic design load(s). Both pseudo-static and
dynamic analysis methods may be employed to estimate the response of the
structure to the earthquake loads. For extreme loading combinations
associated with stability evaluation, see Section 4.8.3, “Stability Design,” in
this chapter. For structural design methods, see Section 4.8.4, “Reinforced
Concrete Design,” in this chapter.
DS-14(4) July 2021 4-137

4.8.2 Seismic (Earthquake) Loads

As a guideline, the initial design earthquake loading conditions for outlet works
include:
• For noncritical41 features and/or components, the DBE is assumed as the

initial loading condition. The DBE is defined as a seismic event that has a
90-percent probability of nonexceedance in a 50-year timeframe or a return
period of about 500 years.
• For critical42 features and/or components, the 10,000-year earthquake is

generally assumed as the initial loading condition. This return period is
based on Reclamation’s public protection guidelines of an annualized
failure probability of less than 1E-4 [29]. The final seismic loading
generally will not exceed the 50,000-year earthquake and will be dependent
on downstream consequences typically evaluated in a risk analysis.
These initial assumed seismic loading conditions may or may not be adequate to
reduce or maintain total risks at acceptable levels. Using the process outlined in
Table 4.3.2.2-1, “Procedure for Outlet Works Design Using Quantitative Risk
Analysis Methodology,” in this chapter, more remote seismic return periods may
be needed.
To determine the appropriate seismic loads for an outlet works, identification and
evaluation of seismic-induced credible PFMs are undertaken. For more details,
see appendix B, which contains a list of typical PFMs for outlet works. If there
are seismic-induced credible PFMs, the design load is determined through the
process outlined in table 4.3.2.2-1. This process begins with assuming initial
design loading conditions.
Analytical tools used to estimate the response of the structure to the earthquake
loads involve pseudo-static and dynamic methods. These include:
• Pseudo-static methods. These methods are typically used during appraisal

and feasibility design. On occasion, these methods may be used during
final design when dealing with common, simple structures without complex
soil-structure interactions that are subject to small to moderate seismic
loading. These pseudo-static methods include:
41
A noncritical feature is one that could become damaged or fail without leading to damage
and/or failure of the dam and without inhibiting outlet works releases to protect the dam [57].
42
A critical feature is one in which damage or failure could lead to damage and/or failure of the
dam and/or other appurtenant features. Failure may result in uncontrolled releases of the reservoir
and/or generate unacceptable downstream hazards. Additionally, failure could also result in an
inoperable structure that is unable to make releases to protect the dam against failure [57].
4-138 DS-14(4) July 2021

o Westergaard method. The Westergaard method estimates

hydrodynamic loading. For more details about applying the
Westergaard method, see Chapter 6, “Structural Design
Considerations for Spillways and Outlet Works,” of this design
standard.
o Mononobe-Okabe method. The Mononobe-Okabe (M-O) method

estimates dynamic lateral soil loading. The M-O theory computes
the net static and dynamic force acting on a flexible (yielding)
structure. For positive horizontal accelerations (soil accelerates
toward the wall), the net dynamic active force (PAE) is greater than
the net static active force (Pa), and the net dynamic passive force
(PPE) is less than the net static passive force (Pp). Thus, compared
with static conditions, the seismic earth pressures increase from the
driving side soil mass and decrease from the resisting side soil mass.
A limitation of the M-O method in higher seismic regions is that the
soil angle of internal friction (φ)43 must be greater than the seismic
inertial angle (ψ),44 which is a function of the horizontal
acceleration. The M-O equations yield negative radicals (complex
numbers) under such large seismic accelerations. A summary of the
fundamental M-O assumptions is presented below:
▪ The wall yields sufficiently when subjected to active

pressures.
▪ The backfill is cohesionless.
▪ The soil is assumed to satisfy the Mohr-Coulomb failure

criterion.
▪ When the minimum active pressure is attained, a soil

wedge behind the wall is at the point of incipient failure,
and the maximum shear strength is mobilized along the
potential slip plane.
▪ Failure in the backfill occurs along a slip plane surface that

is inclined at some angle with respect to the horizontal
backfill passing through the toe of the wall.
▪ The soil wedge behaves as a rigid body, and accelerations

are constant throughout the mass.
43
Soil angle of internal friction for a given soil is the angle determined from a Mohr’s Circle of
the shear stress and normal effective stresses at which shear failure occurs.
44
Seismic inertial angle is a function of the horizontal and vertical acceleration coefficients
typically expressed as the arc-tangent of the horizontal acceleration coefficient over one minus the
vertical acceleration coefficient.
DS-14(4) July 2021 4-139

▪ Equivalent static horizontal and vertical forces are applied

at the center of gravity of the wedge and represent the
earthquake forces.
▪ Equivalent liquefaction is not a consideration for the

backfill.
▪ The backfill is completely above or completely below the

water table, unless the ground surface is horizontal, in
which case the backfill can be partially saturated.
▪ The ground surface is planar, not irregular or broken.
▪ Any surcharge is uniform and covers the entire soil surface.
▪ The soil angle of internal friction must be greater than the

seismic inertial angle (φ ≥ ψ). The M-O method may not
be applicable for large seismic accelerations. For example:
a horizontal acceleration of 0.6 g, with a vertical
acceleration of 0.0 g and a soil angle of internal friction
value of 30 degrees, would result in φ < ψ. The
M-O method would not be applicable in this case.
For more details about applying the M-O method, see Chapter E-7,
“Seismic Evaluation of Retaining Walls,” in Best Practices [9] and
Chapter 6, “Structural Design Considerations for Spillways and
o Woods method. The Woods method estimates dynamic lateral soil

loading (only applicable for nonyielding wall conditions). The
Woods method is based on linear elastic theory and on idealized
representations of the wall-soil structural system. Elastic methods
were originally developed and applied for the design of basement
walls that would be expected to experience very small
displacements under seismic loading and, as such, can be considered
as rigid, nonyielding walls. The fundamental assumption for the
elastic methods is that the relative soil-structure displacement
generates soil stresses in the elastic range of the material. Elastic
methods are usually based on elastic wave solutions and are thought
to represent upper-bound dynamic earth pressures and, as a result,
produce seismic loads greater than those of the M-O method. The
Woods method predicts a total dynamic thrust acting at a height
equal to approximately 0.58H above the base of the wall. A
summary of the fundamental Woods assumptions is presented
below:
4-140 DS-14(4) July 2021

▪ The wall is a rigid, nonyielding wall.
▪ Soil stresses are in the elastic range.
▪ Computed dynamic thrust loads must be added to static

lateral earth loads.
▪ Computed dynamic thrust loads are a function of the soil

Poisson’s ratio.
▪ Computed dynamic thrust loads are a function of the ratio

of the effective horizontal length of the backfill to the
height of the backfill.
▪ Not limited for large seismic accelerations.
▪ The earthquake shaking frequency is much less than the

fundamental frequency of the backfill.
For more details about applying the Woods method, see

chapter E-7 in Best Practices [9] and chapter 6 of this design
standard.
o Self-weight inertia (added mass). Any pseudo-static analysis will

include the inertia forces associated with earthquake-induced
acceleration of the spillway structure or feature, such as a wall. For
more details, see chapter 6 of this design standard.
• Dynamic methods. Linear and nonlinear, two-dimensional and

three-dimensional Finite Element Model (FEM) methods are typically
employed for some feasibility designs and for some final design level
efforts (not all high-level designs will require FEM methods). Also,
these methods are used for very large seismic loadings and complex
soil-structure interactions. For more details about applying linear and
nonlinear, two-dimensional and three-dimensional FEM methods, see
chapter E-7 in Best Practices [9] and chapter 6 of this design standard.
4.8.3 Stability Design

A number of foundation and structural stability conditions must be evaluated
during the analysis and/or design of an outlet works. These conditions are
grouped by loading combinations and are discussed in the following sections.
DS-14(4) July 2021 4-141

4.8.3.1 Loading Combinations

Loading combinations for outlet works stability design typically are grouped into
three categories, including:
• Usual (normal or service) loading combination. Loading conditions

include the maximum normal RWS, with appropriate dead loads, uplift, silt,
ice, and tailwater. Foundation and structural stability should be evaluated
for this loading combination, which is further discussed in Section 4.8.3.2,
“Stability Conditions,” in this chapter.
• Unusual loading combination. Loading conditions include the

flood-induced maximum design RWS, with appropriate dead loads, uplift,
silt, and tailwater. (Note: In some cases, these loading conditions have
been evaluated as an extreme loading combination primarily when the
maximum design flood is associated with an extremely remote event, such
as the PMF). A variation of the loading combination is to assume that the
drainage system is inoperable and evaluate this with full uplift. Foundation
and structural stability should be evaluated for this loading combination,
which is further discussed in Section 4.8.3.2, “Stability Conditions,” in this
chapter.
• Extreme loading combination. Loading conditions include maximum

normal RWS, with appropriate dead loads, uplift, silt, ice,45 and tailwater,
plus earthquake loadings. Foundation and structural stability should be
evaluated for this loading combination, which is further discussed in
Section 4.8.3.2, “Stability Conditions,” below.
4.8.3.2 Stability Conditions

As previously noted, stability conditions are evaluated, and the methods used are
summarized below:
• Overturning displacement occurs when a structural feature (such as a

wall) rotates about an axis point (such as the end base point of the wall), or
the sum of the overturning (destabilizing) moments about the end base
point of the wall exceeds the sum of the resisting (stabilizing) moments
about the end base point of a wall [55]. Outlet works features typically
evaluated for overturning displacement include: tower intake structures
and/or counterforted walls; control structures including wet wells, along
with any control structure with cantilever, gravity, and/or counterforted
walls; conveyance features, specifically chutes with cantilever, gravity,
and/or counterforted walls; and terminal structures with cantilever,
45
Ice loads would be included if present for a significant part of the winter. Ice loads would
not be included if limited to days to several weeks.
4-142 DS-14(4) July 2021

gravity, and/or counterforted walls. Of note, if the resultant of all forces

acting on the feature falls within the middle third of the base of the
feature, adequate safety against overturning exists. The governing
equation is:
SFOVERTURNIN G =
M RESISTING
M OVERTURNIN G
Where: SFOVERTURNING is the safety factor (see

Table 4.8.3.2-1, “Minimum Safety Factors,”
which appears later in this document).
∑MRESISTING is the sum of (total) resisting moments about
designated tipping point (such as the toe of a
retaining wall) and can include the effects of anchor
bars and/or rock bolts (foot-pounds [ft-lb]).
∑MOVERTURNING is the sum of (total) overturning moments
about designated tipping point (such as the toe of a
retaining wall) (ft-lb).
• Sliding displacement occurs when a structural feature (such as a chute

conveyance feature) slides along the contact with the foundation, and the
adjacent foundation slides along joints and/or zones of weakness within the
foundation. Sliding occurs when the sum of the driving forces exceeds the
sum of the resisting forces (shear strength of the foundation contact and/or
foundation) [55]. Spillway features typically evaluated for sliding
displacement include: inlet structures; control structures; conveyance
features, specifically chutes; and terminal structures. The governing
equation is:
CA + ( N + U ) tan 
SFSLIDING =
V
Where: SFSLIDING is the safety factor (see Table 3.8.3-1,
“Minimum Safety Factors”).
C is the cohesion at the interface between the structure and
foundation (lb/ft2).
A is the contact area of the interface between the structure
and foundation (ft2).
∑N is the sum of the normal forces acting on the interface
between the structure and foundation (lb).
∑U is the sum of the uplift forces acting on the interface
between the structure and foundation (designated as
negative values) (lb).
DS-14(4) July 2021 4-143

tan is the coefficient of internal friction associated with

the interface between the structure and foundation.
∑V is the sum of the shear forces acting on the interface
• Bearing capacity displacement occurs when the bearing pressure of the

outlet works feature (such as a tower intake structure) exceeds the ultimate
bearing capacity (shear strength) associated with its foundation (rock or
soil). If site-specific data are not available, consultation with involved
geotechnical engineers and/or geologists may be warranted. Also, an initial
assumption can be made that the allowable bearing pressure is one-half (for
soil foundation) to one-quarter (for rock foundation) of the ultimate bearing
capacity [55]. Spillway features typically evaluated for bearing capacity
displacement include: inlet structures; control structures; conveyance
features, specifically chutes; and terminal structures. The governing
equation is:
PALLOWABLE
SFBEARING =
PCALCULATED
Where: SFBEARING is the computed safety factor that must be

greater than the required minimum safety
factor (see Table 4.8.3.2-1, “Minimum Safety
Factors”).
PALLOWABLE is the maximum allowable pressure permitted
for a given foundation (this will be a percentage of
the ultimate bearing capacity of the foundation
PULTIMATE) (lb/ft2).
PCALCULATED is the calculated pressure acting on a given
PULTIMATE is the maximum pressure that a foundation can
sustain without exceeding the shear strength of the
• Floatation displacement occurs when the vertical load (weight) of the

outlet works feature (such as a stilling basin terminal structure which has
been isolated from the tailwater by stoplogs and unwatered, or when
a stilling basin sweepout occurs; i.e., the hydraulic jump is pushed
downstream out of the stilling basin) is exceeded by buoyant forces (such as
the uplift due to tailwater around the outlet works feature). Outlet works
features typically evaluated for floatation displacement include: isolated
and unwatered submerged intake structures; isolated and unwatered
conveyance features, specifically conduits; isolated and unwatered terminal
structures; and during operation with the minimum depth of flow (d1)
4-144 DS-14(4) July 2021

entering the stilling basin (upstream of the hydraulic jump), and the
conjugate depth of flow (d2) exiting the stilling basin (downstream of the
hydraulic jump). Of note, safety factors for floatation are typically
calculated assuming that drains are not functioning and anchor bars are not
considered. The governing equation is:
SFFLOATATION =
L
U
Where: SFFLOATATION is the computed safety factor that
must be greater than the required minimum safety
factor (see Table 4.8.3.2-1, “Minimum Safety
Factors”).
∑L is the sum of (total) vertical forces acting on the
interface between the structure and foundation (lb).
∑U is the sum of the uplift forces acting on the interface
Minimum safety factors have been established and are associated with loading
combinations (see Section 4.8.3.1, “Loading Combinations” in this chapter).
Note that higher safety factors for both new and existing outlet works may be
required to meet Reclamation’s quantitative risk analysis guidelines. The safety
factors are summarized in table 4.8.3.2-1.
Table 4.8.3.2-1. Minimum Safety Factors

Stability Conditions Load Combinations Minimum Safety Factors
Overturning* Usual (normal) 1.5**
Unusual 1.15**
Extreme 1.15**
Sliding Usual (normal) 1.5**
Unusual 1.15**
Extreme 1.15**
Bearing capacity Usual (normal) - soil 2.0**
Usual (normal) - rock 4.0**
Unusual - soil 1.5**
Unusual - rock 3.0**
Extreme - soil 1.5**
Extreme - rock 3.0**
Floatation Usual (normal) 1.2***
Unusual 1.1***
Extreme 1.1***
* Low overturning safety factors are likely to be an indicator that other types of instability can
occur, such as bearing capacity or sliding due to shearing at the base of the structure. This is
due to rotating a structure about a point which will result in high stress concentrations in the
structure and/or foundation.
** Reference: Design Criteria for Concrete Retaining Walls [55]
*** Reference: Chapter 2, “Structural Design Data,” of Design Standards No. 9 [58].
DS-14(4) July 2021 4-145

Again, it is stressed that these are minimum (default) safety factors that may need
to be increased to achieve acceptable risk levels associated with Table 4.3.2.2-1,
“Procedures for Outlet Works Design Using Quantitative Risk Analysis
Methodology.”
4.8.4 Reinforced Concrete Design

Reclamation has been designing concrete structures for over 100 years, and many
changes and advancements have occurred. One of the more significant design
changes has been the shift from the Alternate Design (Working Stress Design)
Method46 to the Strength Design Method.47 Current Reclamation reinforced
concrete design methodology employs the ACI building codes as a minimum.
For most hydraulic structures, such as outlet works, ACI 350-06, ACI Code
Requirements for Environmental Engineering [53], is used to establish minimum
reinforced concrete design levels. For significant- and high-hazard storage and
multipurpose dams and their appurtenant structures (such as outlet works), a
risk-based evaluation, analysis, and/or design will typically be needed, resulting
in designs equal to or exceeding the applicable ACI building codes. Applying
risk methodology to evaluation, analysis, and/or design associated with modifying
an existing outlet works or constructing a new outlet works is outlined in
Table 4.3.2.2-1, “Procedure for Outlet Works Design Using Quantitative Risk
Analysis Methodology,” in this chapter, and it is further discussed in various
chapters of Best Practices [9].
A brief overview of reinforced concrete design is discussed in the following

paragraphs.
4.8.4.1 Strength Design

This design approach is based on the fundamental concept that structures and
structural members shall be designed to have design strengths at all sections at
least equal to the required strengths calculated for the factored loads and forces in
such combinations as stipulated in ASCE 7, Minimum Design Loads for Buildings
and Other Structures [56] and ACI 318, Building Code Requirement for
Structural Concrete and Commentary [54]. This basic requirement for strength
design can be expressed as:
46
For the Alternate Design Method, a structural element is designed so that stresses from
service loads do not exceed allowable values. Stresses computed by this method will be within the
elastic range, and straight-line variation between stress and strain is used. As of 2002, this method
has been eliminated from the ACI building codes.
47
For the Strength Design Method, the service loads are increased by load factors to obtain the
ultimate design load. The structural element is then designed to provide the desired ultimate
design strength. The method takes into account the nonlinear stress-strain behavior of concrete.
4-146 DS-14(4) July 2021

Design Strength ≥ Required Strength
The design strength provided by a member in terms of flexure, axial load, shear,
and torsion is taken as the nominal strength determined in accordance with the
requirements and assumptions of ACI 318, multiplied by the appropriate strength
reduction factors (φ) presented in the same code [54]. This is expressed as:
Design Strength = φ (Nominal Strength)
The required strength (U) is expressed in terms of combinations of factored loads,

or related internal moments and forces. Factored loads are applicable loads
specified in general building codes, such as ASCE 7 [56], multiplied by
appropriate load factors (LF). This is expressed as:
Required Strength (U) = LF (Load)
In strength design, the margin of safety is provided by the combined effects of

multiplying the computed service loads by the appropriate load factor and
multiplying the nominal (expected) strength by a strength reduction factor.
4.8.4.2 Loads
The loads that are generally considered for designing outlet works structures may
include, but are not limited to:
• Permanent loads:
o D = dead loads from structural and mechanical components

o F = vertical load from weight of soil or water
o H = static lateral earth pressure (including surcharge) and lateral
water pressure loads
• Transient loads:
o E = Earthquake loads
o S = Snow/ice loads
o L = Live loads
o T = Temperature loads
o W = Wind loads
For more information about loads, see Section 4.8.1, “Loading Conditions,” in
this chapter.
4.8.4.3 Load Combinations

The load combinations associated with load factors for strength design are
provided in chapter 2 of ASCE 7 [56]. Load factors are assigned by structural
code based on the degree of accuracy to which the load effect can be calculated
DS-14(4) July 2021 4-147

and the variation that might be expected in the load during the lifetime of the
structure. Load factors also account for the variability in the structural analysis
used to compute moments and shears.
4.8.4.4 Load Factors

Typical load combinations used for the design of outlet works are presented
below; however, the designer must refer to chapter 2 of ASCE 7 [56] to determine
all appropriate load combinations and load factors:
U = 1.4 (D+F)
U = 1.2 (D+F+T) + 1.6 (L+H) + 0.5S
U = 1.2D + 1.6S + (L or 0.8W)
U = 1.2D + 1.6W + L + 0.5S
U = 1.2D + 1.0E + L + 0.2S
U = 0.9D + 1.6W + 1.6H
U = 0.9D + 1.0E + 1.6H
Seismic load factors need special consideration for Reclamation designs.

