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Geotechnology Module TWO Notes FULL-1

civil engineering (Rift Valley Technical Training Institute)

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MINISTRY OF EDUCATION

STATE DEPARTMENT OF TECHNICAL& VOCATIONAL EDUCATION

COAST INSTITUTE OF TECHNOLOGY

VOI MAIN CAMPUS

NATIONAL CENTRE OF EXCELLENCE IN
HOSPITALITY & TOURISM STUDIES
DIPLOMA IN BUILDING ENGINEERING TECHNOLOGY
DIPLOMA IN CIVIL ENGINEERING TECHNOLOGY

GEOTECHNOLOGY MODULE TWO

(II)
LECTURE NOTES
1

WRITTEN BY:
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J.N. KOMU
DEPT. OF BIULDING ENGINEERING

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CONTENTS
1. WEATHERING
a. Physical weathering processes.
 Temperature fluctuation.
 Frost action.
 Physical action.
b. Chemical weathering process.
 Hydrolysis.
 Hydration.
 Solution.
 Oxidation.
 Reduction.
 Decay biogenic products.
c. Effect of weathering on rocks.

2. FAULT.
a. Terms.
 Fault.
 Fold.
b. Elements of a fault.
 Fault plane.
 Up throw side.
 Downthrown side.
 Foot wall.
 Throw.
 Heave.
 Dip.
c. Fault recognition.
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 Water fall.
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 Fault breccias.
 Change in river course.
d. Geological effects caused by faults.
 Lava flow.
 Dykes.
 Mineralization.
 Topographical changes.

3. TUNNELS
a. Purposes of rock tunneling.

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 Transportation.
 Water and sewage.
 Conveyance.
 Mine access.
 Hydro-electric power generation.
b. Machine tunneling.
 Weak zones.
 Homogeneity.
 Hardness.
 Stratification.
c. Geological problems.
 High temperature.
 Weak zones.
 Dangerous zones.
 Over break.
d. Tunneling safety requirements.

4. QUARRIES.
a. Types of quarries.
 Hard rock quarry.
 Soft rock quarry.
b. Blasting methods.
 Weak zones.
 Mineral zones.
 Seismic velocity.
 Homogeneity.
c. Excavation plant.
 Plasticity.
 Bulking.
 Load bearing capacity.
 Seismic velocity.

5. DAMS
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1. Purposes of dam construction.

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 Hydro-electric power generation

 Flood control.
 Irrigation.
 Water supply.
2. Geological factors for dam site selection.
 Stream narrowing.
 Permeability of site formation.
 Rock types of the site.
 Geological structure.
 Sedimentation of reservoir.

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 Stability of reservoir slopes and floor.

3. Associated geological problems.
 Leakage from reservoir.
 Reservoir siltation.
 Earth tremors.

6. MAPS
1. Types.
 Solid.
 Drift.
2. Features.
 Scale.
 Key.
3. Types of strata.
4. Undeformed.
 Folded beds.
 Outcrops.
 Deformed strata.
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WEATHERING OF ROCKS

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FAULTING
 Faulting is the cracking or fracturing of the rocks of the earth’s crust.
 This caused by forces of tension, compression or shear which lead to
vertical and horizontal earth movements.
 These movements cause displacement of rocks along the fault.

Terminologies
 In geology, a fault is a planar fracture or discontinuity in a volume of rock,
across which there has been significant displacement along the fractures as a
result of earth movement.
 A fault line is the surface trace of a fault, the line of intersection between the
fault plane and the Earth's surface.[1]
 Since faults do not usually consist of a single, clean fracture, geologists use
the term fault zone when referring to the zone of complex deformation
associated with the fault plane.
 The two sides of a non-vertical fault are known as the hanging wall and
footwall.
 By definition, the hanging wall occurs above the fault plane and the
footwall occurs below the fault.[2]

 Slip is defined as the relative movement of geological features present on

either side of a fault plane, and is a displacement vector.
 A fault's sense of slip is defined as the relative motion of the rock on each
side of the fault with respect to the other side.[4]
 In measuring the horizontal or vertical separation, the throw of the fault is
the vertical component of the dip separation and the heave of the fault is the
horizontal component, as in "throw up and heave out".[5]
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 The parts of a fault are :

(1) the fault plane,

(2) the fault trace,

(3) the hanging wall and

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(4) the footwall.

 The fault plane is where the action is. It is a flat surface that may be
vertical or sloping.
 The line it makes on the Earth's surface is the fault trace.
 Where the fault plane is sloping, the upper side is the hanging wall and the
lower side is the footwall.
 When the fault plane is vertical, there is no hanging wall or footwall.
 Any fault plane can be completely described with two measurements: its
strike and its dip.
 The strike is the direction of the fault trace on the Earth's surface.
 The dip is the measurement of how steeply the fault plane slopes—if you
dropped a marble on the fault plane, it would roll exactly down the direction
of dip.

 It's important to know a fault's type: normal, reverse or strike-slip. The

type reflects the kind of forces that are acting on the fault.

Process of faulting
 The process by which faulting occurs are related to three main forces.
 These are tension, compression and shear
 When these forces become intense, a line of weakness called a fault
develops on the rock mass.
 Eventually, the forces will result in the displacement of the two block
masses from their original position either vertically or horizontally.
 For example:
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1) Tensional forces cause the movement of landmasses away from one

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another.
 They pull the landmasses apart, resulting in their tearing as shown in figure
1.14a

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2) Compression forces cause the movement of landmasses towards one

another as shown in figure 1.14b.

3) Shear forces cause the movement of landmasses alongside one another,

usually along a crack or a line of weakness.
 The masses of land move in opposite directions as shown in figure 1.14c.
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Types of faults and resultant features

 Types of faults depend on nature and direction of movement of rock along
the fault plane, after the initial faulting.
 There are five main types of faults that include:
a) Normal fault
b) Reverse fault
c) A tear, shear or slip fault
d) A thrust fault
e) An anticlinal fault

1) Normal fault
 A Normal fault results from tension in a vertical or an inclined fault plane as
shown in figure 1.15(a-b)

 The inclination of the fault plane and the direction of downthrow are both
to the left or both to the right.
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 Normal faults form when the hanging wall drops down.

 The forces that create normal faults are pulling the sides apart, or
extensional.

 In a normal fault, the block above the fault moves down relative to the block
below the fault.

 This fault motion is caused by tensional forces and results in extension.

 [Other names: normal-slip fault, tensional fault or gravity fault]

 Normal faults extend the crust in a direction perpendicular to the fault trace.
 Because the hangingwall moves downward, normal faults place younger
rocks over older rocks.
 Normal faults may dip at a variety of angles, but they most typically dip
between about 40 and 70 degrees.
 Some normal faults dip at angles as low as 10 degrees or less.
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 These low-angle normal faults pose especially interesting problems for

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structural geologists.

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 Normal faults generally occur in places where the lithosphere is being

stretched.

 Consequently they are the chief structural components of many sedimentary

rift basins (e.g. the North Sea) where they have major significance for
hydrocarbon exploration.

 They can also be found in deltas, at the rear edges of huge gravitation
slumps and slides.

 We classify faults by how the two

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rocky blocks on either side of a

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fault move relative to each other.

 The one you see here is a normal fault.
 A normal fault drops rock on one side of the fault down relative to the other
side.
 Take a look at the side that shows the fault and arrows indicating movement.
 See the block farthest to the right that is shaped kind of like a foot?
 That's the foot wall.
 Now look at the block on the other side of the fault.

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 See how it's resting or hanging on top of the foot wall block?
 That's the hanging wall.
 Now, consider this: if we hold the foot wall stationary, gravity will normally
want to pull the hanging wall down, right?
 Faults that move the way you would expect gravity to move them normally
are called normal faults!
 Not so hard, is it?
 Take a look where the fault has ruptured the Earth surface.
 Notice that movement along the fault has produced an elongate cliff?
 That fault-generated cliff is called a fault scarp

2) A Reverse fault
 A Reversed fault is caused by compression where the rock bends on one
side of the fault plane are thrust over those on the other side as shown in
figure 1.16(a-b)
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 Reverse faults form when the hanging wall moves up.

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 The forces creating reverse faults are compressional, pushing the sides
together.
 Together, normal and reverse faults are called dip-slip faults, because the
movement on them occurs along the dip direction—either down or up,
respectively.

 In a reverse fault, the block above the fault moves up relative to the block
below the fault.

 This fault motion is caused by compressional forces and results in

shortening.

 A reverse fault is called a thrust fault if the dip of the fault plane is small.
[Other names: thrust fault, reverse-slip fault or compressional fault] EX.,
Rocky Mountains, Himalayas

 Compare this image with the normal fault above.

 Along a reverse fault one rocky block is pushed up relative to rock on the
other side.
 Can you see the foot-shaped foot wall and the hanging wall resting or
hanging above it?
 Think about this: if we hold the foot wall stationary, where would the
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hanging wall go if we reversed gravity?

 The hanging wall will slide upwards, right?
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 When movement along a fault is the reverse of what you would expect with
normal gravity we call them reverse faults!

3) A tear/ shear or slip fault

 A tear/ shear or slip fault is caused by two opposing parallel forces resulting
in slipping.

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 The rock strata remain in the same level on the surface but their structural
position is altered as two adjacent portions slide past each other as shown
in figure 1.17.
 Sometimes actual crushing and shattering may take place on the line of
teat, shear or slip.

Strike-slip fault

 Strike-slip faults have walls that move sideways, not up or down.

 That is, the slip occurs along the strike, not up or down the dip.
 In these faults the fault plane is usually vertical, so there is no hanging wall
or footwall.
 The forces creating these faults are lateral or horizontal, carrying the sides
past each other.

 In a strike-slip fault, the movement of blocks along a fault is horizontal.

 If the block on the far side of the fault moves to the left, as shown in this
animation, the fault is called left-lateral.
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 If the block on the far side moves to the right, the fault is called right-
lateral.
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 The fault motion of a strike-slip fault is caused by shearing forces.

Examples: San Andreas Fault, California; Anatolian Fault, Turkey [Other
names: transcurrent fault, lateral fault, tear fault or wrench fault.]
 Strike-slip faults are either right-lateral or left-lateral.
 That means someone standing near the fault trace and looking across it
would see the far side move to the right or to the left, respectively.
 The one in the picture is left-lateral.

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 In reality, many faults show a

combination of dip-slip and
strike-slip motion. Geologists
use more sophisticated
measurements to analyze these
fault movements.

 Strike-slip faults have a different type of movement than normal and reverse
faults.
 You probably noticed that the blocks that move on either side of a reverse or
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normal fault slide up or down along a dipping fault surface.

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 The rocky blocks on either side of strike-slip faults, on the other hand,
scrape along side-by-side.
 You can see in the illustration that the movement is horizontal and the rock
layers beneath the surface haven't been moved up or down on either side of
the fault.
 Take a look where the fault has ruptured the Earth surface.
 Notice that pure strike-slip faults do not produce fault scarps.

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 Streams flowing across strike-slip faults are often diverted to flow along this
weakened zone.

Schematic illustration of the two strike-slip fault types

 The fault surface is usually near vertical and the footwall moves either left or
right or laterally with very little vertical motion.
 Strike-slip faults with left-lateral motion are also known as sinistral faults.
 Those with right-lateral motion are also known as dextral faults.[6]

4) A thrust fault
 This is caused by strong crustal compression forces.
 A block of land is forced to ride on top of another along a fault which is in a
near horizontal position as shown in figure 1.18.
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5) An anticlinal fault

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 Initially, compression causes folding in the rocks.

 Further compression causes gaping cracks to form at the crest of the
anticline due to localized maximum tension there.
 When faulting occurs, it may involve a movement of a few centimeters.
 This movement though small, can cause the displacement of millions of
tons of rock material.
 Individual displacements are often small but the cumulative effect of
several movements over a long period of time can lead to a number of
landforms which are direct resultant of faulting (see figure 1.19)

6) Oblique-slip faults
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Oblique-slip fault

 A fault which has a component of dip-slip and a component of strike-slip is

termed an oblique-slip fault.

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 Nearly all faults will have some component of both dip-slip and strike-slip,
so defining a fault as oblique requires both dip and strike components to be
measurable and significant.
 Some oblique faults occur within transtensional and transpressional regimes,
others occur where the direction of extension or shortening changes during
the deformation but the earlier formed faults remain active.
 The hade angle is defined as the complement of the dip angle; it is the angle
between the fault plane and a vertical plane that strikes parallel to the fault.

7) Listric fault

Listric fault (red line).

 Listric faults are similar to normal faults but the fault plane curves, the dip
being steeper near the surface, then shallower with increased depth.
 The dip may flatten into a sub-horizontal décollement, resulting in
horizontal slip on a horizontal plane.
 The illustration shows slumping of the hanging wall along a listric fault.
 Where the hanging wall is absent (such as on a cliff) the footwall may slump
in a manner that creates multiple listric faults.
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8) Ring fault
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 Ring faults are faults that occur within collapsed volcanic calderas and the
sites of bolide strikes, such as the Chesapeake Bay impact crater.
 Ring faults may be filled by ring dikes.

9) Synthetic and antithetic faults

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 Synthetic and antithetic faults cut through sedimentary layers and mostly
accompany growth faults.
 Synthetic fault dips at the same direction as the growth fault while the
antithetic dips in the opposite direction.
 Those faults may be accompanied by rollover anticline. Since the growth
fault dips mostly toward the basin, then synthetic faults dips basinward and
antithetic fault dips landward.

10) Transform Fault

 A transform fault is a type of strike-slip fault wherein the relative horizontal
slip is accommodating the movement between two ocean ridges or other
tectonic boundaries.

 Additional animations on seafloor spreading and transform faults are

available from Tanya Atwater.

11) Oblique Fault

 Oblique-slip faulting suggests both dip-slip faulting and strike-slip faulting.
It is caused by a combination of shearing and tension or compressional
forces.

 Nearly all faults will have some component of both dip-slip (normal or
reverse) and strike-slip, so defining a fault as oblique requires both dip and
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strike components to be measurable and significant.

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Real-life

 In real-life faulting is not such a simple picture! Usually faults do not have
purely up-and-down or side-by-side movement as we described above.

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 It's much more common to have some combination of fault movements

occurring together.

 For example, along California's famous San Andreas strike-slip fault

system, about 95% of the movement is strike-slip, but about 5% of the
movement is reverse faulting in some areas!

Features resulting from faulting

 Faulting has adverse effects on the landscape. These effects may be direct
or indirect,
 The direct effects of faulting result in the formation of physical features, the
most common ones being:
a) Fault scarp
b) Block/host mountains
c) Tilt block
d) Rift valley
e)
a. Fault scarp
 A fault scarp is a steep slope formed by the vertical movement of the earth
along a fault.
 It is the face of a fault plane facing the downthrow.
 It is also called an escarpment, though not all escarpments are fault scarps.
 It is formed when two parallel faults occur on a land mass forming a central
block as shown in figure 1.20 (a).
 The two landmasses on either side of the central block are pulled away
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from the central block by tensional forces, leaving room for the central
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block to subside (sink) into the sima (molten rock) as shown in figure 1.20
(b).

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 Figure 1.21 (a). Is a photograph of a fault scarp in the rift valley and figure
1.21 (b). Is a diagram of a fault scarp.
 Examples of fault scarps include: Mau, Nyandarua, Nyando, Kikuyu and
Elgeyo Marakwet escarpments in Kenya.
 Manyara and Chunya scarps in Tanzania and Butiaba scarp in Uganda,
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b. Block mountains
 A block mountain is an elongated upland bordered by fault scarps on both
sides .
 It may be formed in two ways:
i. When a block of land between two faults is uplifted due to compressional
forces.
ii. When land on either side of the central block sink as a result of tensional
forces as shown in figure 1.22.

 Block mountain may also be called fault blocks or hosts.

 Examples include the Ruwenzoris mountains in Uganda, which form the
highest non-volcanic mountain in Africa. The Pare and Usambara mountains
in Tanzania, Mathews range, Nyiru and Ndoto hills of Kenya:
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c. Tilt block
 If the middle block has greater uplift on one side , then the fault block is not
flat at the top but tilted. It then becomes a tilt block (see figure 1.22).
 For example, the west Kenya tilt block, which rises from about 1,800 metres
towards lake Victoria to 2100 metres at the foot of Nandi escarpments.
 Similarly, the Ruwenzoris are higher on the eastern side due to tilting

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 Where multiple faulting has occurred, the fault blocks may sink or rise
unequally and may also tilt during the process.
 This result in a landscape of angular ridges and depressions of tilt block
landscape as illustrated in figure 1.24.
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d. Rift valley
 A rift valley is a narrow trough between more or less parallel faults with
steep fault scarp on either side.
 The floor would be expected to be flat but it is uneven.
 The sides may be clean cut if the downthrow is along a single major fault on
either side (see figure 1.25 (a).

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 It may also be a series of step faults on either side if initially there were two
or more faults (see figure 1.25 (b).
 Examples of major rift valleys in the world are the Great Rift Valley in
eastern Africa, the Benue Rift Valley in West Africa, the Rhine Rift Valley in
central Europe and the Baikal Rift Valley system of Siberia.

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Formation of rift valley

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 Many theories have been put forward to explain the formation of the rift
valleys.

 The most commonly used ones are :

1) Tension

2) Compression

3) Anticlinal arching

a) Formation by tension
 When the layers of rocks are subjected to tensional forces ( forces pulling
away from each other ), lines of weakness occur leading to the
development of adjacent normal faults.

 The central block eventually sinks or subsides as the side blocks are pulled
apart.

 Step faulting may also occur as illustrated in figure 1. 26(a-d)

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b) Formation by compression
 When the layers of rocks are subjected to compression forces (forces
pushing towards each other), lines of weakness occur leading to the
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development of adjacent reverse faults.

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 The outer blocks are pushed over (thrust over) the middle block leaving it to
form the floor of the rift valley.

 The overhanging sides caused due to reverse faults eventually collapse as

illustrated in figure 1.27 (a-c)

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c) Formation by Anticlinal Arching

 A rift valley may also form as a result of regional up warping.

 This is caused by forces pushing sedimentary strata upwards.

 This leads to the bending of rock layers into a big arch (anticline).
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 A gaping crack develops at the crest of the arch due to tension at the top.

 This becomes a valley (see figure 1.28).

 Up warping could also lead to the development of several relatively parallel

faults.

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 This may be followed by side blocks which rise at a faster rate than the
middle one thus forming a rift valley.

 The Rhine Rift Valley is believed to have been formed this way.

Significance of faulting to human activities

 The influence of faulting and its resultant features on human activities may
either be negative or positive.

 For example:

1) Faulting causes disjointing of the land leading to disruption of

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communication lines, water, sewage and oil pipes.

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 The presence of fault scarps can cause difficulty and extra expenses in the
construction of these lines.

2) Faulting may cause sinking of land leading to loss of property and life.

 For example: deep faults in some farms in Nakuru area have destroyed rich
agricultural farms.

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3) A fault occurring across a river valley may make the river disappear into it or
change its direction to flow to follow the fault line.

 This is evident with Ewaso Nyiro.

4) Faults are sources of minerals which form in them as the are associated
with low basins.

 These minerals include trona (calcium carbonate)which is formed due to

evaporation, potash and diatomite are found in the fossil rift valley lakes as
sediments.

 Fluorspar and other minerals are easily found by exposure which occurred
during vertical displacement along the fault lines.

5) At the base of fault scarps springs usually occur.

 These may attract settlement. For example the floor of Elgeyo Marakwet.

6) Hot springs and geysers that are commonly associated with faulting can be
earnest for geothermal power for example Olkaria Geothermal Power Plant
in Naivasha.

7) Rift valley scenery such as hot springs, fault scarps and lakes attract tourists
who bring in foreign exchange for example the hot springs of Lake Bogoria
and the Thompson falls of Nyahururu and the impressive Mt. Longonot are
major tourist attractions in Kenya.
48

8) Vertical faulting across a river may cause a waterfall which may be used to
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generate Hydro-Electric Power Project, for example the Sondu Miriu Hydro-
Electric Power Project in Kenya.

9) Rift faulting may cause an enclosed basin into which rivers flow to form
lakes or areas of inland drainage.

 These lakes for example Lakes Baringo and Naivasha may provide water for
irrigation, domestic use and may be rich fishing grounds.

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10) Block Mountains may cause the reverse of drainage.

 Kangera River now flows eastwards whilst it used to flow westward into the
Congo Basin.

 This change in drainage was due to the formation of the Ruwenzoris

Mountains.

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FOLDING

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 Folding is the bending of the rocks of the earth’s crust due to earth
movements.
 Folding may also lead to crumbling of rocks that is breaking of rocks into
pieces.
 It occurs in sedimentary rocks when they are still in semi-elastic state.
 During folding rocks are bend upwards or downwards.
 The up folds are called anticlines while the down folds are called synclines.
 The top-most part of a fold is called the crest while the bottom-most part is
called the trough.
 The axis is the central line in a fold from which the rock layers dip (slope)
away as in the anticline or from which the rock layers rise in opposing
directions as in the syncline.
 The limb of a fold is the layer of rock on either side of the axis.
 Figure 1.8 shows the main features of a fold.

Processes involved in folding

 Folding undergoes the following processes:
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 Firstly, when the rocks are subjected to the forces of compression the rocks
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bends upwards forming up folds or anticlines and downwards forming down

folds or synclines.
 Due these up folds and down folds a huge depression called geosynclines is
formed between two anticlines.
 Secondly the geosynclines is then filled with layer of sediments over the
years from the higher areas around it.

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 These sediments exert great weight and pressure in the geosynclines

causing subsidence of the ocean bed as shown in figure 1.9

 Thirdly, compression forces in the earth’s crust then cause these sediments
to wrinkle.
 These may be forces from one side pushing a section of the crust against a
relatively static block of land known as a foreland.
 The source region of these forces is called the backland.
 This form of folding has occurred in many parts of the world such as the
Mediterranean region.
 In this case Africa was the backland while Europe was the foreland.
 In between them was geosyncline.
 Forces from Africa caused the sediments in the geosynclines to fold .
 The Atlas Mountains formed closer to the backland and the Alpine Ranges
were formed nearer the foreland.
 The Mediterranean Sea is a remnant of these geosynclines as shown in
figure 1.10 below.
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Types of Folds and Resultant Features

 The degree of folding of the rocks depends partly on the strength of the
compression forces and the elasticity of the affected rocks.

 For instance, weak forces would result in the rocks forming low and gentle
anticlines and broad shallow synclines.

 However, when the forces are intense, the folds will be more conspicuous.

 Folds can be classified into the following seven types as illustrated in figure
1.11 (a – g)

a) Simple /symmetrical fold

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b) Asymmetrical fold
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c) Over fold

d) Isoclinals folds

e) Recumbent fold

f) Nappe or over thrust fold

g) Anticlinorium and syclinorium fold

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a) Simple /symmetrical folds

 These folds have an amount of symmetry about the axis of each fold.

 In this case, the limbs dip uniformly from the axis.

 They are also referred to as simple folds.

b) Asymmetrical fold

 These are also known as monoclonal folds.

 The limbs are not symmetrical about the axis and in each fold, one limb is
steeper than the other.

c) Overfold

 It is an asymmetrical anticline which has been completely pushed over or

overturned by compressional forces.

d) Isoclinals folds

 These are a series of close parallel overfolds with all limbs dipping at
approximately the same angle and in the same direction.

e) Recumbent folds

 These are overfolds which have been forced over into near horizontal
positions with their actual surfaces nearly horizontal.

f) Nappe or over thrust fold

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 Intense pushing may lead to fracturing along the axis.

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 The surface of fracture in the fold is the thrust plane.

 The upper limb is pushed over the lower limb along the thrust plane
resulting into horizontal displacement along the thrust plane.

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g) Anticlinorium and syclinorium complex

 These are anticlines and synclines on which minor upfolds and downfolds
have been formed.

 The anticlinal complex is the anticlinorium while the synclinal complex is

the syclinorium

Features Resulting from Folding

 The process of folding due to compressional forces is responsible for the
formation of various external landforms such as:

a) Fold Mountains

 Some of the world’s highest mountains were formed through folding.

 The degree of folding involved during the formation of these mountains was
enormous.

 Various theories have been put forward to explain how these mountains
were formed.

 Some of the theories include:

i. The contraction theory

ii. The conventional theory

iii. Plate tectonic theory

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i. The contraction theory

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 According to this theory, after the earth had formed, the surface rocks of
the crust cooled and contracted faster than those of the interior.

 As the interior continued to cool, the surface rocks wrinkled to fit on the
contracting interior leading to the formation of Fold Mountains.

