Module I

भारत सरकार
जल शिक्त मंत्रालय
जल संसाधन, नदी िवकास और गंगा संरक्षण िवभाग
के द्रीय जल आयोग
रा ट्रीय जल अकादमी
के द्रीय जल अिभयांित्रकी सेवा के नव िनयक्

ु त
अिधकािरय का इक तीसवां प्रवेशन प्रिशक्षण कायर्क्रम
19 August 2019 – 07 February 2020
िडजाइन और अनुसंधान
Module I : Basic Sciences, Analysis and Design Aspects of Gravity Dams
पुणे
नवंबर 2019
Government of India
Central Water Commission
National Water Academy

के द्रीय जल अिभयांित्रकी सेवा के नव िनयक्

ु त
अिधकािरय का इक तीसवां प्रवेशन प्रिशक्षण कायर्क्रम
19 August 2019 – 07 February 2020

िडजाइन और अनुसंधान

Module-I
BASIC SCIENCES, ANALYSIS AND DESIGN

OF GRAVITY DAMS
11 -22 November 2019

Module Co‐ordinator

Shri S N Pande, Director (Designs)

Pune
November 2019

MODULE - I
Basic Sciences, Analysis and Design of Gravity Dams

INDEX

Sr. Topics Page

No. No.

1. Introduction to Soil Mechanics 01‐33

2. Application of Finite Element Method in Design of Gravity Dams under 34‐57
Earthquake Load Combinations ( Dynamic Analysis )

3. Overview of Dams 58‐74

4. Design of Concrete Gravity Dams 75‐89

5. Design of SpillWays 90‐107

6. Design of Energy Dissaptors 108‐127

7. Finite Element Analysis of Dams 128‐138

8. Design of Openings in Gravity Dams 139‐142

9. Investigations of Gravity Dams 143‐162

10. Material Properties, Testing and Diversion Arrangement for Gravity Dams 163‐180

11. An Introduction to RCC Dams 181‐190

12. Overview of Ghatghar Pumped Storage Scheme‐ Planning, Construction 191‐196

and Supervision with reference to Roller Compact Concrete

13. Foundation Treatment 197‐246

14. Thermal Studies 247‐264

31 INDUCTION TRAINING PROGRAM
INDUCTION TRAINING PROGRAM– CWC_NWA
(Prof. Dr.Sukhanand Bhosale)
Introduction to Soil Mechanics
Mr.Karl Terzhaghi spent about 50 years (1913-1963) in doing pioneering research on soil
and published his first book titled Erdbaumechanik (means Soil Mechanics) in 1925. This
was the first attempt in the world to treat soil mechanics on the basis of the physical
properties of the soils, since prior to this, all the designs were used to be based on intuition,
experience and empirical formulas, which never provided full confidence about the safety
and economy of the design. No wonder then, Mr.Karl Terzhaghi is known as the father of the
Soil Mechanics. In 1922 Pavlovsky of Russia solved the complex problem of seepage below
the hydraulic structures and enunciated the electrical analogy method for seepage
computation.The important Darcy’s law relating to the flow of water through the soils, and
the Stokes’s law for the settlement of the solid particles in a liquid were enunciated in the
year 1856. These laws play very important role even today, in soil engineering.
Soil Mechanics is a discipline of Civil Engineering that concerns the application of the
principles of mechanics, hydraulics to engineering problems related to soil. The study of the
science of soil mechanics equips a civil engineer with the basic scientific tools needed to
understand soil behaviour and its application as an engineering material for construction of
earthen dams, bridges and dykes, etc.
Soil consists of a multiphase aggregation of solid particles, water, and air. This fundamental
composition gives rise to unique engineering properties, and the description of its mechanical
behaviour requires some of the most classic principles of engineering mechanics.
Engineers are concerned with soil's mechanical properties: permeability, seepage, stiffness,
and strength. These depend primarily on the nature of the soil grains, the current stress, the
water content and unit weight.
Field of Soil Mechanics is very vast. The civil engineer has many diverse and important
encounters with soil. Apart from the testing and classification of various types of soil in order
to determine its physical properties, the knowledge of soil mechanics is particularly helpful in
the following problems in civil engineering
Page 1
 Design of earth dams