Specifically, earthquake loads are determined based on risk-based studies and, as
such, seismic load factors should be determined relative to the level of seismic
design established on a project-by-project basis.
4.8.4.5 Strength Reduction Factors (φ)

These factors for reinforced concrete strength design are provided in ACI 318
[54]. The purpose of strength reduction factors is to allow for the probability of
under-strength members, due to variations in material strengths and dimensions,
to allow for inaccuracies in design equations, to reflect the degree of ductility, to
reflect the required reliability of the member under load effects being considered,
and to reflect the importance of the member in the structure. Strength reduction
factors provided in ACI 318 [54] include:
φtens = 0.9 for tension controlled sections
φcomp = 0.65 for compression controlled sections
φspiral = 0.75 for compression controlled sections with adequate spiral

reinforcement
4-148 DS-14(4) July 2021

φshear = 0.75 for shear
φtorsion = 0.75 for torsion
4.8.4.6 Serviceability Considerations for Hydraulic Structures

Hydraulic structures, such as outlet works, have unique serviceability
requirements that need to be considered as part of their design. Specifically,
outlet works structures are expected to be durable structures with a design life in
excess of 50 years. Their ability to perform as designed under unusual flood
conditions is paramount to the overall safety of the dam. In addition, they are
often subjected to harsh environments, including extreme temperature variations
and severe wet and dry cycles.
ACI 350 [53] uses an environmental durability factor (Sd) to reduce the effective
stress and limit the extent and width of concrete cracks to provide additional
durability throughout the design life of the structure. The value of Sd varies with
individual load factors and with the applicable strength reduction factors. The
required strength U listed in section 4.8.4.4 is multiplied by Sd.
USACE Engineering Manual EM-1110-2-2104 [59] uses minimum load factors

that have been increased to provide the same effect as the environmental
durability factor in ACI 350. The load factors for serviceability are applied for
usual and unusual loads, and the load factors for strength are applied for extreme
loads. EM-1110-2-2104 uses USACE specific return periods for categorizing
loads as usual, unusual, or extreme. For Reclamation designs, return periods for
these load categories will be developed on a case-by-case basis if the factors in
EM-1110-2-2104 are used.
An additional serviceability consideration is protecting the concrete flow surfaces

from erosion due to abrasion from high velocity flows or high levels of sediment
being passed. The concrete may be protected by increasing the thickness of the
concrete (increasing clear cover) to provide a sacrificial layer of concrete. For the
regulating valves (fixed-cone valves) at Jordanelle Dam, a steel liner was used in
the energy dissipation structure to protect the concrete from high velocity flow
induced erosion.
4.8.4.7 New Concrete and Reinforcement Properties

In the absence of laboratory testing data and site-specific design data, the
following concrete material properties can be used for reinforced concrete design
of a new outlet works or for modifications to an existing outlet works:
• Compressive strength at 28 days (fc’) = 4,500 lb/in2 (fc’ is based on ACI 318
[54] or 350 [53] exposure category F1, F2, and F3, where concrete is
exposed to moisture and cycles of freezing and thawing).
DS-14(4) July 2021 4-149

• Tensile strength (ft) = 0.04 to 0.06 fc’
• Shear strength:
o Cohesion (c) = 0.1 fc’

o Coefficient of internal friction (tanφ) = 1.0
• Sustained (static) modulus of elasticity (Es) = 4.1E6 lb/in2
• Coefficient of thermal expansion (α) = 5.0E-6 oF
• Poisson’s ratio (μ) = 0.20
• Unit weight (γc) = 150 lb/ft3
Also, all reinforcing bars will have a yield strength (fy) of 60,000 lb/in2.
Furthermore, with few exceptions, using corrosion protection,48 such as
epoxy-coated reinforcing bars, is not standard practice.
4.8.4.8 Existing Concrete and Reinforcement Properties

A consideration that should not be overlooked when dealing with modifying
existing structures is determining the material properties and design methods used
for an existing outlet works. Ideally, there are existing technical references that
document the original material properties and design methods, or field testing will
be done to determine the existing material properties. However, in some cases
where technical information is not available, engineering judgment must be
employed, which can be supported by a good understanding of the evolution of
concrete and reinforcement during the last century. An approach used by
Reclamation is based on the existing outlet works’ time of construction, using
information found in Chapter 6, “Structural Considerations for Spillways and
Outlet Works,” of this design standard, and other references [60] to identify likely
concrete material properties and reinforcing bar yield strength and sizes for that
period. As an example, reinforcement embedment and splice lengths in older
concrete structures may not be adequate to develop the full strength of the
reinforcing bars, thus limiting the effectiveness of the reinforcement in critical
(high stress) areas of the structure. Note that reasonable ranges of concrete
material properties and reinforcing bar data should be used in a parametric
(sensitivity) evaluation, to reflect potential concrete strength gain (or loss) over
48
Adequate corrosion protection can typically be achieved by encasing the reinforcing bars in
concrete. Additional corrosion protection, such as cathodic protection or epoxy-coated reinforcing
bars, seldom has been considered given any additional benefits versus cost.
4-150 DS-14(4) July 2021

time, and potential variation in reinforcing steel properties. The results of this
parametric evaluation would be incorporated into the overall modification design
of the outlet works.
4.8.5 Reinforcement
The sizing and layout of reinforcement is an important design activity, and the
level of effort will be influenced by the approach used to portray reinforcement.
One of two reinforced structural specifications drawing formats will apply [61]:
• Typical sections and window drawings. Applicable to simple structures

(such as a grade control sill or a small chute or retaining wall) and may be
included as part of the outline drawings. This type of reinforcement
detailing must be sufficient to bid, inspect, and construct the structure
without further information. Typical placement patterns of reinforcement
are shown in “windows” with reinforcing bar size and spacing indicated
(not all reinforcing bars are shown).
• Detailed concrete reinforcement design drawings. Applicable to most

features (such as control structures, chutes, conduits, tunnel lining, and
terminal structures) that are not considered simple structures. These are
typically separate drawings from the outline drawings. These drawings
show reinforcing bars in at least two views (plan, profile, section, and/or
details) and define true length, shape, size, number, and location, along with
sufficient detail for the contractor to determine the placement patterns of
reinforcement. This also allows construction management staff to
determine if the reinforcement placement patterns meet the design intent.
Guidelines concerning reinforcement layout can be found in ACI Detailing

Manual 2004 (SP-66) [62]. Also, see TM TSC-8100-Standards-2016-1 (Standard
Drawings 40-D-60003 and 40-D-60004, Revision 0 – “Background and
Development”) [63]. In addition to these references, other general design
considerations are further discussed in the Working Document – GUI-8130-1,
Detailed Reinforcement Drawing Guidelines [64], found in Chapter 6, “Structural
Considerations for Spillways and Outlet Works,” of this design standard.
4.8.6 Joints, Waterstops, and Tolerances

Design considerations involve identifying and locating joints and waterstops,
along with specifying surface tolerances for reinforced concrete outlet works,
which are summarized in the following sections.
DS-14(4) July 2021 4-151

4.8.6.1 Joints
Identifying and locating joints for modified and new reinforced concrete outlet
works are important design considerations. Particularly for flow surfaces, proper
detailing can mitigate the development of adverse hydraulic conditions such as
stagnation pressure and/or cavitation. The majority of joints associated with an
outlet works include construction joints (CJ), contraction joints (CrJ), and control
joints (CtJ). Additionally, on a limited basis, expansion joints (EJ) are used on
some outlet works features such as access bridges and limited to non-water
bearing walls. With some exceptions, these joints are oriented perpendicular and
parallel to the outlet works centerline (floor, conduit/tunnel joints) and vertical
(wall, conduit/tunnel joints). Further details concerning these joints are provided
below.
4.8.6.1.1 Construction Joints

The CJs are chemically bonded surfaces or planes produced by placing
fresh concrete against surfaces of clean hardened concrete. Reinforcement
is continuous across CJs, and waterstops and keys are seldom used (see
figure 4.8.6.1.1-1). The expectation is that CJs will be as strong as the concrete
matrix (i.e., not create a plane of weakness). To ensure bonding, the joint surface
of the existing concrete to be covered with fresh concrete should be clean,
roughened, and SSD. For definition of SSD, see Section 4.7.2.1.4, “Cleanup,” in
this chapter. This would include removing all laitance, loose or defective
concrete, coatings, sand, curing compound, and other foreign materials.
Sandblast, steel shotblast, high-pressure water jet, or other methods approved by
Reclamation may be used to create acceptable surfaces. The location and spacing
of the CJs are governed by the anticipated concrete placement capacity, concrete
forming requirements, and requirements for second-stage concrete construction
(such as installation of metal work in a blockout that is later filled with concrete).
The CJs are also intended to reduce initial shrinkage stresses and cracks. The
CJ locations are usually planned (located) as part of the design and shown on the
drawings. Optional construction joints (OCJs) may also be added by the designer
and shown on the drawings. The OCJs are intended to facilitate construction but
are not required. Use of the OCJs shown on the drawings is up to the contractor.
Additional CJs requested by the contractor must be approved by the designer of
record. Some CJs may be required because of inadvertent and/or unanticipated
delays (due to weather, equipment breakdown, etc.) in concrete placement. The
CJ orientation is typically horizontal (separating one concrete placement from the
next concrete placement, such as placing an outlet works conduit arch section on
the previously placed conduit base section). An exception is using CJs normal to
the flow direction in tunnels. Vertical and/or diagonal orientation of a CJ can
be satisfactorily achieved with appropriate levels of care and oversight
during construction. Examples of horizontal and vertical CJs are shown in
figure 4.8.6.1.1-1.
4-152 DS-14(4) July 2021

Construction of new river outlet works -

conduit sections and stilling basin wall of
river outlet works, which employs
horizontal CJs between concrete
placements
CJs
Construction of new river

outlet works – tunnel
section which employs
vertical CJs
Figure 4.8.6.1.1-1. CJ orientation (horizontal and vertical).
DS-14(4) July 2021 4-153

4.8.6.1.2 Contraction Joints

The CrJs are unbonded surfaces separating adjacent concrete placements. Sealing
and/or curing compounds or other bond breakers are placed against the existing
concrete on the initially cast portion of concrete to prevent bonding with the
concrete placed against it. Separation of adjacent concrete placements and/or
structures is used to relieve tensile stresses and cracking induced by shrinkage.
For longitudinal floor joints, CrJs are vertical and extend from the foundation to
the top of the concrete placement. Transverse floor CrJs are normal (90 degrees)
to the centerline of the outlet works and normal to the slope of the flow surface.
Transverse wall CrJs are normal (90 degrees) to the centerline of the outlet works
and vertical. For details of flow surface CrJs, see figures 4.8.6.1.2-1, 4.8.6.1.2-2,
and 4.8.6.1.2-3. Reinforcement is not continuous across CrJs to prevent any
moment transfer (floor CrJs are an exception, where plain reinforcing dowels
extend across the CrJs). With few exceptions, waterstops (see Section 4.8.6.2,
“Waterstops,” in this chapter for more information, and see standard drawing
40-D-6463) are used for flow surface CrJs, and formed concrete keys across the
CrJs may be employed (see standard drawing 40-D-5249).49 The location and
spacing of CrJs should be governed by the physical features of the outlet works,
temperature study results, concrete placement methods, and the potential concrete
placing capacity. Also, foundation conditions (such as a transition from rock
foundation to soil foundation) may be a factor in location of floor CrJs. Typical
CrJ spacing ranges from 15 to 40 feet. It is highlighted that large spacing
(typically greater than 20 feet) could be more susceptible to shrinkage cracking.
When considering large spacing of joints, consideration should be given to
undertaking concrete mix designs and temperature studies to evaluate cracking
potential and joint spacing.
4.8.6.1.3 Control Joints

The CtJs are unbonded surfaces separating adjacent concrete placements. Sealing
and/or curing compound or other bond breakers are placed against the concrete on
the initially cast portion of concrete to prevent bond with the concrete placed
against it. Separation of adjacent concrete placements and/or structures is used to
relieve tensile stresses and cracking induced by shrinkage. For longitudinal floor
joints, CtJs are vertical and extend from the foundation to the top of the concrete
placement. Transverse floor, conduit, and tunnel CtJs are normal (90 degrees) to
the centerline of the outlet works and normal to the slope of the flow surface. For
details of flow surface CtJs, see figures 4.8.6.1.3-1, 4.8.6.1.3-2, and 4.8.6.1.3-3.
49
Standard drawings are not included with this design standard due to the frequency of change
(typically, standard drawings are reviewed and updated whenever the ACI building code is
updated, which is more frequently than design standards are updated). Standard drawings may be
accessed by Reclamation staff through the INTRANET, while non-Reclamation staff can request
standard drawings.
4-154 DS-14(4) July 2021

Figure 4.8.6.1.2-1. Transverse CrJs without foundation keys for flow surface slabs.
DS-14(4) July 2021 4-155

Figure 4.8.6.1.2-2. Transverse CrJs with foundation keys for flow surface slabs.
4-156 DS-14(4) July 2021

Figure 4.8.6.1.2-3. Longitudinal CrJs for flow surface slabs and transverse CrJs for flow
surface walls.
DS-14(4) July 2021 4-157

Figure 4.8.6.1.3-1. Transverse CtJs without foundation keys for flow surface slabs.
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Figure 4.8.6.1.3-2. Transverse CtJs with foundation keys for flow surface slabs.
DS-14(4) July 2021 4-159

Figure 4.8.6.1.3-3. Longitudinal CtJs for flow surface slabs and transverse CtJs and CJs for
flow surface conduits and tunnels.
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Reinforcement is continuous across CtJs to allow moment transfer and can

facilitate the bridging of the concrete feature over localized differential
movement (settlement) of the foundation. With few exceptions, waterstops (see
Section 4.8.6.2, “Waterstops,” in this chapter for more information, and see
standard drawing 40-D-6463) are used for flow surface joints, and formed concrete
keys across the CtJs may be employed (see standard drawing 40-D-5249).
The location and spacing of CtJs should be governed by the physical features of
the outlet works, temperature study results, concrete placement methods, and
potential concrete placing capacity. Also, foundation conditions (such as a
transition from rock foundation to soil foundation) may be a factor in location of
floor CtJs. Typical CtJ spacing ranges from 15 to 40 feet. It should be noted that
large spacing (typically greater than 20 feet) could be more susceptible to
shrinkage cracking. When evaluating large spacing of joints, consideration
should be given to undertaking concrete mix designs and temperature studies to
evaluate cracking potential and joint spacing.
For closely spaced reinforcement, a different splice detail for the top face has
been used to reduce the chance of delamination at the joint (see Section 4.8.6.1.4,
“Surface Delaminations Near CrJs and CtJs,” in this chapter). Instead of locating
the splice in the same plane as the reinforcement pattern (and potentially
introducing a plane of weakness), the reinforcing bars are stopped on each side of
the joint, and a single splice bar is placed below the reinforcement that splices to
each bar on either side of the CtJ. This detail can be seen in figures 4.8.6.1.3-1,
4.8.6.1.3-2, and 4.8.6.1.3-3.
4.8.6.1.4 Surface Delamination near CrJs and CtJs

Delamination and/or spalling have been observed near exposed slab CrJs and CtJs
and are associated with outlet works surface features such as chute conveyance
features. It has been postulated that a leading contributor was expansion of
concrete due to solar radiation (see figure 4.8.6.1.4-1). Additionally, corrosion of
exposed reinforcing bars at open CtJs may occur where splicing of the reinforcing
bars may create a plane of weakness. As a possible fix, a surface blockout may be
considered to reduce the potential for temperature-induced (thermal) expansion.
However, care needs to be applied when considering the use of these blockouts
(see figure 4.8.6.1.4-1).
DS-14(4) July 2021 4-161

Delamination
near slab surface
due to solar
Alternative
radiation induced
configuration
expansion of
would include
concrete.
square (rather than
round) edges and
Blockout detail to mitigate sealant filled flush
delamination near joints on slab with flow surface.
surface due to solar radiation induced
expansion of concrete. Limitations/
considerations include:
• A temperature study should be

used to identify significant surface
expansion potential of the
concrete.
• Adverse hydraulics, such as

cavitation, could be exacerbated
by the blockouts. For this reason,
blockouts should only be
considered when the average flow
velocities are less than 50 ft/s
(maximum flow velocity
evaluated in laboratory testing).
• Filler material (sealant) should

adhere to the sides of the blockout
to limit potential accumulation of Flow
water and other material.
Cr.J blockout with
• Inspection and repair (if needed) sealant applied
should be undertaken on a
periodic basis and after each
significant operation of the outlet
works (this effort could be Cr.J blockout detail between existing inlet
significant in terms of time and structure flow surface (floor) and new crest
cost to inspect and repair). structure flow surface (floor), Echo Dam, UT.
Figure 4.8.6.1.4-1. Surface delamination near joints.
4-162 DS-14(4) July 2021

4.8.6.1.5 Expansion Joints

A fourth type of concrete joint used by Reclamation is the EJ, but it is seldom
applicable to a reinforced concrete outlet works. Exceptions are EJs associated
with outlet works access bridges, hoist decks, and non-water bearing walls.
However, a brief discussion is provided for completeness. The EJs are separated,
unbonded surfaces used to prevent stress or load transfer from one feature or
structure to another adjacent feature or structure (see figure 4.8.6.1.5-1).
Materials such as corkboard, mastic, sponge rubber, or other compressible-type
fillers are used to fill the gap between the joint surfaces. The size of the gap and
thickness of the compressible material will depend on the magnitude of the
anticipated movement (deformation). Orientation of EJs is vertical. Also, the
orientation of EJs tends to be either perpendicular or parallel to the centerline of
the outlet works. An example is a bridge crossing over an outlet works terminal
structure (hydraulic jump stilling basin) at a diagonal angle to the outlet works
centerline. However, in this case, the EJs at both bridge abutments would be
parallel to the centerline of the outlet works and diagonal to the orientation of the
bridge. The location and spacing of EJs should be governed by the physical
features of the outlet works, temperature study results, concrete placement
methods, and the potential concrete placing capacity.
4.8.6.1.6 General Guidance for Selecting Joints

Table 4.8.6.1.6-1 summarizes the general guidance for identifying and locating
joints.
As can be seen from table 4.8.6.1.6-1, both CrJs and CtJs have been, and can be,
used for floor joints associated with a rock foundation. Some additional
considerations (based on observations and experience) are summarized below,
which relate to determining whether floor CrJs or CtJs should be used:
• Slabs with CrJs and CtJs are highly constrained (from movement) due to
anchor bars and concrete-foundation cohesion. However, slabs with CtJs
are more constrained given the continuous reinforcement that extends
across the joint.
DS-14(4) July 2021 4-163

Sections of outlet works control structure and wing wall, which employ EJs at the interface
between the control structure and the wing walls.
Figure 4.8.6.1.5-1. EJs.
4-164 DS-14(4) July 2021

Table 4.8.6.1.6-1. Concrete Joints Associated with Outlet Works Features

Concrete joints
Feature CJ CrJ CtJ Comment
Intake structure:
Walls X X CJs horizontal, diagonal.
CrJs vertical and include waterstops (exposed to

water).
Floors (rock X X X CJs horizontal, vertical, diagonal.
foundation)
CrJs normal to flow surface, with plain dowels and
waterstops (exposed to water).
CtJs normal to flow surface and with waterstops

(exposed to water).
Floors (soil X X CJs horizontal, vertical, diagonal.
foundation)
(exposed to water).
Control structure
(gate chamber and
shafts):

water).
foundation)

(exposed to water).
foundation)
(exposed to water).
Shafts X CJs horizontal, diagonal.
Grade control sill X X CJs horizontal.

(exposed to water).
Chute:

water).
Retention walls X X CJs horizontal, diagonal.
CtJs vertical and with waterstops (exposed to water).
DS-14(4) July 2021 4-165

Table 4.8.6.1.6-1. Concrete Joints Associated with Outlet Works Features

Concrete joints
Feature CJ CrJ CtJ Comment
foundation)

(exposed to water).
foundation)
(exposed to water).
Cutoffs (foundation) X X CJs horizontal, vertical, diagonal.

(exposed to water).
Conduit: X X CJs horizontal, diagonal.

(exposed to water).
Tunnel: X X CJs horizontal, diagonal, and normal to flow
surfaces, with or without waterstops.
CtJs limited to tunnel interfaces with other

components near the tunnel portals and control
structures (such as gate chambers). Normal to flow
surface and with waterstops (exposed to water).
Terminal Structure:

water).
foundation)

(exposed to water).
foundation)
(exposed to water).
Cutoffs (foundation) X X CJs horizontal, vertical, diagonal.