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ii. The conventional theory

 The conventional currents within the molten rock in the mantle move in
circular motion toward the crust.
 These currents exert a frictional drag with the sima rock causing crustal rock
to move horizontally thus resulting in the formation of fold mountains as
shown in figure 1.12

iii. Plate tectonic theory

 When an oceanic plate meets a continental plate, the dense oceanic plate
sinks beneath the lighter continental one.

 The lighter continental plate, due to compression, crumbles to form Fold

Mountains.

 For example, the Atlas Mountains in North West Africa were formed when
the African Plate moved towards the Eurasian plate.

 Folding could be caused by one or a combination of these causes.

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b) Escarpments
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 When folding takes place on a rock mass, the extended steep limb from the
anticline forms an escarpment.

 This is very common in areas where the process of folding was not very
intense.

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c) Synclinal valleys

 These are valleys formed as a result of folding.

 They are broad and shallow valleys having gently sloping basins.

 These basins or valleys may also contain water in them to form lakes.

d) Depressions

 Folding may also cause down warping.

 These are deformations or depressions of the crust that has occurred over a
large area.

 Warping may result from vertical movement of the rocks of the crust over
only a few metres.

 When water collects in such depression, they form lakes while its other
raised regions are responsible for the formation of features such as raised
beaches like those of the Mediterranean Sea.

Significance of Folding to Human Activities

1. Folding leads to formation of mountain ranges that are significant in a
number of ways. For example:

a) Mountainous areas often receive heavy rain and/or snow, which give rise to
important rivers.
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 These rivers provide water for irrigation for development of hydro-electric

power.
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 For example, Rivers Colorado and Columbia rising from the Rockies and
those rising from the Alps provide suitable sites for hydro-electric power
production.

b) Mountain ranges receive relief rainfall with the windward slope receiving
heavy rainfall while the leeward slopes receive very little amount.

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c) Heavy rainfall on the mountain slopes has led to the growth of forests,
which are important sources of timber and other timber products.

d) In mountainous areas, the descending and ascending winds have special

economic significance.

 For example in the alpine ranges the winds sometimes cause destruction to
vineyards.

2. The process of folding creates areas of crustal weakness which may trigger
off volcanic activity

 Indeed, the world’s most active volcanoes today are found near Fold
Mountains.

 Examples include the Mediterranean region, the Western Coast of North

America, the West Indies, New Zealand, the East Indies and Japan.

3. The folding process is significant in the formation of some minerals and the
exploitation of such minerals. For example:

a) It leads to the process of metamorphism of rocks due to their exposure to

great heat and pressure.

 This changes the original state of rocks as well as leading to the formation
of valuable minerals.

b) Folding may bring minerals to the surface.

 Some fold mountains and their plateaus contain valuable mineral like gold
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copper, lead and silver.

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 Examples are the rocky mountains of North America especially in the state
of Nevada and Mountana.

 The Andes contain tin and copper in Bolivia, gold and platinum in Colombia
and silver in Peru.

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 Fossil fuels are found in folded sedimentary rocks e.g. coal in Zimbabwe and
the Appalachian mountains and oil in Nigeria, Libya and the Middle East.

c) Folding can also lead to the burying of some valuable minerals such that
they are not easily accessible for exploitation.

d) Fold Mountains, like other mountains act as protective barriers.

 In times of war, mountains form defensive walls.

 Some ancient civilizations have been preserved in mountains because of

their inaccessibility.

4. Mountain environments offer unique scenery, which is an important tourist

attraction.

5. Fold Mountains act as barriers to transport and communication, visibility

over mountain is poor and may cause problems to aircrafts.

 Mountains also make the construction of infrastructure difficult and

expensive.
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TUNNELS
 A tunnel is an underground or underwater passageway, enclosed
except for entrance and exit, commonly at each end.
 A tunnel may be for foot or vehicular road traffic, for rail traffic, or for
a canal. The central portions of a rapid transit network are usually in
tunnel.
 Some tunnels are aqueducts to supply water for consumption or for
hydroelectric stations or are sewers.
 Utility tunnels are used for routing steam, chilled water, electrical
power or telecommunication cables, as well as connecting buildings
for convenient passage of people and equipment.
 Secret tunnels are built for military purposes, or by civilians for
smuggling of weapons, contraband, or people.
 Special tunnels, such as wildlife crossings, are built to allow wildlife to
cross human-made barriers safely.
 A tunnel is relatively long and narrow; the length is often much
greater than twice the diameter, although similar shorter excavations
can be constructed such as cross passages between tunnels.
 A Babylonian king circa 2180 – 2160 B.C connected his royal palace to
the Temple of Jupiter on the opposite bank of the Euphrates by a
brick arched tunnel under the river.
 Other examples or early tunnels are those hewn in the rock in the
tomb of Mineptah at Thebes in Egypt and the early Greek tunnel,
constructed about 687 B,.C., used for conveying water on the island
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of Samos.
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 The majority of these early tunnels were constructed in rock subsoils

and therefore required no permanent or temporary support.
 Today, tunneling in almost any subsoil is possible. Permanent
tunnels for underground railways and roads can be lined with metal

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and/or concrete but such undertakings are the province of the civil
engineer.
 The general building contractor would normally only be involved
with temporary tunneling for the purposes of gaining access to
existing services or installing new services, constructing small
permanent tunnels for pedestrian subways under road or railway
embankments and forming permanent tunnels for services.
 When the depth of a projected excavation is about 6.000m the
alternative of working in a heading or tunnel should be considered
taking into account the following factors:
1. Nature of subsoils – the amount of timbering that will be required in the
tunnel as opposed to that required in deep trench excavations
2. Depth of excavation – over 9.000m deep it is usually cheaper to tunnel or
use one of the alternative methods such as thrust boring. The cover of
ground over a tunnel to avoid disturbance of underground services, roads,
paving’s and tree roots is generally recommended to be 3.000m minimum.
3. Existing services – in urban areas buried services can be a problem with
open deep – trench excavations; this can generally be avoided by tunneling
techniques.
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4. Carriageways – it may be deemed necessary to tunnel under busy roads to

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avoid disturbance of the flow of traffic.

5. Means of access – the proposed tunnel may be entered by means of an
open trench if the tunnel excavation is into an embankment access may be
gained by way of a shaft.

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1. Construction Regulation – part IV of the Construction (General provisions)

Regulations 1961 sets out the minimum requirements for the protection of
operatives working in excavations, shafts and tunnels covering such aspects
as temporary timbering, supervision of works and means of egress in case
of flooding. Part VII deals with the ventilation of excavations and
Regulations 47 in Part XI covers the provision of a adequate lighting.

SHAFTS

 A temporary access shaft is sometimes necessary during the excavation of a

tunnel.

They are usually circular and go straight down until they reach the level at
which the tunnel is going to be built.

 A shaft normally has concrete walls and is usually built to be permanent.

Once the access shafts are complete, TBMs are lowered to the bottom and
excavation can start.
 Shafts are the main entrance in and out of the tunnel until the project is
completed.
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If a tunnel is going to be long, multiple shafts at various locations may be

bored so that entrance to the tunnel is closer to the unexcavated area.[7]

 These are by definition vertical passages but in the context of building

operations they can also be used to form the excavation for a deep

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isolated base foundation. In common with all excavations, the extent

and nature of the temporary support or timbering required will depend
upon:
i. Subsoil conditions encountered.
ii. Anticipated ground and hydrostatic pressures.
iii. Materials used to provide temporary support.
iv. Plan size and depth of excavation.

 In loose subsoils a system of sheet piling could be used by driving the

piles ahead of the excavation operation. This form of temporary support
is called a cofferdam.
 Alternatives to the cofferdam techniques for shaft timbering are tucking
framing and pile framing. These methods consist of driving short timber
runners, 1.000 to 2,000 m long, ahead of the excavation operation and
then excavating and strutting within the perimeter of the runners.
 The process is repeated until the required depth has been reached. It is
essential with all drive and dig methods that at all times the depth to
which the runner has been driven is in excess of the excavation depth.
The installation of tucking framing and pile framing in shafts is as
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described for deep trench timbering – see fig II.1.1.

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 Both tucking framing and pile framing have the advantages over sheet
piling of not requiring large guide trestles and heavy driving equipment.

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 In firm subsoil the shaft excavation would be carried out in stages of

1.000 to 2.0000 m deep according to the ability of the subsoil to remain
stable for short periods. Each excavated stage is timbered before
proceeding with the next digging operation.
 The sides of the excavated shaft can be supported by a system of
adequately braced and strutted poling boards – see figs II.16 and II.17.
Sometimes a series of cross beams are used at the head of shaft
timbering to reduce the risk of the whole arrangement sliding down the
shaft as excavation work is proceeding at the lower levels.
 Shafts are usually excavated square in plan with side dimensions of
1.2000 to 3,000 m depending on:
i. Total depth required
ii. Method of timbering.
iii. Sizes of support lining to save unnecessary cutting to width.
iv. Number of operatives using or working within the shaft
v. Size of skip or container to be used for removing spoil
vi. Type of machinery used for bulk exaction.
 If the shaft is for the construction of an isolated base then an access or
ladder bay should be constructed. This bay would be immediately adjacent
64

to the shaft and of similar dimensions, making in plan a rectangular shaft.

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 The most vulnerable point in any shaft timbering is the corners, where high
pressures are encountered, and these positions should be specially
strengthened by using corner posts or runners of larger cross section – see
Fig. II.16.

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TUNNELS

 Purposes of rock tunneling.

i. Transportation.
ii. Water and sewage.
iii. Conveyance.
iv. Mine access.
v. Hydro-electric power generation.

 The operational sequence of excavating and timbering a tunnel or heading

by traditional methods can be enumerated thus:
1. In firm soils excavate first 1,000m long stage or bay; if weak subsoil is
encountered it may be necessary to drive head boards and lining boards
as the first operation.
2. Head boards 1,000m long are placed against the upper surface.
3. Sole plate and stretcher are positioned; these are partly bedded into the
ground to prevent lateral movement and are leveled through from
stretcher to stretcher.
4. Cut and position head tree.
5. Cut side trees or struts to fit tightly between sole plate and head tree and
wedge into position.
6. Secure frames using wrought iron dogs, spikes and cleats as required
68 Page

7. Excavate next stage or bay by starting at the top and taking out just
enough soil to allow the next set of head boards to be positioned.
8. If loose subsoils are encountered it will be necessary to line the sides
with driven or placed horizontal poling boards as the work proceeds –
see Figs. II.17 and II.18.

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 After the construction work has been carried out within the tunnel it can be
backfilled with hand-compacted material extracting the timbering as the
work proceeds. This method is time consuming and costly; the general
procedure is to backfill the tunnel with pumped concrete and leave the
temporary support work in position.

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L2. Alternative methods

 Where the purpose of the excavation is for the installation of pipe work
alternative methods to tunneling should be considered.
Small diameter pipes

 Two methods are available for the installation of small pipes up to 200 m
diameter
1. Thrust boring – a bullet-shaped solid metal head is fixed to the leading end
of the pipe to be installed which is pushed or jacked into the ground
displacing the earth.
2. Auger boring – carried out with a horizontal auger boring tool operating
from a working pit having at least 2,400m long x 1,500m wide clear
dimensions between any temporary supporting members. The boring
operation can be carried out without casings but where the objective is the
installation of services, concrete or steel casings are usually employed. The
auger removes the spoil by working within the bore of the casing which is
being continuously rammed or jacked into position. It is possible to use this
method for diameters of up to 1.000m.
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Pipe jacking

 This method can be used for the installation of pipes from 150 to 3,600 mm
diameter but it is mainly employed on the larger diameters of over 1.000m.
basically the procedure is to force the pipes into the subsoil by means of a

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series of hydraulic jacks and excavate, as the driving proceeds, from within
the pipe by hand or machine according to site conditions.

 The leading pipe is usually fitted with a steel shield or hood to aid the
driving process.
This is a very safe method since the exaction work is carried out from within
the casing or liner and the danger of collapsing excavations is eliminated;
there is also no disruption of the surface or underground services and it is a
practical method for most types of subsoil.

 The most common method is to work from a jacking or working pit which is
formed in a similar manner to traditional shafts except that a framed thrust
pad is needed from which to operate the hydraulic jacks.
 The working pit must be a large enough for the jacks to be extended and to
allow for new pipe sections to be lowered into the working bay at the
bottom – see Fig.II.19.
 Pipe jacking can also be carried out from ground level and is particularly
suitable for driving pipes through an embankment to form a pedestrian
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subway.
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A series of 300 mm diameter lined augered bore holes are driven through
the embankment to accommodate tie bars which are anchored to a
bulkhead frame on the opposite side of the embankment.

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 The reactions from the ramming jacks are thus transferred through the tie
bars to the bulkhead frame and the driving action becomes one of pushing
and pulling – see Fig. II .20. In firm soils the rate of bore by this method is
approximately 3.000 m per day.
 Pipes can also be jacked, from ground level, into the earth at a gradient of
up to 1.12 using a jacking block attached to a row of tension piles sited
below the commencing level.

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PIPES

 The pipes used in the above techniques are usually classified in diameter
ranges thus:
1. Small pipes – 150 to 900 mm diameter – thrust or auger bored.
2. Medium pipes – 900 to 1,800 mm diameter – pipe jacking
techniques.
3. Large pipes – 1,800 to 3,600 mm diameter – pipe jacking
techniques.
 Two materials are in common use for the pipes, namely concrete and steel.
Spun concrete pipes are specially designed with thick walls and have a
rubber joint making them especially suitable for sewers without the need
for extra strengthening.
 Larger diameter pipes for pedestrian subway constructions are usually
made of cast concrete and can have special bolted connections making the
joints watertight which also renders them suitable for use as sewer pipes.
Steel pipers have a wall thickness relative to their diameter and usually have
welded joints to give high tensile strength, the alternative being a flanged
and bolted joint.
 They are obtainable with various coatings and linings to meet special
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requirements such as corrosive – bearing effluents.

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Geotechnical investigation and design

 Geological problems.
i. High temperature.
ii. Weak zones.
iii. Dangerous zones.
iv. Over break.

 A tunnel project must start with a comprehensive investigation of ground

conditions by collecting samples from boreholes and by other geophysical
techniques.
 An informed choice can then be made of machinery and methods for
excavation and ground support, which will reduce the risk of encountering
unforeseen ground conditions.
 In planning the route the horizontal and vertical alignments will make use of
the best ground and water conditions.
 Conventional desk and site studies may yield insufficient information to
assess such factors as the blocky nature of rocks, the exact location of fault
zones, or the stand-up times of softer ground.
 This may be a particular concern in large-diameter tunnels. To give more
information, a pilot tunnel, or drift, may be driven ahead of the main drive.
 This tunnel will be easier to support should unexpected conditions be met,
and will be incorporated in the final tunnel. Alternatively, horizontal
boreholes may sometimes be drilled ahead of the advancing tunnel face.
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 Other key geotechnical factors include:

1. Stand-up time is the amount of time a tunnel will support itself without any
added structures. Knowing this time allows the engineers to determine how
much can be excavated before support is needed. The longer the stand-up
time is the faster the excavating will go. Generally certain configurations of
rock and clay will have the greatest stand-up time, and sand and fine soils
will have a much lower stand-up time.[5]

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2. Groundwater control is very important in tunnel construction. If there is

water leaking into the tunnel stand-up time will be greatly decreased.

 If there is water leaking into the shaft it will become unstable and will not
be safe to work in. To stop this from happening there are a few common
methods. One of the most effective is ground freezing.
 To do this pipes are inserted into the ground surrounding the shaft and are
cooled until they freeze. This freezes the ground around each pipe until the
whole shaft is surrounded frozen soil, keeping water out.
 The most common method is to install pipes into the ground and to simply
pump the water out. This works for tunnels and shafts.[6]

3. Tunnel shape is very important in determining stand-up time.

 The force from gravity is straight down on a tunnel, so if the tunnel is wider
than it is high it will have a harder time supporting itself, decreasing its
stand-up time.
 If a tunnel is higher than it is wide the stand up time will increase making
the project easier. The hardest shape to support itself is a square or
rectangular tunnel.
 The forces have a harder time being redirected around the tunnel making it
extremely hard to support itself. This of course all depends what the
material of the ground is.[7]

Choice of tunnels vs. bridges

 For water crossings, a tunnel is generally more costly to construct than a
80

bridge. Navigational considerations may limit the use of high bridges or

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drawbridge spans intersecting with shipping channels, necessitating a

tunnel.
 Bridges usually require a larger footprint on each shore than tunnels. In
areas with expensive real estate, such as Manhattan and urban Hong Kong,
this is a strong factor in tunnels' favor.
 Boston's Big Dig project replaced elevated roadways with a tunnel system to
increase traffic capacity, hide traffic, reclaim land, redecorate, and reunite
the city with the waterfront.

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 In Hampton Roads, tunnels were chosen over bridges for strategic

considerations; in the event of damage, bridges would prevent U.S. Navy
vessels from leaving Naval Station Norfolk.
 The 1934 Queensway Road Tunnel under the River Mersey at Liverpool was
chosen over a massively high bridge for defence reasons: it was feared
aircraft could destroy a bridge in times of war.
 Maintenance costs of a massive bridge to allow the world's largest ships to
navigate under were considered higher than for a tunnel. Similar
conclusions were reached for the 1971 Kingsway Tunnel under the Mersey.
 Water-crossing tunnels built instead of bridges include the Holland Tunnel
and Lincoln Tunnel between New Jersey and Manhattan in New York City,
the Queens-Midtown Tunnel between Manhattan and the borough of
Queens on Long Island, and the Elizabeth River tunnels between Norfolk
and Portsmouth, Virginia, the 1934 River Mersey road Queensway Tunnel,
the Western Scheldt Tunnel, Zeeland, Netherlands, and the North Shore
Connector tunnel in Pittsburgh, Pennsylvania.
 Other reasons for choosing a tunnel instead of a bridge include avoiding
difficulties with tides, weather and shipping during construction (as in the
51.5-kilometre or 32.0-mile Channel Tunnel), aesthetic reasons (preserving
the above-ground view, landscape, and scenery), and also for weight
capacity reasons (it may be more feasible to build a tunnel than a
sufficiently strong bridge).
 Some water crossings are a mixture of bridges and tunnels, such as the
Denmark to Sweden link and the Chesapeake Bay Bridge-Tunnel in Virginia.
 There are particular hazards with tunnels, especially from vehicle fires when
combustion gases can asphyxiate users, as happened at the Gotthard Road
Tunnel in Switzerland in 2001. One of the worst railway disasters ever, the
Balvano train disaster, was caused by a train stalling in the Armi tunnel in
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Italy in 1944, killing 426 passengers.

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Cost estimates and overruns

 Government funds are a major factor in the creation of tunnels. [8] When a
tunnel is in the process of being constructed, economics and politics play a
large factor in the decision making process. This division of the project is
part of the construction/project management aspect of civil engineering.
The project duration must be identified using a work breakdown structure
(WBS) and critical path method (CPM). Understanding the amount of time
the project requires, the amount of labors and materials needed is a crucial
part of the project. Also, the amount of land that will need to be excavated
and the proper machinery that is needed is also very important. Since
infrastructures require millions, or even billions of dollars, acquiring these
funds can be challenging.
 The need for an infrastructure such as a tunnel must be identified. Political
issues are bound to occur as it was shown in 2005 when the US House of
Representatives approved a $100 million federal grant to build a tunnel in
the New York Harbor.
 However, the Port Authority of New York and New Jersey was aware of this
bill and had never asked for a grant or for such a project.[9] The current state
of the economy reflects on the amount of money the government can give
for public projects.
 Since taxpayers money goes to projects such as the creation of tunnels, or
any other infrastructures, increasing taxes may cause issues.[10]
82 Page

Machine tunneling.
 Weak zones.
 Homogeneity.
 Hardness.
 Stratification.

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Construction

 Tunnels are dug in types of materials varying from soft clay to hard rock.
The method of tunnel construction depends on such factors as the ground
conditions, the ground water conditions, the length and diameter of the
tunnel drive, the depth of the tunnel, the logistics of supporting the tunnel
excavation, the final use and shape of the tunnel and appropriate risk
management.

 There are three basic types of tunnel construction in common use:

i. Cut-and-cover tunnels, constructed in a shallow trench and then covered

over.
ii. Bored tunnels, constructed in situ, without removing the ground above.
They are usually of circular or horseshoe cross-section.
iii. Immersed tube tunnels, sunk into a body of water and sit on, or are buried
just under, its bed.

Cut-and-cover
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 Cut-and-cover construction of the Paris Métro in France

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 Cut-and-cover is a simple method of construction for shallow tunnels where

a trench is excavated and roofed over with an overhead support system
strong enough to carry the load of what is to be built above the tunnel.
 Two basic forms of cut-and-cover tunnelling are available:

i. Bottom-up method: A trench is excavated, with ground support as

necessary, and the tunnel is constructed in it. The tunnel may be of in situ
concrete, precast concrete, precast arches,or corrugated steel arches; in
early days brickwork was used. The trench is then carefully back-filled and
the surface is reinstated.
ii. Top-down method: Side support walls and capping beams are constructed
from ground level by such methods as slurry walling, or contiguous bored
piling.

 Then a shallow excavation allows making the tunnel roof of precast beams
or in situ concrete. The surface is then reinstated except for access
openings. This allows early reinstatement of roadways, services and other
surface features. Excavation then takes place under the permanent tunnel
roof, and the base slab is constructed.
 Shallow tunnels are often of the cut-and-cover type (if under water, of the
immersed-tube type), while deep tunnels are excavated, often using a
tunnelling shield. For intermediate levels, both methods are possible.
 Large cut-and-cover boxes are often used for underground metro stations,
such as Canary Wharf tube station in London. This construction form
generally has two levels, which allows economical arrangements for ticket
hall, station platforms, passenger access and emergency egress, ventilation
and smoke control, staff rooms, and equipment rooms.
 The interior of Canary Wharf station has been likened to an underground
cathedral, owing to the sheer size of the excavation.
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 This contrasts with most traditional stations on London Underground,

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where bored tunnels were used for stations and passenger access.

Boring machines

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 A tunnel boring machine used to excavate the Gotthard Base Tunnel

(Switzerland), the world's longest tunnel.
 Tunnel boring machines (TBMs) and associated back-up systems are used to
highly automate the entire tunnelling process, reducing tunnelling costs.
 In certain predominantly urban applications, tunnel boring is viewed as
quick and cost effective alternative to laying surface rails and roads.
Expensive compulsory purchase of buildings and land, with potentially
lengthy planning inquiries, is eliminated.
 There are a variety of TBM designs that can operate in a variety of
conditions, from hard rock to soft water-bearing ground.
 Some types of TBMs, the bentonite slurry and earth-pressure balance
machines, have pressurised compartments at the front end, allowing them
to be used in difficult conditions below the water table.
 This pressurizes the ground ahead of the TBM cutter head to balance the
water pressure. The operators work in normal air pressure behind the
pressurised compartment, but may occasionally have to enter that
compartment to renew or repair the cutters.
 This requires special precautions, such as local ground treatment or halting
the TBM at a position free from water.
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 Despite these difficulties, TBMs are now preferred over the older method of
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tunnelling in compressed air, with an air lock/decompression chamber

some way back from the TBM, which required operators to work in high
pressure and go through decompression procedures at the end of their
shifts, much like deep-sea divers.
 In February 2010, Aker Wirth delivered a TBM to Switzerland, for the
expansion of the Linth–Limmern Power Stations in Switzerland. The
borehole has a diameter of 8.03 metres (26.3 ft).[11] The four TBMs used for

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excavating the 57-kilometre (35 mi) Gotthard Base Tunnel, in Switzerland,

had a diameter of about 9 metres (30 ft).
 A larger TBM was built to bore the Green Heart Tunnel (Dutch: Tunnel
Groene Hart) as part of the HSL-Zuid in the Netherlands, with a diameter of
14.87 metres (48.8 ft).[12]
 This in turn was superseded by the Madrid M30 ringroad, Spain, and the
Chong Ming tunnels in Shanghai, China. All of these machines were built at
least partly by Herrenknecht.

4. Tunneling Safety and security requirements

 Owing to the enclosed space of a tunnel, fires can have very serious effects
on users. The main dangers are gas and smoke production, with even low
concentrations of carbon monoxide being highly toxic.
 Fires killed 11 people in the Gotthard tunnel fire of 2001 for example, all of
the victims succumbing to smoke and gas inhalation. Over 400 passengers
died in the Balvano train disaster in Italy in 1944, when the locomotive
halted in a long tunnel.
 Carbon monoxide poisoning was the main cause of death. In the Caldecott
Tunnel fire of 1982, the majority of fatalities were caused by toxic smoke,
rather than by the initial crash.
 Motor vehicle tunnels usually require ventilation shafts and powered fans
to remove toxic exhaust gases during routine operation. Rail tunnels usually
require fewer air changes per hour, but still may require forced-air
ventilation.
 Both types of tunnels often have provisions to increase ventilation under
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emergency conditions, such as a fire. Although there is a risk of increasing

the rate of combustion through increased airflow, the primary focus is on
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providing breathable air to persons trapped in the tunnel, as well as

firefighters.
 When there is a parallel, separate tunnel available, airtight but unlocked
emergency doors are usually provided which allow trapped personnel to
escape from a smoke-filled tunnel to the parallel tube.