 Foundation design and construction
 Pavement design
 Design of underground structures and earth retaining structures
 Design of embankments and excavations
Basic characteristics of soil
A soil mass consists of solid soil particles, containing void spaces between them. These voids
may be filled either with air, or water, or both. A schematic diagram of the three-phase
system is shown in terms of weight and volume symbols respectively for soil solids, water,
and air. The weight of air can be neglected. For the purpose of engineering analysis and
design, it is necessary to express relations between the weights and the volumes of the three
phases.
Page 2
Volume relation
1. Void ratio (e) is the ratio of the volume of voids (Vv) to the volume of soil solids (Vs), and
is expressed as a decimal.
2. Porosity (n) is the ratio of the volume of voids to the total volume of soil (V), and is
expressed as a percentage.
Void ratio and porosity are inter-related to each other as follows:
and
3. The volume of water (Vw) in a soil can vary between zero (i.e. a dry soil) and the volume
of voids. This can be expressed as the degree of saturation (S) in percentage.
For a dry soil, S = 0%, and for a fully saturated soil, S = 100%.
4. Air content (ac) is the ratio of the volume of air (Va) to the volume of voids.
5. Percentage air voids (na) is the ratio of the volume of air to the total volume.
Weight relation
1. The ratio of the mass of water present to the mass of solid particles is called the water
content (w), or sometimes the moisture content.
Page 3
Its value is 0% for dry soil and its magnitude can exceed 100%.
2. The mass of solid particles is usually expressed in terms of their particle unit weight
or specific gravity (Gs) of the soil grain solids .
where = Unit weight of water

For most inorganic soils, the value of Gs lies between 2.60 and 2.80. The presence of organic
material reduces the value of Gs.
3. Dry unit weight is a measure of the amount of solid particles per unit volume.
4. Bulk unit weight is a measure of the amount of solid particles plus water per unit
volume.
5. Saturated unit weight is equal to the bulk density when the total voids is filled up
with water.
6. Buoyant unit weight or submerged unit weight is the effective mass per unit volume
when the soil is submerged below standing water or below the ground water table.
Volume Weight Inter-relation
Page 4
Properties of Soil for analysis and design
Volume Weight Characteristics
 Moisture Content
 Density
 Porosity
 Void ratio
 Specific Gravity
Plasticity Characteristics
 Liquid limit
 Plastic limit
 Plasticity index
 Shrinkage limit
 Shrinkage index
 Liquidity index
 Consistency index
 Activity
Gradation Characteristics
 Effective Diameter
 Percent grain size
 Uniformity coefficient
 Coefficient of curvature
Page 5
 Clay size fraction

Drainage Characteristics
 Coefficient of Permeability
 Capillary head
Consolidation Characteristics
 Coefficient of compressibility
 Coefficient of volume compressibility
 Compression index
 Swell or expansion index
 Coefficient of consolidation
 Coefficient of secondary compression
 Preconsolidation pressure
Strength Characteristics
 Angle of internal friction
 Cohesion intercept
 Unconfined compression strength
 In-situ shear strength
 Bearing capacity factors
 Sensitivity
 Modulus of elasticity
 Lateral earth pressure coefficients
Characteristics of Compacted Soils
 Maximum unit weight
 Optimum moisture content
 Relative density
 California bearing ratio
Soil Classification and Identification
Classification of soil is the separation of soil into classes or groups each having
similar characteristics and potentially similar behaviour There can be various criteria for
classifying soils such as origin, colour, smell, porosity, water content, sulphate content,
strength, permeability, compressibility, size of the particles, plasticity of the soil. The
relevant criteria to classify soils are grain size distribution and plasticity of the soil.
Grain size distribution (IS: 2720 (Part 4) – 1985)
Page 6
In accordance to IS two test methods are available in finding the distribution of grain
sizes Wet sieve analysis shall be applicable to all soils and dry sieve analysis shall be
applicable only to soils which do not have an appreciable amount of clay. For the
determination of distribution of grain sizes smaller than 75-microns the pipette method is
given as the standard method; the hydrometer method is given as a subsidiary method. This
method shall not applicable if less than 10 percent of the material passes the 75-micron IS
Sieve.
Test Procedure - Dry Sieve Analysis
1. The soil fractions retained on and passing 4’75-mm IS Sieve shall be taken separately
for the analysis. The portion of the soil sample retained on 4*75-mm IS Sieve shall be
weighed and the mass recorded.
2. The quantity of the soil sample taken shall depend on the maximum particle size
contained in the soil.
3. The sample shall be separated into various fractions by sieving through the set of
Indian Standard Sieves taken in descending order. While sieving through each sieve,
the sieve shall be agitated so that the sample rolls in irregular motion over the Sieve.
4. The material from the sieve may be rubbed, if necessary, with the rubber pestle in the
mortar taking care to see that individual soil particles are not broken and re-sieved to
make sure that only individual particles are retained.
5. The weight retained in each sieve is measured. The cumulative percentage quantities
finer than the sieve sizes (passing each given sieve size) are then determined.
6. The resulting data is presented as a distribution curve with grain size along x-axis
(log scale) and percentage passing along y-axis (arithmetic scale).
Test Procedure - Wet Sieve analysis
1. The portion of the soil passing 4.75mm IS Sieve shall be oven-dried at 105 to
110°C.
2. The oven-dried material shall then be riffled so that a fraction of convenient mass
is obtained. This shall be about 200 g if a substantial proportion of the material
only, just passes the 4.75-mm IS Sieve or less if the largest size is smaller.
3. The fraction shall be weighed to 0.1 percent of its total mass and the mass
recorded.
4. The riffled and weighed fraction shall be spread out in the large tray or bucket and
covered with water.
Page 7
5. Two grams of sodium hexametaphosphate or one gram of sodium hydroxide and