(exposed to water).
Chute blocks, X CJs horizontal, diagonal.
dentates, sills
4-166 DS-14(4) July 2021

• Although differential settlement potential associated with a rock foundation

would be expected to be very small (compared to a soil foundation),
consideration should be given to this possibility. A CtJ (with continuous
reinforcement across the joint) tends to provide more capability to bridge
localized foundation settlement than a CrJ (with or without plain dowels or
formed concrete keys extending across the joint).
• Where there is the potential for large daily fluctuations in temperatures near
the concrete surface (example: some southerly facing outlet works chute
floor slabs can experience temperature changes of 70 ºF or more), a CrJ
may be a better choice than a CtJ. Also, as previously discussed in
Section 4.8.6.1.4, “Surface Delamination near CrJs and CtJs,” in this
chapter, expansion material may be considered if temperatures are expected
to generate high compressive loads on the top surface of the concrete.
4.8.6.2 Waterstops
With very few exceptions, waterstops should be included with any flow surface
CrJs and CtJs in slabs (floors), walls, and/or conduits/tunnels. This feature is an
important defensive measure that helps mitigate adverse hydraulic conditions
such as stagnation pressure potential (i.e., hydraulic jacking). Waterstops are
seldom included with CJs or EJs; however, waterstops should be included in the
rare case that an EJ is being used in an impoundment structure (i.e., structure
retains the reservoir).
For new concrete (i.e., new concrete on either side of the joints),
polyvinylchloride (PVC) ribbed with center bulb waterstops is included with flow
surface CrJs and CtJs (see standard drawing 40-D-6463). General guidance for
locating and sizing PVC waterstops includes:
• The overall width of the waterstop should not be greater than the thickness
of the concrete slab, wall, or conduit/tunnel lining (i.e., if the slab is 1 foot
thick, the waterstop width should be less than 12 inches, which would result
in selection of one of the standard widths – either 6 or 9 inches).
• The size (overall width) of the waterstop is also based on the hydraulic head
(hydrostatic and/or stagnation pressure). The design head for different
waterstop sizes is specified by the manufacturer.
• The dimension from the concrete face or surface to the embedded waterstop
must not be less than half the width of the waterstop (i.e., if the waterstop
has a 9-inch width, the embedment dimension must be greater than or equal
to 4.5 inches).
DS-14(4) July 2021 4-167

• The width of the waterstop must be at least six times the maximum sized
aggregate (MSA) used in the concrete mix design (i.e., if the MSA is
1-½ inches, the waterstop must be at least 9 inches).
For the interface between existing and new concrete, “retrofit” (PVC) and/or
“strip” (hydrophilic) waterstops are included with CrJs and CtJs (and some CJs)
(i.e., for joints associated with most flow surfaces and where moisture could be an
issue). Potential considerations associated with hydrophilic waterstops include:
(1) installation temperature must be met; (2) ensure that there is sufficient
concrete cover to mitigate the potential for waterstop expansion cracking the
surrounding concrete; and (3) many wet-dry cycles over time could reduce
expansion potential of the waterstop. Location and size of these retrofit and/or
strip waterstops are specified by the designer of record (see figure 4.8.6.2-1,
which illustrates applications of retrofit and strip waterstops).
4.8.6.3 Tolerances
Tolerances are the allowable concrete surface deviations of the constructed
dimensions from the design dimensions [65, 66]. There are two types of
tolerances, including structural deviations and surface tolerances or roughnesses.
Structural deviations are associated with the line,50 grade,51 length, width, and
plumb52 requirements for a given structure (for additional information about
structural deviations, refer to Reclamation’s standard guide specifications). The
surface tolerances or roughnesses (TS) define the limits of allowable surface
irregularity such as bulges, depressions, and offsets (see figure 4.8.6.3-1 and
table 4.8.6.3-1).
Furthermore, it should be pointed out that the surface tolerances or roughnesses

are different than surface finishes53 and must be specified separately (for
additional information about finishes, refer to Reclamation’s standard guide
specifications). The surface roughnesses that apply to outlet works are
evaluated by identifying and measuring abrupt and gradual irregularities (see
figure 4.8.6.3-2).
50
Line deviation is the allowable structural variation in the horizontal placement (i.e., design
alignment or station) of a structure.
51
Grade deviation is the allowable structural variation from the grade elevation (i.e., design
elevation of slab, floor, etc.) of a structure.
52
Plumb deviation is the allowable structure variation from vertical and/or inclined surfaces
(i.e., design vertical and/or battered surfaces such as walls, counterforts, etc.).
53
Finishes result from surface texturing using specified methods to control surface blemishes.
These finish methods could include steel troweling, sack rubbing, brooming, etc. Finishes are
designated as either “F” for formed surfaces or “U” for unformed surfaces. For additional
information, refer to Reclamation’s specifications guide paragraphs.
4-168 DS-14(4) July 2021

Section illustrating retrofit waterstop

application between existing and new
features
Retrofit waterstop used at interface

(control joint) between existing tunnel
portal and new conduit extension
Strip waterstop in shear key blockout between

existing wall and new wall (construction joint),
yet to be placed
Figure 4.8.6.2-1. Retrofit and strip waterstops.
DS-14(4) July 2021 4-169

Figure 4.8.6.3-1. Surface roughnesses.
Table 4.8.6.3-1. Surface Tolerances (Ts)
Maximum Allowable Surface

Irregularity Tolerance
Concrete
Surface Abrupt Gradual
T1 1 inch 1/4 inch/inch
T2 1/2 inch 1/8 inch/inch
4-170 DS-14(4) July 2021

Figure 4.8.6.3-2. Measuring surface roughnesses.
4.8.6.3.1 Abrupt Irregularity

As a general rule, abrupt irregularity refers to isolated surface roughnesses in
which the dimension of the irregularity perpendicular to the surface is greater than
its dimension parallel to the surface. Although this definition still applies, it has
been broadened to include all isolated surface deviations that exceed the gradual
irregularity definition that follows in Section 4.8.6.3.2, “Gradual Irregularity,” in
this chapter. Normally, these surface roughnesses are most critical on high
velocity flow surfaces. A smooth flow surface that contains abrupt irregularities
is more susceptible to cavitation damage. The abrupt irregularity guideline is the
most restrictive guideline (compared to the gradual irregularity guideline) and
should be evaluated first. The abrupt irregularity must be measured to determine
if it exceeds the abrupt irregularity flow surface tolerance; if so, appropriate
concrete repair in accordance with the Guide to Concrete Repair [66] may be
warranted. Related to repair, it should be noted that contractors tend to prefer
grinding concrete surfaces, rather than removing and replacing them, due to cost.
However, grinding can result in greater potential for eventual aggregate pop-out,
which will create abrupt irregularities.
4.8.6.3.2 Gradual Irregularity

This is commonly referred to when describing isolated undulations in the concrete
surface. The dimension of the roughness normal to the concrete surface is small
relative to its dimension parallel to the concrete surface. Gradual irregularities are
DS-14(4) July 2021 4-171

generally less critical than abrupt irregularities. Therefore, the maximum

allowable depth (dimension perpendicular to the surface) of a gradual irregularity
may be greater than the allowable abrupt surface tolerance. However, the
maximum allowable gradual irregularity is limited by the controlling structural
deviation (i.e., line or grade). As with the abrupt irregularity, the gradual
irregularity must be measured to determine if it exceeds the gradual irregularity
flow surface tolerance; if so, appropriate concrete repair in accordance with the
Guide to Concrete Repair [66] may be warranted.
4.8.6.3.3 Surface Roughness and Cavitation Potential

As previously discussed in Section 4.6.4.2, “Conveyance Features Hydraulics,” in
this chapter, surface tolerances or roughnesses (TS) have been correlated to
cavitation index of flow (σ). The following bullets summarize typical flow
surface roughnesses applicable to cavitation index of flow values:
• If σ ≥ 0.5, cavitation potential is diminished, but it is important that an

appropriate flow surface roughness be achieved to minimize potential. This
is done by specifying a T3 flow surface roughness (abrupt offset ≤ ¼ inch
and gradual offset of 1 to 16 or flatter).
• If 0.5 > σ > 0.2, provide a specified surface roughness, which is either a
T3 flow surface roughness (abrupt offset ≤ ¼ inch and gradual offset of 1 to
16 or flatter) or T4 flow surface roughness (abrupt offset ≤ 1/8 inch and
gradual offset of 1 to 32 or flatter).
• If σ ≤ 0.2, provide air entrainment (i.e., constructing an aeration ramp or

slot) for existing and new outlet works or redesign (realign) for new outlet
works. For more details, refer to Engineering Monograph No. 42,
Cavitation in Chutes and Spillways [31].
4.8.6.3.4 Surface Roughness and Other Factors

In addition to considering the cavitation indices, other factors must be included in
the final selection of the flow surface roughnesses or tolerances:
• Hydraulic head losses (due to excessive flow surface irregularities or

tolerances) could be detrimental, resulting in power loss due to high friction
losses in a pressurized conveyance feature (i.e., tunnel and/or conduit).
• Construction concerns (can a specified flow surface roughness be

reasonably attained by the contractor?).
4-172 DS-14(4) July 2021

• Operation and maintenance (O&M) concerns (potential for increased

surface roughening over time). While surface damage caused by
freeze-thaw cycles can be minimized by using air-entrained concrete, it may
not be fully eliminated. Also, in conveyance features, such as tunnels and
chutes, exposed to ground water, surface deposits can accumulate through
cracks, due to seepage. It can be very difficult and expensive to maintain
surface tolerances or roughnesses if they are too strict.
• Aesthetic concerns (public perception of visible portions of the structure).
4.8.6.3.5 Design Procedure for Selecting Surface Tolerances

The following design approach (table 4.8.6.3.5-1) summarizes the steps in
selecting surface tolerances or roughnesses.
For additional guidance about selecting surface roughnesses associated with

nonflow surfaces, refer to Reclamation’s guide specifications.
Table 4.8.6.3.5-1. Procedure for Selecting Surface Tolerances (TS)
Step 1 Lay out the preliminary design configuration of the outlet works, considering the
(Initial outlet alignment and profile. Hydraulically size the outlet works to pass the maximum
works layout) design flows (typically includes flood routings, along with water surface profile and
cavitation indices profile analyses).
Step 2 Evaluate the cavitation indices profile results, which should include a suite of
(Hydraulics – cavitation indices profiles associated with a range of flows (up to the maximum
cavitation design flow) anticipated to be passed by the outlet works. Note that the critical
potential) cavitation indices condition (smallest cavitation indices) may be associated with
flows less than the maximum design flows.
Step 3 Based on the correlation between cavitation indices and flow surface
(Flow surface roughnesses, identify the flow surface tolerances. This should be based on the
roughness) minimum value of the cavitation indices profiles.
Step 4 If there are any cavitation indices less than 0.2, repeat steps 1 through 3 to
(If cavitation evaluate what effects might result on the cavitation indices by changing the
indices < 0.2, geometry (alignment and/or profile) of the outlet works and/or consider other
repeat steps 1-3) types of outlet works components.
Step 5 If the cavitation indices cannot be reasonably increased (greater than 0.2) by
(If cavitation changing the geometry or type of outlet works or changing the components,
indices < 0.2, consider including an aeration ramp or slot.
aeration
ramps/slots)
Step 6 Evaluate other factors that could influence the selection of the flow surface
(Nonhydraulic tolerances for the outlet works. As an example, these factors could drive a
factors) T3 flow surface tolerance (based on cavitation indices) to a T4 flow surface
tolerance (based on O&M concerns, can the surface roughness or tolerance be
maintained over time at reasonable expenses?) or a T5 flow surface tolerance
(based on aesthetic concerns). Also, T1 and T2 nonflow surfaces (based
primarily on hidden or buried surface conditions) might be applicable.
DS-14(4) July 2021 4-173

4.9 General Electrical/Mechanical

Considerations
This section provides general electrical/mechanical considerations for
determining the type, location, and size of a modified or new outlet works.
Detailed electrical/mechanical analysis and design can be found in Chapter 7,
“Electrical/Mechanical Considerations for Spillways and Outlet Works,” of this
design standard.
As previously noted, unless specified otherwise, this chapter is applicable to the

evaluation, analysis, and design of reinforced concrete, high velocity, and high
flow outlet works.
4.9.1 Mechanical Features

Existing and new outlet works will normally include mechanical features such as
gates, valves, and bulkheads or stoplogs. These mechanical features are critical
for safe and reliable operation and to facilitate maintenance of the outlet works.
4.9.1.1 Gates and Valves

In speaking or writing of devices for controlling or regulating the flow of water
through an outlet in a dam, the words “gate” and “valve” are used. Some
confusion exists as to whether the distinction between gate and valve should be
based on function or design. The term “gate,” unless qualified as a regulating
gate, shall be understood to mean a controlling device which is designed and used
principally to allow the passage of the full capacity of an outlet or to shut it off
completely; that is, it is only designed to be operated in the fully open or fully
closed positions. No throttling or controlling of the flow is allowed.
The term “regulating gate” is used to designate a gate which performs the
function of a valve. An example of a regulating gate is the “jet-flow gate.” A
jet-flow gate functions similar to other “valves,” such as a sleeve valve or a fixed
cone valve. These types of valves are used to vary the flow at the downstream
end of a dam outlet. The requirements introduced by the necessity of operating a
gate under emergency conditions (i.e., the “emergency closing gate” of a dam),
which must be accommodated in a design, do not alter the primary function. A
gate is predominantly in a fully closed or fully opened position.
The term “valve” will be used to designate a controlling device designed

primarily for the purpose of regulating the amount of flow through an outlet from
0 ft3/s to its maximum designed discharge; therefore, it is a requirement that it be
operated at partially opened positions, and this requirement is largely the
4-174 DS-14(4) July 2021

controlling factor in its design. It is also common for a valve to be used as the
isolation valve (sometimes referred to as the ”guard valve”) for various suboutlets
that can be connected from the main outlet of a dam.
A wide range of gates and/or valve types and sizes have been used, and are being
used, as controls in Reclamation outlet works. The regulating gate and/or valve
selection depends on their location, the waterway configuration upstream and
downstream, the function of the gate and/or valve, O&M considerations,
replacement considerations, size (within ranges of sizes that are available or
have been designed), head loss restrictions, design head, loading (balanced
or unbalanced head), and requirements for the regulation of discharge
(i.e., gate/valve open, closed, full range of operation).
Of note is the gate or valve size, where the required discharge may be associated
with a nonstandard gate size. In this case, a larger standard gate size may be used,
which could result in larger outlet works discharge capacities than required or in
requiring a gate or valve to be operated with a restriction (i.e., limit gate or valve
opening). In addition to selecting a type and size for the regulating gate and/or
valve, the designer must consider the requirements for additional gates and/or
valves for emergency or guard use.
It is Reclamation’s practice to provide a means for regulating gate/valve

maintenance, repair and, in some cases, replacement. Table 4.9.1.1-1 summarizes
the gates and/or valves that have been used at Reclamation’s outlet works
[67, 68]. While the gates and valves listed in table 4.9.1.1-1 have been used in
Reclamation outlet works, several types are no longer being used for new
construction. For a detailed discussion of the gates and valves, see Chapter 5,
“Gates,” and Chapter 7, “Valves,” of Design Standards No. 6 - Hydraulic and
Mechanical Equipment. An additional reference is “Selection of Outlet Works
Gates and Valves.” [69]
Some of the gates and/or valves used to control Reclamation’s outlet works are
illustrated by figures 4.9.1.1-1 through 4.9.1.1-18.
DS-14(4) July 2021 4-175

Table 4.9.1.1-1. Gates and Valves Used in Outlet Works
Use
Gate/Valve Guard or Maximum
Type Regulate Emergency Size Head Comment
Ball valve X 1 to 60 inches 750 feet
Butterfly valve X X 4 to 168 inches in 750 feet Mostly guard
diameter applications (not
suggested to be used
for regulating
applications).
Clamshell gate X 30 to 78 inches in 300* Very high discharge
diameter coefficient (0.98).
Cylinder gate X X 500*
Ensign valve X 58 to 60 inches in 300 Located on upstream
diameter end of outlet works;
submerged in
reservoir.
Fixed-cone X 8 to 132 inches in See Sometimes referred to
valve diameter comment as Howell-Bunger
valve. Up to 900 feet
of head for smaller
valves and up to 420
feet of head for larger
valves.
Fixed-wheel X 7.74 by 7.74 feet to 700 feet Sometimes referred to
gate 29 by 43.5 feet as wheel-mounted
gate.
Gate valve X X 2 to 66 inches in 300 feet
diameter
Hollow-jet valve X 24 to 96 inches in 1,000 feet
diameter
Jet-flow gate X 6 to 96 inches in 500 feet Early versions of jet-
diameter flow gates, such as
those used at Shasta
Dam, were called
outlet gates, which are
not the same as the
outlet gates that are
presently used.
4-176 DS-14(4) July 2021

Table 4.9.1.1-1. Gates and Valves Used in Outlet Works
Use
Gate/Valve Guard or Maximum
Type Regulate Emergency Size Head Comment
Needle valve X X 10 to 168 inches in 700 feet Water-operated valves
diameter have been replaced at
Reclamation facilities
(smaller mechanically
operated needle
valves are still in use
and are generally
about 24 inches in
diameter).
Outlet/high X X 2.75 by 2.75 feet to See A high pressure gate
pressure gate 9 by 12 feet footnote is a cast iron gate with
(similar to less than 250 feet of
bonneted slide head. An outlet gate
gate) is a welded steel gate
with less than 250 feet
of head.
Paradox gate X 86 to 102 inches in 600 feet Similar to ring-follower
diameter and ring-seal gates.
Ring-follower X 30 to 102 inches in 500 feet Similar to paradox and
gate diameter ring-seal gates.
Ring-seal gate X 30 to 102 inches in 300 feet Similar to paradox and
diameter ring-follower gates.
Roller-mounted X 15 by 30 feet to 50 700 feet Variations of this gate
gate by 55 feet are stoney, caterpillar,
tractor, and coaster
gates.
Sleeve valve X 8 to 54 inches in 1,310 feet
diameter
Slide gate
Bonneted X X 72 by 108 inches to 500 feet Virtually the same as
120 by 240 inches an outlet gate.
Unbonneted X X 6 by 6 inches 150 feet
to 144 by 144
inches
Top-seal radial X 50 by 64 feet 250 feet
gate
Tube valve X 36 to 96 inches in 300 feet
diameter
* Maximum hydraulic head estimates are based on experience, but they do not represent a physically maximum
number.
DS-14(4) July 2021 4-177

Figure 4.9.1.1-1. Bufferfly valve.
Figure 4.9.1.1-2. Clamshell gate.
4-178 DS-14(4) July 2021

Figure 4.9.1.1-3. Ensign valves.
Figure 4.9.1.1-4. Fixed-cone valve or Howell-Bunger valve.
DS-14(4) July 2021 4-179

Figure 4.9.1.1-5. Fixed-wheel gate or wheel-mounted

gate.
Figure 4.9.1.1-6. Gate valve.
4-180 DS-14(4) July 2021

Figure
Figure 4.9.1.1-9. 4.9.1.1
Needle -7. Hollow-jet valve.
valve.
Figure 4.9.1.1-8. Jet-flow gate.