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 Larger, heavily-used tunnels, such as the Big Dig tunnel in Boston,

Massachusetts, may have a dedicated 24-hour manned operations center
which monitors and reports on traffic conditions, and responds to
emergencies.[17]
 Video surveillance equipment is often used, and real-time pictures of traffic
conditions for some highways may be viewable by the general public via the
Internet.

 Examples of tunnels

 The three eastern portals of Liverpool Edge Hill tunnels, built into a hand
dug deep cutting. The left tunnel with tracks is the short 1846 second
Crown Street Tunnel, next on the right partially hidden by undergrowth is
the 2.03 km (1.26 mi) 1829 Wapping Tunnel, to the right again hidden by
undergrowth, is the original short 1829 Crown Street Tunnel.
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 A short section remains of the 1836 Edge Hill to Lime Street tunnel in
Liverpool. This is the oldest rail tunnel in the world still in active use.

 The 1,659-foot (506 m) Donner Pass Summit Tunnel (#6) was in service from
1868 to 1993.


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 Liverpool Lime Street Approach. The original two track tunnel was removed
to create a deep cutting. The road bridges seen across the cutting are solid
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rock and in effect a series of short tunnels.

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QUARRIES
 The stones are obtained from underground by a process of digging, blasting
or cutting.
 This process is known as quarrying and the pit or open excavation from
which the stone is obtained is called a Quarry.
 A quarry is a place from which dimension stone, rock, construction
aggregate, riprap, sand, gravel, or slate has been excavated from the
ground.
 A quarry is the same thing as an open-pit mine from which minerals are
extracted.
 The only trivial difference between the two is that open-pit mines that
produce building materials and dimension stone are commonly referred to
as quarries.
 There are four methods commonly used for quarrying:

i. Excavating
ii. Wedging
iii. Heating
iv. Blasting

Quarry and its location

 In locating a quarry the following points should be kept in view;

a) The required building stones should be available in sufficient quantities at

or near the surface of the ground.
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b) Sufficient labour at cheap rates should be locally available.

c) Ample means of communication should be available.
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d) Power should be cheaply available.

e) Sufficient quantities of clean water should be available for all year round.
f) Drainage of rain water should present no problem.
g) Site for the dumping of refuse should be easily available nearby.
h) There should be no permanent structure nearby in the case of quarrying by
blasting.

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i. Excavating

 The method is employed when the stones to be quarried are lying buried in
earth or under loose over-burden.
 Shovels, pick axes, hammers and chisels etc are made use of for the
purpose.

ii. Wedging

 This method is suitable for quarrying soft stratified rocks.

 The operation is started near a vertical face in the absence of which one is
created by cutting a channel in it.
 Then 10 cm to 15 cm deep holes about 10 cm apart are bored or drilled
along the boundary of the slab to be quarried.
 Steel plugs are then struck with heavy steel hammers called sledge
hammers simultaneously in all the holes in a row.
 Use of steel feathers with plugs is to be preferred.
 It will split the slab along the line of holes drilled.
 In case of softer rocks some result could be achieved by hammering in
tightly dry wooden pegs in a row and then pouring water over them so that
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they expand on becoming wet thereby exerting forces enough to cause a

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crack along the line of holes.

 This operation when repeated all along the periphery would detach the
slab.
 Sledge hammer blows on wedges placed at the joint of two layers (known
as plane of cleavage) on the exposed face of the rock shall detach the slab
completely.
 It could then be taken away on trolley or rollers.

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 By this method slabs of required sizes could be quarried with minimum of

wastages.
 The method is suitable for quarrying costly stratified rocks.

iii. Heating

 This method is suitable where only smaller blocks of more or less regular
shape are required and suitable rocks bedded in horizontal layers of not
much thickness are to be quarried.
 It consists in piling a heap of fuel on a small area of the exposed face of the
rock and burning a steady fire for hours.
 It results in uneven expansion because of unequal heating of the two layers
and consequent separation of the upper and lower layers.
 The separation is indicated by a dull bursting sound.
 Separated area can be ascertained by noting the hollow sound on striking
the area gently with a hammer or with a craw bar.
 In Soviet Union, quarrying has successfully been done by heating
intermediate layers electrically which results in the separation of that layer
from the top and bottom layers.
 This way not only is the work done quickly but also it becomes more
economical.
 The loosened portion is then broken into smaller pieces as desired and
removed with pick axes and craw bars.
 Fairly rectangular blocks required for coursed rubble masonry could be had
by experienced workmen.
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 Small sized stones to give road metal and ballast for railway track could,
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however, are not conveniently had by this method,

iv. Blasting

 It is quarrying stones with explosive.

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 Blasting may sometimes have be done to excavate foundations for

buildings, road structures in rock work and for tunneling, etc.
 The purpose of blasting for quarrying is to loosen large masses of rocks and
not to violently blow up the whole mass causing the breakage of stones into
small pieces of no use.
 The operation of blasting constitutes the boring or drilling of holes, charging
them with some suitable explosives and the firing the charge.

Precautions to be taken while blasting

a) Blasting operations should not be carried out in evening or in early
mornings.

 It should be done at fixed hours made known to the public.

b) Before actual firing, siren should give timely warning to workmen and
others to retire to safety.
c) Red danger flags should be permanently displayed at a safe distance of
about 200 metres all around the area of explosion.

 No person except those who have to light the fuses should be allowed in
the danger zone till the explosion has taken place.

d) Responsible person should satisfy himself that all the charges have
exploded by comparing the number of charges fired with the number of
explosions heard.

 In case of a misfire necessary precautions should be taken.

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e) All fuses should be cut to proper length before inserting them into holes.
f) For making holes in cartridges to take detonators only hard wooden pegs
should be used.

 No metallic implement should in any case be used for the purpose.

g) Cartridges should preferably be handled with rubber or polythene gloves

on.

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Precautions against misfires

a) Misfires can prove to be very dangerous.

 In case of doubt sufficient time should be allowed to elapse before entering

the danger zone.

b) Withdrawal of a charge that has not exploded should under no

circumstances be allowed
c) The hole should be flooded with water and marked boldly,

 Not more than 10 bore holes should be exploded at a time and those too
successively and not simultaneously.

d) Bore holes should be thoroughly cleaned before inserting the charges in

them.
e) If misfire is due to defective explosive, detonators or fuse then the whole of
that material should be send for check before being used.
f) To avoid misfire the safety fuse should be cut off in an oblique direction
with a knife and after inserting fuse in the detonator it should be fixed by
nippers.
g) If there be misfire present in the bore hole then the junction of fuse and
detonator should be rendered watertight by means of tar, tough grease or
white lead and the fuse used should be waterproof.
h) In case of misfire another hole should be bored at a distance of at least 50
cm and blasted as usual.
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Types of rock

 Types of rock extracted from quarries include:

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i. Chalk
ii. China clay
iii. Cinder
iv. Clay
v. Coal
vi. Construction aggregate (sand and gravel)
vii. Coquina
viii. Diabase
ix. Gabbro
x. Granite
xi. Gritstone
xii. Gypsum
xiii. Limestone
xiv. Marble
xv. Ores
xvi. Phosphate rock
xvii. Sandstone
xviii. Slate

Types of quarries
a) Hard rock quarries.
b) Soft rock quarries.

Hard rock quarries

 Quarrying in hard rock deposits usually requires different techniques to
those employed in working generally unconsolidated sand and gravel
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deposits.
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 Whilst many of the overall considerations are essentially similar e.g.

 establishing a viable resource
 determining the available area for development
 assessing volumes of waste
 overburden and other allowances
 identifying the requirements for excavation
 haulage and processing plant

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Defining the site requirements

 Hard rock quarries generally take one of two forms:
a) Hill-side quarries – characterized by a general downward haulage of
excavated material from the quarry area (up slope) to the processing plant
(lower down the slope); or,
b) Open-pit quarries – where quarrying workings are generally below the level
of the processing plant and excavated material is hauled up and out of the
pit.
 Hill-side quarries may often become open-pit quarries once the level of
excavation has reached, and subsequently extends below, the quarry plant
area.
 The choice of whether a hill-side or open-pit operation is contemplated is
usually dictated by the site topography, ownership boundaries, geological
structure and environmental considerations (hill-side quarries can be very
obvious features and have a high visual impact).
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Hill side quarry

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Open pit quarry

Initial scoping
a) Confirmation of suitability of quality of quarried products for use;
b) Initial estimates of resource quantities; and
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c) Assessment of potential development constraints.

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 These factors also affect the initial consideration of a hard-rock site and
must be considered at the earliest stages of the design process to establish
the potential viability of proceeding with designs.
 Processing of material excavated from hard-rock quarries can alter its
potential use (irrespective of the physical properties of the rock).
 Different methods of crushing can produce different shapes of material
(which are typically applicable to different potential uses).

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 The quarry designer will, at the initial stages therefore be involved in

discussions with other departments within the quarrying company in
determining the types of materials required.
 This may affect decisions regarding the rate of working, the style of blasting,
and the quantities of waste rock which arises.
 Since geological properties (fractures, joints and bedding) may affect the
breakage characteristics of the rock, it is essential that early consideration
of the geotechnical properties of the rock mass be given.
 These may affect the type of breakage that would be expected during the
quarrying operations and hence the products that may result.

Quantitative and qualitative assessments

 A quantitative assessment of the volumes of material (overburden and rock)
within a hard-rock site will be very similar for that undertaken for sand and
gravel deposits.
 This requires a thorough consideration of all available site data (gathered
from site investigations, topographic surveys, desk studies etc.) and the
preparation of detailed geological models for the site.
 Plans of the site should be prepared, together with structure contour plans
for the rock to be quarried, isopachyte plans of the overburden and if
appropriate a consideration of the ultimate floor level of the proposed pit.
 This may be determined by a consideration of:
a) The level of any local water table;
b) The quality of the rock to be worked;
c) Planning restrictions; or,
d) A potential limit based on an initial assessment of the overall pit
slopes.
 From these basic plans, the potential recoverable resource may be
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assessed.
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 Again, this may be achieved by computerized methods or by hand

calculation.
 Whichever method is adopted, it is important that this is verified or double-
checked by other methods.
 This may be as simple as calculating volumes based on average areas and
thickness of material, using a scale rule placed on the plan.

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 This can identify any ‘order of magnitude’ errors in the initial assessment –
a common mistake that, if left unchecked, can have significant
consequences subsequently.

 Qualitative assessments in hard rock quarry designs address the physical

appraisal of the material that may be produced when quarrying (which will
typically consider the results of laboratory or other tests undertaken on
samples recovered during site investigations).
 They must also, however, consider the geotechnical setting of the proposed
quarry site.
 Data relevant to such assessments is usually gathered through
consideration of the site investigation data (which will include detailed
logging of core samples) and geological/geotechnical mapping and logging
undertaken on any exposures in the area.
 These are essential in establishing the design rules that will be applicable to
the preparation of the quarry design and phasing plans.
 Such design rules include:
a. Minimum allowable bench widths (both final positions and working
bench widths);
b. Maximum allowable bench heights, and maximum overall slopes in
all materials to be excavated;
c. Maximum foundation slopes as well as maximum slope angles and
heights for in pit and out of pit spoil (this may vary according to the
type of material to be placed);
d. Minimum allowable haul road widths, maximum allowable haul road
gradients, circumference of bends and other aspects of mineral
haulage in pit (e.g. maximum gradients for in pit conveyors and
widths to be allowed for such structures).
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 The geotechnical data will identify differing geotechnical settings within the
quarry area and will allow the quarry to be ‘zoned’ accordingly.
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 The assessment should identify the likely slope failure modes in each zone
and the design rules will be prepared to reflect each area as appropriate.
 This may result in varying bench and slope arrangements in different areas
of the pit and each must be accommodated in the design.
 The design rules may also influence such aspects as direction of working
and identify face alignments to be avoided in particular settings.

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 The direction of working can materially influence advancing face stability

and will therefore be a prime consideration in the preparation of the quarry
phasing plans.
 The effects of weathering on rock masses can be significant and may
materially affect their suitability for use as an aggregate.
 The quarry designer should always be alert to the presence of weathered
material in the deposit since it may influence not only the acceptability of
the quarried product for sale but may represent zones where stability issues
can become problematic.
 Weathering can be relatively shallow (where there is significant overburden
cover) or can extend to some depth in the rock mass.
 Depending on the degree of weathering, some or all of the weathered
material at or near surface may in fact represent additional overburden and
its volume should be calculated in determining the extent of the resources.
 Deeper weathering may also have occurred along faults, bedding planes or
other discontinuities in the rock mass and these may be identified in the SI
data.
 The presence of such material, if unacceptable as aggregate, may reduce
the available resource further.
 In some circumstances however, mild weathering may actually improve the
rock mass when considered as a body for quarrying.
 The opening of joints, etc within the rock may lead to easier digging, with
reduced need for explosives and the potential to undertake some primary
fragmentation by ripping.
 Structurally however, this weathering may result in less stable slopes, since
the rock mass is more heavily broken to begin with.
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Well developed bedding

Losses and allowances

 There are a number of factors that will limit the potentially recoverable
resources identified in the initial stages of appraisal.
 As for sand and gravel operations, it is crucial to make considered
allowances and assumptions at an early stage of the design process to
100

adequately account for any losses.

 This is necessary to properly reflect the total quantity of rock that may be
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sold as product and to allow sufficient space for the tipping of wastes as
they arise.
 Too often quarries can become quickly ‘muck-bound’ due to an
underestimation of the quantities of waste to be produced at various stages
in the operation.

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 In a hard-rock quarry, waste may arise from the following sources:

a) Soil and overburden;
b) Interface materials (weathered bedrock) at the top of the deposit;
c) Unusable interbedded materials within the body of the deposit;
d) Broken/weathered rock in and around faults in the deposit; and
e) Wastes produced at the processing plant, including dust-sized
material, and ‘scalping’ – either over- or undersized material
removed prior to processing.
 Some of these quantities may be calculated as part of the design process
(e.g. the soil and overburden volumes can be assessed and the presence of
any interface or interbedded material can be determined from SI data).
 Others allowances may be simple assumptions (e.g. a stand-off around
faults based on a review of the nature of the faulting or observation of
exposed faults in the locality, the anticipated volumes of processing waste
based on discussions with plant manufacturers or through operational
experience, etc.).
 Based on the measurable quantities of waste and the allowances assumed
for unknowns, the requirements for waste disposal areas can be
determined and accommodated in the designs.
 It may be necessary to arrange for both out-of-pit and in-pit spoil disposal
and this will need to be addressed in the preparation of the quarry phasing
to ensure that sufficient capacity for waste disposal is available at the
appropriate stage of development.
 It is usual in the initial stages of design to prepare a conceptual pit on the
basis of overall slope angles (i.e. incorporating bench height and bench
width), determined by the geotechnical assessment.
 This will often exclude any ramps, etc. necessary for haulage however, Such
items often cannot be properly assessed until later in the design process
101

when plant and equipment selection is more advanced and some

consideration has been given to the phasing of such workings.
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 In such circumstances, allowances (in the form of percentage reductions in

quarry yield) are normally made.
 Such allowances generally affect only the quantity of rock to be produced
and do not materially affect the calculation of waste quantities.

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Initial infrastructure/development issues

 Site infrastructure for hard rock quarries is generally larger and more
permanent than that for sand and gravel deposits.
 There are also a range of other issues that affect its selection and siting.
 As for sand and gravel workings there are several items that will be
common to all hard-rock workings and should be addressed early in the
design process:
a) Access to the site;
b) Location of plant and any associated facilities;
c) Access to the plant area within the site;
d) Location of water management features;
e) General site screening and security; and
f) Soil, overburden and waste stockpiling.
 The location and sizing of such features should always be carefully
considered to avoid sterilization of potentially workable reserves.
 Since hard-rock quarries are commonly highly visible features in the local
landscape, screening at the site boundaries will be a significant matter.
 Screening banks constructed may be for visual amenity, but may also serve
as noise baffles around sensitive locations.
 The screening banks formed (commonly from soil and overburden) may
represent part of the final restoration plan for the site and as such should
be carefully considered in the early designs.
 It may not be possible to gain access to areas of the site as the quarry
develops and the opportunity to re-handle such materials in the future may
not exist.

Design considerations
 For hard-rock workings, there are four principal stages in the extraction
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process:
a) Soil and overburden removal;
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b) Primary (and secondary) fragmentation of the rock mass;

c) Excavation and loading; and,
d) Haulage to the processing plant.
 Each should be considered as a continuation of the other in the process.
 Changes in proposals for one element may have consequences for the
others.

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 Many of the options will be dictated by site circumstances (e.g. site layout,
topography, strength of the overburden and rock mass, plant selection, etc.)
and as such there may be little flexibility in accommodating changes.
 Where practicable however the quarry designer will need to optimize the
activities to arrive at an economically and environmentally acceptable
solution.

Soil and Overburden removal

 For hard-rock quarry sites, overburden may range from practically nothing
(in areas of high relief) or to many tens of metres (in low lying areas or
faulted ground).
 The thickness of overburden above a hard rock deposit can vary
significantly across a site, depending on the surface topography and the
nature of the underlying interface.
 Suffice to say that, in areas where there is an appreciable soil cover, good
handling techniques must be adopted to conserve as much of the soil as
possible, and to retain it in a condition suitable for re-use.
 Overburden in hard-rock settings may comprise a loose, unconsolidated
material (clay, broken rock, gravel, etc.) which can be readily excavated
using appropriate plant.
 The removal of the material away from the quarry area is normally a pre-
requisite to avoid potential sterilization of reserves.
 There is little potential for its removal and casting aside to storage using a
single machine (e.g. a dragline, as might be used in a sand and gravel
deposit) and typically removal of overburden requires separate digging and
haulage plant.
 Although a variety of excavators and trucks can normally be selected for
103

such duties, it is normal practice to employ the plant to be used for digging
and hauling the pay rock from the quarry.
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 This allows flexibility in duties, but may not be achievable economically,

particularly where overburden is thick and rock production rates are high
(requiring the overburden removal and quarrying activities to be
undertaken as separate activities).
 In some settings, the overburden can be highly indurated and requires
drilling and blasting to break it prior to excavation.

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 In such circumstances, the overburden removal is essentially the same as

quarrying for pay rock, and may be effectively undertaken by the same
processes and plant.
 The broken overburden will be dug and hauled to the tipping area, rather
than the processing plant.
 Some overburden may be weakly cemented or thinly laminated and whilst
it cannot be easily dug out, does not require drilling and blasting to break it.
 Ripping using a dozer with a rear mounted tooth (or tine) can effectively
break the material, allowing the dozer to push it into piles that can then be
dug and loaded for transport to tip.
 In the absence of overburden (or where overburden is relatively thin), the
weathered rock may be dug and tipped as waste (effectively overburden).
 It may be necessary to remove large quantities before acceptable pay rock
is exposed, and indeed in some tropical zones, there can be as much as a
1:1 ratio between the amount of weathered material and acceptable pay
rock on any particular site.
 If the depth of overburden is significant, it may be necessary to have
benched slopes in this material.
 Bench profiles will depend on the quality of the overburden and should be
considered in the same way as quarry benches to ensure slopes remain
stable and secure in the long term.
 Disposal of the overburden to suitable screening banks or other areas will
require careful planning and design.
 Given the potential long-term nature and size of such structures, there may
be significant safety issues to be considered.
 The quarry designer will also need to prepare proper designs of tips and
tipping rules should be established that will cover their construction,
inspection and maintenance.
104

 This will take account of the geotechnical properties of the spoil and the
physical setting in which tipping will occur.
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 Tips must be designed so that they are inherently stable.

 For this to be achieved they must have good drainage; this typically requires
drainage measures to be incorporated as part of the tip design.
 Many major accidents and incidents at operating quarries have resulted
from failures in tipped materials.

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 Where tips maybe close to the crest of an active quarry this may be of even
greater concern since there is a very real potential for serious injury or
fatality to any persons working on the quarry benches below.
 Tip design is considered in more detail in a subsequent paper.
 It is good practice to leave a rock head bench exposed at the interface with
the pay rock.
 The width of this bench will depend on a number of factors, but should
ideally be wide enough to allow access to all areas of the quarry crest and
accommodate suitable drainage measures to prevent flows into the quarry.

Mineral recovery
 Hard-rock quarry workings may be wet or dry, depending on the depth to
water table.
 It is not common practice to allow pits to flood during operation, and
pumping may be necessary if water collects within the pit during working.
 This may require the formation of profiled floors and sumps to collect water
prior to pumping.
 The precise arrangements will reflect the rate of inflow (normally a function
of the porosity and permeability, mainly through joints and fissures, of the
rock mass).
 Most hard rock quarries (unless working in very thin rock units and
achieving no significant depth) will be benched.
 Maximum bench heights, bench widths and face angles will be determined
principally by geotechnical factors.
 However, operational constraints (reach of excavators, capabilities of drill
rigs, quarry geometry) may dictate other arrangements that are less than
those which may acceptable based on a geotechnical assessment.
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 Similarly, there may be environmental factors that dictate bench geometry

(e.g. the use of bench alignment and height to screen mobile plant to
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control noise, blast vibrations and dust, or for visual or landscape reasons).
 It must also be remembered that different arrangements may be required
in different parts of any quarry to reflect a range of geotechnical zones or
domains.
 As noted in earlier sections, in undertaking any hard rock quarry design, it is
essential to establish the design rules for the different areas of the quarry at
an early stage.

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 These will allow an early appraisal of the layout of the quarry, equipment
selection and areas of concern to be addressed when developing phasing
plans.
 Particular geotechnical settings may preclude development of benches in a
certain orientation or may indicate areas where development should start
when preparing each sinking cut for the lower levels.
 Excavations of hard-rock quarries will generally require fragmentation of the
rock to allow subsequent handling and digging.
 This is necessary to break the rock mass and produce a rock pile with lump
sizes that can be handled by the excavation and haulage plant.
 The desired degree of fragmentation may be achieved in one or more
cycles and these are considered further below.

Primary fragmentation
 The major costs associated with hard rock quarrying are incurred in the
loading from a rock pile and crushing of broken rock at the processing plant.
 Two basic techniques are commonly used in primary fragmentation:
a) Drilling and blasting; and
b) Mechanical breaking (ripping).
 The selection of the method used will take account of:
a) The degree of weathering of the rock mass;
b) The nature and frequency of discontinuities in the rock mass
(fractures, joints, faults, bedding, etc.);
c) The crystalline, nature and grain size of the rock mass; and
d) The impact strength of the rock mass.
 The degree of primary fragmentation required is normally geared to
producing acceptable sizes for loading and crushing.
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 Primary fragmentation should be designed therefore to optimize the

distribution of particle sizes within the rock pile, compatible with the
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loading and crushing plant.

 The selection of methods and the degree of fragmentation to be achieved
should therefore be assessed against the proposed plant and methods of
digging for the operation.
 Inappropriate particle size in the rock pile can reduce efficiency of the
loading plant, resulting in slow cycle times and increased wear to buckets
and teeth in the excavator.

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 When oversize material is delivered to the crushing circuit at the processing

plant, additional effort (and energy) is necessary to reduce the lump sizes in
the primary crusher. If blocks that are too large are delivered, the system
can be temporarily put out of action as the crusher becomes choked,
leading to a loss of production. Increased wear on the crushing plates can
also result.

Blasting
 The degree of fragmentation achieved in the blasting cycle is dependent on
a proper blast design.
 Each blast should be considered individually to minimize unwanted effects
(over- or under-breakage of the rock, environmental problems and safety
issues).
 Often the primary consideration in determining the size of each blast (i.e.
the amount of rock to be broken on any one shot) is the suppression of
adverse environmental impacts (vibration and noise).
 This, however, may be contrary to the quarry operator’s requirements and a
compromise is often required. A typical quarry production blast is shown in
Plate 4.
 Blast design can be time consuming and expensive if considered for each
and every blast in detail.
 Consequently, it is common practice to determine a set of rules for a typical
blast in different zones of the quarry to satisfy the often contradictory
requirements for production of broken rock and environmental protection.
 Individual blasts will still require assessment, however, and should be
properly recorded.
 The degree of fragmentation produced during blasting is determined by two
107

principal factors:
a) Explosive energy creating new fracture surfaces in the rock mass; and
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b) Exploitation of existing planes of weakness, such as joints, fractures,

etc.
 Other factors relating to the choice and amount of explosives used, the
arrangement of blast holes and the sequencing of detonation will also have
an effect.
 Variations in these aspects can also be used to limit adverse environmental
effects or to improve the profile of the blast pile.