Figure 4.9.1.1-10. Outlet gate.
DS-14(4) July 2021 4-181

Figure 4.9.1.1-11. Paradox gate.
Figure 4.9.1.1-12. Ring-follower gate.
4-182 DS-14(4) July 2021

Figure 4.9.1.1-13. Roller-mounted gate, similar to

caterpillar, tractor, and coaster gates.
Figure 4.9.1.1-14. Ring-seal gate.
DS-14(4) July 2021 4-183

Figure 4.9.1.1-15. Sleeve valve.
Figure 4.9.1.1-16. Top-seal radial gate.
4-184 DS-14(4) July 2021

Figure 4.9.1.1-17. Unbonneted slide gate.
Figure 4.9.1.1-18. Bonneted slide gate.
DS-14(4) July 2021 4-185

4.9.1.2 Air Venting for Gates and Valves

Air vents are connected to the downstream sides of guard/emergency and
regulating gates and valves when they are discharging into a confined space (such
as pipes, conduits, or tunnels) or partially submerged. Air vents provide the air
necessary to prevent development of significant negative pressure, which could
cause cavitation damage or water column separation, which could then result in
destructive pressure waves, leading to damage or collapse of the pipe. Air vents
are also used to vent air during filling of pressure pipes, conduits, or tunnels [68].
For additional information and/or guidance, see Chapter 5, “Hydraulic Design
Considerations for Spillways and Outlet Works,” of this design standard.
4.9.1.3 Bulkheads
Bulkheads are mechanical features used to isolate the downstream outlet works
(including regulating gates or valves) from the reservoir or from tailwater, which
is done to facilitate maintenance operations and inspection of normally inundated
portions of the outlet works [70]. The bulkhead is a flat, structurally reinforced
gate leaf with rubber seals, which comes in various shapes and sizes to fit a
particular control structure. The bulkhead normally fits into vertical gate slots or
tracks and guides for horizontal flow entry type intake structures, such as a box
intake structure (rectangular), or it is located on top of vertical entry type control
structures, such as a drop inlet control structure (circular) (see figure 4.9.1.3-1).
Bulkheads are single piece units used when the entrance is submerged, which is
typically the case for outlet works. Installation and removal are usually
accomplished by gantry or mobile crane, barge-mounted crane, and some very
large bulkheads are designed to be floated into place (with diver assistance).
Note: For almost all bulkhead installations, balanced54 head conditions must be
maintained. Bulkheads are not intended for emergency closure. For submerged
control structures, the bulkheads must be equipped with a filling line and, in some
instances, with an air vent. The majority of outlet works in Reclamation’s
inventory have slots and/or seals to accommodate bulkheads. The largest circular
bulkhead is 20 feet in diameter. Maximum hydraulic heads range from 300 to
400 feet. The amount of leakage associated with a bulkhead is usually determined
by the condition of the slots or the seals.
Design considerations include recognizing that the span or width of a bulkhead is

limited by deflection, crane capacity, and site delivery limitations. Bulkheads, or at
least gate slots, should be part of an outlet works design where it may not be
possible to lower the reservoir to elevations approaching the outlet works intake
structure sill on an as-needed basis. Structures to be unwatered must be designed
for the loading condition.
54
The term “balanced head conditions” refers to equal pressure on the upstream and
downstream sides of the bulkhead during installation and removal.
4-186 DS-14(4) July 2021

Metal circular
bulkhead for drop inlet
outlet works
Metal bulkhead for

outlet works ring-seal
gate
Figure 4.9.1.3-1. Bulkheads.
In some cases, consideration should be given to including bulkhead slots and

bulkheads for the terminal structure (such as a hydraulic jump stilling basin)
where periodic unwatering of the terminal structure may be required. Such an
application would typically only be feasible and/or cost effective for a relatively
narrow terminal structure in the range of 30 feet or less. As a reminder, if there
will be a need to unwater the terminal structure, design considerations will
DS-14(4) July 2021 4-187

include ensuring floatation stability of the unwatered terminal structure subject to

normal tailwater conditions (see Section 4.8.3, “Stability Design,” in this chapter
for more details).
An additional design consideration is to share a single bulkhead between multiple

outlets at a single dam or between multiple dams. One advantage of sharing a
bulkhead is the lower fabrication and storage costs. It will be necessary to
consider the design requirements for using an existing bulkhead in a new outlet
works. A shared bulkhead will also require coordination for scheduling and
transporting to a given outlet or dam.
4.9.1.4 Stoplogs
Stoplogs have a purpose similar to bulkheads. A stoplog is a mechanical feature
used to unwater a portion of the outlet works to facilitate maintenance operations
and inspect normally inundated portions of the outlet works [70]. Stoplogs
consist of individual beams, girders, or multiple beams and plates welded together
to make one stoplog. Stoplogs are set one upon the other to form a watertight
barrier supported by gate slots for a horizontal flow entry type intake structure
(see figure 4.9.1.3-1). Stoplogs are typically used when the entrance to the intake
and/or control structure is not submerged or at the downstream end of a terminal
structure (such as a hydraulic jump stilling basin). Because outlet works intake
structures are typically submerged, use of stoplogs rather than bulkheads is
limited (such as using stoplogs to support diversion during construction when the
reservoir has not begun to fill or is at a very low stage).
As previously noted for bulkheads, installing and removing stoplogs at the

downstream end of a terminal structure would typically only be feasible and/or
cost effective for a relatively narrow terminal structure in the range of 30 feet or
less. Also, stoplogs are not intended for emergency closure. Stoplog installation
and removal usually take place by gantry or mobile crane and barge-mounted
crane. Note: For all stoplog installations, balanced head conditions must be
maintained.
If the terminal structure will need to be unwatered, design considerations will

include ensuring (floatation) stability of the unwatered terminal structure subject
to normal tailwater conditions (For more details, see Section 4.8.3, “Stability
Design,” in this chapter).
As with bulkheads, stoplogs may be designed to be shared between multiple

outlets at a single dam or between multiple dams.
4.9.2 Operating Systems

Operating systems for gates and/or valves are either manual or automatic. Details
of the operating system will vary with the type of gates and/or valves and type of
4-188 DS-14(4) July 2021

hoisting and operating equipment. Outlet works gates and/or valves can be
operated by gear screw lifts, stems, hydraulic hoists, electrically powered
mechanical hoists with wire ropes or chains connected to the gates, or by
hydraulically using floats and wire ropes. Additional considerations include:
• Geared screw lifts are used on many small- to large-sized gates and valves.
• Hydraulic hoists and operators are used for large, high-head gates and
valves because of their hoisting and operating capacities, simple design, and
ease of flexibility of control. Also, hydraulic hoists and operators are used
when gates or valves are operated frequently.
• Electrical operating systems can be used with geared screw lifts or hydraulic
hoists. Present practice favors electrically operated mechanical hoists and
operators because of cost and reliability factors.
It is very important to have a backup or auxiliary power system (such as an

engine-generator) to operate the outlet works gates and/or valves under
unexpected or emergency conditions. Periodic inspection, maintenance, and
testing requirements should be part of the design [67, 68]. Also, manual operators
have been included on some gates as an additional backup. It can take a long time
and exhaust operating personnel to open a gate unassisted using manual controls.
A portable power tool can provide assistance.
4.10 Instrumentation and Monitoring

Reclamation’s design approach for instrumentation and monitoring of dams does
not focus on minimum instrumentation requirements. Instead, instrumentation
and monitoring needs are determined for each dam and its appurtenant structures
on a case-by-case basis. For the most part, instrumentation and monitoring needs
are based on monitoring and detecting key parameters (such as cracking or
movement of outlet works walls, floors, conduits/tunnels, and/or towers) that
would indicate initiation or progression of PFMs. This effort can include both
data collection via instrumentation and periodic visual inspection, which is based
on a site-specific Ongoing Visual Inspection Checklist (OVIC). Common
instrumentation for outlet works includes structural measurement points, crack
meters, and seepage measurement weirs.
There are a few exceptions55 in which instrumentation and monitoring may be

based on the category of “general health monitoring,” which is not associated
55
Most common examples are structural measurement points placed on or embedded in outlet
works walls and towers, which are initially surveyed; then, measurement points are put on standby
status until a future event occurs (such as an earthquake) that may damage the structure, prompting
another survey to determine any changes from the initial survey.
DS-14(4) July 2021 4-189

with any specific PFM. Such instrumentation and monitoring almost always is
“high-value, low-cost.” Determining what does and does not represent
appropriate “general health monitoring” is a continuing challenge when defining
dam safety monitoring programs.
For Reclamation storage and multipurpose dams, the instrumentation and

monitoring program is defined in the Schedule for Periodic Monitoring (L-23),
which summarizes the routine dam safety monitoring program and presents
required monitoring in the event of unusually high reservoir levels and/or
significant seismic shaking.
For evaluating and/or developing an instrumentation and monitoring program for

an existing or new outlet works, some coordination and consideration of the
instrumentation and monitoring program for the existing or new dam must be
included in the design. In this case, refer to Design Standards No. 2, “Concrete
Dams [3],” and Design Standards No. 13, “Embankment Dams [4].”
4.11 Technical References

Reclamation's technical references associated with analyzing and designing outlet
works include:
• Reclamation Manual – Design Data Collection Guidelines [10].
• Design of Small Dams, third edition [5].
• Best Practices in Dam and Levee Safety Risk Analysis [9].
• Estimate Worksheet – Guide for Designers [11].
• Design of Small Canal Structures [18].
• Design of Spillways and Outlet Works for Dams – Design Manual, Part 1,
General Considerations [19].
• EM No. 14 – Beggs Deformeter Stress Analysis of Single Barrel Conduits

[20].
• ACER TM No. 9 – Guidelines for Seepage along Conduits through

Embankment Dams [24].
• ACER TM No. 3 – Criteria and Guidelines for Evacuating Storage

Reservoirs and Sizing Low-Level Outlet Works [28].
4-190 DS-14(4) July 2021

• EM No. 42 – Cavitation in Chutes and Spillways [31].
• EM No. 41 – Air-Water Flow in Hydraulic Structures [32]
• DSO-07-07 – Uplift and Crack Flow Resulting from High Velocity

Discharge Over Offset Joints [34].
• EM No. 25 – Hydraulic Design of Stilling Basins and Energy Dissipators

[35].
• Research Report No. 24 – Hydraulic Design of Stilling Basin for Pipe or

Channel Outlets [36].
• Computing Degradation and Local Scour [38].
• Engineering Geology Field Manual, Volume 1 [44]
• Guideline for Performing Foundation Investigation for Miscellaneous

Structures [45].
• Design of Spillways and Outlet Works for Dams – A Design Manual,

Part II, Volume II [47].
• Engineering Geology Field Manual, Volume 2 [49].
• REC-ERC-82-17, Frost Action in Soil Foundations and Control of Surface

Structure Heaving [51].
• Drainage for Dams and Associated Structures Manual [52].
• Design Criteria for Concrete Retaining Walls [55].
• Interim Dam Safety Public Protection Guidelines [29].
• Position Paper – Detailed Concrete Reinforcement Design Drawings [61].
• TM No. TSC-8100-Standards-2016-1, Standard Drawings 40-D-60003 and

40-D-60004, Revision 0, Background and Development [63].
• Standard STD-8130-1, Working Document – Detailed Reinforcement

Drawing Guidelines [64].
• Concrete Surface Tolerances, Finishes, and Curing Reference Material

[65].
DS-14(4) July 2021 4-191

• Guide to Concrete Repair [66].
• Gates and Valves – Working Document [67].
• Guidelines for Safety Evaluation of Mechanical Equipment [68].
• ACER TM No. 4 – Criteria for Bulkheading Outlet Works Intakes for

Storage Dams [70].
• Memorandum – Analysis of Additional Conduit Shapes [21].
4.12 References
[1] Reclamation Manual, Directive and Standards, “Design Activities,” Bureau
of Reclamation, January 2008.
[2] Chapter 3, “Diversion Dam and Headworks,” of Design Standards No. 3 –

Water Conveyance Facilities, Fish Facilities, and Roads and Bridges,
Bureau of Reclamation (in progress).
[3] Design Standards No. 2 – Concrete Dams, Bureau of Reclamation, 1977.
[4] Design Standards No. 13 – Embankment Dams, Bureau of Reclamation

(one still in progress).
[5] Design of Small Dams, third edition, Bureau of Reclamation, 1987.
[6] Quenching the Thirst: Sustainable Water Supply and Climate Change,
G.W. Annandale, CreateSpace, 2013.
[7] Final Design Process Guidelines, Bureau of Reclamation, December 2017.
[8] Safety of Dams, Project Management Guidelines, Bureau of Reclamation,

January 2018.
[9] Best Practices in Dam and Levee Safety Risk Analysis, Bureau of
Reclamation and U.S. Army Corps of Engineers, 2018.
[10] Reclamation Manual, Directives and Standards, “Design Data Collection

Guidelines,” Bureau of Reclamation, September 2007.
[11] “Estimate Work Sheet – Guide for Designers,” Bureau of Reclamation,

April 2010.
4-192 DS-14(4) July 2021

[12] Sedimentation Engineering, Manual 110, Chapter 12, M.H. Garcia, ASCE,
2008.
[13] Managing Sediment in Utah’s Reservoirs, Utah Division of Water

Resources, 2010.
[14] Technical Memorandum: Preliminary Evaluation of Sediment Mitigation

Options, Western Engineers, Inc. (WEI), 2006.
[15] The Passage of Turbid Water through Lake Mead, N.C. Grover and
C.S. Howard, ASCE, 1938.
[16] Water Research Commission Report No. TT 91/97, Dealing with Reservoir
Sedimentation, G.R. Basson and A. Rooseboom, 1997.
[17] Reservoir Sedimentation Handbook, G.L. Morris and Fan Jiahaua,

McGraw-Hill, 1998.
[18] Design of Small Canal Structures, Bureau of Reclamation, 1978.
[19] Design of Spillways and Outlet Works for Dams – A Design Manual, Part I,
“General Considerations,” Bureau of Reclamation, undated.
[20] EM No. 14 – Beggs Deformeter Stress Analysis of Single Barrel Conduits,

Bureau of Reclamation, 1968.
[21] Memorandum - To: Head, Structural Behavior and Analysis Section,

From: C.L. Mantei, Subject: Analysis of Additional Conduit Shapes,
[22] EM-1110-2-1602 – Hydraulic Design of Reservoir Outlet Works,

U.S. Army Corps of Engineers, October 1980.
[23] Chapter 4, “Tunnels, Shafts, and Caverns,” in Design Standards No. 3:

Water Conveyance Facilities, Fish Facilities, and Roads and Bridges,
[24] ACER TM No. 9 – Guidelines for Controlling Seepage along Conduits

through Embankment Dams, Bureau of Reclamation, 1987.
[25] Technical Manual: Conduits through Embankment Dams, Federal

Emergency Management Agency, September 2005.
[26] Open-Channel Hydraulics, Ven Te Chow, Ph.D., McGraw-Hill Civil

Engineering Series, 1959.
[27] Handbook of Hydraulics, sixth edition, Ernest F. Brater and Horace

William King, 1976.
DS-14(4) July 2021 4-193

[28] ACER TM No. 3 – Criteria and Guidelines for Evacuating Storage

Reservoirs and Sizing Low-Level Outlet Works, Bureau of Reclamation,
1990.
[29] Interim Dam Safety Public Protection Guidelines, Bureau of Reclamation,

August 2011.
[30] Federal Guidelines for Dam Safety: Hazard Potential Classification

System for Dams, Federal Emergency Management Agency,
April 2004.
[31] EM No. 42 – Cavitation in Chutes and Spillways, Bureau of Reclamation,

April 1990.
[32] EM No. 41 – Air-Water Flow in Hydraulic Structures, Bureau of

Reclamation, December 1980.
[33] EM-1110-2-1601 – Hydraulic Design of Flood Control Channels,

U.S. Army Corps of Engineers, June 1994.
[34] DSO-07-07 – Uplift and Crack Flow Resulting from High Velocity
Discharge Over Offset Joints, Bureau of Reclamation, December 2007.
[35] EM No. 25 – Hydraulic Design of Stilling Basins and Energy Dissipators,

Bureau of Reclamation, March 1984.
[36] Research Report No. 24 – Hydraulic Design of Stilling Basin for Pipe or
Channel Outlets, Bureau of Reclamation, 1978.
[37] Technical Notes – “Computing the Trajectory of Free Jets,” by Tony L.

Wahl, Kathleen H. Frizell, and Elizabeth A. Cohen, ASCE Journal of
Hydraulic Engineering, February 2008.
[38] Computing Degradation and Local Scour – Technical Guideline for Bureau
of Reclamation, January 1984.
[39] Prediction of Scour Depth from Free Falling Flip Bucket Jets, D. Yildiz
and E. Uzucek, International Water, Power, and Dam Construction,
November 1994.
[40] “Free Jet Scour below Dams and Flip Buckets,” P.J. Mason and
K. Arumugam, ASCE Journal of Hydraulic Engineering, Vol. 111,
No. 2, 1985.
[41] Earth and Rock Surface Spillway Erosion Risk Assessment,

J.L. Wibowo, D.E. Yule, and E. Villanueva, Proceedings,
40th U.S. Symposium on Rock Mechanics, Anchorage, Alaska, 2005.
4-194 DS-14(4) July 2021

[42] “Technical Manual: Overtopping Protection for Dams,” Federal

Emergency Management Agency, P-1015, May 2014.
[43] HEC No. 11, Publication No. FHWA-IP-89-016 – Design of Riprap

Revetment, Federal Highway Administration, March 1989.
[44] Engineering Geology Field Manual, second edition, Volume 1, Bureau of

Reclamation, 1998.
[45] Guideline for Performing Foundation Investigation for Miscellaneous

Structures, Bureau of Reclamation, December 2004.
[46] Chapter 5, “Protective Filters,” of Design Standards No. 13 – Embankment

Dams, Bureau of Reclamation, November 2012.
[47] Design of Spillways and Outlet Works for Dams – A Design Manual,
Part II, Volume II, Chapters 6 and 7, Bureau of Reclamation,
February 1988.
[48] Design Standards No. 13 – Embankment Dams, Chapter 3, “Foundation

Surface Treatment,” Bureau of Reclamation, March 2013.
[49] Engineering Geology Field Manual, second edition, Volume 2, Bureau of

Reclamation, 2001.
[50] Recommendations for Prestressed Rock and Soil Anchors, fourth edition,
Post Tensioning Institute (PTI), January 2004.
[51] REC-ERC-82-17 – Frost Action in Soil Foundations and Control of Surface

Structure Heaving, Bureau of Reclamation, June 1982.
[52] Drainage for Dams and Associated Structures Manual, Bureau of

Reclamation, 2004.
[53] ACI 350-06 –ACI Code Requirements for Environmental Engineering

Concrete Structures and Commentary, ACI Committee 350, American
Concrete Institute, 2006.
[54] ACI 318-14 – Building Code Requirements for Structural Concrete and
Commentary, ACI Committee 318, American Concrete Institute,
September 2014.
[55] Design Criteria for Concrete Retaining Walls, Report of the Task
Committee on Design Criteria for Retaining Walls, Bureau of
Reclamation, July 1977.
[56] Minimum Design Loads for Buildings and Other Structures,

ASCE Standard, ASCE/SEI 7-10, 2013.
DS-14(4) July 2021 4-195

[57] Guidelines for Earthquake Design and Evaluation of Structures

Appurtenant to Dams, United States Committee On Large Dams
(USCOLD), May 1995.
[58] Design Standards No. 9 - Buildings, Bureau of Reclamation, 1972.
[59] EM-1110-2-2104 – Strength Design for Reinforced Concrete Hydraulic

Structures, U.S. Army Corps of Engineers, November 2016.
[60] Evaluation of Reinforcing Bars in Old Reinforced Concrete Structures,

Engineering Data Report No. 48, Concrete Reinforcing Steel Institute,
2001.
[61] Position Paper: “Detailed Concrete Reinforcement Design Drawings,”

Bureau of Reclamation, Technical Service Center, Civil Engineering
Services, March 2000.
[62] ACI Detailing Manual-2004, SP-66(04), ACI Committee 315, American

Concrete Institute, 2004.
[63] TM No. TSC-8100-Standards-2016-1, Standard Drawings 40-D-60003 and

40-D-60004, Revision 0, Background and Development, Bureau of
Reclamation, Technical Service Center, September 2016.
[64] Working Document: “Detailed Reinforcement Drawing Guidelines,”

Standard STD-8130-1, Bureau of Reclamation, Technical Service
Center, March 15, 2001.
[65] Concrete Surface Tolerances, Finishes, and Curing Reference Material,

Bureau of Reclamation, January 25, 1990.
[66] Guide to Concrete Repair, Second Edition, Bureau of Reclamation,

Technical Service Center, August 2015.
[67] Working Document: “Gates and Valves,” Bureau of Reclamation, undated.
[68] Guidelines for Safety Evaluation of Mechanical Equipment, Bureau of

Reclamation, 1992.
[69] Selection of Outlet Works Gates and Valves, W.H. Kohler, ASCE, 1969.
[70] ACER TM No. 4 – Criteria for Bulkheading Outlet Works Intakes for
Storage Dams, Bureau of Reclamation, 1982.
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Appendix A
Examples: Outlet Works Location, Type, and Size
Example No. 1. – Dam T (New Embankment Dam): Construct New
Multipurpose River Outlet Works
Example No. 2. – Dam R Modifications (Existing Concrete Dam):

Construct New Multipurpose River Outlet Works
Example No. 3. – Dam Q (Existing Embankment Dam): Modify Existing