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Quarry production blast.

108 Page

Ripping
 Mechanical breakage is possible where the rock mass is already fractured
extensively (usually by inherent planes of weakness in the rock).
 Ripping, using a dozer fitted with a tooth at the rear, is the most common
method.

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 In most quarries and deposits, ripping techniques may be used only on a

limited basis if at all (for example, in areas of poor ground).
 They can be effective in short duration excavations (e.g. for construction
projects) or in preparation of upper benches in a quarry (where the ground
may already be fairly broken by weathering).
 Where applicable, ripping has major cost advantages over drilling and
blasting and avoids many of the environmental impacts associated with
blasting.

Secondary fragmentation
 If the primary fragmentation is inefficient and may not produce a well
graded rock pile suitable for immediate loading and crushing.
 Geological conditions or a need to limit the amount of explosives used (in
mitigating environmental impacts) may locally produce block sizes that are
too great to be handled and, in such circumstances, it is often necessary to
undertake secondary fragmentation.
 This can be achieved using explosives, but such methods are normally
unacceptable on safety grounds as the blast can be uncontrolled and result
in fly rock being generated.
 It also produces significant environmental impacts (mainly noise).
 Mechanical methods are generally favoured including:
a) The use of a steel drop ball; and
b) The use of a pneumatic/hydraulic impact breaker (rock pecker).
 Drop balls are popular, effective and relatively cheap, but suffer from being
slow and therefore inefficient where high production rates are required.
 Safety is often an issue as hazards arising from flying rock pieces are often
associated with the method.
109

 Rock peckers have a number of advantages in secondary breaking

applications.
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 They are efficient machines and can be used to accurately reduce block
sizes in the rock pile (see Plate 5). In addition, they can also be used in other
duties in the quarry, principally in scaling faces (to push off large hanging
blocks that may pose safety hazards).

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Mineral loading
 Once broken rock has been created in a pile (either a blast pile or pushed
up by a dozer following ripping), the material is loaded to the selected
haulage plant (see below).
 Excavation plant commonly used includes hydraulic face shovels, hydraulic
back acting excavators and wheeled loading shovels.
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 Each has advantages and disadvantages, and selection will depend on:
a) Required production rate;
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b) Rock type;
c) Geometry of quarry faces;
d) Geometry of the rock pile;
e) Grading of the rock pile; and
f) The type of haulage plant to be used.

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 The quarry designer should consider the plant to be used and must
carefully match its required performance with its abilities and compatibility
with haulage plant.
 Sufficient operating space must be made available on any bench/quarry
floor to allow the plant to operate safely and efficiently.

Mineral transport
 As for sand and gravel operations, the basic haulage methods available
within hard rock quarries include use of conveyors or dump trucks.
 Each has some advantages and disadvantages and design implications
arising from their selection will be considered below.
Conveyors
 Unlike sand and gravel deposits, where particle size distributions are usually
relatively narrow, the broken rock produced within a hard rock quarry tends
to have a wide range of particle sizes.
 This may preclude the use of conveyors as the primary transport method
from the working face to the processing plant.
 Conveyors work best with a restricted range of sizes to allow the most
economic sizing and speed of belts.
 In addition, within hard rock quarries greater flexibility and access to
working faces is normally required.
 Rock may be produced from several faces at any stage of the operation, and
while it may be possible for trucks to haul to a central conveyor, it is normal
practice for the excavation plant to load directly to a conveyor feed hopper
to minimize costs.
 Conveyors therefore offer relatively little flexibility, particularly where
working space is restricted and the conveyor requires frequent relocation.
 Some of these problems may be overcome if the primary crusher (either
111

semi-mobile or mobile) is located in the pit area.

 Under such circumstances the excavator could load directly to the crusher.
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 A more closely sized product could then be fed to a conveyor and

transported to a more remote processing plant elsewhere on the quarry
site.
 Alternatively, the excavator could load to a truck for a short haul to the
crusher station, prior to removal of material by conveyor.
 This would reduce the cycle time for dump trucks and could reduce the
fleet required.

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 The cost savings would then be used in providing a conveyor system.

 Again, however, this requires some permanence in establishing the
conveyor route and may only be feasible for more developed sites with long
haul distances.
 Unless sufficient reserves remain to justify the investment, it may not be
economic to do this.
 Conveyors may be a consideration in some quarries where space limitations
may preclude establishing full width haul routes.
 Conveyors can typically operate at gradients of up to c 1:3 (vertical to
horizontal) and hence can be used to raise the broken rock over
considerably shorter distances than may be possible by hauling along roads
(see below).
 New generations of high angle conveyors are now in use, which can be
used at even steeper gradients.
 Capital costs are high however and careful consideration in the context of
the overall economics of the operation will be a prime factor in their
selection.

Dump truck haulage

 In most hard rock quarries, dump trucks are the preferred method of
haulage. Trucks may be either rigid bodied or articulated.
 The latter, which are ideally suited to smaller deposits with lower outputs or
limited space, are more appropriate where ground conditions are poor.
 Haulage can be a significant cost area and significant expenditure is
incurred on fuel, tyres, engine/gearbox maintenance and wear plates in the
tipper body.
 For all but the latter, careful design of haul routes (and their proper
maintenance in operation) can help to minimize costs.
112

 Optimization of fragmentation will play a part in reducing wear to the

tipper bodies.
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 There is a considerable amount written about the optimum gradient of haul

roads (in limiting distance of haul, breaking efficiency, engine efficiency,
etc.).
 In general, gradients of 1:10 (vertical to horizontal) are usually accepted as
the most acceptable trade-off between economic, technical and safety
concerns.

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 Gradients can be up to 1:8 over short distances if space or other

considerations dictate.
 Turns/corners on haul routes should be designed, wherever possible to be
level, and all effort must be made to avoid ‘turns-into-space’ (i.e. where the
outside of a turn is at a crest of a slope).
 This is essential on safety grounds and the quarry designer is best placed to
ensure that such unsafe measures are avoided by careful consideration of
haul route and bench layout.
 Haul routes into quarries can follow a spiral, or may be in the form of
switchbacks on a single face.
 Both forms of road have their advantages, but final selection of haul
routing will be determined in the phasing of the quarry workings; it is
critical to ensure access remains to all levels of the quarry, even when
working on higher benches has been completed.
 Access may be required for maintenance work to benches, or to allow
subsequent restoration.
 Where dump trucks are used for haulage, care and maintenance of haul
routes are key areas in ensuring that efficiency is not compromised.
 Tyre wear and damage can be considerable if the running surfaces are
allowed to collect debris (from blasts or falling from trucks).
 Braking efficiency can be compromised if the surface is covered with loose
material and this can materially affect the safety of plant operators.
 Scrapers or sweepers should be used regularly to clear running surfaces and
to ensure ruts are avoided in loose materials.
113 Page

L2. Siting of processing plant and quarry facilities

 The general principles for siting the processing plant and other quarry
structures are generally as described for sand and gravel deposits.

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 However, it is not normally possible to locate the plant centrally to the area
to be worked, as this could leave the plant isolated on a ‘pillar’ of rock as
workings proceed around it.
 Normally processing plants in hard rock sites are located at the boundary of
the working area and near the site access where practicable.
 Often, processing plants for hard rock quarries will be large and may be
housed in relatively tall structures.
 This presents problems when screening the site.
 Dust, noise and vibration (principally from crushers) are all sources of
potential nuisance and high environmental impact and the plant layout,
location and screening measures should be considered to minimize these
problems.
 It should be apparent that attempts need to be made to minimize the haul
distances from the quarry to the processing plant.
 Whether the plant location is determined in advance of preparation of the
phasing plans or vice versa, the quarry designer should always consider the
location of haul routes to the pit-run stockpiles near the crusher circuit.
 Sufficient space must be maintained to allow plant to operate and
manoeuvre safely in such areas to prevent queuing and reductions in
efficiency of the process.
 Where possible, haul routes to and from the working quarry should avoid
crossing other roadways linking the quarry to the public road network.
 This minimizes the amount of mud and dirt that may be dropped on
surfaces used by road going vehicles and also provides for a safer
environment.
 If at all possible, the quarry trucks and road going vehicles should be kept
separate.
 There has been a move in some countries to use of semi-mobile processing
114

units within the quarry workings.

 These normally include primary crushers (which have already been
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mentioned in the context of haulage by conveyors), but increasingly include

screening units and secondary crushers.
 This may be appropriate for smaller sites with restricted output, or in the
early stages of quarry development in preparation for the installation of
large fixed plant.
 Mobile units are also often used to supplement production from other
plants when demand is high.

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Site access
 The site access should be located adjacent to a public road and should be
properly screened and with suitable security to limit unauthorized access.
 As for all sites, consideration must be given to safe access and egress by
laden trucks; the access should not be located where it would present a
hazard to other road users.

Water management and lagoons

 Site drainage measures will be required to protect local watercourses and to
prevent uncontrolled run-off into the pit.
 Settlement and attenuation ponds may be required to clean the water prior
to discharge.
 By appropriate design of slopes, channels and other features however, it is
usually to limit the necessity for such ponds.
 This is a material consideration for hard rock sites in particular, where
topography and space considerations often restrict the ability to form large
ponds.
 Pumping from the pit may be required where the workings extend below
the water table or where high run-off into the pit causes standing water to
accumulate.
 As noted earlier, it is common practice to form a sump in the lowest part of
the workings as quarrying progresses from which water can be pumped to
discharge.
 Drainage measures may be required on benches to limit the collection of
surface run off or precipitation.
 This may be achieved by cutting grips along the benches and channeling any
run off to a suitable point to flow into the pit or for direct pumping.
115

 Alternatively bunds may be formed in certain areas to control flows.

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Site restoration and after-use

 There is a range of possible after uses of ‘dry-floor’ hard rock quarry
workings.
 These include:

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a) Agriculture and forestry;

b) Landfill;
c) Industrial/built development;
d) Nature conservation; and
e) Geological interest.
 For ‘wet-floor’ quarry workings (i.e. where pumping is required to depress
groundwater during working and the pit will be partially or totally flooded
once pumping ceases), restoration options may be more limited.
 As noted, it may not be possible to provide sufficient waste to backfill the
quarry (even to a level above the local groundwater table) and a standing
body of water will result.
 In such settings, it is unlikely that there will be much potential for any form
of restoration other than nature conservation, or possibly limited public
recreation (e.g. boating lake).
 Public use may not be viable though, due to remote location or access,
security or safety problems.

Ripping Equipment
 There are basically two types of rippers:
i. the pull- (or tow-) type ripper and
ii. the integral bulldozer-mounted ripper.
 In rock excavation, a bulldozer-mounted ripper works better than a pull-
type ripper because it can exert greater downward pressure.
 Rippers also come in single- and multi-toothed configurations.
 Single-toothed rippers are used for difficult ripping work, where maximum
ripping depth is required and/or the material is dense.
 Multi-toothed rippers, which can use up to five teeth, are used for softer
ground or for secondary purposes such as breaking up already ripped
116

ground.
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Figure 21. Photo. Bulldozer with an integral ripping attachment.

 Choosing the proper bulldozer-mounted ripper depends of four factors:

a) downward pressure on tip,
b) horsepower of the bulldozer,
c) weight of the bulldozer, and
d) Angle of tooth penetration (Kel1970).
 The first three factors will influence the size and type of the bulldozer used,
and the last is a function of the style of ripper (see below).
 Bulldozer style and size is not discussed in this document.
 Most ripper manufacturers’ websites includes information on the
117

bulldozers that are compatible with their products; ripper mounting

brackets and hydraulic control mechanisms vary widely.)
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 Here three main styles of rippers:

a) Hinge-Style Ripper:
 The hinge-style ripper, also known as the radial-type ripper is fixed to the
bulldozer with a pin, around which the ripper arm rotates.
 Because of its maneuverability, this type of ripper is best at creating
sculpted and natural-appearing rock cuts.

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b) Parallelogram-Style Ripper:
 The parallelogram-style ripper features two hinged arms, which keep the
shank (the tang of the tooth) vertical and hold the tooth at a constant angle
as it is lowered into the material.
 This provides excellent penetration in many types of rock.
 The parallelogram-style ripper works best in easy to moderately rippable
materials.
 In more difficult conditions, contractors prefer to have the option of
selecting different tooth angles, which provides better penetration, and so
would use an adjustable parallelogram-style ripper.

118 Page

Figure 22. Photo. Typical hinge- or radial-style ripper (Nichols and Day 2005).

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Breaking
 Breaking is done with a hydraulic hammer (also known as a breaker or hoe
ram), a percussion hammer fitted to an excavator that is typically used for
demolishing concrete structures.
 It is used to break up rock in areas where blasting is prohibited due to
environmental or other constraints.
 Like a ripper, a hydraulic hammer can be used in most rock types, although
when sculpting a slope face, it works best in soft or moderately to highly
fractured rock; existing discontinuities in the rock act as presplit lines,
minimizing hammer induced scars and fractures while creating a slope face
that appears to be naturally weathered.

119 Page

Figure 23. Photo. Application of a hydraulic hammer attached to an

excavator.

 To allow for maximum downward pressure, the hammer is positioned

perpendicular to the ground surface.

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 Hammering locations are spaced evenly in a grid-like fashion so that the

end rock product is fractured into pieces that can be loaded and hauled.
 For slope excavations, the hammering angle should be not be parallel to the
major discontinuity orientation, as this may cause fractures into the final
slope face as Figure 25 shows..

Figure 24. Photo. A hydraulic hammer sculpting a rock face (the material to be
removed has been outlined with common marking paint).
120 Page

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Figure 25. Photo. A hydraulic hammer expanding a sculpted area, creating planting
areas and more natural-looking slope variation.

 After breaking, the excavated slope can be configured to look like a part of
the natural landscape, with the addition of boulders and topsoil and
reseeding with native vegetation as Figure 26 shows.
121 Page

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Figure 26. Photo. Completed rock slope prior to placement of topsoil and a native
seed mix.

Drilling Equipment
 Drilling horizontal holes is accomplished using a rig with a boom-mounted
drill guide (generally a track rig) that has the ability to rotate the drill guide
into a horizontal position and drill.
 Vertical and angled holes are bored using a down hole drilling rig or a track
drilling rig.
122

Down hole Drilling Rig

 Drilling with a down hole rig is best suited for vertical or near-vertical
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boreholes, deep drilling, and hard rock.

 Bit diameters range from 75 to 230 mm (3 to 9 in), allowing for precise
borings at significant depths (although down hole drilling is engineered for
a maximum depth of about 60m or 200ft, greater depths have routinely
been achieved).
 Most of these drills are mounted on trucks or large tracks and therefore
require wider, moderately graded benches to access the site.

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a) Track Drilling Rig (Percussion Drill Head)

 Track drills, also known as drifter drills, are the most commonly used drills
in civil applications and can be used to advance vertical, angled or
horizontal boreholes up to 12 m (40 ft) in depth.
 Bit size ranges between 40 and 150 mm (1.7 and 6.0 in.).
 The holes are advanced through percussion, either through a drill at the
head or with tooling such as a down hole pneumatic hammer.
 They feature a boom that allows for borings along a slope face at a height
determined by the boom length as seen in Figure 19.
 Track drilling rigs are generally smaller than down hole rigs and have better
maneuverability, and consequently can access more difficult terrain.

123 Page

Figure 19. Photo. Common track drill used to advance vertical blast holes.

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b) Portable Crane-Mounted or Hand-Held Drills

 Drilling on slopes with limited access will require horizontal drilling (see
above) and/or the use of portable crane-mounted or hand-held drills, which
can drill both vertical and angled borings.
 When drilling blast holes deeper than 5 m (15 ft), the drill will be mounted
to a rigid frame or platform, typically suspended from a crane, to ensure
proper alignment.
 Maximum drilling depth for portable rigs is around 12 m (40 ft) and bit sizes
range from 40 to 100 mm (1.7 to 4 in).
 For borings less than 5 m (10 ft) deep, a hand-held sinker drill or jackleg-
mounted drill (a drill supported on a single leg) can be used.
 However, drilling with a hand-held drill is slow because its downward
pressure is limited by the weight of the drill and the physical strength of the
operator.

Explosives
 The type of explosive used in any project depends on the hardness and
structural characteristics of the rock and the overall geometry of the cut
(burden, depth, and width).
 There are numerous types of explosives, and for each type there are several
different concentrations and mixtures.
 Properties to be considered when selecting an explosive include its
sensitivity, density, strength, water resistance, fumes, price, and availability.

a) Dynamite
 Dynamite is the best known and most widely used explosive.
 It is classified according to its percentage by weight of nitroglycerin
(percentages range from 15 to 60%).
124

 Strength does not increase linearly with proportion, however.

 For example, 60% dynamite is about 1.5 times stronger than 20% dynamite.
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 There are several variations in dynamite composition:

i. Straight dynamite consists of nitroglycerine, sodium nitrate, and a
combustible absorbent (such as wood pulp) wrapped in strong paper to
make a cylindrical cartridge.
ii. Gelatin dynamite consists of a nitrocellulose-nitroglycerine gel. It is
available in very high strengths (up to 90% nitroglycerin), making it useful
for excavating extremely hard rock.

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iii. Ammonia dynamite has similar composition to straight dynamite, but a

portion of the nitroglycerine content is replaced with ammonium nitrate to
create more stable and less costly dynamite. It has strength of
approximately 85% of straight dynamite.

b) Ammonium Nitrate and Fuel Oil (ANFO)

 This combination of a nitrogen fertilizer and fuel oil has largely replaced
dynamite in medium and large borehole blasting.
 The explosiveness of ANFO greatly increases with the concentration of fuel
oil (the maximum is 6%).
 Mixing can be done on-site or in the factory, although premixed
compounds present concerns regarding handling and storage (premixed
ANFO has been known to spontaneously combust when kept in storage for
long periods of time).
 Straight ammonium nitrate can be shipped and stored the same way as any
other blasting agent.
 ANFO does not combust well in water, but it can be sealed in bags to
prevent water seepage.

c) Slurry (Water Gel)

 Also known as a dense blasting agent (DBS), slurry is a mixture of a
sensitizer, an oxidizer, water, and a thickener.
 The sensitizer can be any number of reducing chemicals, but is usually TNT
(trinitrotoluene).
 The oxidizer is ammonium nitrate.
 The thickener is guar gum or starch.
 High-density slurry can remove a greater burden than ANFO, which allows
for the use of smaller diameter boreholes (or wider borehole spacing) to
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obtain the same explosive power and fragmentation.

 However, the higher price of the slurry may offset the cost savings of drilling
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fewer holes.
 Slurries are reasonably insensitive, but temperature and density have large
effects on this (i.e., slurries become less sensitive and less fluid as
temperature decreases).
 Sensitivity can be increased by adding sensitizers to the composition.
 Slurries load about three times faster than conventional dynamite, making
them more convenient and faster to use.

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d) Emulsion Explosives
 Emulsions are a water-in-oil type of explosive consisting of microdroplets of
super-saturated oxidizer solution within an oil matrix.
 The oxidizer is usually ammonium nitrate. Packaged in a thin, tough plastic
film, emulsion cartridges have a good degree of rigidity and resistance to
rupturing during normal handling but maintain the ability to rupture and
spread when tamped.

Drilling Methods
 Blast holes are drilled at various orientations, from vertical through
horizontal.
 To create vertical holes, which are used almost exclusively in production
blasting, rock slope excavation uses two types of drilling: down hole and
step drilling.
 Horizontal drilling is used for both production and controlled blasting
because of limited drill rig access or geometry requirements.
 Angled drilling can be performed as determined by slope face angle
requirements.

a) Down hole Drilling

 Also known as vertical or production drilling, this technique is used in
production blasting using a conventional rotary tri-cone blast hole rig or a
rotary percussion rig if smaller blast holes are adequate.
b) Step Drilling
 Step drilling is another type of vertical drilling that’s also used in production
blasting, most often to produce relatively flat and benched slopes (usually
shallower than 1:1 H:V).
 It’s similar to down hole drilling, but creates holes that gradually increase
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or decrease in depth to allow for a stepped slope "break" line shown earlier
in Figure 14.
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 (This method is technically not part of a controlled blasting operation

because it relies on back break to form the slope face.)
 If done properly, step drilling can produce a slope face that shows minimal
signs of blasting—just drill holes entering the slope face, which are
noticeable only by someone looking directly at the face.

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 On projects involving step drilling, drillers have been awarded a pay item for
tightening the drill hole pattern and using lighter, distributed loading to
avoid performing excessive blasting charges along the slope later.
 Step drilling is limited to ideal geologic conditions, such as blocky volcanic
rock, where breakage at the bottom of each blast hole is reasonably well
controlled, but it can provide good results with minimal back break.
 It has proven popular with contractors who favor the vertical drilling setup.
 In step drilling, the blast holes are loaded with more explosives (about 25%
greater charge density) at the bottom of the hole, which helps to ensure
proper fracturing along the base of the excavation.
 However, this heavier loading will also increase the amount of radial
fracturing and back break along the final slope face and create the need for
a widened catchment area.
 Step drilling should be used only when the driller and blast designer are
experienced in the practice because of the potential for excessive back
break and a ragged slope face.
 In most instances, the vertical drill holes are extended beyond the final cut
line (a practice known as sub-drilling) to ensure proper fragmentation and
achieve a more natural final cut face.

Excavation plant.
i. Tracked bulldozer
ii. Common track drill
iii. A hydraulic hammer
iv. A typical hinge or radial-style ripper
v. Tippers
vi. Dumper trucks
vii. Stone cutting saws
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viii. Hydraulic back-actor

ix. Elevators and conveyor belts
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x. Wheeled mechanical shovel

xi. Pneumatic tools and compressor
xii. Angle dozers
xiii. Scrappers
xiv. Graders
xv. Dragline
xvi. Fork lift trucks

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xvii. Hoists

Safe maintenance – Quarrying sector

Introduction to maintenance
 Maintenance can be defined as working on something to keep it in a
functioning and safe state and preserving it from failure or decline.
 The “something” could be a workplace, work equipment, or means of
transport (e.g. a ship).
a) Preventive – or proactive – maintenance is carried out to keep something
functional. This type of activity is usually planned and scheduled.
b) Corrective – or reactive – maintenance is repairing something to get it
working again.
 This is an unscheduled, unplanned task, usually associated with greater
hazards and higher risk levels.
128

 Maintenance is not the exclusive domain of fitters and mechanics.

 It is the responsibility of almost all workers in every sector and is carried
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out in almost every working environment.

 Workers’ health and safety can be affected during the maintenance process,
but also by lack of maintenance or inadequate maintenance.
 Design of equipment and the work area also has a significant impact on the
health and safety of workers performing maintenance.

Maintenance work in the quarrying industry

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 Quarrying is one of the most dangerous industries to work in: quarry

workers are twice as likely to be killed in an accident at work as
construction workers, and 13 times more likely to die at work as those in
manufacturing industries.
 The use of large earth-moving vehicles and machines, the handling of
explosives and heavy loads, ever-present airborne dust, and simply working
on dangerous sites are all aspects of quarrying that increase the risk of both
accidents and occupational diseases.
 A significant proportion of fatalities in the quarrying sector are associated
with maintenance work, the use of vehicles and fixed machinery, and falls
from height.
 Many accidents happen during maintenance work and these might affect
not only maintenance staff but also other workers on site.
 A worker at a stone crushing and screening plant was seriously injured
while carrying out corrective maintenance on a moving conveyor belt.
 The worker’s right hand was trapped in the moving belt and his right arm
was dragged between the return belt and tail drum.
 Because the worker was wearing gloves he managed to free his arm.
 However he had multiple bone fractures, tissue damage and friction burns
to his right arm.

 Quarries must be properly inspected and maintained to ensure the health

and safety of all workers on site.
 Maintenance activities at quarries range from the maintenance of
machines, equipment and vehicles to the keeping of roadways on site in
good order, attending to such matters as providing edge protection and
securing excavations.
 Quarry maintenance workers are exposed to many hazards, including
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frequent and heavy lifting, noise and vibration, and hazardous substances
such as oil, gas, hydraulic fluid, antifreeze and welding fumes.
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 They work in awkward positions and often have to use high-pressure hoses
and vessels or work on machines that are still running.
 The nature of their work means that they often have to work unsocial hours
or at weekends when normal operations stop.
 They frequently work under severe time pressure and this, of course,
increases the risk of accidents.

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 In addition, maintenance is sometimes out sourced which means that

contract workers unfamiliar with the quarry and systems of work may be
on-site.

 In all industries, maintenance is an area within which a significant number

of accidents occur. About 32% of all occupational accidents in Germany
between 1992 - 1995 happened while maintenance work was being carried
out.
 In France about 44% of all fatal accidents in 2002 were related to
maintenance work.
 The German statutory accident insurance institution for the quarrying
industry reported that between 1999 and 2003, 48% of all accidents in the
sector were related to maintenance and repair tasks.
 A quarry worker was severely injured while maintaining a stone cutter.
 The machine was running as he greased it, and his clothes became trapped
in the shaft and were wound up with great force.
 Many fatalities and serious injuries at quarries happen during the cleaning
and adjustment of machinery while it is still running or due the unexpected
start-up of equipment while it is being worked on.
 According to the German accident insurance institution 36 % of all fatal
accidents among maintenance workers are caused in this way, exacerbated
by such factors as machine operating errors, inadequate safety measures
and poor communication.

Brief presentation of risks in the sector

 The most common risks and hazards in quarries for workers involve:
Working on the faces and clearing-up operations:
 Risks around the faces are related to the instability of the face, loose
130

material falling from the face, and vehicles driving over the edge of the face
due to missing face protection, because of driver failure or technical
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problems with the vehicles.

 Risks associated with vehicle operations include overturning, collision with

other vehicles, or workers being crushed or run over by reversing vehicles,
or falling while entering or leaving the very high cabs of many vehicles used
in quarrying operations.

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 Accidents may also occur as a result of technical failures such as faulty

brakes and steering, or because of driver misjudgment.
 According to the Irish Health and Safety Authority (HSA) nearly half of all
fatal accidents in quarries involve vehicles.
 Most machinery-related accidents occur as a result of workers becoming
trapped or entangled in machinery, or falling from it during maintenance.
 According to the German statutory accident insurance organization for the
quarrying industry,
 5% of all confirmed occupational accidents in 2008 were associated with
moving conveyor belts. In the same period, stone crushers were associated
with 8.6% of all confirmed accidents in the sector
 Slips, trips and falls occur in almost all workplaces and quarries are no
exception. Quarry workers are also at risk of being struck by falling objects
such as rocks.
 Workers at quarries are exposed to hand-arm and to whole body vibration.
 The former is generated by tools such as pneumatic drills, angle grinders
and chain saws.
 Whole body vibration is caused by quarry vehicles and some fixed plant
machinery
 Risks associated with manual handling include the moving of heavy quarry
equipment, manual shoveling of earth and mud, and lifting and carrying
heavy stones.
 Dust is present at all quarries because of the work processes involved, such
as mining, cutting, drilling, breaking or crushing of stones.
 Dust containing crystalline silica can cause silicosis.
 Quarrying is a noisy industry.
 Sources of noise include stone crushers, conveyor belts, explosions and
engine noise from heavy vehicles.
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 Persistent or sudden loud noise may lead to hearing loss.

 Workers at quarries are exposed to adverse weather conditions such as
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extremes of temperature, humidity, rain and snow, and UV radiation.

 There may be specific requirements relating to the storage and use of
explosives if these are used on site.
 For example, there may be requirements for the inspection of magazines to
ensure their integrity and cleanliness.

Hazards related to the maintenance of quarry sites

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 When maintaining faces and roadways workers at quarries are exposed to

hazards such as:
a) Falling trees and other material sliding from the tailings area onto people
and machines; Noise from machinery and equipment; Dust, from activities
such as drilling, blasting, and crushing, and from vehicle operation;
b) Falling objects, such as rocks; Slips, trips and falls from height; Collision of
maintenance vehicles; Maintenance vehicles falling over unstable and
unsafe edges; uneven terrain causing unpredictable movement of vehicles;
Reversing vehicles.

Hazards related to the maintenance of mineral mining machines

 The maintenance of and repairs to rock drills, heavy earth-moving vehicles,
wheel-loaders and caterpillars, conveyor belts, stone crushers and
screening plants pose a great many hazards to the workers involved in these
tasks.
1) Workers maintaining and repairing rock drills are at risk of: Slips, trips and
falls from the rock drill when entering the machine: Being injured by the
drill rod or entangled in its mechanism;
2) The adverse effects of the noise and dust created by the drill.
3) Maintaining and repairing excavators, wheel loaders and caterpillars
exposes workers to the following hazards:
a) Falls from the vehicle;
b) Being trapped or crushed as a result of unsafe lifting devices and practices;
c) Inadvertent rolling and moving of vehicles.

 Hazards associated with the maintenance and repair of stone crushers and
other processing plants include:
132

a) Moving parts of machinery, such as the rotors of the blow bar crusher or
flywheels of the crusher
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b) Working in awkward positions;

c) Electrical hazards caused by improper insulation of electrical components;
d) Dust and noise;
e) Conveyor belts pose a great hazard to workers involved in maintenance
 Because too much production time would be lost by closing down the
machines, maintenance often has to be carried out while the belts are still
running.

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 Risks associated with the maintenance and repair of conveyor belts

include:
i. Being injured by running conveyor belts or when the belt starts up
unexpectedly;
ii. Falling from elevated belts;
iii. Dust and noise;

 Maintenance and repair work of screening equipment involves high levels

of exposure to noise and dust.
 Quarrying equipment and machines are extremely dangerous and have to
be kept in good working order at all times.
 The maintenance and servicing of machinery such as conveyor belts or
stone crushers has to be carried out by workers specifically assigned to such
work, and they must have safe means of access to maintenance operation
areas.

 Examples of how maintenance can contribute to safe working conditions

at quarries:
a) Maintenance of roads
 Where possible, long-term haul roads should have asphalt or concrete
paving and all road surfaces should be regularly maintained to ensure
vehicles can be used safely.
 Roads mustn’t be pot-holed or otherwise in bad condition and they should
also be kept free of dust by regular wetting.

b) Maintenance of edge protection and safety banks

 Many accidents at quarries happen as a result of inadequate, or lack of,
133

edge protection, safety banks or barriers.

 Road side safety banks or barriers are essential safety features at quarries.
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 They can effectively reduce the number of accidents involving quarry

vehicles.
 Safety banks deteriorate due to weathering and the traffic and they should
be regularly inspected and maintained.

c) Maintenance of vehicles - brake maintenance

 Many transport accident at quarries occur due to faulty brakes.

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 Quarry vehicles operate in extreme working environment and under

difficult conditions and this should be taken into account when setting up
the frequency of brake maintenance schedules.
 Daily checks should be carried out by the drivers and regular maintenance
of the whole of braking system should be done according to manufacturer’s
recommendations.

d) Dust control – maintenance of dust extraction equipment and air filter

systems.
 Dust poses a potential health risk to quarry workers.
 Dust is generated by drilling and sawing, by blasting and excavation
operations as well as by haulage.
 There should be control measures in place to prevent dust reaching levels
that could cause harm.
 Saws and drilling machines should have adequate dust extraction
equipment and air filtration systems.
 Regular maintenance of the systems is essential to ensure that they are
effective.

 European Directive 92/104/EC, which deals with the minimum
requirements for protecting the safety and health of workers in surface and
underground mineral-extracting industries, also sets minimum standards for
quarries.
 According to the directive, equipped, commissioned, operated and
maintained in such a way that quarry workers will be safe.
 The risks of maintenance work can be minimized or even eliminated
through good design and maintainability of the plant and machinery, the
availability of the right tools for the job and by ensuring that workers have
134

the relevant safety information for the equipment they are working on from
the supplier or manufacturer.
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 Maintenance of the plant is fundamental to the safe operation of a

quarry.
 Inspection and maintenance of the whole quarry, its plant and its electrical
equipment, must be carried out regularly by competent persons.
 Guidelines should be set out to what should be maintained and how often.

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 Adequate safety equipment must be in good working order and ready for
use at all times.
 Good maintenance management helps ensure safe maintenance work.
 A comprehensive approach to Good maintenance starts with planning.
 A maintenance plan for the quarry should be designed to include:
a) Roads Vehicles
b) Machinery guards
c) Safety devices
d) Electrical equipment
e) Pressurised systems
f) Roadways and edge protections
g) Excavations, tips and lagoons
h) Buildings
i) Barriers around the quarry
j) Any equipment used in shot-firing operations

 A risk assessment has to be carried out and its results should be included in
the plan.
 There are various guidelines for carrying out risk assessments at quarries:
a) The Safety and Health Commission for the Mining and other Extractive
Industries published a set of guidelines, as did Safe Maintenance –
Quarrying Sector
b) European Agency for Safety and Health at Work .
c) The statutory accident insurance institution for the quarrying industry in
Germany (Steinbruchs Berufsgenossenschaft)

 To be safe, workers must understand the plant environment, the safety

instructions and the hazards associated with their tasks.
135

 The maintenance plan should ensure that enough competent people are
appointed to perform each task and that they are given enough time to do
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the job safely.

 Work has to be performed safely.
 Quarries are very dangerous places and safe working procedures are
absolutely vital.
 These include: Securing the working area

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 Following safe systems of work that have been developed in the planning
stage
a) Carrying out maintenance work only when a machine has been stopped
and, where this is not possible, making sure that protective measures are
taken.
b) Installing safety signs whenever a hazard or danger cannot be avoided or
reduced in some other way.
c) Ensuring that there is safe access to and exit from all work areas.
d) The cleaning or maintaining of running machinery and the unexpected
start-up of equipment has caused many serious injuries and fatalities in
quarries
 Many of these accidents could have been prevented if the machines had
been stopped or protected against unexpected start-up.
 It has to be ensured that appropriate tools and equipment, including PPE,
are available and used.
 Heavy loads, danger of rock slides, a loud and dusty environment mean that
all workers at quarries need personal protective equipment such as head,
foot and hand protection, respirators and hearing protection.
 Maintenance workers may carry out tasks in places that are not normal
workstations.
 As a result, they may need specific equipment and appropriate tools.
 Safety helmets must be worn in areas where overhead hazards exist, or
while working with drilling, excavating or hazardous plant or equipment.
 Safety footwear with steel caps must be worn by all workers on site, and
suitable gloves should be available when heavy loads such as stone blocks
need to be handled.
 Grinding, drilling, welding or working near crushers may cause eye injuries
and eye protection must be worn.
136

 Ear protection is necessary when working with or near vehicles, quarry

machines or other quarry equipment.
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 Respiratory protection (e.g. dust mask, fume mask) is needed in areas

where workers are exposed to dust or dangerous airborne fumes or
particles, such as those in exhaust fumes.
 Use of safety harness protection when working at height may also be
necessary during quarry maintenance work.

Work as planned

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 Workers involved in maintenance must be properly informed about the task

in hand, the results of the risk assessment for that task, the ‘chain of
command’ and any procedures that will be used while the task is carried
out, including the procedure for reporting problems.
 Where maintenance at quarries is carried out by sub-contractors, this is
particularly important.
 The plan should then be followed and no worker should improvise or take
shortcuts.

Best practice for safe maintenance work:

 Establish safe work procedures, incorporating manufacturer's
recommendations, to ensure that workers are not exposed to hazards when
carrying out maintenance or repair.
 Ensure that all workers are trained in established safe work procedures and
that they follow them.
 Before beginning work, clear the area of trip and fall hazards.
 Provide safe access to all work areas.
 Lock and tag electrical equipment and secure mobile equipment before
repair work begins.
 Use appropriate fall protection where there is a danger of falling.
 Stay focused, for your own safety and for the safety of your fellow workers

Final check
 When a maintenance task has been completed, workers need to check
whether they have left the item in a safe and functioning condition.
 The functional capability of the plant, machines or equipment has to be
tested and all protective guards and mechanisms have to be reinstated.
137

 The maintenance task is finished once the work is signed out and the plant,
equipment or machine is unlocked.
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DAMS

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 A dam is a hydraulic structure of fairly impervious material built across a

river to create a reservoir on its upstream side for impounding water for
various purposes.
 A dam and a reservoir are complements of each other.
 Dams are generally constructed in the mountainous reach of the river
where the valley is narrow and the foundation is good.
 Generally, a hydropower station is also constructed at or near the dam site
to develop hydropower.
 Dams are probably the most important hydraulic structure built on the
rivers.
 These are very huge structure and require huge money, manpower and
time to construct.

A.Purposes of dam construction.

 Water supply.
 Many urban areas of the world are supplied with water abstracted from
rivers pent up behind low dams or weirs.
 Examples include London – with water from the River Thames and Chester
with water taken from the River Dee.
 Other major sources include deep upland reservoirs contained by high dams
across deep valleys such as the Claerwen series of dams and reservoirs.

 Flood control.
 Dams such as the Black water Dam of Webster, New Hampshire and the
Delta Works are created with flood control in mind.[54]

 Water diversion
138

 A typically small dam is used to divert water for irrigation, power

generation, or other uses, with usually no other function.
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 Occasionally, they are used to divert water to another drainage or reservoir

to increase flow there and improve water use in that particular area.

 Land reclamation

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 Dams (often called dykes or levees in this context) are used to prevent
ingress of water to an area that would otherwise be submerged, allowing its
reclamation for human use.

 Stabilize water flow / irrigation

 Dams are often used to control and stabilize water flow, often for agricultural
purposes and irrigation.[52]
 Others such as the Berg Strait dam can help to stabilize or restore the water
levels of inland lakes and seas, in this case the Aral Sea.[53]

 Navigation
 Dams create deep reservoirs and can also vary the flow of water
downstream.
 This can in return affect upstream and downstream navigation by altering
the river's depth.
 Deeper water increases or creates freedom of movement for water vessels.
 Large dams can serve this purpose but most often weirs and locks are used.

 Recreation and aquatic beauty

 Dams built for any of the above purposes may find themselves displaced by
time of their original uses.
 Nevertheless the local community may have come to enjoy the reservoir
for recreational and aesthetic reasons.
 Often the reservoir will be placid and surrounded by greenery, and convey
to visitors a natural sense of rest and relaxation.

 Hydro-electric power generation

 Hydroelectric power is a major source of electricity in the world.
 Many countries that have rivers with adequate water flow, that can be
139

dammed for power generation purposes.

 For example, the Itaipu Dam on the Paraná River in South America
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generates 14 GW and supplied 93% of the energy consumed by Paraguay

and 20% of that consumed by Brazil as of 2005.

B. Site Selection

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 During the feasibility studies, the preliminary site selection will be

dependent on the project purposes within the Corps’ jurisdiction.
 Purposes applicable to dam construction include navigation, flood damage
reduction, hydroelectric power generation, fish and wildlife enhancement,
water quality, water supply, and recreation.
 The feasibility study will establish the most suitable and economical
location and type of structure.
 Investigations will be performed on:
1. Hydrology
2. Meteorology
3. Relocations,
4. Foundation
5. Site geology
6. Construction materials
7. Appurtenant features,
8. Environmental considerations
9. Diversion methods.

Geological factors for dam site selection.

 Apart from the construction of the dam, selecting proper site for the dam is
very crucial
 Selecting the proper site will help carrying out construction of the strong
dam and it will also help reduce risks due to natural disasters like earth
quake.
 Here are some of the important factors to be considered while selecting the
site for the dam for hydroelectric power plants and other purposes:
140

(a) Stream narrowing or good topographical location along the path of river.
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 The topography is an important factor in the selection and location of a

concrete dam and its appurtenant structures.
 Construction as a site with a narrow canyon profile on sound bedrock close
to the surface is preferable, as this location would minimize the concrete
material requirements and the associated costs.

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 The best location along the path of the river is river canyon or at the location
where there is narrowing of the river.
 If the aim is to store maximum amount of water, then the volume of basin
above dam should be calculated so that sufficient quantity of water can be
stored in it. The perfect site is one where there is wide and flat valley.

 One of the best places for building a dam is a narrow part of a deep river
valley; the valley sides can then act as natural walls.
 The primary function of the dam's structure is to fill the gap in the natural
reservoir line left by the stream channel.
 The sites are usually those where the gap becomes a minimum for the
required storage capacity.
 The most economical arrangement is often a composite structure such as a
masonry dam flanked by earth embankments.
 The current use of the land to be flooded should be dispensable.

(b) Geological structure or Rock types of the site.

 The rock structure on which the dam will be constructed should be strong
enough to sustain the weight of dam and water stored in the dam.
 The rock structure should be able to sustain all the visible and invisible
forces.
 The rock structure should be stable and there should be least occurrence of
the earthquakes in the region.

(c) Permeability of the surrounding rock or soil site formation.

 The rock structure should not allow the seepage of water and it should be
141

waterproof.
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(d) A concrete dam requires a sound bedrock foundation.

 It is important that the bedrock have adequate shear strength and bearing
capacity to meet the necessary stability requirements.
 When the dam crosses a major fault or shear zone, special design features
(joints, monolith lengths, concrete zones, etc.) should be incorporated in
the design to accommodate the anticipated movement.

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 All special features should be designed based on analytical techniques and

testing simulating the fault movement.

(e) The criteria set forth for the spillway, powerhouse, and the other project
appurtenances will play an important role in site selection.
 The relationship and adaptability of these features to the project
alignment will need evaluation along with associated costs.

(f) Additional factors of lesser importance that need to be included for

consideration are the relocation of existing facilities and utilities that lie
within the reservoir and in the path of the dam.
 Included in these are railroads, powerlines, highways, towns, etc.
Extensive and costly relocations should be avoided.

(g) The method or scheme of diverting flows around or through the dam site
during construction is an important consideration to the economy of the
dam.
 A concrete gravity dam offers major advantages and potential cost
savings by providing the option of diversion through alternate
construction blocks, and lowers risk and delay if overtopping should
occur.

(h) Sedimentation/ silting of reservoir.

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(i) Stability of reservoir slopes and floor.

(j) Earthquake faults.
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(k) Landslides and slope stability.

(l) Water table.
(m) Peak flood flows.
(n) Environmental impacts on river fisheries, forests and wildlife.
(o) Impacts on human habitations.
(p) Compensation for land being flooded as well as population resettlement.
(q) Removal of toxic materials and buildings from the proposed reservoir

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area

Outline of the survey methods:

 Generally, a subsurface dam site is selected according to the following
procedure:
a) Interpretation of satellite images and aero-photographs.
b) Geological and topographical survey by preliminary exploration.
c) Estimate of the geological structure by geophysical surveys such as
electric soundings.
d) Verification of the geological structure by test drillings and permeability
tests.
e) Estimate of the flow mechanism of ground water by observation of
ground water level.

Geological studies:
 This is carried out to collect data regarding:
i. Geological features, folds, faults, fissures etc their nature and
extent.
ii. Water tightness of the reservoir basin
iii. Existing and potential slide area
iv. Assessment of valuable minerals in reservoir area
v. Ground water condition
vi. Seismic conditions etc.

 Borehole logging and testing should be utilized to enhance the amount

143

of information obtained from each hole drilled.

 Certain techniques work better in some environments than in others;
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thus, the following techniques listed must be utilized discriminately

according to their applicability to the site conditions.
 Borehole logging systems include caliper logs, resistivity logs, SP logs,
sonic logs, radioactive logs, etc.

Foundation Studies:

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 Foundation Investigation for earth, rock fill and masonry dams includes
investigation to determine properties of foundation soil, hidden weak
spots and shear zones etc and depth of overburden.
 Usual methods of exploration include:
i. Boreholes
ii. Excavation of open pits
iii. Tunnelling into the side of the valley
iv. Core drilling

Meteorological studies:

 On the watershed plan, normal annual isohyets (rain fall contours) location
of rain gauge stations, gauge and discharge sites and interprovincial
boundaries are supposed to be shown.
i. Assessment of rainfall in the catchments
ii. Collection and evaluation of data and frequencies of heavy rain fall
iii. Mean monthly temperature,

Hydrological Studies:
 Gauge and discharge observation, past flood, hydrographs to fix spillway
capacity, rain fall runoff correlation studies etc.
a. Loss of storage capacity by silting is a very vital issue for determining the useful
life of the reservoir.
b. Sediment observation shall be carried for 3 years for suspended load, bed load
and natural soil conditions including catchment characteristics from point of
erosion.
 Ground water investigations and permeability testing are necessary for
several reasons. These investigations provide the basis for design of any
144

dewatering systems required during construction.

 They also provide the data to evaluate the reservoir’s capability to impound
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water and to design seepage and uplift control required in the foundation
beneath the dam and in the abutments.
 These data also provide the basis for making assumptions of uplift on rock
wedges.

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C. Associated geological problems.

i. Leakage from reservoir.
ii. Reservoir siltation.
iii. Earth tremors.

CLASSIFICATION OF DAMS
1. Based on Function Served
i. Storage dams
ii. Detention dams
iii. Diversion dams
iv. Debris dams
v. Coffer dams - a temp dam constructed for facilitating construction. It is an
enclosure constructed around a site to exclude water so that the
construction can be done in dry.
2. Based on Materials of Construction
i. Masonry dam
ii. Concrete dam
iii. Earth dam
iv. Rock fill dam
v. Timber dam
vi. Steel dam
vii. Combined concrete-cum-earth dam
viii. Composite dam.
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3. Based on Rigidity
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i. Rigid dams: A rigid dam is quite stiff.

 It is constructed of stiff materials such as concrete, masonry, steel and
timber.These dams deflect and deform very little when subjected to water
pressure and other forces
ii. Non-rigid dams: A non-rigid dam is relatively less stiff compared to a rigid
dam.

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 The dams constructed of earth and rock fill are non-rigid dams. There are
relatively large settlements and deformations in a non-rigid dam.
 Rock fill dams are actually neither fully rigid nor fully non rigid.These are
sometimes classified as semi-rigid dams.

4. Based on structural action

i. Gravity dams
ii. Embankment dams
iii. Earth dams
iv. Rock fill dams
v. Arch dams
vi. Buttress dams
vii. Others
a) Steel dams
b) Timber dams
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I. Gravity dams
147

 In a gravity dam, the force that holds the dam in place against the push
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from the water is Earth's gravity pulling down on the mass of the dam. [39]
 The water presses laterally (downstream) on the dam, tending to overturn
the dam by rotating about its toe (a point at the bottom downstream side
of the dam).
 The dam's weight counteracts that force, tending to rotate the dam the
other way about its toe.

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 The designer ensures that the dam is heavy enough that the dam's weight
wins that contest. In engineering terms, that is true whenever the resultant
of the forces of gravity acting on the dam and water pressure on the dam
acts in a line that passes upstream of the toe of the dam.
 Furthermore, the designer tries to shape the dam so if one were to consider
the part of dam above any particular height to be a whole dam itself, that
dam also would be held in place by gravity. I.e. there is no tension in the
upstream face of the dam holding the top of the dam down.
 The designer does this because it is usually more practical to make a dam of
material essentially just piled up than to make the material stick together
against vertical tension.
 Note that the shape that prevents tension in the upstream face also
eliminates a balancing compression stress in the downstream face,
providing additional economy.
 For this type of dam, it is essential to have an impervious foundation with
high bearing strength. When situated on a suitable site, a gravity dam can
prove to be a better alternative to other types of dams.
 When built on a carefully studied foundation, the gravity dam probably
represents the best developed example of dam building.
 Since the fear of flood is a strong motivator in many regions, gravity dams
are being built in some instances where an arch dam would have been
more economical.
 Gravity dams are classified as "solid" or "hollow" and are generally made of
either concrete or masonry. The solid form is the more widely used of the
two, though the hollow dam is frequently more economical to construct.
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Advantages of Gravity dams

i. Gravity dams are quite strong, stable and durable.
ii. Are quite suitable across moderately wide valleys and gorges having steep
slopes where earth dams, if constructed, might slip.
iii. Can be constructed to very great heights, provided good rock foundations
are available.
iv. Are well adapted for use as an overflow spillway section. Earth dams cannot
be used as an overflow section. Even in earth dams, the overflow section is
usually a gravity dam.
149

v. Are specially suited to such areas where there is very heavy downpour. The
slopes of the earth dams might be washed away in such an area.
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vi. Maintenance cost of a gravity dam is very low.

vii. Does not fail suddenly. There is enough warning of the imminent failure and
the valuable property and human life can be saved to some extent.
viii. Can be constructed during all types of climatic conditions.
ix. Sedimentation in the reservoir on the upstream of a gravity dam can be
somewhat reduced by operation of deep-set sluices

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Disadvantages of Gravity dams

i. Gravity dams of great height can be constructed only on sound rock
foundations. These cannot be constructed on weak or permeable
foundations on which earth dams can be constructed.
ii. Initial cost of a gravity dam is usually more than that of an earth dam. At
the sites where good earth is available for construction and funds are
limited, earth dams are better.
iii. Usually take a longer time in construction than earth dams, especially when
mechanized plants for batching, mixing and transporting concrete are not
available.
iv. Require more skilled labour than that in earth dams.
v. Subsequent raising is not possible in a gravity dam

II. Embankment dams

 Embankment dams are made from compacted earth, and have two main
types, rock-fill and earth-fill dams.
 Embankment dams rely on their weight to hold back the force of water, like
gravity dams made from concrete.

a). Earth dams

 Earth-fill dams, also called earthen dams, rolled-earth dams or simply
earth dams, are constructed as a simple embankment of well compacted
earth.
 An earth dam is made of earth (or soil) and resists the forces exerted upon
it mainly due to shear strength of the soil.
 Are usually built in wide valleys having flat slopes at flanks (abutments). Can
150

be homogeneous when the height of the dam is not great.