River Outlet Works
Example No. 1 – Dam T (New Embankment
Dam): Construct New Multipurpose River
Outlet Works
Background
Based on planning studies, including exploration and materials testing, a preferred

dam site has been selected on an offstream location in Montana. This dam site is
in a rather wide valley with considerable alluvial overburden on the valley floor,
but limited or no overburden on the valley side slopes. The topography and
appraisal-level cost estimates were key factors in determining that Dam T will be
an embankment (earthfill) dam. The design requirements include:
• Total storage capacity associated with maximum normal reservoir

water surface (RWS) (top of active conservation) will be at least
121,100 acre-feet, which is associated with RWS elevation 6882.
Other authorized reservoir capacity allocations (RCAs) include:
o Active storage pool of 90,750 acre-feet between RWS elevations

6801 and 6882.
o Inactive storage pool of 23,800 acre-feet between RWS elevations

6760 and 6801.
o Dead storage pool of 6,500 acre-feet below RWS elevation 6760.
There will be no joint use capacity or exclusive flood storage. The reservoir
will provide recreation, fishery, water quality, and municipal and industrial
(M&I) water.
• The zoned earthfill dam has a height of at least 260 feet, a crest width
of 40 feet, and a crest length of at least 1,600 feet (at the top of active
conservation, elevation 6882). The final height and crest length will be
based on flood surcharge and freeboard above elevation 6882. It is
anticipated that the inflow design flood (IDF) will be temporarily stored and
released after the event has occurred. With this in mind, the flood surcharge
will be equal to the total volume of the IDF. Freeboard requirements will be
established through a robustness study following procedures outlined in
Chapter 2, “Hydrologic Considerations,” of this design standard.
• The IDF was based on the process for selecting the IDF, detailed in
Chapter 2, “Hydrologic Considerations,” of this design standard. The
current critical probable maximum flood (PMF) was selected as the IDF.
DS-14(4) July 2021 A-1

To temporarily store the IDF, the flood surcharge pool would be

12,200 acre-feet between RWS elevations 6882 and 6890. Additionally,
freeboard requirement of 3 feet above the maximum RWS (top of flood
surcharge) was determined from a robustness study. These establish the
dam crest elevation of 6893 feet. This resulted in the estimated baseline
total risks being at acceptable levels, which is in an area of the f-N Chart
associated with decreasing justification to take action to reduce risks. For
additional discussion of the IDF selection process and of the f-N Chart, see
Chapter 2 “Hydrologic Considerations,” of this design standard.
• Appurtenant structures are anticipated to include a pump-storage feature

(pumping plant and conduit) that will convey water from a nearby major river
to the offstream dam reservoir and a multipurpose river outlet works. The
river outlet works will be required to pass diversion flows during construction,
evacuate the flood surcharge after a flood event, provide low-level discharge
capacity to meet emergency evacuation requirements, and meet normal
reservoir operation requirements.
It should be highlighted that a spillway will not be part of the Dam T facility,
due to considerations including:
o Dam T will be an offstream facility with a very small drainage basin.
o The flood surcharge space will be able to safely accommodate the IDF,
which has been equated to the current critical PMF. There will also be
freeboard requirements associated with the maximum RWS and the
dam crest.
o The outlet works will have sufficient discharge capacity to evacuate the
flood surcharge in a timely manner.
o Misoperation (without intervention) of the pump-storage facilities, in

terms of inadvertently filling the reservoir to the point of overtopping
the dam, is very unlikely given that the pumping capacity is small
compared to the flood surcharge capacity (i.e., assuming no releases, it
would take approximately 30 days to fill the reservoir space between
the top of active conservation [6882 feet] and the dam crest
[6893 feet]).
As noted in Chapter 3, “General Spillway Design Considerations,” of this

design standard, storage and multipurpose dams without a spillway should be
the exception, not the rule.
• Existing downstream conditions include an undeveloped 2-mile reach, which

would convey any releases to the major river downstream. A controlling
A-2 DS-14(4) July 2021

consideration is to limit maximum releases to the safe channel capacity

associated with this major river system or no more than 2,000 cubic feet per
second (ft3/s).
Design Requirements
It is vital when locating, sizing, and typing an outlet works that the design
requirements be clearly defined which, in the case of Dam T facilities, included:
• Diversion during construction, which would involve having the outlet

works sufficiently constructed to pass flows prior to closing off the initial
diversion system that would pass flows through an embankment dam notch
(i.e., an embankment dam section not placed). Based on procedures
outlined in Chapter 2, “Hydrologic Considerations,” of this design standard,
it was determined that the diversion discharge capacity and cofferdam
system should be able to safely accommodate at least a 25-year flood event.
This flood event would require a discharge capacity of 200 ft3/s at a RWS of
6745 feet.
• Normal release requirements are associated with fishery and water quality
needs and would require a discharge capacity range of 10 to 250 ft3/s with
the reservoir in the active conservation pool, between RWS elevations 6801
and 6882.
• Flood evacuation requirements are associated with releasing

floodwaters temporarily stored within the flood surcharge pool between
RWS elevations 6882 and 6890. Discharge capacity would be in the range
of 100 to 200 ft3/s, which is associated with timely drawdown of the flood
surcharge space, along with minimizing the potential adverse effects on the
reservoir rim (i.e., limiting the potential for landslides).
• Reservoir evacuation requirements are typically associated with an

emergency drawdown of the reservoir from the maximum normal RWS or
top of active conservation (elevation 6882). The discharge capacity will be
sized to meet this dam’s classification as a low risk, high hazard facility.
The discharge capacity of 1,250 ft3/s at the top of active conservation
(elevation 6882) will meet these requirements.
• M&I requirements are associated with downstream stakeholder needs,

including satisfying water rights claims and a settlement with an Indian
reservation. A future pressurized water distribution system will convey
releases of 100 ft3/s with the reservoir in the active conservation pool
between RWS elevations 6801 and 6882.
For more information, see the data table, which is part of the “Checklist – Outlet
Works Design Considerations” found in section 4.3.2 in this chapter. With the
DS-14(4) July 2021 A-3

design requirements defined, the outlet works location, type, and size are
determined. These features are discussed in the following sections.
Hydraulic Structure Location
Based on preliminary flood routings and evacuation studies, it was determined

that the reservoir evacuation requirements would set the maximum size of the
outlet works. Additionally, the M&I requirements would set the minimum release
requirements. This is further discussed in the next section (“Hydraulic Structure
Size and Type”). These preliminary studies also confirmed a combination of the
discharge capacity and the flood surcharge storage, which set the maximum RWS
of 6890 feet and the dam crest of 6893 feet. The dam size and other site-specific
conditions and considerations influenced the location of the outlet works. These
conditions and considerations include:
• Selection of a tunnel conveyance feature, rather than a conduit

conveyance feature, will have a notable bearing on the location of the outlet
works. Considerations included:
o The dam site is characterized by a wide valley covered with a thick

layer of poorly consolidated alluvium flanked by steep abutments.
The alluvium was considered unsuitable as a foundation for an
outlet works conduit conveyance feature. For a rock foundation, the
site-specific conditions would require a conduit to be placed along
the abutments fairly high in the reservoir.
o The embankment dam geometry makes it difficult to develop an

alignment suitable for hydraulic considerations (minimum bends)
that would result in an economical and accessible foundation for an
outlet works conduit conveyance feature.
o Depth of embankment above an outlet works conduit conveyance

feature would be substantially greater than normally considered for
the conduit shapes typically used by Reclamation for embankment
dams (less than or equal to 250 feet). A special shaped conduit
could be considered, but it would complicate design and
construction, resulting in increased cost.
o Both dam abutments are considered acceptable for tunnel design and
construction.
o There were no suitable reservoir rim locations that could provide

economical and technically feasible sites for either a conduit or
tunnel conveyance feature.
A-4 DS-14(4) July 2021

• Selection of the left abutment over the right abutment for the tunnel
conveyance feature was based on the following considerations:
o For the right abutment, there would be challenges associated with

the upstream and downstream portal excavations and difficulties in
locating suitable foundation for both the (upstream) intake structure
and the (downstream) terminal structure (located adjacent to the
downstream toe of the embankment dam).
o The tunnel conveyance feature would be considerably shorter

through the left abutment than through the right abutment.
However, for the left abutment, there would be a very long
(upstream) approach channel required for diversion during
construction and some challenges in locating suitable foundation for
the (upstream) intake structure and the (downstream) terminal
structure (located a safe distance from the downstream toe of the
embankment dam).
• Selection of vertical and horizontal alignments was influenced by the

need to locate the outlet works on/in competent rock foundation and
minimize the amount of excavation needed to locate the intake structure on
competent rock foundation. Additionally, an important consideration
involved minimizing the tunnel length and associated cost. Finally, at least
a 40-foot buffer (distance) between the tunnel and the dam foundation
contact would be required to ensure that the dam foundation contact is not
damaged during the tunneling operations. This will require a bend (curve)
in the horizontal alignment. These considerations led to a horizontal
alignment consisting of a 370-foot length of tunnel between the upstream
portal and 41-degree bend, as well as a 1,025-foot length of tunnel between
the 41-degree bend and the downstream portal. Based on the previous
considerations, the vertical alignment of the tunnel is anchored by the
location of the upstream portal, which invert is at elevation 6727
(approximate elevation of competent rock for the intake structure
foundation and sufficient competent rock for tunneling above the portal
invert elevation). The downstream portal invert is at elevation 6707
(approximate elevation of competent rock for any downstream components
of the outlet works and sufficient competent rock above the tunneling invert
at downstream portal).
For more information, see the location table, which is part of the “Checklist –
Outlet Works Design Considerations” found in section 4.3.2 in this chapter. Given
the previously noted site-specific conditions and considerations, the outlet works
will be located through the left abutment of the new embankment dam (see
figure A-1).
DS-14(4) July 2021 A-5

Figure A-1. Plan: horizontal alignment of outlet works.
Hydraulic Structure Type and Size
Due to the numerous design requirements, the outlet works will be a multipurpose
river outlet works. To provide the flexibility to meet these design requirements,
arrangement 1 hydraulic control would be employed. This arrangement would
include a guard gate located near the projected dam crest centerline, a pressurized
steel pipe contained in a reinforced concrete lined tunnel between the guard gate
and downstream tunnel portal, and a regulating gate located in a control house
immediately downstream of the downstream tunnel portal. Hydraulic sizing was
based on:
• Assume maximum friction losses when sizing all components, except for
the terminal structure.
• Assume minimum friction losses when sizing the terminal structure.
The configuration will consist of the following components (features):
• Approach (inlet) channel will be needed to address diversion during

construction. Since significant excavation of a thick layer of alluvium will
be needed to place the intake structure on a rock foundation, an excavated
approach channel will be required to convey water from the reservoir to the
intake structure. Also, the approach channel invert elevation, side slopes,
and alignment are based on passing diversion flows (up to 200 ft3/s at no
more than RWS 6745 feet, and an average maximum velocity of 5 feet per
second [ft/s]) associated with the 25-year flood, along with avoiding the
dam footprint and borrow areas.
A-6 DS-14(4) July 2021

• The intake structure will be a drop inlet type that will minimize the size of
both temporary and permanent excavation and allow backfilling of some of
the excavation around the intake structure. This is particularly important
given the potential for slope instability of the excavated alluvium, which
could lead to plugging of the intake structure. Additionally, a drop inlet
structure facilitates diversion requirements by providing a temporary
low-level opening at the downstream limits of the approach channel. The
permanent horizontal bellmouth entrance (top of dead storage, RWS
elevation 6760) will be set 30 feet above the base of the intake structure,
which will be 5 feet above the backfill. Also, by setting the bellmouth
entrance elevation at 6760 feet, the intake structure can be located about
40 feet away from the permanent excavated alluvium slopes surrounding the
structure (see figure A-2).
Figure A-2. Profile: drop inlet intake structure.
DS-14(4) July 2021 A-7

The conveyance features included reinforced concrete lined tunnels and a

short section of reinforced concrete conduit connecting the intake structure
to the upstream tunnel portal. These conveyance features are further
discussed in the following bullets:
o Because of the location of the intake structure, a short length

(72.5 feet long) of a Shape B (cross section defined by circular
shape inside and modified horseshoe shape outside) conduit
connects the intake structure to the upstream tunnel portal. This
pressure conduit will be buried (backfilled). The size (cross section)
of the conduit (7-foot 6-inch inside diameter) was governed by the
size of the tunnels (see figure A-3).
Figure A-3. Section: shape B pressurized conduit.
o Because there will be a guard gate located near the projected

centerline of the dam, there will be an upstream and downstream
tunnel section. Given the geology of the left abutment, it was
anticipated that the tunnels would be constructed using either a
roadheader or by drilling and blasting. Also, for a lined tunnel, the
finished dimension should be at least 7 feet1 (for more details, see
Chapter 4, “Tunnels, Shafts, and Caverns,” of Design Standards
No. 3, Water Conveyance Facilities, Fish Facilities, and Roads and
Bridges).
1
While Reclamation has constructed tunnels less than 7 feet in diameter or width/height, with
decreasing size, underground construction operations become increasingly congested and less
efficient; depending on the length of the tunnel, there would be a higher probability of increased
costs and a lengthier construction period.
A-8 DS-14(4) July 2021

▪ For the 658-foot-long upstream tunnel, Shape B cross

section will be used and will have a slightly larger inside
diameter (7 feet 6 inches) than the minimum dimension of
7 feet. The size will facilitate access to the control
structure containing the guard gate during construction
(see figure A-4). Also, as previously noted, there will be a
horizontal bend in the upstream tunnel to maintain at least
40 feet of clear distance between the tunnel and the
dam-foundation contact.
Figure A-4. Section: shape B upstream pressurized tunnel.
▪ For the 682-foot-long downstream tunnel, Shape F cross

section (cross section defined by inside and outside
horseshoe shapes) will be used and have a much larger
inside dimension (11 feet). This larger tunnel will be needed
to accommodate the steel pressure pipe that will convey
flows between the gate chamber and downstream tunnel
portal, and to provide access between the downstream tunnel
portal and the gate chamber. Of note, there should be
sufficient access space to remove and replace the largest
component associated with the guard gate, which is the
hydraulic cylinder and gate stem2 (see figure A-5).
2
It was determined that access through the downstream tunnel would be more economical than
providing an access shaft through the left abutment of the dam connecting the projected dam crest
to the gate chamber.
DS-14(4) July 2021 A-9

Figure A-5. Section: shape F downstream tunnel (access tunnel

carries a 66-inch pressurized steel pipe).
• The control structures included a gate chamber housing the guard gate near
the projected dam centerline and a control house containing the regulating
gates and isolating valves downstream of the downstream tunnel portal.
o The gate chamber must be sufficiently large to not only

accommodate the guard gate, but also to provide sufficient space to
service the gate, which could include removing and replacing the
gate leaf and hydraulic cylinder and gate stem. The selected guard
gate was a 4-foot-wide by 6-foot-high outlet gate (virtually the same
as a bonneted slide gate), which can handle hydraulic heads in
excess of 250 feet and accommodate the maximum design discharge
of 1,250 ft3/s (see figure A-6). The guard gate will only be operated
in a fully closed or open position. Finally, to ensure hydraulic
control at or downstream of the guard gate (i.e., at the downstream
regulating gate), the upstream conveyance feature cross-sectional
area should be at least 1.1 times the wetted area of the gate. In this
case, the upstream inside tunnel area is 44.2 square feet (ft2), which
is greater than 1.8 times the wetted area of the guard gate (24 ft2).
o The control house must be sufficiently large to accommodate the

regulating gate and any needed operating and maintenance activities
(see figure A-7). Additionally, because of the multipurpose release
requirements, which can range from about 10 ft3/s to 1,250 ft3/s, a
bypass system will be required. The system (trifurcation) will
include:
A-10 DS-14(4) July 2021

Figure A-6. Profile: gate chamber control structure.
Figure A-6. Profile: Gate chamber control structure.
Figure A-7. Plan: control house control structure.
Figure A-7. Plan: Control house control structure.
DS-14(4) July 2021 A-11

▪ A 66-inch-diameter steel pipe regulated by a 60-inch

jet-flow gate sized (diameter) to ensure hydraulic control at
the gate (i.e., upstream pipe area of 23.8 ft2 is greater than
1.2 times the gate area of 19.6 ft2). Also, the maximum
design discharge of 1,250 ft3/s must be achieved when the
RWS is at the top of active conservation (elevation 6882).
Operation of this portion of the system will be limited to
emergency evacuation of the reservoir.
▪ A 48-inch-diameter steel bypass pipe regulated by

a 38-inch-diameter sleeve valve. Additionally, a
48-inch-diameter isolation butterfly valve will be installed
upstream of the sleeve valve and used to close this portion
of the bypass for maintenance when other parts are being
operated. The 48-inch-diameter steel pipe area of 12.6 ft2 is
more than 3.8 times the sleeve valve wetted area (the sum of
the multiple port openings is 3.3 ft2). The design discharge
of 10 to 250 ft3/s can be achieved when the RWS is at or
above the top of inactive storage (elevation 6801).
Operation of this portion of the bypass system will address
all normal releases and evacuation of the flood storage.
▪ A 36-inch-diameter steel pipe will provide municipal and

industrial (M&I) future releases. A 36-inch isolation
butterfly valve installed downstream of the trifurcation is
used to close this portion of the system when needed, while
the other parts are in operation. In addition to the butterfly
valve, a blind flange will be installed at the end of the pipe
until completion of the water distribution system in the
future. The design discharge of 100 ft3/s can be achieved
when the RWS is at the top of inactive storage
(elevation 6801). Operation of this portion of the bypass
system will address future Indian water right requirements
and necessary M&I.
• Terminal structures will be needed for operating the 60-inch jet-flow gate
and the 38-inch sleeve valve.
o For the operation of the 60-inch jet-flow gate, a Type I stilling basin
(horizontal apron) was selected, which will contain the hydraulic
jump associated with maximum design discharge of 1,250 ft3/s
before releasing flows into the exit channel (see figure A-7).
A-12 DS-14(4) July 2021

o For the operation of the 38-inch-diameter sleeve valve, a stilling

well was selected, which will dissipate the kinetic energy associated
with normal releases and evacuation of the flood surcharge of up to
250 ft3/s before releasing flows into the Type I stilling basin located
adjacent to the stilling well (see figure A-7).
• Exit channel will initially convey flows through culverts located at the end
of the Type I stilling basin and beneath a service access road. The releases
will then be further stilled by a Type VI impact terminal structure before
entering a grouted riprap exit channel. Grouted riprap was selected due to
the lack of larger rock (requires a median diameter, D50, of 18 inches if not
grouted3). The exit channel has been sized to safely accommodate up to the
maximum design discharge of 1,250 ft3/s.
For more information, refer to the type and size table, which is part of the
“Checklist – Outlet Works Design Considerations” in section 4.3.2 in this chapter.
Given the previously noted considerations used to select components, the new
outlet works will be a pressurized system employing arrangement 1 hydraulic
controls, which is a preferred configuration.
Finalize Design
Once the outlet works is located, typed, and sized, the next step is to undertake the
hydraulic, foundation, and structural design refinements in a risk framework. For
more information, refer to the analysis and design table, which is part of the
The downstream control house provides access to the tunnel and gate chamber
and contains the controls for the gates and valves. The house is designed to keep
the tunnel access separate from the control room. In case of a failure in the
downstream conduit, resulting in flooding of the tunnel access to the gate
chamber, access to the control room would allow the emergency gate in the gate
chamber to be closed.
3
D50 is the designation for the median size rock of a well-graded riprap.
DS-14(4) July 2021 A-13

Example No. 2 – Dam R Modifications
(Existing Concrete Dam): Construct New
Multipurpose River Outlet Works
Background
Dam R is located approximately 25 miles upstream from the nearest town in New
Mexico. The dam was completed in 1911 and provides a total storage capacity of
1,381,600 acre-feet at the design maximum normal RWS (top of active
conservation) of 2136 feet. The reservoir provides flood control, recreation,
irrigation water, hydroelectric power, and M&I water. Other authorized reservoir
capacity allocations include:
• Flood surcharge pool of 178,300 acre-feet between RWS elevations 2136

and 2146.
• Active storage pool of 1,364,200 acre-feet between RWS elevations 1989

and 2136.
• Inactive storage pool is not provided.
• Dead storage pool of 17,400 acre-feet below RWS elevation 1989.
• Streambed elevation is 1902 feet and was used to define the hydraulic
height (difference between the top of active conservation [2136 feet] and
streambed [1902 feet] = 234 feet).
The existing major features are summarized below:
• The cyclopean masonry1 thick-arch dam has a structural height of

280 feet, crest width of 16 feet, crest length of 723 feet, and crest elevation
of 2142. Also, a 4-foot-high parapet wall is located on the upstream dam
face, which effectively increased the top of flood surcharge to
elevation 2146.
• Reinforced concrete spillways located on each abutment are controlled by

a total of nineteen 20- by 15.9-foot radial gates. The combined discharge
capacity is 150,000 ft3/s at RWS elevation 2146.
1
Cyclopean masonry is mass concrete that includes very large rocks (sometimes referred to as
“plum stones”) within the interior of a concrete placement (away from the surface). The concept
of using plum stones was to reduce the cement and sand matrix associated with the mass concrete
placements. Reclamation’s inventory of cyclopean masonry dams includes Elephant Butte,
Pathfinder, and the original Theodore Roosevelt Dams.
DS-14(4) July 2021 A-15

• The river outlet works is located on the right side of the dam and extends
through the dam to a control structure on the canyon wall. The outlet works
consists of two steel pipes each controlled by 54-inch butterfly valves and a
third steel pipe controlled by a 66-inch ring-jet valve. Total discharge
capacity is 3,160 ft3/s at the top of active conservation (elevation 2136).
• A powerplant is located on the left canyon wall immediately downstream

of the dam. Two 10-foot-diameter steel pipe penstocks convey water
through the dam to the powerplant. Approximately 1,000 ft3/s can be
released through the powerplant.
It was determined that total baseline risk, primarily due to flood-induced

overtopping of the dam, was unacceptably high, and there is increasing justification
to reduce total risk. Flood routings identified that frequency flood return periods
greater than 50,000 years (about 60 percent of the current critical PMF) would
overtop the dam which, in turn, could lead to severe erosion of both abutments and
instability of portions of the dam, resulting in uncontrolled release of the reservoir.
Using the process for selecting the (IDF, detailed in Chapter 2, “Hydrologic
Considerations,” of this design standard, a frequency flood equal to a return period
of 150,000 years was selected as the IDF. This frequency flood is similar in size to
the current critical PMF, so the IDF was equated to the PMF, which will reduce
total risks to acceptable levels.
With the selection of the IDF, modifications to the dam, along with replacement of
the spillways and outlet works, are needed to achieve sufficient risk reduction.
Because the focus of this example is on the outlet works, only brief descriptions of
the dam and spillway modifications are provided in the following bullets.
Discussion of the outlet works replacement is detailed after these bullets.
• RCA changes were needed to increase the active pool, create an exclusive
flood control pool, and increase the flood surcharge. These changes will
define the reservoir operations so that a significant portion of the IDF
volume can be temporarily stored while limiting flood releases to no more
than the safe downstream channel capacity of 150,000 ft3/s. The revised
RCA elevations and storage include:
o Flood surcharge pool of 1,245,300 acre-feet between RWS

elevations 2175 and 2218.
o Exclusive flood control pool of 557,000 acre-feet between RWS

elevations 2151 and 2175.
o Active storage pool of 1,591,800 acre-feet between RWS elevations

1989 and 2151.
A-16 DS-14(4) July 2021

o Hydraulic height will increase from 234 feet to 249 feet because the
top of active conservation will increase from RWS elevation 2136 to
2151.
• The dam will be raised 77 feet to accommodate the additional storage

associated with the changed RCA. This raise will be accomplished with a
conventional mass concrete downstream overlay extending from the base of
the dam to a crest elevation of 2218 feet.
• Spillway replacements will be needed because the dam raise will require
removal of the existing spillways, which are located on both abutments
adjacent to the existing dam. Additionally, to maintain the same discharge
capacity of the existing spillways, the replacement spillways are changed to
orifice types, specifically top-seal radial gate spillways located through the
raised dam abutment thrust blocks. This type of gate will allow the
spillways to be located near the existing spillway locations and take
advantage of the increased hydraulic head.
Design Requirements
It is vital when locating, sizing, and typing an outlet works to clearly define the
design requirements which, in the case of Dam R facilities, included:
• Diversion during construction is needed for up to a 4-year period and is

complicated because of the many overlapping activities that will be
underway upstream of, on, and downstream of the dam. Cofferdams
isolating the existing spillways from the reservoir and the tailrace area
immediately downstream of the dam will be needed before some of these
activities are initiated. Because of these activities, operation of the existing
outlet works and penstocks will be severely limited (i.e., will impact/impede
construction activities if operated). Also, the discharge capacities of the
existing outlet works and penstocks are relatively small, which, if used, may
require a significant temporary reservoir drawdown during construction
activities to safely accommodate flood events. Based on procedures
outlined in Chapter 2, “Hydrologic Considerations,” of this design standard,
it was determined that the diversion discharge capacity should be able to
safely accommodate at least a 25-year flood event. This flood event would
require a discharge capacity of 5,400 ft3/s at a RWS of 2136 feet. Also, a
modest temporary reservoir drawdown (restriction) to elevation 2115 will
be imposed during the construction period.
• Normal release requirements are associated with maintaining minimum

river release requirements of 2,400 ft3/s between RWS elevations 1989
and 2151.
DS-14(4) July 2021 A-17

• Power release requirement will involve a power penstock that conveys up

to 1,200 ft3/s from the left side of the dam axis to the existing powerplant.

top of active conservation (elevation 2151). The combined discharge
capacities of the spillway and outlet works replacements will be sized to
meet evacuation requirements associated with a dam classification of a low
risk, high hazard. For the outlet works, discharge capacity of 12,000 ft3/s at
the top of active conservation (elevation 2151) will meet this requirement.
• Flood routing requirements include the use of the river outlet works to
augment spillway releases when passing more frequent smaller flood
events. Due to a very large discharge capacity needed for emergency
evacuation, the outlet works will be used to help pass flood events.
For more information, refer to the data table, which is part of the “Checklist –
Outlet Works Design Considerations” in section 4.3.2 in this chapter. With the
determined. These features are discussed in the following sections.
Based on preliminary flood routings and evacuation studies, it was determined

that the reservoir evacuation requirements would establish the maximum size of
the outlet works. Additionally, the stream release requirements would establish
the minimum release requirements. This is further discussed in the next section
(“Hydraulic Structure Size and Type”). These preliminary studies also
established a combination of the discharge capacity (spillways and outlet works)
and the flood surcharge storage, which established the maximum RWS of
2218 feet and the dam crest of 2218 feet. It should be noted that a 3.5-foot-high
parapet wall (elevation 2221.5) located on the upstream limits of the dam crest
will provide freeboard and was estimated using procedures found in Chapter 2,
“Hydrologic Considerations,” of this design standard. The dam size and other
site-specific conditions influenced the location of the outlet works. These
conditions and considerations include:
• Selection of a new tunnel conveyance feature, rather than modifying the

existing conduit conveyance features (outlet works and power penstocks
located through the existing dam), will have a notable bearing on the
location of the outlet works. Considerations included:
o Due to the construction activities over a 4-year period upstream of,

on, and downstream of the dam, operation of the existing outlet
A-18 DS-14(4) July 2021

works and power penstocks will be limited. Also, extending these

structures downstream of the construction area would be very
difficult as it would interfere with construction activities.
o The combined discharge capacities of the existing outlet works and

power penstocks are not sufficient to pass the 25-year diversion
flood without a significant reservoir drawdown.
• Selecting the left abutment over the right abutment for the new tunnel
conveyance feature was based on the following considerations:
o The overriding consideration will be maintaining the existing

powerplant (located on the downstream left canyon wall). For this
reason, there are significant efficiencies (including cost) associated
with a combined river and power outlet works.
o The right abutment geology is suitable for a tunnel, but it will be

somewhat more complicated due to the jointing and the presence of
several shear zones.
• Selection of vertical and horizontal alignment will be influenced by the

revised RCA elevations and storage, the need to locate the outlet works
on/in competent rock foundation, dealing with underwater construction
(placement) of the intake structure (lake tap), and combining river and
power outlet works. Additionally, an important consideration involved
minimizing the tunnel length and associated cost. Finally, at least a 50-foot
buffer (distance) between the tunnel and the existing dam-foundation
contact will be required to ensure that the dam-foundation contact is not
damaged during the tunneling operations. To maintain a buffer between the
tunnel and dam-foundation contact, a bend (curve) in the horizontal
alignment will be required. These considerations led to a horizontal
alignment consisting of:
o A 440-foot length of tunnel between the upstream portal and

101-degree bend
o A 250-foot length of tunnel between the 101-degree bend and the

bifurcation (wye) for the river outlet works and power penstock
tunnels
o A 225-foot length of river outlet works tunnel between the

bifurcation and the downstream portal
o A 355-foot length of power penstock tunnel between the bifurcation

and the existing powerplant
DS-14(4) July 2021 A-19

Based on the previous considerations, the vertical alignment of the tunnel is

anchored by the top of dead storage (RWS elevation 1989), which will set
the intake structure sill elevation. The downstream portal inverts are
elevation 1928 for the river outlet works and 1903 for the power penstock
(approximate elevation of competent rock for any downstream components
of the outlet works and sufficient competent rock for tunneling above the
portal invert elevation). Additionally, the invert elevations are above the
maximum tailwater elevation.
For more information, refer to the location table, which is part of the “Checklist –
Outlet Works Design Considerations” in section 4.3.2 in this chapter. Given the
previously noted site-specific conditions, a new combined river and power outlet
works will be located through the left abutment of the modified concrete dam (see
figure A-8).
A-20 DS-14(4) July 2021

Due to the numerous design requirements, the outlet works will be a multipurpose
river outlet works. For the river outlet works portion, discharge flexibility to meet
these design requirements is important. Therefore, arrangement 5 hydraulic
controls will be employed. This arrangement will include an emergency gate
located near the projected dam axis (upstream of the river outlet works and power
penstock bifurcation) and a pressurized, reinforced concrete lined tunnel with a
steel liner (between the gate chamber and downstream tunnel portal). Also, to
increase the range of discharge and accommodate available gates sizes, the steel
pipes encased in reinforced concrete downstream of the tunnel portal include two
bifurcations in series (i.e., separating the single steel pipe into two steel pipes,
then into four steel pipes, all encased in reinforced concrete). A guard gate and
regulating gate for each of the four steel pipes are located in a control house
downstream of the tunnel portal. Hydraulic sizing was based on:
• Assume maximum friction losses when sizing all components, except for
the terminal structure.
• Assume minimum friction losses when sizing the terminal structure.
The configuration will consist of the following components (features):
• Approach (inlet) channel will not be needed because the intake structure
will be located on an excavated rock bend along the canyon wall within the
reservoir.
• The intake structure will be a drop inlet type, which will be installed
underwater using lake tap methodology. This methodology is summarized
by the following generalized steps (see figure A-9).
o Excavate a rock bench underwater at floor elevation 1986 feet

(excavation of upstream tunnel is suspended once excavation is
about 125 feet downstream of the location of the intake structure
until the intake structure has been fully installed).
o Drill a 20-foot-diameter vertical shaft in rock underwater from a

barge.
o Install prefabricated, 16-foot-diameter, vertical steel shaft liner

(including bellmouth entrance vertical bend or elbow, and
downstream dished head bulkhead).
o Place tremie concrete and grout in annulus between the

20-foot-diameter drilled shaft and 16-foot-diameter steel liner.
DS-14(4) July 2021 A-21

o Install prefabricated trashrack structure and upstream bulkhead on

intake structure sill.
o Complete approximately 125 feet of excavation from upstream

tunnel to the intake structure and remove downstream bulkhead.
o Using a filling line, slowly water up the intake structure and the
upstream tunnel between the upstream bulkhead located on the
intake structure and the emergency gate located in the gate chamber
control structure. Remove the upstream bulkhead using divers and
barge.
Figure A-9. Profile: lake tap drop inlet intake structure.
A-22 DS-14(4) July 2021

• The conveyance features included reinforced concrete lined tunnels with

(downstream tunnel) and without a (upstream tunnel) steel liner, and a short
section of steel pipes encased in reinforced concrete, which connects the
downstream river outlet works portal to the control structure. These
conveyance features are further discussed in the bulleted items that follow:
o Because an emergency gate will be located near the projected dam axis,
there will be an upstream and downstream tunnel section. Given the
geology of the left abutment (very hard, high strength rock), it was
anticipated that the tunnels would be constructed using drill and blast
methods (for more details, see Chapter 4, “Tunnels, Shafts, and
Caverns,” of Design Standards No. 3 - Water Conveyance Facilities,
Fish Facilities, and Roads and Bridges”).
▪ For the 580-foot-long upstream tunnel (between the downstream

end of the intake structure vertical bend and the upstream end of the
control structure, housing the guard gate), a circular inside and
horseshoe outside cross section will be used and will have a
significantly larger inside diameter (16 feet) than the minimum
dimension of 7 feet. The size is necessary to pass flows up to about
12,000 ft3/s and minimize hydraulic head losses when operating the
powerplant (see figure A-10). Also, as previously noted, there will
be a horizontal bend in the upstream tunnel to maintain at least
50 feet of clear distance between the tunnel and the dam-foundation
contact.
Figure A-10. Section: circular inside shape and horseshoe

outside shape for upstream and downstream tunnels.
▪ For the 50-foot-long bifurcation (downstream of the gate chamber

control structure), a circular steel liner inside and horseshoe outside
cross section will be used and will have the same large inside
diameter (16 feet) as the upstream tunnel. The power penstock
DS-14(4) July 2021 A-23

portion of the bifurcation will have a smaller inside diameter (12 feet
6 inches) and will be steel lined to reduce hydraulic head losses.
▪ For the 185-foot-long downstream tunnel for the outlet works, a

circular inside and horseshoe outside cross section will be used and
will have the same large inside diameter (16 feet) as the upstream
tunnel. Note: this portion of the river outlet works tunnel will
continue to be lined with reinforced concrete and also include a
steel liner to address reduced rock cover and add some structural
redundancy associated with containing high-pressure, high-volume
flows downstream of the dam.
▪ The 110-foot steel pipe section downstream of the portal is encased

in reinforced concrete, and there are two bifurcations in series
(i.e., the one 16-foot-diameter steel pipe will be separated into four
7-foot 6-inch-diameter steel pipes).
• The control structures include a gate chamber housing the emergency gate
for the combined outlet works (both river and power outlet works) near the
projected dam axis and a control house containing the guard gates and
regulating gates for the river outlet works downstream of the downstream
tunnel portal.
o The gate chamber must be sufficiently large to not only

accommodate the emergency gate, but also to provide adequate space to
service the gate, which could include removing and replacing the gate.
Also, a 320-foot-high, 16-foot inside diameter access shaft is provided.
Additionally, a control house at the top of the shaft will be used to
operate the emergency gate. The selected emergency gate is a
13-foot-wide by 16-foot-high, wheel-mounted (fixed-wheel) gate, which
can handle the maximum hydraulic head of 282 feet (head associated
with the maximum design RWS) and accommodate the maximum
design discharge of 12,000 ft3/s (see figure A-11). Finally, it should be
noted that hydraulic control at the gate may not occur because the gate
wetted area (208 ft2) is slightly larger than the wetted area of the
upstream tunnel (201 ft2). However, for the planned operation of the
outlet works, maintaining hydraulic control at the emergency gate is not
considered critical because the gate will only be used in the fully opened
or closed position, and it will only be used to shut down the entire outlet
works during an emergency (during unbalanced or flowing conditions)
or for maintenance and inspection (during balanced or not flowing
conditions).
A-24 DS-14(4) July 2021

Section: Gate chamber, access

shaft, and control structure
Figure A-11. Profile: gate chamber control structure.
DS-14(4) July 2021 A-25

o Another control house, located near the downstream river outlet

works tunnel portal, must be sufficiently large to accommodate the
four guard gates (90-inch-diameter ring-follower gates) and four
regulating gates (90-inch-diameter jet-flow gates). These gates
can handle the maximum hydraulic head of 282 feet for the
ring-follower gate and the jet-flow gate (see figure A-12). It should
be highlighted that the wetted areas of both gates are the same as the
wetted area of the upstream pipe. Typically, the upstream
conveyance feature wetted area should be at least 1.1 times the gate
wetted area. In this case, designs for and fabrication of 90-inch
ring-follower and jet-flow gates were already completed for another
project. Therefore, because these sized gates can release more than
the maximum design discharge when fully opened, hydraulic control
at the gates will be maintained by not fully opening the gates for
most operations (exception will be made under emergency
conditions when it is critical to lower the reservoir as quickly as
possible).
• A terminal structure will be needed for operation of the four 90-inch

jet-flow gates. Dissipation of kinetic energy (associated with discharge)
will be accomplished by establishing sufficient tailwater depths in an
excavated rock channel between the regulating gates and the river. The
bottom of the excavation will be unlined, but reinforced concrete retaining
walls will establish the channel sides. This component is similar to a Type I
terminal structure (see figure A-13)
• An exit channel will be incorporated into the terminal structure.
• For more information, refer to the type and size table, which is part of the
“Checklist – Outlet Works Design Considerations” in section 4.3.2 in this
chapter. Given the previously noted considerations used to select
components, the new outlet works will be a pressurized system employing
arrangement 5 hydraulic controls, which is an acceptable configuration.
Finalize Design
Once the outlet works is located, typed, and sized, the next step is undertaking
A-26 DS-14(4) July 2021

Figure A-12. Plan: control house control structure and downstream terminal
structure.
Figure A-13. Section through control house along river outlet works centerline.
DS-14(4) July 2021 A-27

Example No. 3 – Dam Q (Existing
Embankment Dam): Modify Existing River
Outlet Works
Background
Dam Q is located approximately 16 miles upstream from the nearest town in

Idaho. The dam was completed in 1910 and provides a total storage capacity of
36,900 acre-feet at the design maximum normal RWS (top of active conservation)
of 4242.7 feet. The reservoir provides recreation and irrigation water. Other
authorized reservoir capacity allocations include:
• Flood surcharge pool of 11,500 acre-feet between RWS elevations 4242.7

and 4255.
• Active storage pool of 35,100 acre-feet between RWS elevations 4188.5

and 4242.7.
• Inactive storage pool of 300 acre-feet between RWS elevations 4185.8 and
4188.5.
• Dead storage pool of 1,500 acre-feet below RWS elevation 4185.8.
• Streambed elevation is 4181 feet at the dam centerline and is used to define
the hydraulic height (difference between the top of active conservation
[4242.7 feet] and streambed [4181 feet] = 61.7 feet).
The existing major features are summarized below:
• The embankment dam has a structural height of 76 feet, crest width of

20 feet, crest length of 2,550 feet, and a crest elevation of 4255 feet. Of
note, a 3.5-foot-high parapet wall is located on the upstream dam face,
which effectively increased the top of flood surcharge to elevation 4258.5.
Also, the dam was constructed by the semi-hydraulic fill method.1
Primarily because of the method of constructing the dam, significant
seepage issues have been observed and monitored since the reservoir was
filled.
1
Material hauled to the site by rail was dumped from both upstream and downstream sides of
the embankment, and the finer material washed to the lower and center part of the dam.
DS-14(4) July 2021 A-29