 Are of zoned sections, with an impervious zone (called core) in the middle
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and relatively pervious zones (called shells or shoulders) enclosing the

impervious zone on both sides.
 A homogeneous rolled-earth dam is entirely constructed of one type of
material but may contain a drain layer to collect seep water.
 A zoned-earth dam has distinct parts or zones of dissimilar material,
typically a locally plentiful shell with a watertight clay core.

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 Modern zoned-earth embankments employ filter and drain zones to collect

and remove seep water and preserve the integrity of the downstream shell
zone.
 An outdated method of zoned earth dam construction utilized a hydraulic fill
to produce a watertight core.
 Rolled-earth dams may also employ a watertight facing or core in the
manner of a rock-fill dam.
 An interesting type of temporary earth dam occasionally used in high
latitudes is the frozen-core dam, in which a coolant is circulated through
pipes inside the dam to maintain a watertight region of permafrost within it.

Advantages of earth dam

i. Are usually cheaper than gravity dams if suitable earth for construction is
available near the site.
ii. Can be constructed on almost all types of foundations, provided suitable
measures of foundation treatment and seepage control are taken.
iii. Can be constructed in a relatively short period.
iv. Skilled labour is not required in construction of an earth dam.
v. Can be raised subsequently.
vi. Are aesthetically more pleasing than gravity dams.
vii. Are more earthquake-resistant than gravity dams.

Disadvantages of earth dam

i. Are not suitable for narrow gorges with steep slopes.
ii. Cannot be designed as an overflow section. A spillway has to be located
away from the dam.
iii. Cannot be constructed in regions with heavy downpour, as the slopes might
151

be washed away.
iv. Maintenance cost of an earth dam is quite high. It requires constant
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supervision.
v. Sluices cannot be provided in a high earth dam to remove slit.
vi. Fails suddenly without any sign of imminent failure. A sudden failure causes
havoc and untold miseries.

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b). Rock fill dams

 A rock fill dam is built of rock fragments and boulders of large size.
 An impervious membrane (cement concrete or asphaltic concrete or earth
152

core) is placed on the rock fill on the upstream side to reduce the seepage
through the dam.
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 A dry rubble cushion is placed between the rock fill and the membrane for
the distribution of water load and for providing a support to the membrane.
 Side slopes of rock fill are usually kept equal to the angle of repose of rock
(1.4:1 or 1.3:1).Rock fill dams are quite economical when a large quantity of
rock is easily available near the site.

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 Rock-fill dams are embankments of compacted free-draining granular earth

with an impervious zone. The earth utilized often contains a high
percentage of large particles hence the term rock-fill.
 The impervious zone may be on the upstream face and made of masonry,
concrete, plastic membrane, steel sheet piles, timber or other material. The
impervious zone may also be within the embankment in which case it is
referred to as a core.
 In the instances where clay is utilized as the impervious material the dam is
referred to as a composite dam. To prevent internal erosion of clay into the
rock fill due to seepage forces, the core is separated using a filter.
 Filters are specifically graded soil designed to prevent the migration of fine
grain soil particles.
 When suitable material is at hand, transportation is minimized leading to
cost savings during construction. Rock-fill dams are resistant to damage
from earthquakes.
 However, inadequate quality control during construction can lead to poor
compaction and sand in the embankment which can lead to liquefaction of
the rock-fill during an earthquake.
 Liquefaction potential can be reduced by keeping susceptible material from
being saturated, and by providing adequate compaction during
construction.
 A core that is growing in popularity is asphalt concrete. The majority of such
dams are built with rock and/or gravel as the main fill material.
 Almost 100 dams of this design have now been built worldwide since the
first such dam was completed in 1962. All asphalt-concrete core dams built
so far have an excellent performance record.
 The type of asphalt used is a viscous elastic-plastic material that can adjust
to the movements and deformations imposed on the embankment as a
153

whole, and to settlements in the foundation.

 The flexible properties of the asphalt make such dams especially suited in
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earthquake regions.[41]

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c) . Concrete-face rock-fill dams

 A concrete-face rock-fill dam (CFRD) is a rock-fill dam with concrete slabs on
its upstream face. This design offers the concrete slab as an impervious wall
to prevent leakage and also a structure without concern for uplift pressure.
 In addition, the CFRD design is flexible for topography, faster to construct
and less costly than earth-fill dams. The CFRD originated during the
California Gold Rush in the 1860s when miners constructed rock-fill timber-
face dams for sluice operations.
 The timber was later replaced by concrete as the design was applied to
irrigation and power schemes.
 As CFRD designs grew in height during the 1960s, the fill was compacted
and the slab's horizontal and vertical joints were replaced with improved
vertical joints.
[42]
 In the last few decades, the design has become popular.
 Currently, the tallest CFRD in the world is the 233 m (764 ft) tall Shuibuya
Dam in China which was completed in 2008.[43]

Advantages of Rock fill

i. Rock fill dams have almost the same advantages and disadvantages over
gravity dams as discussed for earth dams.
ii. Particular advantages and disadvantages over earth dams.
154

iii. Are quite inexpensive if rock fragments are easily available.

iv. Can be constructed quite rapidly.
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v. Can better withstand the shocks due to earthquake than earth dams.
vi. can be constructed even in adverse climates

 Disadvantages of Rock fill

i. Rock fill dams require more strong foundations than earth dams.
ii. Rock fill dams require heavy machines for transporting, dumping and
compacting rocks.

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III. Arch dams

 An arch dam is curved in plan, with its convexity towards the upstream side.
Transfers the water pressure and other forces mainly to the abutments by
arch action.
 Is quite suitable for narrow canyons with strong flanks which are capable of
resisting the thrust produced by the arch action. Section is triangular and is
comparatively thinner.
 May have a single curvature or double curvature in the vertical plane. Are
subjected to large stresses because of changes in temperature shrinkage of
concrete and yielding of abutments.
 In the arch dam, stability is obtained by a combination of arch and gravity
action.
 If the upstream face is vertical the entire weight of the dam must be carried
to the foundation by gravity, while the distribution of the normal
hydrostatic pressure between vertical cantilever and arch action will depend
upon the stiffness of the dam in a vertical and horizontal direction.
 When the upstream face is sloped the distribution is more complicated.
The normal component of the weight of the arch ring may be taken by the
arch action, while the normal hydrostatic pressure will be distributed as
described above.
 For this type of dam, firm reliable supports at the abutments (either
buttress or canyon side wall) are more important. The most desirable place
for an arch dam is a narrow canyon with steep side walls composed of
155

sound rock.[38]
 The safety of an arch dam is dependent on the strength of the side wall
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abutments, hence not only should the arch be well seated on the side walls
but also the character of the rock should be carefully inspected.

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 Daniel-Johnson Dam, Quebec, is a multiple-arch buttress dam.

 Two types of single-arch dams are in use, namely the constant-angle and
the constant-radius dam.
 The constant-radius type employs the same face radius at all elevations of
the dam, which means that as the channel grows narrower towards the
bottom of the dam the central angle subtended by the face of the dam
becomes smaller.
 Constant-radius dams are much less common than constant-angle dams.
 A similar type is the double-curvature or thin-shell dam.
 This method of construction minimizes the amount of concrete necessary
for construction but transmits large loads to the foundation and abutments.
 The appearance is similar to a single-arch dam but with a distinct vertical
curvature to it as well lending it the vague appearance of a concave lens as
viewed from downstream.
 The multiple-arch dam consists of a number of single-arch dams with
concrete buttresses as the supporting abutments, as for example the
Daniel-Johnson Dam, Québec, Canada.
 The multiple-arch dam does not require as many buttresses as the hollow
gravity type, but requires good rock foundation because the buttress loads
156

are heavy.
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IV. Arch-gravity dams

 The Hoover Dam is an example of an arch-gravity dam.A gravity dam can be
combined with an arch dam into an arch-gravity dam for areas with massive
amounts of water flow but less material available for a purely gravity dam.

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 The inward compression of the dam by the water reduces the lateral
(horizontal) force acting on the dam.
 Thus, the gravitation force required by the dam is lessened, i.e. the dam
does not need to be so massive. This enables thinner dams and saves
resources.

157 Page

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158 Page

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Advantages of An arch dam

i. An arch dam requires less concrete as compared to a gravity dam as the
section is thinner.
ii. Arch dams are more suited to narrow, V-shaped valley, having very steep
slopes.
iii. Uplift pressure is not an important factor in the design of an arch dam
because the arch dam has less width and the reduction in weight due to
uplift does not affect the stability.
iv. An arch dam can be constructed on a relatively less strong foundation
because a small part of load is transferred to base, whereas in a gravity dam
full load is transferred to base.

Disadvantages of An arch dam

i. An arch dam requires good rock in the flanks (abutments) to resist the
thrust. If the abutments yield, extra stresses develop which may cause
failure.
ii. The arch dam requires sophisticated formwork, more skilled labour and
richer concrete.
iii. The arch dam cannot be constructed in very cold climates because spalling
of concrete occurs due to alternate freezing and thawing.
iv. The arch dams are more prone to sabotage.
v. The speed of construction is relatively slow.

V. Buttress dams
 Buttress dams are of three types:
a) Deck type,
b) Multiple arch-type, and
159

c) Massive-head type.
 A deck type buttress dam consists of a sloping deck supported by
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buttresses.Buttresses are triangular concrete walls which transmit

the water pressure from the deck slab to the foundation.
 Buttresses are compression members.
 The deck is usually a reinforced concrete slab supported between the
buttresses, which are usually equally spaced.

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 In a multiple-arch type buttress dam the deck slab is replaced by

horizontal arches supported by buttresses. The arches are usually of
small span and made of concrete.
 In a massive-head type buttress dam, there is no deck slab.
 Instead of the deck, the upstream edges of the buttresses are flared
to form massive heads which span the distance between the
buttresses.

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Advantages of Buttress dams

i. Buttress dams require less concrete than gravity dams.
ii. Uplift/ice pressure is generally not a major factor
iii. Can be constructed on relatively weaker foundations.
iv. Power house and water treatment plants, etc. can be housed between
buttresses.
v. Vertical component of the water pressure on deck prevents the dam against
overturning and sliding failures. can be designed to accommodate
moderate movements of foundations without serious damages.
vi. Heat dissipation is better in buttress dams.
vii. Back of the deck and the foundation between buttresses are accessible for
inspection.
viii. Can be easily raised subsequently by extending buttresses and deck slabs.

Disadvantages of Buttress dams

161

i. Buttress dams require costlier formwork, reinforcement and more skilled

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labour. Consequently, the overall cost of construction may be more than

that of a gravity dam.
ii. Buttress dams are more susceptible to damage and sabotage.
iii. Buttress dams cannot be constructed in very cold climates because of
spalling of concrete.
iv. Because the upstream deck slab is thin, its deterioration may have very
serious effect on the stability.

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VI. Barrages

The Koshi Barrage

 A barrage dam is a special kind of dam which consists of a line of large gates
that can be opened or closed to control the amount of water passing the
dam.
 The gates are set between flanking piers which are responsible for
supporting the water load, and are often used to control and stabilize water
flow for irrigation systems.
 Barrages that are built at the mouth of rivers or lagoons to prevent tidal
incursions or utilize the tidal flow for tidal power are known as tidal
barrages.[40]

Classification of dams based on size

 International standards (including International Commission on Large Dams,
162

ICOLD) define large dams as higher than 15 meters and major dams as over
150 meters in height.[44]
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 The Report of the World Commission on Dams also includes in the large
category, dams, such as barrages, which are between 5 and 15 meters high
with a reservoir capacity of more than 3 million cubic meters.[40]
 The tallest dam in the world is the 300-meter-high Nurek Dam in Tajikistan.
[45]

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Classification of dams based on use

a)Saddle dam
 A saddle dam is an auxiliary dam constructed to confine the reservoir
created by a primary dam either to permit a higher water elevation and
storage or to limit the extent of a reservoir for increased efficiency.
 An auxiliary dam is constructed in a low spot or saddle through which the
reservoir would otherwise escape.
 On occasion, a reservoir is contained by a similar structure called a dike to
prevent inundation of nearby land.
 Dikes are commonly used for reclamation of arable land from a shallow
lake.
 This is similar to a levee, which is a wall or embankment built along a river
or stream to protect adjacent land from flooding.

b)Weir
 A weir (also sometimes called an overflow dam) is a type of small overflow
dam that is often used within a river channel to create an impoundment
lake for water abstraction purposes and which can also be used for flow
measurement or retardation.

c) Check dam
 A check dam is a small dam designed to reduce flow velocity and control
163

soil erosion. Conversely, a wing dam is a structure that only partly restricts a
waterway, creating a faster channel that resists the accumulation of
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sediment.

d)Dry dam
 A dry dam also known as a flood retarding structure, is a dam designed to
control flooding.

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 It normally holds back no water and allows the channel to flow freely,
except during periods of intense flow that would otherwise cause flooding
downstream.

e)Diversionary dam
 A diversionary dam is a structure designed to divert all or a portion of the
flow of a river from its natural course.
 The water may be redirected into a canal or tunnel for irrigation and/or
hydroelectric power production.

f) Underground dam
 Underground dams are used to trap groundwater and store all or most of it
below the surface for extended use in a localized area.
 In some cases they are also built to prevent saltwater from intruding into a
freshwater aquifer.
 Underground dams are typically constructed in areas where water
resources are minimal and need to be efficiently stored, such as in deserts
and on islands like the Fukuzato Dam in Okinawa, Japan.
 They are most common in northeastern Africa and the arid areas of Brazil
while also being used in the southwestern United States, Mexico, India,
Germany, Italy, Greece, France and Japan.[46]
 There are two types of underground dams: a sub-surface and a sand-
storage dam.
 A sub-surface dam is built across an aquifer or drainage route from an
impervious layer (such as solid bedrock) up to just below the surface.
 They can be constructed of a variety of materials to include bricks, stones,
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concrete, steel or PVC.

 Once built, the water stored behind the dam raises the water table and is
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then extracted with wells.

 A sand-storage dam is a weir built in stages across a stream or wadi. It must
be strong as floods will wash over its crest.
 Over time sand accumulates in layers behind the dam which helps store
water and most importantly, prevent evaporation.
 The stored water can be extracted with a well, through the dam body, or by
means of a drain pipe.[47]

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g) Tailings dam
 A tailings dam is typically an earth-fill embankment dam used to store
tailings — which are produced during mining operations after separating
the valuable fraction from the uneconomic fraction of an ore.
 Conventional water retention dams can serve this purpose but due to cost,
a tailings dam is more viable.
 Unlike water retention dams, a tailings dam is raised in succession
throughout the life of the particular mine.
 Typically, a base or starter dam is constructed and as it fills with a mixture of
tailings and water, it is raised. Material used to raise the dam can include
the tailings (depending on their size) along with dirt.[48]
 There are three raised tailings dam designs, the upstream, downstream and
centerline, named according to the movement of the crest during raising.
 The specific design used it dependent upon topography, geology, climate,
the type of tailings and cost.
 An upstream tailings dam consists of trapezoidal embankments being
constructed on top but toe to crest of another, moving the crest further
upstream.
 This creates a relatively flat downstream side and a jagged upstream side
which is supported by tailings slurry in the impoundment.
 The downstream design refers to the successive raising of the embankment
that positions the fill and crest further downstream.
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 A center lined dam has sequential embankment dams constructed directly

on top of another while fill is placed on the downstream side for support
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and slurry supports the upstream side.[49][50]

 Because tailings dams often store toxic chemicals from the mining process,
they have an impervious liner to prevent seepage.
 Water/slurry levels in the tailings pond must be managed for stability and
environmental purposes as well.[50]

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Classification of dams based on material

a)Steel dams

Red Ridge steel dam, built 1905, Michigan.

 A steel dam is a type of dam briefly experimented with in around the start of
the 20th century which uses steel plating (at an angle) and load bearing
beams as the structure.
 Intended as permanent structures, steel dams were an (arguably failed)
experiment to determine if a construction technique could be devised that
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was cheaper than masonry, concrete or earthworks, but sturdier than timber
crib dams.
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b)Timber dams

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A timber crib dam in Michigan, photographed in 1978.

 Timber dams were widely used in the early part of the industrial revolution
and in frontier areas due to ease and speed of construction.
 Rarely built in modern times because of relatively short lifespan and limited
height to which they can be built, timber dams must be kept constantly wet
in order to maintain their water retention properties and limit deterioration
by rot, similar to a barrel.
 The locations where timber dams are most economical to build are those
where timber is plentiful, cement is costly or difficult to transport, and
either a low head diversion dam is required or longevity is not an issue.
 Timber dams were once numerous, especially in the North American west,
but most have failed, been hidden under earth embankments or been
replaced with entirely new structures.
 Two common variations of timber dams were the crib and the plank.
 Timber crib dams were erected of heavy timbers or dressed logs in the
manner of a log house and the interior filled with earth or rubble.
 The heavy crib structure supported the dam's face and the weight of the
water.
 Splash dams were timber crib dams used to help float logs downstream in
the late 19th and early 20th centuries.
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 Timber plank dams were more elegant structures that employed a variety
of construction methods utilizing heavy timbers to support a water
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retaining arrangement of planks.

Other types
a)Cofferdams

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A cofferdam during the construction of locks at the Montgomery Point

Lock and Dam.

 A cofferdam is a barrier, usually temporary, constructed to exclude water

from an area that is normally submerged.
 Made commonly of wood, concrete or steel sheet piling, cofferdams are
used to allow construction on the foundation of permanent dams, bridges,
and similar structures.
 When the project is completed, the cofferdam may be demolished or
removed.
 Common uses for cofferdams include construction and repair of off shore
oil platforms.
 In such cases the cofferdam is fabricated from sheet steel and welded into
place under water.
 Air is pumped into the space, displacing the water and allowing a dry work
environment below the surface.
 Upon completion the cofferdam is usually deconstructed unless the area
requires continuous maintenance.

b)Natural dams
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 Dams can also be created by natural geological forces.

 Volcanic dams are formed when lava flows, often basaltic, intercept the
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path of a stream or lake outlet, resulting in the creation of a natural

impoundment.
 An example would be the eruptions of the Uinkaret volcanic field about 1.8
million–10,000 years ago, which created lava dams on the Colorado River in
northern Arizona in the United States.
 The largest such lake grew to about 800 kilometres (500 mi) in length
before the failure of its dam.

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 Glacial activity can also form natural dams, such as the damming of the
Clark Fork in Montana by the Cordilleran Ice Sheet, which formed the
7,780 km2 (3,000 sq mi) Glacial Lake Missoula near the end of the last Ice
Age.
 Moraine deposits left behind by glaciers can also dam rivers to form lakes,
such as at Flathead Lake, also in Montana (see Moraine-dammed lake).
 Natural disasters such as earthquakes and landslides frequently create
landslide dams in mountainous regions with unstable local geology.
 Historical examples include the Usoi Dam in Tajikistan, which blocks the
Murghab River to create Sarez Lake. At 560 m (1,840 ft) high, it is the tallest
dam in the world, including both natural and man-made dams.
 A more recent example would be the creation of Attabad Lake by a
landslide on Pakistan's Hunza River.
 Natural dams often pose significant hazards to human settlements and
infrastructure.
 The resulting lakes often flood inhabited areas, while a catastrophic failure
of the dam could cause even greater damage, such as the failure of western
Wyoming's Gros Ventre landslide dam in 1927, which wiped out the town of
Kelly and resulted in the deaths of six people.

c) Hydroelectric Power Plant Dams

 As of 2005, hydroelectric power, mostly from dams, supplies some 19% of
the world's electricity, and over 63% of renewable energy.[51]
 Much of this is generated by large dams, although China uses small scale
hydro generation on a wide scale and is responsible for about 50% of world
use of this type of power.[51]
 Most hydroelectric power comes from the potential energy of dammed
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water driving a water turbine and generator; to boost the power generation
capabilities of a dam, the water may be run through a large pipe called a
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penstock before the turbine.

 A variant on this simple model uses pumped storage hydroelectricity to
produce electricity to match periods of high and low demand, by moving
water between reservoirs at different elevations.
 At times of low electrical demand, excess generation capacity is used to
pump water into the higher reservoir.

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 When there is higher demand, water is released back into the lower
reservoir through a turbine.
 The dam or water reservoir is a crucial part of the hydroelectric power
plants.
 Water stored in the dams is used for generating electricity in hydroelectric
power plants.
 The dam also called as water reservoir is the most important part of the
hydroelectric power plants.
 All the water that is used for generation of electricity in the hydroelectric
power plants is stored in the dam.
 Since huge quantities of water are stored in the dam, it is very important that
the bed and walls of the dam should be able to sustain all the hydraulic
pressures of water.
 Water has mass and large quantities of water have huge weight which is
exerted on the bed and the walls of the dam.
 If the walls of the dam are not strong enough to sustain the forces of water,
the walls will break and water will spread to the surrounding areas
producing devastating floods that have potential to cause large scale
destruction of human, animal and plant life.
 Large hydroelectric dams are among the most controversial of all types of
development projects.
 They have been the focus of much criticism of the World Bank and other
international financing agencies.
 The “large dams” debate is often highly polarized. Critics of large
hydroelectric projects point to a wide range of negative environmental and
related social impacts, from the destruction of unique biodiversity to the
displacement of vulnerable human populations.
 Defenders of large dams note that they are often the economically least-
cost source of electric power available, especially to large urban centers;
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they are a renewable electricity source; and most other power generation
technologies also imply significant adverse environmental impacts.
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 Worldwide, many countries rely upon hydropower for a substantial portion

of their electricity.
 In developing countries, rapid urbanization and continued population
growth will ensure increased demand for electric power for decades to
come, even with the most successful of demand management and energy
efficiency measures.

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 Electricity remains a key ingredient for improving the lives of millions of

poor people throughout the developing world.
 Energy planners in many countries are likely to continue seeing
hydroelectric dams as a promising, renewable source of electricity.

Hydroelectric dam in cross section.

d)Spillways
 A spillway is a section of a dam designed to pass water from the upstream
side of a dam to the downstream side.
 Many spillways have floodgates designed to control the flow through the
spillway.
 Types of spillway include: A service spillway or primary spillway passes
normal flow.
 An auxiliary spillway releases flow in excess of the capacity of the service
spillway.
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 An emergency spillway is designed for extreme conditions, such as a

serious malfunction of the service spillway.
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 A fuse plug spillway is a low embankment designed to be over topped and

washed away in the event of a large flood.
 The elements of a fuse plug are independent free-standing blocks, set side
by side which work without any remote control.
 They allow increasing the normal pool of the dam without compromising
the security of the dam because they are designed to be gradually
evacuated for exceptional events.

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 They work as fixed weir at times by allowing over-flow for common floods.
 The spillway can be gradually eroded by water flow, including cavitation or
turbulence of the water flowing over the spillway, leading to its failure.
 It was the inadequate design of the spillway which led to the 1889 over-
topping of the South Fork Dam in Johnstown, Pennsylvania, resulting in the
infamous Johnstown Flood (the "great flood of 1889").
 Erosion rates are often monitored, and the risk is ordinarily minimized, by
shaping the downstream face of the spillway into a curve that minimizes
turbulent flow, such as an ogee curve.

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Spillway on Llyn Brianne dam, Wales, soon after first fill.

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D.Associated geological problems.

a) Leakage from reservoir.
b) Reservoir siltation.
c) Earth tremors.

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Adverse Environmental Impacts of

dams
 The range of adverse environmental and related social impacts that can
result from hydroelectric dams is remarkably diverse.
 While some impacts occur only during construction, the most important
impacts usually are due to the long-term existence and operation of the dam
and reservoir.
 Other significant impacts can result from complementary civil works such
as access roads, power transmission lines, and quarries and borrow pits.

1) Flooding of Natural Habitats

 Some reservoirs permanently flood extensive natural habitats, with local and
even global extinctions of animal and plant species.
 Very large hydroelectric reservoirs in the tropics are especially likely to
cause species extinctions (although such losses are only infrequently
documented due to the lack of scientific data).
 Particularly hard-hit are riverine forests and other riparian ecosystems,
which naturally occur only along rivers and streams.
 From a biodiversity conservation standpoint, the terrestrial natural habitats
lost to flooding are usually much more valuable than the aquatic habitats
created by the reservoir.
 One occasional exception to this rule is that shallow reservoirs in dry zones
can provide a permanent oasis, sometimes important for migratory
waterfowl and other terrestrial and aquatic fauna.
 To offset the loss of natural habitats to reservoir flooding or other project
components (such as borrow pits), one or more compensatory protected
areas can be established and managed under the project.
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 If an existing area is protected “on paper” only, a useful project option is to

strengthen it on the- ground protection and management.
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 The area protected under the project should ideally be of comparable or

greater size and ecological quality to the natural area lost to the project.
 Under the World Bank’s Natural Habitats Policy, hydroelectric and other
projects should not be sited where they would cause the significant
conversion or degradation of critical natural habitats that do not occur
elsewhere (and, hence, cannot be adequately compensated).