• The reinforced concrete spillway was replaced in 1990. It is located on

the left abutment and consists of an uncontrolled, 75-foot-wide, reinforced
concrete ogee crest control structure; a 75-foot-wide, 65-foot-long
reinforced concrete chute; and a grouted riprap exit channel. The discharge
capacity is 7,600 ft3/s at RWS elevation 4255.
• The river outlet works is located on the right side of the dam and extends
through the dam. The outlet works consists of a box intake structure with
trashracks, a 66-inch-diameter, steel-lined, reinforced concrete upstream
conduit; a reinforced concrete gate chamber; and an access shaft, which is
positioned upstream of the dam crest and can be accessed by way of a foot
bridge from the dam crest. The gate chamber houses 66-inch gate valves in
tandem (upstream guard gate valve and downstream regulating gate valve).
A 66-inch-diameter, redwood-lined, reinforced concrete conduit extends
downstream from the gate chamber to a riprap-lined exit channel. The
discharge capacity is restricted to 600 ft3/s during normal operations and
700 ft3/s during emergency operations (such as emergency evacuation of the
reservoir). This restriction is imposed to ensure freeflow conditions in the
downstream conduit and to minimize displacement of riprap in the exit
channel. Also, it should be noted that the downstream conduit has settled
(sagged) more than 1 foot, which resulted in significant cracking of portions
of the conduit. Finally, seepage has been observed coming through these
cracks and through the embankment surrounding the downstream end of the
conduit.
It has been determined that total baseline risks (primarily due to internal erosion
through the dam, through cracks in the downstream outlet works conduit, and along
the outlet works) were unacceptably high, and there was increasing justification to
reduce total risk. As a result of normal operations (static conditions) and/or during
flood events (hydrologic conditions), internal erosion or piping of embankment
materials could lead to a dam breach and uncontrolled release of the reservoir.
To mitigate the significant risks associated with internal erosion, an evaluation

process of nonstructural and structural alternatives was undertaken. It was
determined that a structural alternative will be pursued to reduce total risks. The
structural alternative involves modifications including:
• The dam will be modified by placing a zoned filter on the downstream

slope, which will surround the outlet works exit area.
• The outlet works will be modified by installing a steel liner in the

downstream outlet work conduit by constructing a terminal structure at the
end of the downstream conduit and by lining the exit channel with grouted
riprap
A-30 DS-14(4) July 2021

Design Requirements
It is vital when locating, sizing, and typing an outlet works to clearly define the
design requirements. In the case of Dam Q, locating, sizing, and typing the
modified outlet works will be straightforward given that the location is already
defined and the typing is unchanged from the existing outlet works. The sizing
must prevent the original discharge capacity from significant reduction, which
will be facilitated by removing the existing redwood liner and replacing it with a
steel liner (i.e., the finished inside diameter remains the same as the existing
inside diameter: 66 inches). Other data considerations include:
• Diversion during construction will be a staged, 2-year effort that will

initially involve draining the reservoir immediately after irrigation season
(mid-September) and mobilizing and modifying the outlet works during the
late fall, winter, and early spring (October through mid-March). The dam
modification will not begin until the outlet works is operational, and it is
anticipated to extend from early spring until late fall (March through
October). Based on procedures outlined in Chapter 2, “Hydrologic
Considerations,” of this design standard, acceptable levels of construction
risks could be achieved if at least a 500-year flood event could be safely
accommodated. To accommodate this flood event, the combined discharge
of the modified outlet works and the existing spillway would be 2,200 ft3/s
(1,500 ft3/s from spillway and 700 ft3/s from outlet works) at a RWS of
4249 feet. Based on flood routing studies, a temporary reservoir restriction
of elevation 4230 or lower will be maintained during the construction period
for the dam modification, which will allow safe passage of the 500-year
flood event.
• Normal release requirements are associated with maintaining irrigation

releases of up to 600 ft3/s between RWS elevations 4188.5 and 4242.7.
• Flood routing requirements include the use of the river outlet works to
augment spillway releases when passing a flood event. The outlet works
discharge capacity could be as much as 700 ft3/s at the top of flood
surcharge (elevation 4255).

top of active conservation (elevation 4242.7). The discharge capacity of the
modified outlet works will be unchanged from the existing discharge
capacity. However, evacuation requirements will not be met for this dam,
which, after modification, will be classified as a low risk, high hazard
facility. For the modified outlet works, the maximum discharge capacity
will be 700 ft3/s at the top of active conservation (elevation 4242.7). It
should be noted that increasing the discharge capacity to meet the
evacuation requirements could not be justified based on risk reduction and
DS-14(4) July 2021 A-31

cost; therefore, Reclamation’s management agreed upon a variance.

This variance provided opportunities to meet emergency evacuation
requirements if future activities (modifications) can help meet requirements
at modest costs.
For more information, refer to the data table, which is part of the “Checklist –
Outlet Works Design Considerations” in section 4.3.2 in this chapter. With the
determined, which are discussed in the following sections
As previously noted, the location (near the right abutment and through the
existing dam) is already defined because the existing outlet works will be
modified (see figure A-14). For more information, refer to the location table,
which is part of the “Checklist – Outlet Works Design Considerations” in
section 4.3.2 in this chapter.
A-32 DS-14(4) July 2021

As previously noted, the type is unchanged from the existing outlet works. The
sizing must prevent the original discharge capacity from significant reduction,
which will be facilitated by removing the existing redwood liner in the
downstream conduit and replacing it with a steel liner (i.e., the finished inside
diameter remains the same as the existing insider diameter: 66 inches). Specific
modifications (see figures A-15 and A-16) include:
• The downstream conduit modification will include a steel liner installed

in 20-foot sections, pulled into place, and the ends will be butt-strapped and
welded. The void (annulus) between the steel liner and existing reinforced
concrete conduit will be grouted through plugs in the steel liner. Also, a
zoned filter placed along the downstream slope of the existing dam will be
wrapped around the downstream end of the outlet works.
• The terminal structure will include a new 21-foot-long, reinforced

concrete stilling basin that flares from 6 feet wide at the upstream end to
12 feet wide at the downstream end. The terminal structure will be sized to
contain a hydraulic jump associated with 700 ft3/s.
• The exit channel will include a 75-foot-long, grouted riprap trapezoidal

channel that will convey flow to the river channel.
Figure A-15. Sections:

steel liner installation in
downstream existing
conduit.
DS-14(4) July 2021 A-33

Figure A-16. Plan: terminal structure and exit channel.
Given the previously noted considerations, the modified outlet works will remain a
pressurized system upstream of the gate chamber and free-flow system downstream
of the gate chamber (employing arrangement 2 hydraulic controls, which is an
acceptable configuration). For more information, refer to the type and size table,
which is part of the “Checklist – Outlet Works Design Considerations” in
section 4.3.2 in this chapter.
Finalize Design
Once the outlet works is located, typed, and sized, the next step is to undertake
“Checklist – Outlet Works Design Considerations” found in section 4.3.2 in this
chapter.
A-34 DS-14(4) July 2021

Appendix B
Potential Failure Modes (PFMs) for Outlet Works
Potential Failure Modes (PFMs) for Outlet
Works
Quantitative risk analysis methodology will be part of evaluating, analyzing,
and designing existing outlet works modifications and new outlet works
associated with storage and multipurpose dams, which are typically classified as
significant- and high-hazard structures. To facilitate the effort of identifying and
evaluating PFMs, a list of typical PFMs associated with outlet works and grouped
by loading conditions (Static, Hydrologic, and Seismic) is summarized in the
following text.
Static (Normal Operations) PFMs
These static PFMs are not applicable when the outlet works is being operated to
pass flood events and/or the reservoir water surface (RWS) exceeds the maximum
normal RWS (either top of active conservation or top of joint use, whichever is
higher). These PFMs are applicable when the outlet works is being operated to
pass normal releases for such operations as irrigation, power generation, and
municipal and industrial (M&I) and environmental considerations.
• Internal erosion. – The reservoir is at or below the maximum normal

RWS. Internal erosion is the key (most important) PFM associated with
outlet works through or adjacent to embankment dams. It can initiate from
different mechanisms that are further discussed in the following bullets.
o Internal erosion along or

into outlet works. –
Seepage flows could
increase over time through
flaws or discontinuities in
the fill material adjacent to
the outlet works
conveyance features
(typically conduits), or
through cracks and joint
openings in the Internal erosion induced dam failure
nonpressurized portion resulting from corrugated metal pipe that
of outlet works, in the rusted through and exposed adjacent
foundation, or a combination. embankment to erosive flows (unknown
dam).
Seepage velocities could be
sufficient to carry fill
material, enlarging the discontinuities until a continuous conduit/pipe
develops. Internal erosion would continue, eventually leading to a
DS-14(4) July 2021 B-1

collapse of the conduit/pipe and erosion of the fill material adjacent to

the outlet works and/or foundation, which would end with uncontrolled
release of the reservoir. Alternatively, a sinkhole could develop above
the discontinuity, resulting in instability of the embankment crest and
leading to an uncontrolled release of the reservoir. Examples include
the 1996 sinkhole development in the embankment overlying the
existing outlet works at Reclamation’s Willow Creek Dam, Montana,
and the 2003 piping of material along the outlet works at Reclamation’s
Virginia Smith Dam, Nebraska.
o Internal erosion due to

leakage from pressurized
outlet works. – Seepage
flows could increase over
time through cracks or open
joints in the pressurized
outlet works conveyance
feature (pipe or conduit)
into the fill material and/or
foundation adjacent to the
outlet works. Seepage
velocities could be
sufficient to carry fill 1982 internal erosion induced dam failure
material, enlarging the resulting from pressurized flow exiting the
discontinuities until a outlet works into the surrounding
continuous conduit/pipe embankment material (Lawn Lake Dam,
Colorado).
develops. Internal erosion
would continue, eroding the
fill material adjacent to the outlet works and/or foundation, which would
end with uncontrolled release of the reservoir. Alternatively, a sinkhole
could develop above the discontinuity, resulting in instability of the
embankment crest, leading to an uncontrolled release of the reservoir.
An example includes the 1982 Lawn Lake Dam failure resulting from
pressurized flow exiting the outlet works pipe upstream of a regulating
valve into surrounding embankment material.
• Gate and/or valve failure.– During normal operations or periodic testing

of the gates or valves, a mechanical failure occurs, resulting in displacement
of the gate or valve, or a partial closure of the gate or valve. If a gate or
valve displaces, an uncontrolled release of the reservoir may result. If a
mechanical failure results in a partial closure of a gate or valve, loss of
operational control may occur. If the gate or valve is designed to only
operate in a fully open or fully closed condition, the partial closure may
B-2 DS-14(4) July 2021

result in adverse hydraulics that could lead to a failure of the gate itself or of
the downstream conduit or pipe. If there are no upstream emergency or
guard gates or valves, loss of operational control of releases and loss of the
reservoir may result. It should be noted that the level of release may not
exceed safe downstream channel capacity and cause downstream
consequences. Based on case histories, gate or valve failures are due to
mechanical failures (such as the 1997 partial lowering of the sluice
ring-follower gate leaf at
Reclamation’s Flaming
Gorge Dam that resulted
in the cavitation-induced
failure of a portion of the
outlet pipe) or
misoperation failures
(such as the 1985 needle
valve failure at
Reclamation’s Bartlett
Dam that resulted in
catastrophic failure of
the valve, significantly 1997 cavitation-induced pipe
damaging the control failure due to ring-follower gate
leaf drifting into flow (Flaming
house and causing a Gorge Dam).
fatality).
• Reinforced concrete structural failure. – Reinforced concrete features

(walls, slabs, conduits, tunnels, etc.) fail as a result of normal loading in
combination with one or more deterioration mechanisms acting on the
reinforced concrete and/or foundation over time. The root causes tend to be
the loss of the material and strength properties of the reinforced concrete
and/or foundation, along with removal of concrete and/or foundation. Of
note, there is no one generic failure or incident event tree associated with
reinforced concrete deterioration. Rather, the effects are typically reflected
in the likelihood of events occurring for other potential failure or incident
modes, such as the likelihood (probability) of open joints, offsets, surface
irregularities, cracks, or spalls. Types of deterioration mechanisms that
could exacerbate reinforced concrete structural failure include:
DS-14(4) July 2021 B-3

o Freeze-thaw deterioration
and/or frost heave
deterioration. – Of greatest
concern is the accumulation
of water in soils adjacent to
outlet works features (such
as intake towers, walls, or
floor slabs), which then
freeze and result in large
stresses on the features
(referred to as frost heave).
o Alkali-silica-reaction
(ASR) deterioration. – As
a result of alkalies in the
cement and mineral
constituents of some Outlet works intake tower deterioration
aggregates (opal and some due to freeze-thaw cycles and ice
action (unknown dam).
volcanic rocks), a chemical
reaction can occur,
resulting in large-scale, excessive internal and overall expansion
(cracking of the cement paste and aggregate).
o Sulfate deterioration. – As a result of some salts (sodium, magnesium,

and calcium) primarily found in soils and ground water in the Western
United States, a chemical reaction can occur with the cement paste
(hydrated lime and hydrated calcium aluminate), which leads to
considerable expansion and disruption (cracking) of the cement paste.
o Acid deterioration. – Primarily due to mining operations, very high

acid concentrated releases can enter a reservoir and significantly lower
the pH of the water. The water can react with a concrete structure and
result in “softening” (dissolving) the concrete paste (sand and cement).
Examples are the softening and loss of the concrete paste on submerged
components and flow surfaces of the outlet works at Reclamation’s
Spring Creek Debris Dam and the flow surfaces of the outlet works at
Reclamation’s Soldier Creek Dam. The submerged surfaces and flow
surfaces reacted with the water, which had a very low pH due to mine
effluent that accumulated in the reservoir. These conditions continue to
be monitored.
B-4 DS-14(4) July 2021

o Corrosion (chloride) deterioration. – As a result of exposing

reinforcement to the atmosphere, corrosion can take place that will
eventually result in loss of strength properties and potential compromise
of the reinforcement. Exposure of the reinforcement can result from
other deterioration mechanisms such as freeze thaw, ASR, sulfate
attack, and thermoexpansion/contraction.
• Thermoexpansion/contraction. – Due to radiant heat, concrete surfaces

expand and may result in very large compressive stresses that tend to focus
at or near contraction and/or control joints. These compressive stresses can
result in cracking or spalling near the joints.
• Loss of foundation
(differential
settlement). –
Foundation loss can be
due to internal erosion
and/or settlement that
results in diminished
support of the outlet
works, which could lead
to structural failure
(collapse) of the outlet
works features. An
example is the 1987
unexpected significant Outlet works intake tower tilting due to
settlement of Ridgway inadequate foundation support (unknown
dam).
Dam foundation. This
settlement caused
excessive movement (settlement) and damage to the river outlet works
conveyance features (conduits). To mitigate seepage potential along and
through the conveyance features, a major grouting program was undertaken,
along with concrete repairs to the damaged conduits.
• Loss of operation. – The following consideration of an inoperable outlet

works does not directly define PFMs, but it could contribute to and/or
exacerbate other PFMs where drawing down the reservoir in a timely
fashion (intervention) would be an important factor in evaluating PFM risks.
Considerations might include: inoperable gates or valves, inability to access
and operate the outlet works in a timely fashion, slope failure, and excessive
sediment buildup that buries and/or fills in the intake structure and upstream
conduit, pipe, or tunnel.
DS-14(4) July 2021 B-5

Hydrologic (flood-
induced) PFMs
These hydrologic PFMs are

applicable when the outlet
works is being operated to
pass flood events and/or the
RWS exceeds the maximum
normal RWS (either top of
active conservation or top of
joint use, whichever is
higher).
Upstream embankment dam slope has slough
into outlet works intake structure partially
• Dam overtopping. – clogging it, which reduced the discharge
This particular PFM is capacity (Agency Valley Dam, Oregon).
typically not
associated with outlet
works. However, in a case where there is no spillway associated with the
dam and/or one of the primary purposes of the outlet works is to pass flood
events, consideration should be given to the dam overtopping PFM as it
relates to the outlet works. Overtopping of a dam, dike, and/or low area
(saddle) on the reservoir rim occurs when a flood event overwhelms flood
surcharge storage and discharge capacity of the appurtenant structures (such
as an outlet works). For an embankment dam, dike, or saddle on the
reservoir rim, if the depth and duration of overtopping is sufficient, erosion
will result, which could lead to breach and uncontrolled release of the
reservoir. For a concrete dam, if the depth and duration of the overtopping
is sufficient to erode abutments and/or foundation, leading to the
undermining and destabilizing of the dam, breaching of the dam could
occur, leading to uncontrolled release of the reservoir. An additional
consideration for dam and dike overtopping is the potential concentration of
flow along the groins (abutment contacts between the dam/dike and the
foundation).
• Elevated RWS (nonovertopping of dam) resulting in internal erosion. –

Flood-induced internal erosion of fill material along the outlet works
features, in the foundation, or a combination, which would result from the
RWS being substantially elevated above normal operations and/or what
may have historically been experienced (i.e., first filling conditions exist).
The elevated RWS would typically be above the maximum normal RWS
(either top of active conservation or top of joint use storage, whichever is
higher). Once the reservoir is above the maximum normal RWS, seepage
flows could increase through flaws or discontinuities in the fill material
adjacent to the outlet works, in the foundation, or a combination. Seepage
velocities could be sufficient to carry soil material, enlarging the
B-6 DS-14(4) July 2021

discontinuities until a continuous conduit/pipe develops. Internal erosion

would continue, eventually leading to a collapse of the conduit/pipe and
erosion of the fill material adjacent to the outlet works and/or foundation,
which would end with uncontrolled release of the reservoir.
• Chute wall overtopping. – This particular PFM is not typically associated

with outlet works. However, consideration should be given to it if the outlet
works includes a chute which is usually limited between the downstream
end/portal of the conduit/tunnel and the terminal structure (such as a stilling
basin). Also, unless the outlet works is used to help pass flood events where
discharge exceeds the maximum design discharge, this PFM will not
typically be associated with an outlet works. If the outlet works is used to
pass flood events, large releases may result in overtopping of chute walls,
leading to erosion of adjacent fill material, followed by undermining and
failing of a portion of the chute. With extended operation, additional
erosion could lead to headcutting and undermining of the conveyance
features (conduits) and surrounding fill if associated with an embankment
dam/dike, which could lead to an uncontrolled release of the reservoir.
• Conduit/tunnel pressurization. – Flood-induced discharge that exceeds

the maximum design discharge, which may result in pressurizing a
conduit/tunnel that was designed for free-flow conditions. This
pressurization could lead to two potential failure paths: (1) the
conduit/tunnel lining is overloaded and collapses, and (2) high-pressure
flow is injected through conduit/tunnel joints and/or cracks into the
surrounding foundation material. With extended operation, erosion adjacent
to the conduit/tunnel could lead to destabilizing a portion of the
conduit/tunnel lining. Once the conduit/tunnel lining has failed, extensive
internal erosion (if foundation consists of erodible materials) extending to
the upstream reservoir could result, as well as an uncontrolled release of the
reservoir.
• Cavitation of chute and/or conduit/tunnel/pipes. – Discharge through a

concrete-lined chute and/or a concrete-lined conduit/tunnel with flow
surface offsets at joints and/or other surface irregularities, such as cracks,
may create separation of high-velocity flow at the flow surface, which
results in low-pressure zones (vapor bubbles and/or voids form). Also,
low-pressure zones can and have been associated with areas of a conduit,
tunnel, or pipe immediately downstream of a gate or valve, where there is
insufficient air supply and/or the gate/valve is being misoperated (such as
making releases through a very small gate or valve opening). These
bubbles and/or voids rapidly collapse as they move into higher pressure
zones, which issues high-pressure shock waves. Swarms of collapsing
bubbles and/or voids can lead to fatigue and erosion of the flow surface
DS-14(4) July 2021 B-7

material (such as
concrete or steel liner).
Cavitation damage is
cumulative and may not
be significant upon first
operation, but damage
progression increases
with operation time.
With extended
operation, erosion of the
concrete and foundation
could lead to erosional Cavitation damage downstream of regulating
headcutting upstream to gates (Palisades Dam, Wyoming).
the reservoir and an
uncontrolled release of
the reservoir. Examples include the 1997 normal operations induced
cavitation of the outlet works pipe at Reclamation’s Flaming Gorge Dam
and the 1997 flood-induced cavitation of the outlet works conduit at
Reclamation’s Folsom Dam. Both examples involve cavitation damage
immediately downstream of gates. Although there was significant damage,
there was no breach and uncontrolled release of the reservoir.
• Stagnation pressure of chute and/or conduit/tunnel. – Discharge

through a concrete-lined chute or conduit/tunnel leads to introduction of
high-velocity, high-pressure flow through open flow surface joints or
cracks, which can result in structural damage or failure of the concrete
lining due to uplift pressures and/or erosion of the foundation.
Displacement of portions of the concrete-lined chute or conduit/tunnel can
expose the foundation to further erosion. With extended operation, erosion
of the foundation could lead to additional erosional headcutting (and
undermining of the structure) upstream to the reservoir and an uncontrolled
release. Stagnation pressure damage may occur during a single operation,
or may be cumulative, as is the case with foundation erosion.
• Sweepout of hydraulic-jump stilling basin. – Discharge exceeds original

design levels, and sweepout of the stilling basin occurs (i.e., the hydraulic
jump moves out of and downstream of the stilling basin). Erosion and
headcutting initiate in the foundation downstream of the stilling basin and
progress upstream, undermining and causing failure of the stilling basin. If
flow durations are long enough, erosional headcutting progresses upstream,
undermining and failing other outlet works features, such as the conveyance
features, which could lead to uncontrolled release of part or all of the
reservoir.
B-8 DS-14(4) July 2021