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2) Loss of Terrestrial Wildlife

 The loss of terrestrial wildlife to drowning during reservoir filling is an
inherent consequence of the flooding of terrestrial natural habitats, although
often treated as a separate impact.
 Although they may be useful for public relations purposes, wildlife rescue
efforts rarely succeed in restoring wild populations.
 Instead of drowning, the captured and relocated animals typically starve, are
killed by competitors or predators, or fail to reproduce successfully, due to
the limited carrying capacity of their new habitats.
 Wildlife rescue is most likely to be justified on conservation grounds if:
(a) The species rescued are globally threatened with extinction and
(b) the relocation habitat is ecologically suitable and effectively protected.
 However, the money spent on rescue would usually do much more for
wildlife conservation if it were invested in compensatory protected areas.
 The most effective way to minimize wildlife mortality in hydroelectric
projects is to choose dam sites which minimize the wildlife habitat flooded.

3) Involuntary Displacement
 Involuntary displacement of people is often the main adverse social impact
of hydroelectric projects. It can also have important environmental
implications, such as with the conversion of natural habitats to accommodate
resettled rural populations.
 For physical displacement, the main mitigation measure is the resettlement
of displaced populations, including new housing, replacement lands, and
other material assistance, as needed.
 Success usually requires consultation and participatory decision making by
both the resettled and host populations (mandatory for World Bank–
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supported resettlement).
 Effective resettlement of vulnerable ethnic minorities is particularly
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challenging because some of these people are highly vulnerable to adverse

social changes.
 Accordingly, the World Bank’s Involuntary Resettlement and Indigenous
Peoples policies afford special consideration to these populations, specifying
that, among other requirements, all viable alternative project designs should
be explored before considering physical displacement for these groups.
 For people who are not physically displaced but suffer an economic loss of
livelihoods (based on fisheries, agricultural or grazing lands, river-edge clay

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for brick and tile production, or other resources), mitigation measures should
involve the provision of replacement resources, new job training, or other
income restoration assistance, as needed.
4) Deterioration of Water Quality
 The damming of rivers can cause serious water quality deterioration, due to
the reduced oxygenation and dilution of pollutants by relatively stagnant
reservoirs (compared to fast-flowing rivers), flooding of biomass (especially
forests) and resulting underwater decay, and/or reservoir stratification
(where deeper lake waters lack oxygen).
 Water pollution control measures (such as sewage treatment plants or
enforcement of industrial regulations) may be needed to improve reservoir
water quality.
 Where poor water quality would result from the decay of flooded biomass,
selective forest clearing within the impoundment area should be completed
before reservoir filling.

5) Down river Hydrological Changes

 Major downriver hydrological changes can destroy riparian ecosystems
dependent on periodic natural flooding, exacerbate water pollution during
low flow periods, and increase saltwater intrusion near river mouths.
 Reduced sediment and nutrient loads down river of dams can increase river-
edge and coastal erosion and damage the biological and economic
productivity of rivers and estuaries.
 Induced desiccation of rivers below dams (when the water is diverted to
another portion of the river or to a different river) kills fish and other fauna
and flora dependent on the river; it can also damage agriculture and human
water supplies.
 These adverse impacts can be minimized through careful management of
water releases.
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 Objectives to consider in optimizing water releases from the turbines and

spillways include adequate down river water supply for riparian ecosystems,
reservoir and down river fish survival, reservoir and down river water
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quality, aquatic weed and disease vector control, irrigation and other human
uses of water, downriver flood protection, recreation (such as whitewater
boating), and, of course, power generation.
 From an ecological standpoint, the ideal water release pattern would usually
closely mimic the natural flooding regime (although this may not be feasible
for densely settled floodplains where flood protection is a high priority).

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 Dams that generate base load electricity are typically more capable of
replicating near-natural down river flows than those that produce peaking
power (where daily water releases may fluctuate sharply, often to the
detriment of aquatic organisms that are adapted to less frequent flow
changes).
 Environmental management plans for hydroelectric projects should specify
environmental water releases, including for dams owned or operated by the
private sector.

6) Water-Related Diseases
 Some infectious diseases can spread around hydroelectric reservoirs,
particularly in warm climates and densely populated areas.
 Some diseases (such as malaria and schistosomiasis) are borne by water-
dependent disease vectors (mosquitoes and aquatic snails); others (such as
dysentery, cholera, and hepatitis A) are spread by contaminated water, which
frequently becomes worse in stagnant reservoirs than it was in fast-flowing
rivers.
 Corresponding public health measures should include preventive measures
(such as awareness campaigns and window screens), monitoring of vectors
and disease outbreaks, vector control, and clinical treatment of disease cases,
as needed.
 Control of floating aquatic weeds (see below) near populated areas can
reduce mosquito-borne disease risks.

7) Fish and Other Aquatic Life

 Hydroelectric projects often have major effects on fish and other aquatic life.
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 Reservoirs positively affect certain fish species (and fisheries) by increasing

the area of available aquatic habitat.
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 However, the net impacts are often negative because :

a) the dam blocks up river fish migrations, while down river passage through
turbines or over spillways is often unsuccessful;
b) many river adapted fish and other aquatic species cannot survive in artificial
lakes;
c) Changes in downriver flow patterns adversely affect many species, and

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d) Water quality deterioration in or below reservoirs (usually low oxygen

levels; sometimes gas super-saturation) kills fish and damages aquatic
habitats.
 Fresh water molluscs, crustaceans, and other benthic organisms are even
more sensitive to these changes than most fish species, due to their limited
mobility.
 Management of water releases may be needed for the survival of certain
fish species, in and below the reservoir.
 Fish passage facilities (fish ladders, elevators, or trap-and-truck operations)
are intended to help migratory fish move upriver past a dam; they are usually
of limited effectiveness for various reasons (including the difficulty of
ensuring safe downriver passage for many adults and fry).
 Fish hatcheries can be useful for maintaining populations of native species
which can survive but not successfully reproduce within the reservoir.
 They are also often used for stocking the reservoir with economically
desired species, although introducing non-native fish is often devastating to
native species and not ecologically desirable.
 Fishing regulation is often essential to maintain viable populations of
commercially valuable species, especially in the waters immediately below a
dam where migratory fish species concentrate in high numbers and are
unnaturally easy to catch.

8) Floating Aquatic Vegetation

 Floating aquatic vegetation can rapidly proliferate in eutrophic reservoirs,
causing problems such as:
a) degraded habitat for most species of fish and other aquatic life,
b) improved breeding grounds for mosquitoes and other nuisance species
and disease vectors,
c) impeded navigation and swimming,
d) Clogging of electro-mechanical equipment at dams, and (e) increased
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water loss from some reservoirs.

 Pollution control and pre-impoundment selective forest clearing will make
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reservoirs less conducive to aquatic weed growth.

 Physical removal or containment of floating aquatic weeds is effective but
imposes a high and recurrent expense for large reservoirs.
 Where compatible with other objectives (power generation, fish survival,
etc.), occasional drawdown of reservoir water levels may be used to kill
aquatic weeds.

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 Chemical poisoning of weeds or related insect pests requires much

environmental caution and is usually best avoided.

9) Loss of Cultural Property

 Cultural property, including archaeological, historical, paleontological, and
religious sites and objects, can be inundated by reservoirs or destroyed by
associated quarries, borrow pits, roads, or other works.
 Structures and objects of cultural interest should undergo salvage wherever
feasible through scientific inventory, careful physical relocation, and
documentation and storage in museums or other appropriate facilities.
 However, it is often not possible to replace the loss of, or damage to, unique
or sacred sites which may have great religious or ceremonial significance to
indigenous or other local people.

10) Reservoir Sedimentation

 Over time, live storage and power generation are reduced by reservoir
sedimentation, such that much of some projects’ hydroelectric energy might
not be renewable over the long term.
 If effectively implemented, watershed management can minimize
sedimentation and extend a reservoir’s useful physical life, through the
control of road construction, mining, agriculture, and other land use in the
upper catchment area.
 Protected areas are sometimes established in upper catchments to reduce
sediment flows into reservoirs, as with the Fortuna Dam in Panama and the
proposed Rio Amoya (Colombia) and Nam Theun II (Laos) projects.
 Aside from water shed management, other sediment management
techniques for hydroelectric reservoirs may at times be physically and
economically feasible; they include, among others, upstream check
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structures, protecting dam outlets, reservoir flushing, mechanical removal,

and increasing the dam’s height.
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11)Greenhouse Gases
 Greenhouse gases (carbon dioxide and methane) are released into the
atmosphere from reservoirs that flood forests and other biomass, either
slowly (as flooded organic matter decomposes) or rapidly (if the forest is cut
and burned before reservoir filling).
 Greenhouse gases are widely considered to be the main cause of human-
induced global climate change.

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 Many hydroelectric reservoirs flood relatively little forest or other biomass.

Moreover, most hydro projects generate sufficient electricity to more than
offset the greenhouse gases which would otherwise have been produced by
burning fossil fuels (natural gas, fuel oil, or coal) in power plants.
 However, some projects which flood extensive forest areas, such as the
Balbina Dam in Amazonian Brazil, appear to emit greenhouse gases in
greater amounts than would be produced by burning natural gas for many
years of comparable electricity generation.
 Greenhouse gas releases from reservoirs can be reduced by a thorough
salvage of commercial timber and fuel wood, although frequently this does
not happen because of:
a) High extraction and transportation costs,
b) Marketing constraints, or
c) Political and economic pressures not to delay reservoir filling.
 The surest way to minimize greenhouse gas releases from reservoirs is to
choose dam sites that minimize the flooding of land in general and forests
in particular.

12) Access Roads

 New access roads to hydroelectric dams can induce major land use changes
— particularly deforestation—with resulting loss of biodiversity, accelerated
erosion, and other environmental problems.
 In some projects (such as Arun II in Nepal), the environmental impacts of
access roads can greatly exceed those of the reservoir.
 The siting of any new access roads should be in the environmentally and
socially least damaging corridors.
 Forests and other environmentally sensitive areas along the chosen road
corridor should receive legal and on-the-ground protection.
 Road engineering should ensure proper drainage, to protect waterways and
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minimize erosion.
 Environmental rules for contractors (including penalties for
noncompliance) should cover construction camp siting, gravel extraction,
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waste disposal, avoiding water pollution, worker behavior (such as no

hunting), and other construction practices.

13) Power Transmission Lines

 Power transmission line rights-of-way often reduce and fragment forests;
indirectly, they occasionally facilitate further deforestation by improving
physical access.

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 Large birds are sometimes killed in collisions with power lines, or by

electrocution.
 Power lines can also be aesthetically objectionable.
 Power lines should be sited to minimize these concerns and built using good
environmental practices (as with roads).
 In areas with concentrations of vulnerable bird species, the top (grounding)
wire should be made more visible with plastic devices.
 Electrocution (mainly of large birds of prey) should be avoided through bird-
friendly tower design and proper spacing of conducting wires.

14) Quarries and Borrow Pits

 Quarries and borrow pits are used to provide material for construction of the
dam and complementary works.
 They can considerably increase the area of natural habitats or agricultural
lands that are lost to a hydroelectric project.
 To the greatest extent feasible, quarries and borrow pits should be sited
within the future inundation zone.
 Where this is not feasible, the pits should be rehabilitated after use, ideally
for conservation purposes such as wetland habitats.

15) Associated Development Projects

 Hydroelectric dams often make possible new development projects with
major environmental impacts, including irrigation, urban expansion, and
industrial facilities (due to new water supplies).
 New development projects should be planned to minimize adverse
environmental and social impacts.
 Environmental impact assessment studies should be carried out in the early
stages of project planning; the resulting environmental mitigation plans
should be fully implemented.
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16) Additional Dams

 The construction of the first dam on a river can make the subsequent
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construction of additional dams more economical, because flow regulation

by the upriver dam can enhance power generation at the downriver dam(s).
 The environmental impact assessment study for the first dam on any river
should include a cumulative environmental assessment of the likely
impacts of proposed additional dams on the same river system.

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 Implementation of mitigation measures for cumulative (rather than dam-

specific) impacts should be completed or well underway prior to
construction of the second dam on the river.

The main problems caused by Dams

1. Water-Logging, Land Salinity and Infertility

 The introduction of surface irrigation from canals and tanks has resulted in
the rise in the groundwater-table, continuous rise in water-logging and land
salinization.
 Irrigation water unlike rainwater contains considerable amount of salt in
the solution.
 Salts like potassium sulphate or nitrates can be of direct benefit to plants,
others such as calcium sulphate can contribute to improve the soil
structure. On the other hand, salts such as sodium chloride, or compounds
containing boron may have detrimental effects on the soil or the plant.
 Water-logging is caused when the salt of the soil comes up to the surface
due to the rise of sub-soil water-level.
 Dams built for irrigation purposes bring water-logging in two ways.

a) Firstly, canals intersect drainage lines and thus cause rain or flood water to
be held up and
b) Secondly, reservoirs and canals cause their own water to seep until water
reaches the root zone level.

 If the sub-soil outflow is not enough to balance the inflow, the root zone
181

level rises, and all the salt of the soil comes to the surface and makes the
land unfit for the cultivation.
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 In Surat and adjacent areas of Gujarat before the introduction of irrigation

(Kakrapar Project in 1959 and Ukai Project in 1972) water table was
between 6 to 9 metres from the ground level P x 2.
 In 1987-88, the water table had come within 0 to 3 metres. Soil salinity has
also increased; pH value has increased from 7.9 to 8.9.

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 Kheda and surrounding area of Gujarat has been brought under canal
irrigation, since 1959 through the pick-up weir at Kanakbori, supplemented
in 1976 by construction of Kadna reservoir on Mahi River.
 The use of water under inadequate drainage has led to rapid rise in the
water table.
 In the beginning, many major dams were built for providing irrigation,
which made possible considerable increase in crop production.
 But after two or three decades, this irrigation policy started showing its
adverse effects.
 In Hoshanga bad district of Madhya Pradesh due to the Tawa irrigation
project, a large amount of good cultivated land has been affected by salinity
and became infertile.
 This area was rich in wheat production and now cannot even produce
millets.
 Some conscious farmers of this area have started a "Mitti Bachao" (save the
soil) movement.
 In several other places in India, particularly in Punjab and Haryana, the soil
has become waterlogged and saline.
 Some of the lands become totally unfit for cultivation.
 In many places land has become so infertile that it cannot produce even the
crop, which was being produced before the introduction of irrigation.
 In Punjab in one year (1942-43), more than 280,000 hectares of land
became useless as a result of salt accumulation and water logging.
 In Sonipat, Rohtak, Jind and Gurgaon districts of Haryana, Gram and Bajra
are disappearing and cultivation of wheat, sugarcane and Jowar is becoming
difficult because of water logging.
 Water logging may become serious where river irrigation is practised as a
result of percolation of water from a dense network of rivers and canals.
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 In Uttar Pradesh and Punjab due to water seepage and in the case of Karz-
kum canal in Russia, about 43 per cent water gets lost through seepage and
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converts large areas unfit for cultivation.

 According to a soil survey report in Egypt, about 50 per cent of irrigated
land has deteriorated to the extent that they are low, medium or poor soils.
 Many of the developing countries are suffering from water logging and
salinization of land.
 In the name of development, more and more irrigation projects are coming
up and making agricultural land infertile.

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 Excessive irrigation does not leave land even that much productive as
before irrigation.
 For a short period, irrigation increases production remarkably and then it
makes land worse off. Generally, developing countries face this problem as
water management is not proper.

2. Health Hazards

 Large dams have serious health hazards to human beings.

 There is a steep increase in diseases like schistosomiasis (a debilitating
intestinal and urinary disease caused by the larvae of a blood fluke),
cerebral and spinal meningitis, pneumonia, measles, and malaria.
 These diseases emerge because of continuous standing water in the
command area of the dam region.
 In the case of the Aswan dam in Egypt, schistosomiasis is prevalent among a
large population.
 According to a study conducted between the Aswan dam and Cairo city,
schistosomiasis has increased from five per cent in 1930 to 35 per cent in
1972.
 The Kano river project in Nigeria was supposed to improve health through
provision of clinics.
 But in reality, very limited clinics were provided and that too at
inconvenient locations.
 On the contrary, there has been a dramatic increase in several waterborne
diseases.
 While building dams, this aspect remains totally neglected and safety and
precautions are not taken into account
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3. Silt Deprivation (Siltation)

 After construction of dams, silt, which is brought by the rivers, gathers in

the reservoirs.
 This silt makes alluvial plains fertile along the rivers.

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 Now, because of the construction of dams, this fertilizing effect has

disappeared.
 On the contrary, siltation causes riverbed degradation and coastal erosion.
 The dam holds up the silt and releases only clear water.
 Siltation reduces the life of reservoirs, and once reservoirs are filled up with
sediment, they cannot be of much use further.
 The life span of reservoirs has frequently proven much shorter than
planned, particularly when precautions are not taken to protect the
catchment area.
 The cutting of trees and destruction of natural vegetation on mountain
slopes increase the rate of erosion and result in siltation of rivers, reservoirs
and irrigation canals.
 The life expectancy of the Bhakara dam initially estimated to be 88 years is
now expected to be 47 years and Hirakud dam from 110 years to 35 years,
because of the high rate of siltation.
 The life of Mangala dam in Pakistan was estimated to be 100 years. Its
present expectancy is 50 years.
 The Ksob dam in Algeria became first partially and now has been rendered
completely useless within 10 years.
 In South Africa, reservoirs are filled up with sediments within 15 years.
 In Philippines, the expected life of Ambuklao dam has reduced from 60
years to only 32 years, due to the increased erosion, which is leading to
massive silting of the reservoir.
 The flood silt helps the delta shores to resist well against sea waves and
currents.
 After construction of dams, silt, which forms a natural defence, does get
eroded. Silt deposition at the mouth of the river provides food to the fish.
When siltation does not take place, fish stop coming towards the seashore
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and the fish industry suffers.

 Thus, majority of experiences show that siltation causes many natural
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hazards.
 The life expectancy of reservoirs also causes environmental imbalance such
as delta, erosion, river bed erosion and non-availability of food for fish for
want of suitable vegetation in the offshore region.

4. Erratic Mud

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 To make a meaningful economic forecast for a planned dam, it is necessary

to be able to predict its sedimentation rate with reasonable accuracy.
 However, it is extremely difficult to estimate how much sediment will be
trapped by a reservoir.
 Collecting data on sediment discharge is even more expensive and difficult
than gathering stream flow data, and so there is little reliable information
available on the sediment carried by the world’s rivers.
 Sediment flows vary widely both annually and seasonally over time – far
more than water flows – and so calculating an annual average needs a long
run of data.
 According to Mahmood, dam planners should ideally have sediment
statistics going back over a period equal to at least half the projected life of
the dam.
 Such records, however, are available only in exceptional cases.
 As with river flows, the variability of sediment yield is greatest in arid and
semi–arid climates – where the data tends to be sparsest.
 The amount of sediment carried into a reservoir is at its highest during
floods: in the US, for example, commonly half of a river’s annual sediment
load may be transported during only 5 to 10 days flow.
 During and after a particularly violent storm a river may carry as much
sediment as it would in several "normal" years.
 Mud slides caused by earthquakes and volcanoes can also have a dramatic
and unpredictable effect on reservoir sedimentation.
 Global warming, which is predicted to cause more intense storms, will
likely increase both the unpredictability and rate of reservoir
sedimentation.
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 Top Issues Facing the Dam Community

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1. Failure Risk
2. Increasing Hazard
3. Funding
4. Regulation
5. Emergency Preparedness
6. Public Awareness

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1. Risk of Failure

 Driving every other issue and all activities within the dam safety community
is the risk of dam failure.
 Although the majority of dams in the U.S. have responsible owners and are
properly maintained, still many dams fail every year.
 From 2005 to 2009, the States reported 132 dam failures. A life was recently
lost in New Hampshire as a result of a dam failure.
 In 2006, seven people were killed in Hawaii when a deficient dam broke.
Dam and downstream repair costs resulting from failures in 23 states
reporting in one recent year totaled $54.3 million.
 Dam failures are most likely to happen for one of five reasons:

i. Overtopping caused by water spilling over the top of a dam

ii. Structural failure of materials used in dam construction
iii. Cracking caused by movements like the natural settling of a dam
iv. Inadequate maintenance and upkeep
v. Piping—when seepage through a dam is not properly filtered and soil
particles continue to progress and form sink holes in the dam

 Historically, dams that failed had some deficiency, as characterized above,

which caused the failure.
 These dams are typically termed "unsafe." Currently, there are about 4,400
"unsafe" dams in the U.S.
 There are unsafe dams in almost every state.
 A majority of states and federal agencies define an "unsafe" dam as one
that has been found to have hydraulic or structural deficiencies that leave it
more susceptible to failure.
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2. The Increasing Hazard

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 Dams are innately hazardous structures.

 Failure or mis-operation can result in the release of the reservoir contents--
this includes water, mine wastes or agricultural refuse--causing negative
impacts upstream or downstream or at locations remote from the dam.
 Negative impacts of primary concern are loss of human life, economic loss
including property damage, lifeline disruption and environmental damage.
 Some dams are considered to have a greater hazard potential than others.

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 There are approximately 10,000 state-regulated "high-hazard" potential

dams in the U.S.
 "High-hazard" is a term used by a majority of state dam safety programs
and federal agencies as part of a three-pronged classification system used
to determine how hazardous a dam's failure might be to the downstream
area.
 While the definition varies from place to place, it generally means if failure
of a high-hazard dam occurs, there probably will be loss of life.
 It must be emphasized that this determination does not mean that these
dams are in need of repair--these dams could be in excellent condition or
they could be in poor condition.
 "High-hazard" just reflects the dam's potential for doing damage
downstream should it fail.
 High-hazard potential dams exist in every state and affect the lives of
thousands downstream.
 The current issue and debate is over the increasing number of these high-
hazard structures--not because more high-hazard dams are being built, but
that more development is occurring downstream.
 Dam safety regulators generally have no control over local zoning issues or
developers' property rights.
 So this issue continues to worry regulators as the "hazard creep" trend
persists.

3. Lack of Financing for and Attention to Maintenance, Upgrade and Repair

 Dams must be maintained to keep them safe.

 Occasional upgrade or rehabilitation is necessary due to deterioration,
changing technical standards and improved techniques, better
understanding of the area's precipitation conditions and increases in
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downstream populations and changing land use.

 When a dam's hazard classification is changed to reflect an increased
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hazard potential, the dam may need to be upgraded to meet an increased

need for safety.
 The age of a dam is not necessarily a direct indicator of its condition. Age is
indirectly an indicator in that old dams were not built to the standards of
today.
 Some older dams are considered in poor condition for this reason alone;
others may have been inadequately maintained as well.

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 Ownership makes dams a unique part of the national infrastructure. While

most infrastructure facilities (roads, bridges, sewer systems, etc) are owned
by public entities, the majority of dams in the US are privately owned.
 A dam's owner is solely responsible for the safety and liability of the dam
and for financing its upkeep, upgrade and repair.
 Many different types of people and entities own and operate dams:

i. About 58 percent are privately owned.

ii. Local governments own about 16 percent.
iii. State agencies own about four percent.
iv. The federal government, public utilities and undetermined interests own
smaller numbers of dams.

 Lack of funding for dam upgrades is a serious national problem, especially

within the private sector.
 Operation, maintenance, and rehabilitation of dams can range in cost from
the low thousands to millions, and responsibility for these expenses lies
with owners, many of whom cannot afford these costs.
 Although some states offer loan programs, funding assistance, through
government or private sources, is minimal at best.
 In 2009, an ASDSO task group concluded that it would take approximately
$34 billion to rehabilitate the nation's non-federal dams, and $16 billion to
rehabilitate the nation's most critical (high-hazard potential) dams that are
in need of rehabilitation.
 Roughly $8.7 billion was needed to repair the publicly-owned high-hazard
potential dams with the remaining $7.3 billion needed for the privately-
owned high-hazard dams.
 In December 2012, the task group revised the estimates.
 Current figures place the total cost estimated for non-federal dams at
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$53.69 billion.
 High-hazard potential dams are estimated at approximately $18.2 billion
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($11.2 billion for publicly-owned and $7 billion for privately-owned).

 In 2013, the American Society of Civil Engineers updated its Infrastructure
Report Card.
 In this report, dam safety was given a 'D' - partially due to the lack of
funding available to support the repair and upgrade needs of the nation's
dams.

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4. Lack of Adequate Authority and Resources for State Dam Safety Programs

 States are responsible for oversight of the vast majority of dams listed in the
National Inventory of Dams (77% in 2012).
 Although most states have legislative authority to carry out a
comprehensive dam safety program, many are lacking in specific areas.
 Some states are unable, by specific language in their law, to regulate certain
types of dams, allowing these structures to fall between the regulatory
cracks.
 Other states have limited ability to enforce the law. In some states, officials
have no recourse if dam owners do not carry out safety repairs ordered by
the state.
 Many states are simply under-resourced for carrying out the letter of the
law.
 State budgets for dam safety range from $0 (Alabama) to $11 million
(California).
 But the average annual state dam safety budget is about $688,000. The
average number of regulated dams per state exceeds 1700.
 The average number of dam inspectors per state is about eight; this means
that each dam inspector is responsible for overseeing the safety of more
than 200 existing dams, plus the additional responsibilities of overseeing
new construction.
 There is, therefore, a serious need, in almost every state, to pump
additional state resources into these programs.
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5. Lack of Emergency Preparedness In Case of Failure

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 Emergency preparedness is improving, with the percentage of high-hazard

potential dams with an EAP increasing from 35% to 69% between 1999 and
2012.
 The goal is for all high-hazard potential dams to have an EAP so that dam
owners and local authorities are prepared for a sudden dam failure and the
ensuing downstream consequences.

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6. Lack of Public Awareness

 Intersecting almost all the issues above is the issue of public education
about dams.
 The ordinary citizen is unaware that the beautiful lakes on which he or she
boats, or fishes are only there because of manmade dams.
 Developers build in dambreak flood inundation areas knowing nothing
about the potential that upstream dam has to cause devastation should it
fail. In fact, some developers and zoning officials are completely unaware of
dams within their community.
 Even if citizens understand and are aware of dams, they still can be overly
confident in the infallibility of these manmade structures. Living in
dambreak flood-prone areas is a risk.
 Many dam owners do not realize their responsibility and liability toward the
downstream public and environment.
 Adequate understanding of proper dam maintenance and upgrade
techniques is a typical problem among many owners across Kenya
 Some groups put forth the message that dams are bad for the environment
and advocate their removal.
 This may mislead the public into thinking that taking care of our dams is a
worthless cause. In some cases, dam removal is the best solution, but in all
instances the consequences should be considered in coming to this
decision.
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MAPS
 Maps are pictures or representations of the Earth's surface.

 They show how places are related to each other by distance, direction,
and size.
191

 Maps are a way of showing a part of the Earth's surface on a flat piece of
paper.
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 Maps are flat but they are made to represent an area that is on a sphere,
Earth.

 This can cause what is called distortion (changes in the shape of an

object).

 The areas of a map closest to the equator have little distortion.

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 The closer a map moves towards the poles the more distorted the map
becomes.

 For example, Greenland appears to be much larger on a map than it really

is.

 A person who makes maps is called a cartographer.

 Geological maps illustrate the nature, extent and relative age of rock types
to be found in a district.
 Solid geology maps show the 'solid' (bedrock) geology only. They show the
192

landscape as it would be if the superficial deposits such as peat, glacial

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deposits and made ground were to be removed.

 A drift map is a geologic or geomorphological map which shows the

distribution of more recent glacial, fluvial, fluvioglacial, alluvial, and marine
sediments (i.e. all superficial deposits).
 Depending on the distribution and extent of drift, the map may show a
combination of solid and drift exposures.

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 Geological maps illustrate the nature, extent and relative age of rock types to
be found in a district. Solid and Drift maps show the 'solid' (bedrock)
geology and the 'drift' deposits (such as peat and glacial deposits) with equal
emphasis – these map editions give the best impression of the underfoot
geology.

Features of a map

a) Maps have keys.

 The objects on a map are represented using symbols.

 A symbol is a picture on the map that represents something in the real

world.

 To understand the symbols on a map you need a key.

 Maps use a key, or legend to explain the meaning of each of the symbols
used in the map.

 The key usually shows a small picture of each of the symbols used on the
map, along with a written description of the meaning of each symbol.
193 Page

b) Maps have scales.

 Maps are scaled down so that they fit on paper.

 When scaling down a map, every part of the map is scaled by the same
amount.

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 This is done to make sure that every object on the map is the same
proportion as everything else on the map.

 Because the Earth is round, and maps are flat, it is impossible to create a
map with a perfect scale.

 Some parts of the map will be too large, while others will be too small.

c). Maps have A compass

 A map includes a compass rose that shows direction.

194

 Cardinal Directions are the four base parts on a compass.

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 The top point is called north and the point at the bottom is south.

 The side points are called east and west.

 The points in between the cardinal directions are called intermediate

directions.

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 These include northwest, northeast, southwest, and southeast.

d). Maps have latitude and longitude.

 We can identify locations on the Earth's surface by using a grid system of

latitude and longitude.

 Latitude gives a north and south direction and longitude gives an east and
west direction.

 This system helps us in measuring distances and finding directions

between places on the Earth's surface.

 The starting point is the prime meridian, with represents 0º longitude.

 The exact opposite position at 180º is called the International Date Line,
which is where the date actually changes.
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Different Types of Maps and Their Uses

 Maps are pictures of the Earth's surface used mainly as reference material.
 The information they show can be general or specific which makes them
valuable tools.
 With a diverse range of information needed by students, cartographers, and
researchers, one type of map is not enough.
 In reality, several types of maps exist with each one designed to fill a
different role and provide specific information.

a)General-purpose maps
 General-purpose maps provide many types of information on one map.

 Most atlas maps, wall maps, and road maps fall into this category.

 The following are some features that might be shown on general-purpose

maps: bodies of water, roads, railway lines, parks, elevations, towns and
cities, political boundaries, latitude and longitude, national and provincial
parks.

 These maps give a broad understanding of location and features of an area.

 You can gain an understanding of the type of landscape, the location of

urban places, and the location of major transportation routes all at once.
196

b)Road Map
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 One of the most commonly used types of maps is the road map, mainly used
for navigation. This kind of map shows road networks of a specific area
including major and minor highways and smaller roads.
 Major highways are usually shown as wide red lines. Smaller ones are less
prominent with lighter colors.
 Places of interests such as airports, parks, monuments, and city locations are
depicted here as well.
 Street maps illustrate smaller areas such as towns and cities.

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 People use street maps to find directions to a place they want to go.
 A road map shows the highways or interstates.
 These maps are also used to find directions.

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A map of the Trans-African Highway network

 A road map or route map is a map that primarily displays roads and
transport links rather than natural geographical information.

 It is a type of navigational map that commonly includes political boundaries

and labels, making it also a type of political map.

 In addition to roads and boundaries, road maps often include points of

interest, such as prominent businesses or buildings, tourism sites, parks and
recreational facilities, hotels and restaurants, as well as airports and train
stations.
200

 A road map may also document non-automotive transit routes, although

often these are found only on transit maps.
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Itineraria

 An alternative to, and in many ways the precursor of the road map, was the
itinerarium, a listing of towns and other stops, with intervening distances.

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 The Tabula Peutingeriana, mentioned above, is in effect an itinerarium in

visual form, offering routes and distances with little geographical accuracy.[6]

Types of road maps

 Road maps come in many shapes, sizes and scales.

 Small, single-page maps may be used to give an overview of a region's

major routes and features.

 Folded maps can offer greater detail covering a large region.

 Electronic maps typically present a dynamically generated display of a

region, with its scale, features, and level of detail specified by the user.

 Road maps can also vary in complexity, from a simple schematic map used
to show how to get to a single specific destination (such as a business), to a
complex electronic map, which may layer together many different types of
maps and information – such as a road map plotted over a topographical 3D
satellite image (a viewing mode frequently used within Google Earth).

a) Highway maps generally give an overview of major routes within a medium

to large region ranging from a few dozen to a few thousand miles or
kilometers.
201

b) Street maps usually cover an area of a few miles or kilometers (at most)
within a single city or extended metropolitan area.
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 City maps are generally a specialized form of street map.

c) A road atlas is a collection of road maps covering a region as small as a city

or as large as a continent, typically bound together in a book. Spiral binding

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is a popular format for road atlases, to permit lay-flat usage and to reduce
wear and tear.

 Atlases may cover a number of discrete regions, such as all of the states or
provinces of a given nation, or a single continuous region in high detail split
across several pages.

 Many motoring organizations, especially those in the European Union,

North America, Australia and New Zealand produce road maps.

An 1853 map of Louisiana with an inset street map of New Orleans

 Road maps often distinguish between major and minor thoroughfares (such
as motorways vs. surface streets) by using thicker lines or bolder colors for
202

the major roads.[7]

 Printed road maps commonly include an index of cities and other

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destinations found on the map; smaller-scale maps often include indexes of

streets and other routes.

 These indexes give the location of the feature on the map via a grid
reference.

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 Inset maps may be used to provide greater detail for a specific area, such as
a city map inset into a map of a state or province.

c) Physical Map
 Simply put, a physical map shows the landscapes and features of a particular
area.
 Bodies of water such as lakes, rivers, and the sea are always shown in blue.
 Land features are colored depending on their elevation. In general, low-lying
terrain such as plains and coastal areas are green.
 Higher elevations such as hills, plateaus, and mountains range from orange
to brown depending on how high they are.
 Illustrate the physical features of an area, such as the mountains, rivers
and lakes.
 The water is usually shown in blue.
 Colors are used to show relief—differences in land elevations.
 Green is usually used at lower elevations, and orange or brown show
higher elevations.
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d)Topographic Map
 A topographic map portrays terrain features in a measurable way, as well as
the horizontal positions of the features represented.
 The vertical positions, or relief, are normally represented by contour lines
on military topographic maps.
 On maps showing relief, the elevations and contours are measured from a
specific vertical datum plane, usually mean sea level.

 A topographic map shows the physical features of landscape in a given area.

It is very similar to a physical map.
 The main difference is how it presents data. Instead of colors, this type of
map uses lines to show changes in elevation.
 Called contour lines, these are spaced at regular intervals. Each line
represents a specific value based on the map's scale.
 In higher elevation, contour lines are spaced closer.
 Include contour lines to show the shape and elevation of an area.
 Lines that are close together show steep terrain, and lines that are far
apart show flat terrain.
204

 Many hikers use topographic maps, especially in areas where there are no
roads with signs.
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 Geologists depend on topographic maps to record the types of rocks.

 Engineers use topographic maps when they are planning roads, buildings,
or other human–made structures.

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e)Economic or Resource Maps

 Also known as, an economic map, a resource map shows the type of
economic activities or natural resources present in an area.
 It uses symbols or colors to depict this information. For example, colors may
be used to show products available in an area.
 Symbols may show industries and natural resources identified by letters.
 Check the map legend to be sure.

 Feature the major types of natural resources or economic activity in an

area.

 Cartographers use symbols to show the locations of natural resources or

economic activities.

 For example, wheat on a map of Maryland tells you that wheat is grown
there.
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f) Political Map
 No landscape features are shown on a political map.
 Instead, it tells the reader where political boundaries are.
 Lines are clearly marked and different areas are usually shaded different
colors for easier distinction.
 Other details such as names and locations of important cities are depicted as
well.
 It is one of the most common types of maps used for reference by students
and the academe.
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 Political Maps - do not show physical features.

 Instead, they show state and national boundaries and capital and major
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cities.
 A capital city is usually marked with a star within a circle.

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g) Climate/ weather Map

 Give general information about the climate and precipitation (rain and
snow) of a region.

 Cartographers, or mapmakers, use colors to show different climate or

precipitation zones.
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 When checking for climate information of a given area, it is best to consult a

climate map.
 This type of map can show information such as average number of cloudy
days, temperature ranges, and average rain or snowfall.
 It is a quick way to tell the differences in weather phenomena of adjacent
areas.
 It is commonly the kind of map used in weather reports on the evening
news.

A surface weather analysis for the United States on October 21, 2006.

 A weather map displays various meteorological features across a particular

area at a particular point in time and has various symbols which all have
specific meanings.[1]

 Such maps have been in use since the mid-19th century and are used for
research and weather forecasting purposes.

 Maps using isotherms show temperature gradients,[2] which can help locate
weather fronts. Isotach maps, analyzing lines of equal wind speed,[3] on a
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constant pressure surface of 300 mb or 250 mb show where the jet stream
is located.
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 Use of constant pressure charts at the 700 and 500 hPa level can indicate
tropical cyclone motion.

 Two-dimensional streamlines based on wind speeds at various levels show

areas of convergence and divergence in the wind field, which are helpful in
determining the location of features within the wind pattern.

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 A popular type of surface weather map is the surface weather analysis,

which plots isobars to depict areas of high pressure and low pressure.

 Special weather maps in aviation show areas of icing and turbulence for the
other.

h)Thematic Map
 A thematic map is used to show a specific theme or topic related to an area.
 It could portray virtually any kind of information from average rainfall
distribution, infant mortality rates, population density, and membership to
political organizations.
 Features such as terrain variations, political boundaries, and highways are
normally omitted.
 When they are included, they are used strictly for reference.
 Maps are objects seen by many people almost every day.
 It seems simple but few really know their importance.
 Different types of maps are used for a wide range of purposes for reference.
 They are important tools for everyone from the average Joe to university
professors and scientific researchers.
 Maps make sense of otherwise confusing data and help provide a better
understanding of the world.
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Edmond Halley's New and Correct Chart Shewing the Variations of the Compass
(1701), the first chart to show lines of equal magnetic variation.

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 A thematic map is a type of map or chart especially designed to show a

particular theme connected with a specific geographic area.
 These maps "can portray physical, social, political, cultural, economic,
sociological, agricultural, or any other aspects of a city, state, region, nation,
or continent".
 A thematic map is a map that focuses on a specific theme or subject area,
whereas in a general map the variety of phenomena—geological,
geographical, political—regularly appear together.[2]
 The contrast between them lies in the fact that thematic maps use the base
data, such as coastlines, boundaries and places, only as points of reference
for the phenomenon being mapped.
 General maps portray the base data, such as landforms, lines of
transportation, settlements, and political boundaries, for their own sake.[2]
 Thematic maps emphasize spatial variation of one or a small number of
geographic distributions.
 These distributions may be physical phenomena such as climate or human
characteristics such as population density and health issues.
[3]
 Barbara Peacenik described the difference as "in place, about space."
 While general reference maps show where something is in space, thematic
maps tell a story about that place [4] (e.g., city map).

 Thematic map are sometimes referred to as graphic essays that portray

spatial variations and interrelationships of geographical distributions.

 Location, of course, is important to provide a reference base of where

selected phenomena are occurring.
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John Snow's cholera map about the cholera deaths in London in the 1840s,
published 1854.

 One of the earliest thematic maps was a map entitled Designatio orbis
christiani (1607) by Jodocus Hondius showing the dispersion of major
religions, using map symbols in the French edition of his Atlas Minor (1607).
[5]

 This was soon followed by a thematic globe (in the form of a six-gore map)
showing the same subject, using Hondius' symbols, by Franciscus Haraeus,
entitled: Novus typus orbis ipsus globus, ex Analemmate Ptolomaei diductus
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(1614)[6]
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Uses of thematic maps

 Thematic maps serve three primary purposes.

a) First, they provide specific information about particular locations.

b) Second, they provide general information about spatial patterns.
c) Third, they can be used to compare patterns on two or more maps.

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 Common examples are maps of demographic data such as population

density.

 When designing a thematic map, cartographers must balance a number of

factors in order to effectively represent the data.

Geologic map

Mapped global geologic provinces

 A geologic map or geological map is a special-purpose map made to show

geological features.
 Rock units or geologic strata are shown by color or symbols to indicate
where they are exposed at the surface.
 Bedding planes and structural features such as faults, folds, foliations, and
lineations are shown with strike and dip or trend and plunge symbols which
give these features' three-dimensional orientations.
 Stratigraphic contour lines may be used to illustrate the surface of a
selected stratum illustrating the subsurface topographic trends of the
strata. Isopach maps detail the variations in thickness of stratigraphic units.
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 It is not always possible to properly show this when the strata are extremely
fractured, mixed, in some discontinuities, or where they are otherwise
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disturbed.

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William Smith's geologic map

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Other types of maps

a) Planimetric Map.

 A planimetric map presents only the horizontal positions for the features
represented.
 It is distinguished from a topographic map by the omission of relief,
normally represented by contour lines. Sometimes, it is called a line map.

b) Photomap.

 A photomap is a reproduction of an aerial photograph upon which grid

lines, marginal data, place names, route numbers, important elevations,
boundaries, and approximate scale and direction have been added.

c) Joint Operations Graphics.

 Joint operations graphics are based on the format of standard 1:250,000

medium-scale military topographic maps, but they contain additional
information needed in joint air-ground operations.
 Along the north and east edges of the graphic, detail is extended beyond
the standard map sheet to provide overlap with adjacent sheets.
 These maps are produced both in ground and air formats.
 Each version is identified in the lower margin as either joint operations
graphic (air) or joint operations graphic (ground).
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 The topographic information is identical on both, but the ground version

shows elevations and contour in meters and the air version shows them in
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feet.
 Layer (elevation) tinting and relief shading are added as an aid to
interpolating relief. Both versions emphasize airlanding facilities (shown in
purple), but the air version has additional symbols to identify aids and
obstructions to air navigation.

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d) Photomosaic.

 A photo mosaic is an assembly of aerial photographs that is commonly

called a mosaic in topographic usage.
 Mosaics are useful when time does not permit the compilation of a more
accurate map.
 The accuracy of a mosaic depends on the method employed in its
preparation and may vary from simply a good pictorial effect of the ground
to that of a planimetric map.

e) Terrain Model.

 A terrain model is a scale model of the terrain showing features, and in

large-scale models showing industrial and cultural shapes.
 It provides a means for visualizing the terrain for planning or indoctrination
purposes and for briefing on assault landings.

f) Military City Map.

 A military city map is a topographic map (usually at 1:12,550 scale,

sometimes up to 1:5,000), showing the details of a city.
 It delineates streets and shows street names, important buildings, and
other elements of the urban landscape important to navigation and military
operations in urban terrain.
 The scale of a military city map depends on the importance and size of the
city, density of detail, and available intelligence information.
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g) Special Maps.

 Special maps are for special purposes such as trafficability, communications,

and assault maps.
 They are usually in the form of an overprint in the scales smaller than
1:100,000 but larger than 1:1,000,000.

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 A special purpose map is one that has been designed or modified to give
information not covered on a standard map.
 The wide range of subjects that could be covered under the heading of
special purpose maps prohibits, within the scope of this manual, more than
a brief mention of a few important ones.
 Some of the subjects covered are:

 Terrain features.
 Drainage characteristics.
 Vegetation.
 Climate.
 Coasts and landing beaches.
 Roads and bridges.
 Railroads.
 Airfields.
 Urban areas.
 Electric power.
 Fuels.
 Surface water resources.
 Ground water resources.
 Natural construction materials.
 Cross-country movements.
 Suitability for airfield construction.
 Airborne operations.

 If military maps are not available, use substitute maps.

 The substitute maps can range from foreign military or commercial maps to
field sketches.
 The NGA can provide black and white reproductions of many foreign maps
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and can produce its own maps based upon intelligence.

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h) Foreign Maps.

 Foreign maps have been compiled by nations other than our own.
 When they must be used, the marginal information and grids are changed
to conform to our standards, if time permits.

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 The scales may differ from our maps, but they do express the ratio of map
distance to ground distance and can be used in the same way.
 The legend must be used since the map symbols almost always differ from
ours.
 Because the accuracy of foreign maps varies considerably, they are usually
evaluated in regard to established accuracy standards before they are
issued to our troops.

i) Atlases.

 Atlases are collections of maps of regions, countries, continents, or the

world.
 Such maps are accurate only to a degree and can be used for general
information only.

j) Geographic Maps.

 Geographic maps provide an overall idea of the mapped area in relation to

climate, population, relief, vegetation, and hydrography.
 They also show the general location of major urban areas.
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k) Tourist Road Maps.

 Tourist road maps are maps of a region in which the main means of
transportation and areas of interest are shown.

 Some of these maps show secondary networks of roads, historic sites,

museums, and beaches in detail.

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 They may contain road and time distance between points.

 The scale should be carefully considered when using these maps.

l) City/Utility Maps.

 City/utility maps are maps of urban areas showing streets, water ducts,
electricity and telephone lines, and sewers.

m) Field Sketches.

 Field sketches are preliminary drawings of an area or piece of terrain.

n) Aerial Photographs.

 Aerial photographs can be used as map supplements or substitutes to help

you analyze the terrain, plan your route, or guide your movement.
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Types of strata

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a)Outcrop
 An outcrop is a visible exposure of bedrock or ancient superficial deposits
on the surface of the Earth.[1]

View of a bedrock outcrop near San Carlos Water, Falklands Islands.

 As exemplified in the picture an outcrop has to be immersed in soil and

sediments.
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Granite outcrops at Silesian Stones Mountain in southwestern Poland.

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Roadside outcrop of Ordovician limestones and shales in southeastern Indiana.

Roadside outcrop of a pegmatite lens (light-colored mass) in an amphibolite

gneiss in Norway.

Features
 Outcrops do not cover the majority of the Earth's land surface because in
most places the bedrock or superficial deposits are covered by a mantle of
soil and vegetation and cannot be seen or examined closely.
 However in places where the overlying cover is removed through erosion
or tectonic uplift, the rock may be exposed, or crop out.
 Such exposure will happen most frequently in areas where erosion is rapid
and exceeds the weathering rate such as on steep hillsides, mountain ridges
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and tops, river banks, and tectonically active areas.

 Bedrock and superficial deposits may also be exposed at the Earth's surface
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due to human excavations such as quarrying and building of transport

routes.

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Study
 Outcrops allow direct observation and sampling of the bedrock in situ for
geologic analysis and creating geologic maps.
 In situ measurements are critical for proper analysis of geological history
and outcrops are therefore extremely important for understanding the
geologic time scale of earth history.
 Some of the types of information that can only be obtained from bedrock
outcrops, or through precise drilling and coring operations, are; structural
geology features orientations (e.g. bedding planes, fold axes, foliation),
depositional features orientations (e.g. paleo-current directions, grading,
facies changes), paleomagnetic orientations.
 Outcrops are also critically important for understanding fossil assemblages,
paleo-environment, and evolution as they provide a record of relative
changes within geologic strata.
 Accurate description, mapping, and sampling for laboratory analysis of
outcrops made possible all of the geologic sciences and the development of
fundamental geologic laws such as: law of superposition, principle of
original horizontality, principle of lateral continuity, and principle of faunal
succession.
 Outcrops can therefore be considered the fundamental element of geologic
science.

Examples
 On Ordnance Survey maps in Great Britain, cliffs are distinguished from
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outcrops: cliffs have a continuous line along the top edge with lines
protruding down; outcrops have a continuous line around each area of bare
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rock.
 An outcrop example in California is the Vasquez Rocks, familiar from
location shooting use in many films, composed of uplifted sandstone.[2][3]

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What is bedrock?
 The earth's crust is composed of rock. But the type of rock is different in
most places.

 Rock which occurs at any given place on the earth is called that location's
bedrock.

 In some cases the bedrock is actually exposed, and is said to outcrop at the
surface.

 Outcropping bedrock is great stuff, because it allows geologist to determine

the local geology, and helps them put together the geologic history of the
earth.

 Unfortunately, in many places the bedrock is covered by water, dirt, plants,

pavement, buildings, or other coverings which obscure the area's bedrock.

 If there is no outcrop, it is hard to determine the local geology. Often all

that a geologist has to look at is loose pieces laying about on the surface.

 We call these disconnected pieces float.

 It is always a challenge to make a geologic map when all you have is float to
work with, because it is often difficult to know how far the pieces have been
moved since they were broken off by weathering processes.

 As always, there are shades of gray between these two extremes.

 There are places where it is impossible to determine for sure that the
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exposed rock is connected to the earth (and therefore bedrock), but it sure
does look like it is (and therefore probably not float).
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 We call this "I don't think it's float, but I'm not convinced that it's attached"
material subcrop.

 The term subcrop is also applied to material which has probably broken off,
but has not been moved from its original location.

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 In most cases, subcrop is better than working with float, but not nearly as
desirable as bedrock which outcrops.

 It's important that a geologist spend some time determining which of these
3 situations he or she is facing: outcrop, subcrop, or float.

 How much confidence we can place on any geologic work is directly related
to this issue, as well as to the geologist's overall abilities.

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