(walls, slabs, conduits, tunnels, etc.) fail as a result of hydrologic loading
that exceeds the design loads. Also, if there is concrete deterioration that
has weakened and/or damaged the concrete and/or foundation, the
reinforced concrete structure could fail due to hydrologic loadings that are
less than the original design loadings. The deteriorated concrete could
exacerbate other hydrologic PFMs such as dam overtopping (due to gate or
valve binding), elevated RWS leading to internal erosion (due to frost heave
of outlet works walls, which opens up a seepage path between the walls and
adjacent fill material), and cavitation and stagnation pressure (due to
deteriorated flow surfaces). As previously mentioned, there is no single
generic failure or incident event tree associated with reinforced concrete
deterioration; rather, the effects are typically reflected in the likelihood of
events occurring for other PFMs or incident modes, such as the likelihood
(probability) of open joints, offsets, surface irregularities, cracks, and spalls.
Types of deterioration mechanisms that have been experienced are further
discussed in the “Static (normal operations) PFMs,” specifically
“Reinforced concrete structural failure.”
Seismic (earthquake-induced) PFMs
These seismic PFMs are not applicable when the outlet works is being operated to
pass flood events and/or the RWS exceeds the maximum normal RWS (either top
of active conservation or top of joint use, whichever is higher in elevation). These
PFMs are applicable when the outlet works is being operated to pass normal
releases for such operations as irrigation, power generation, and M&I and
environmental considerations.
• Internal erosion. – Earthquake-induced internal erosion of fill material

along the outlet works features, in the foundation, or combination, which
would result from the RWS at or below the maximum normal RWS (either
top of active conservation or top of joint use storage, whichever is higher).
Similar to the static PMFs, seismic-induced internal erosion can be initiated
from different mechanisms and are further discussed in the subsequent
bulleted items.
o Internal erosion along or into outlet works. – As a result of seismic-

induced intake structure, wall, and/or conduit deflection or collapse, as
well as separation from the surrounding fill material or cracking of the
foundation, seepage flows could increase through the separation
adjacent to the outlet works or through foundation cracks, or a
combination. Seepage velocities could be sufficient to carry
fill material, enlarging the discontinuities until a continuous
conduit/pipe develops. Internal erosion would continue, eventually
leading to a collapse of the conduit/pipe and erosion of the fill material
adjacent to the outlet works and/or foundation, which would result in
DS-14(4) July 2021 B-9

uncontrolled release of the reservoir. Alternatively, a sinkhole could

develop above the discontinuity, resulting in instability of the
embankment crest, which would result in an uncontrolled release of the
reservoir.
o Internal erosion due to leakage from pressurized outlet works. – As

a result of seismic-induced cracking or rupturing of a pressurized
conduit, seepage flows could increase over time through cracks,
ruptured conduit, or open joints in the outlet works conveyance feature
into the fill material and/or foundation adjacent to the outlet works.
Seepage velocities could be sufficient to carry fill material, enlarging the
discontinuities until a continuous conduit/pipe develops. Internal
erosion would continue, eroding the fill material adjacent to the outlet
works and/or foundation, which would result in uncontrolled release of
the reservoir. Alternatively, a sinkhole could develop above the
discontinuity, resulting in instability of the embankment crest, which
would result in an uncontrolled release of the reservoir.
• Gate and/or valve failure. – During an earthquake, a mechanical failure

occurs, resulting in displacement of the gate or valve, or a partial closure of
the gate or valve. If a gate or valve displaces, an uncontrolled release of the
reservoir may result. If a mechanical failure results in a partial closure of a
gate or valve, loss of operational control may occur. If the gate or valve is
designed to only operate in a fully open or fully closed condition, the partial
closure may result in adverse hydraulics that could lead to a failure of the
gate itself or of the downstream conduit or pipe. If there are no upstream
emergency or guard gates or valves, loss of operational control of releases
and loss of the reservoir may result. It should be noted that the level of
release may not exceed safe downstream channel capacity and cause
downstream consequences. The seismic loadings could exacerbate existing
mechanical and/or structural issues that would not lead to failure under
normal loading conditions. Also, the seismic loadings could overstress and
fail the outlet works gates, valves, and/or associated features, such as radial
gate trunnions, even if no mechanical and/or structural issues exist.
• Intake tower failure due to loss of foundation (differential settlement)

and/or structural failure. – As a result of a seismic event, an outlet works
intake tower overturns due to foundation loss or structurally fails (collapse).
Depending on the gate or valve arrangement, this could lead to uncontrolled
release of the reservoir through the conduit and/or tunnel, which may or
may not result in downstream consequences (i.e., depending on the level of
flow; flooding which could damage property or threaten life may or may not
result). An example was the 1987 unexpected significant settlement of
Ridgway Dam foundation. A variation of this PFM is that a large intake
tower overturns and/or collapses into a concrete dam (more likely for a thin
B-10 DS-14(4) July 2021

arch and/or multiple arch dam) located immediately downstream. The

impact of the tower is sufficient to fail an upper portion of the dam, which
would result in an uncontrolled release of part of the reservoir.

(walls, piers, slabs, conduits, tunnels, etc.) fail as a result of seismic loading,
which exceeds the design loads. Also, if there is concrete deterioration that
has weakened and/or damaged the concrete and/or foundation, the
reinforced concrete structure could fail due to seismic loadings that are less
than the original design loadings. The deteriorated concrete could
exacerbate other seismic PFMs such as gate and intake structure failure and
internal erosion. As previously mentioned, there is no single generic failure
or incident event tree associated with reinforced concrete deterioration;
rather, the effects are typically reflected in the likelihood of events
occurring for other PFMs or incident modes, such as the likelihood
(probability) of open joints, offsets, surface tolerance, and/or cracks and
spalls. Types of deterioration mechanisms that have been experienced are
further discussed in the “Static (normal operations) PFMs,” specifically
“Reinforced concrete structural failure.”
DS-14(4) July 2021 B-11

Appendix C
First Filling Guidelines
First Filling Guidelines
The following information was obtained from the June 1989 Assistant
Commissioner - Engineering and Research (ACER) Memorandum No. DES-2,
“Reservoir Filling Criteria Preparation.” The memorandum was retired in
1994 when the Bureau of Reclamation’s ACER was reorganized into the
Technical Service Center (TSC). However, this document still provides excellent
guidance for reservoir filling, and only minor rewriting has occurred to reflect
updates to terminology, organizational references, and for clarity. Note that the
following guidelines apply to both new dams and existing dams. Any time the
historical maximum reservoir water surface (RWS) is exceeded, first filling
guidelines apply. Also, because spillways and outlet works are instrumental in
controlling reservoir filling, these guidelines are included in this design standard.
Reservoir filling guidelines will be established on a dam-by-dam basis. In

general, the objective will be to provide a planned program with adequate time for
monitoring and evaluating performance of the dam and its foundation as the
reservoir is being filled for the first time.
Initial reservoir filling guidelines shall include the requirements for:
1. Surveillance and monitoring of the dam and its foundation.

2. Controlling the rate of reservoir filling.
3. Public safety contingency plans.
4. Flood control during filling.
Specific written reservoir filling guidelines will be prepared for each dam and
reservoir. They will be furnished to operating personnel prior to initial filling (or
exceeding historical maximum RWS). The Standing Operating Procedures (SOP)
will also be prepared prior to initial filling (or exceeding historical maximum
RWS) because it provides operating procedures to be followed during filling.
The reservoir filling guidelines will describe internal TSC procedures and
responsibilities for receiving, reviewing, and evaluating the monitoring reports.
The guidelines will also define periodic intervals at which the designer of record
will provide interim reports to the TSC that evaluate the structural performance
and reservoir conditions during reservoir filling.
Preparation of the initial reservoir filling (or exceeding historical maximum RWS)
guidelines will be coordinated by the designer of record. The guidelines will be
transmitted to the Regional Director with copies to the appropriate area office
entities.
DS-14(4) July 2021 C-1

There may also be specific specifications requirements and initial readings and
surveys that must be completed prior to initiation of first filling. The final
foundation report must also be completed.
Surveillance and Monitoring
During first filling, special requirements on general surveillance, reading, and

reporting of installed instrumentation are required, as well as normal and
emergency operating procedures. In general, these requirements will address the
following considerations:
1. Onsite attendance.
2. Visual observations.
3. Reading of instruments.
4. Reporting of monitoring – visual observations and reading of instrument.
5. Normal operating procedures.
6. Emergency procedures.
7. Procedures to be followed after earthquakes.
The above considerations are developed on a dam-by-dam basis but usually

require the following practices:
1. Onsite attendance. – Onsite attendance depends upon site conditions and

hazards to downstream development; however, it requires around the
clock (24-hour) surveillance by trained observers, including operators and
designers, at appropriate intervals.
2. Visual observations. – Visual observations will include looking for

cracks, seeps, slope instability, and other evidence of abnormal
functioning. The dam, its abutments, and, as appropriate, the reservoir rim
will be observed. Where the site and hazard conditions warrant, this will
require floodlighting and 24-hour attendance by trained observers. It will
be necessary to observe or monitor areas downstream from the dam.
3. Reading of instruments. – Reading of instruments will be in accordance

with special instruction and would normally be performed at frequent
intervals but may be continuous and instantaneous reporting to the TSC’s
Instrumentation Group, designer of record, and other involved TSC
entities. To carry this out effectively, the type of data to be transmitted,
selection of appropriate instrumentation, and methods for data
transmission will be determined during the design process.
4. Reporting of monitoring. – Reporting of all monitoring will be at a

frequency consistent with instrument reading, visual observations, and the
nature of site conditions. The TSC Director and the Regional Director will
C-2 DS-14(4) July 2021

be advised of monitoring results according to a schedule that takes into

account site-specific conditions and structural performance, and they will be
notified immediately of any abnormal conditions. The Division Chiefs of
the Civil Engineering Services Division and the Geotechnical Engineering
and Geology Division, and other appropriate group managers, as well as the
designer of record, shall be on alert status during the first filling of reservoir
space previously unfilled. The designer of record will be personally
involved in directing normal operations of the dam. For reservoirs that
require more than 2 years to fill active conservation and joint use space,
special procedures will be established on a case-by-case basis.
If the initial filling will be to a low pool (less than half the dam’s height), the
initial reservoir filling plan may require nominal surveillance and
monitoring. If the initial filling will be to a relatively high pool, however,
the initial reservoir filling plan should also provide requirements for
extensive surveillance and monitoring each time a higher storage pool is
established during the operational life of a project.
Initial filling of the reservoir above the active pool may not take place for
years. It is especially important to require close monitoring of the initial
filling at these critical elevations high in the reservoir. For existing
reservoirs that have not reached maximum (design) RWS, filling guidelines
will be developed and placed in the SOP. An audit of these guidelines,
where required, will be made during dam examinations.
5. Normal operating procedures. – Normal reservoir operations are those

that carry out a predetermined operating plan as outlined in the written
reservoir filling guidelines to maintain rates of filling and meet project
requirements. This function will be performed by trained operators carrying
out the plan in the written reservoir filling guidelines.
6. Emergency procedures. – Emergency reservoir operations take precedence

over normal operations and, to the extent possible, will be carried out
according to written contingency plans included in the reservoir filling
guidelines. During emergency operations, the TSC Director and the
Regional Director will provide direction.
7. Procedures to be followed after earthquakes. – Procedures to be followed

after earthquakes will be, in general, those which have been established for
existing structures. However, if there is a reason to believe that the reservoir
size, depth, and geologic setting may induce seismic activity during filling,
special inspection, monitoring, and reporting procedures may be necessary.
DS-14(4) July 2021 C-3

Filling Rates
Major factors to be considered in establishing the filling rate are as follows:
1. Purpose of the reservoir.

2. Requirements for initiation of filling.
3. Type of dam.
4. Geology and seismicity of the dam foundation and reservoir.
5. Hazard potential.
6. Hydrology (inflow).
7. Release provisions.
8. Design considerations.
The rate of filling must allow adequate time for monitoring and evaluation. The
effects of each major factor will be evaluated on a dam-by-dam basis as discussed
below:
1. Purpose of the reservoir. – Most Reclamation dams are constructed

primarily for the purpose of storing water for irrigation, generation of
power, municipal and industrial uses, etc. Water in excess of downstream
requirements would normally be stored unless other provisions preclude
storage, as discussed later. If flood control is included in the reservoir
operations, this can affect the filling and release rate.
2. Requirements for initiation of filling. – Filling will normally begin at a

low-flow period in a river to allow as much time as possible for
monitoring and evaluation as the reservoir fills. However, water
commitments and construction schedules may not permit this. The dam,
spillway, and outlet works are normally required to be completed (and
available) prior to initiation of filling.
When this is impractical, as in the case of an outlet tunnel used as a

diversion tunnel, special precautions will be taken to ensure the safety of
the dam while the outlet works are being completed. Prior to filling, all
equipment required to operate the hydraulic structures will have been
inspected to verify that they are functioning properly.
3. Type of dam. – Concrete dams have a different behavior pattern than

embankment dams during initial filling. Earth materials in the
embankment dam and its foundation have properties that can exhibit
significantly different behavior when they are saturated. Initial filling is
generally synonymous with the beginning of saturation, which necessitates
great caution and slower filling rates. Filling rates for concrete dams are
normally less restricted than rates for embankment dams because the dam
and its foundation are less susceptible to changed properties when they are
saturated.
C-4 DS-14(4) July 2021

4. Geology and seismicity of the dam foundation and reservoir. – If the

geology of the foundation or the reservoir indicates that rapid filling could
cause problems, such as by altering the physical properties of the geologic
materials, the filling rate will be restricted accordingly. Potential
problems may include excessive seepage, landslides in the reservoir or in
the abutments, and reservoir-induced seismicity.
5. Hazard potential. – The hazard potential to developments downstream

from the dam will be assessed when determining the filling rate. Ample
time must be provided to issue warnings (and for the public to heed them)
in the event that problems develop.
6. Hydrology (inflow). – Inflows to the reservoir may be seasonal

baseflows, controlled inflows, or floodflows. Seasonal baseflows will
normally allow a slow filling of the reservoir. Controlled inflow from
another reservoir will allow, within limits, the establishment of ideal rates
of filling. Floodflows are unpredictable, and their effect on the filling rate
must be evaluated. This evaluation is made by routing various flows into
the reservoir, assuming that the reservoir is at some initial level.
Historically, these inflows may include flows of record or 5-, 10-, and
25-year frequency floods. Releases may be restricted to project
requirements for safe channel capacities, but they should not increase the
potential for dam failure due to rapid filling or overtopping. The results of
these routings are then evaluated in rapid filling in terms of other factors,
including: type of dam, geology, downstream hazard, etc. Consideration
will also be given to floods or larger recurrence intervals. In these cases,
faster filling rates are usually considered acceptable. However, it may be
necessary to lower the reservoir after these events, or at least place a hold
on the RWS for some period of time. As an example, during the 1993 first
filling of New Waddell Dam, a flood event resulted in rapid filling of a
portion of the reservoir, and the filling guidelines were exceeded. This
was rectified by releasing large discharges and implementing an extended
hold period to monitor the dam after the flood event.
7. Release provisions. – The outlet works is normally sized so that the

release capacity meets downstream water requirements and evacuation
requirements. This discharge capacity is normally sufficient to limit the
filling rate. However, if additional discharge capacity is needed to limit
the filling rate, it will be considered during the design process and, if
feasible/viable, incorporated into the design.
Filling rates are not normally specified for the lower half of the depth of
the reservoir because the dam will receive only a fraction of its normal
load. Filling will naturally occur more rapidly in the lower portion of the
DS-14(4) July 2021 C-5

reservoir due to the smaller storage to elevation relationship. However, if

there are areas of concern in the lower portion, appropriate filling rates
will be specified.
In the upper portion of the reservoir, filling rates may vary from less
than 1 foot to several feet per day, allowing ample time for monitoring and
evaluation. Up to 1 foot per day would be considered a normal filling rate
for most embankment dams, while 10 feet per day may be acceptable for a
concrete dam on a competent rock foundation. Outlet works will have
sufficient release capacity to limit the reservoir rise to the specified level.
The filling rate established will allow time for the dam and abutments to
respond to the increased water load and to determine that the phreatic
water surface in the dam and foundation is developing normally.
In some cases, it is preferable, from an initial performance standpoint, to

control the filling in stages to allow the dam to respond to a particular
level of filling and the designer of record (and others) to evaluate the data
more carefully before proceeding to the next level.
8. Design considerations. – Adequate time will be provided to evaluate

responses to loading at different reservoir elevations, for location and
response time of instrumentation, and for design or topographic conditions
that may affect anticipated performance. In addition, conditions
encountered during construction or major design modifications may be
considered in the development of filling guidelines.
Public Safety Contingency Plans
Public safety contingency plans, such as Emergency Action Plans, should be

prepared by the region, incorporated into the SOP, and be in the hands of
operating personnel prior to the start of initial filling of the reservoir. TSC
personnel should assist the region in preparing the contingency plans. Potential
hazard areas will be identified. Plans will include courses of action and identify
who is responsible for initiating the action for potential problems that might be
encountered.
Contingency plans will be in effect during emergency situations and will include
alerting public officials, law enforcement agencies, and the communications
media. The Regional Director will be responsible for the direction of
Reclamation’s emergency public safety activities involving safety of the public
downstream from the dam.
C-6 DS-14(4) July 2021

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Design Standards No.

Appurtenant Structures for Dams

U.S. Department of the Interior July 2021

The mission of the Bureau of Reclamation is to manage, develop, and

Design Standards No. 14

Appurtenant Structures for Dams

Application of Design Standards

Deviations and Proposed Revisions

Design Standards No. 14

Appurtenant Structures for

DS-14(4):1 Phase 4 Final

Design Standards No. 14 is a new document. Chapter 4 of this Design Standards

John H. LaBoon 3/27/2014

Robert K. McGovern 3/27/14

Miguel A. Hernandez Date

Tomas E. Hepler, P.E. 3/27/2014

Richard LaFond, P.E. Date

4.1 Scope .................................................................................................. 4-1

DS-14(4) July 2021 4-i

4.6 General Hydraulic Considerations .......................................................63

4-ii DS-14(4) July 2021

4.8 General Structural Considerations .....................................................131

DS-14(4) July 2021 4-iii

4.2.1.1-1 Examples of river outlet works .......................................................... 3

4-iv DS-14(4) July 2021

4.5.2-1 Outlet works type chart .................................................................... 41

DS-14(4) July 2021 4-v

4-vi DS-14(4) July 2021

General Outlet Works Design

4.2 Definitions and Concepts

DS-14(4) July 2021 4-1

4.2.1 Outlet Works

4.2.1.1 River Outlet Works

4-2 DS-14(4) July 2021

Figure 4.2.1.1-1. Examples of river outlet works.

DS-14(4) July 2021 4-3

4.2.1.2 Municipal and Industrial Outlet Works

4.2.1.3 Sluice Outlet Works

4-4 DS-14(4) July 2021

Figure 4.2.1.2-1. Examples of canal headworks and M&I outlet works.

DS-14(4) July 2021 4-5

Figure 4.2.1.3-1. Examples of sluice outlet works.

4-6 DS-14(4) July 2021

4.2.1.4 Power Outlet Works

4.2.1.5 Canal Headworks

DS-14(4) July 2021 4-7

Figure 4.2.1.4-1. Examples of power outlet works.

4-8 DS-14(4) July 2021

Dams) or an afterbay dam6 (such as Reclamation’s Yellowtail Afterbay Dam).

• Joint use capacity. The reservoir capacity assigned to flood control

DS-14(4) July 2021 4-9

Figure 4.2.2-1. Example of RCA sheet.

4-10 DS-14(4) July 2021

• Active conservation capacity (active storage). The reservoir capacity

• Inactive capacity (inactive storage). The reservoir capacity exclusive of

• Live capacity. Reservoir storage that includes exclusive flood control

• Crest of dam. The elevation of the uppermost surface of a dam, usually a

• Maximum water surface. The maximum or highest RWS reached during

DS-14(4) July 2021 4-11