one gram of sodium carbonate perlitre of water used should then be added to the
soil. The mix should be thoroughly stirred and left for soaking.
6. The soil soaked specimen should be washed thoroughly over the nest of sieves
nested in order of their fineness with the finest sieve (75-micron IS Sieve) at
thebottom.
7. Washing shall be continued until the water passing each sieve is substantially
clean. Care shall be taken to see that the sieves are not overloaded in the process.
8. The fraction retained on each sieve should be emptied carefully without any loss
of material in separate trays. Oven dried at 105 to 110°C and each fraction
weighed separately and the masses recorded.
Sedimentation analysis
Sedimentation analysis is used only for the soil fraction finer than 75 microns If the
passing from the 75 micron is more than 12 percentages then hydrometer analysis is widely
used to estimate the distribution of the particle size from 0.0075 mm to around 0.001 mm.
Soil particles are allowed to settle from a suspension. The decreasing density of the
suspension is measured at various time intervals. The procedure is based on the principle that
in a suspension, the terminal velocity of a spherical particle is governed by the diameter of
the particle and the properties of the suspension.The hydrometer used in this analysis is
shown below
Page 8
In this method, the soil is placed as a suspension in a jar filled with distilled water to
which a deflocculating agent is added. The analysis is based on Stokes’s law, according to
which the velocities of free fall of spherical, fine particles, through a liquid are different for
different sizes.
The soil particles are then allowed to settle down. The concentration of particles
remaining in the suspension at a particular level can be determined by using a hydrometer.
Specific gravity readings of the solution at that same level at different time intervals provide
information about the size of particles that have settled down and the mass of soil remaining
in solution.The results are then plotted between % finer (passing) and log size.
The diameter of the particle in suspension at any sampling time t shall be calculated
from the formula
where D = diameter of particle in suspension, in mm;
µ = coefficient of viscosity of water in poises at the temperature of suspension at the

temperature of suspension at the time of sampling;
G = specific gravity of the soil fraction used in the sedimentation analysis, in g/cm3;
GI = specific gravity of water, in g/cm’;
H = height of fall of the particles or sampling depth, in cm; and
t = time elapsed before sampling, in minutes.
The chart for recording grain size distribution is shown below
Page 9
The sample form is shown below to record the results of grain size distribution for sieve
analysis and for hydrometer analysis
The grading characteristics are then determined as follows:
1. Effective size = D10
2. Uniformity coefficient,
3. Curvature coefficient,
Both Cuand Cc will be 1 for a single-sized soil.Cu > 5 indicates a well-graded soil,
i.e. a soil which has a distribution of particles over a wide size range.Cc between 1 and 3 also
Page 10
indicates a well-graded soil.Cu < 3 indicates a uniform soil, i.e. a soil which has a very
narrow particle size range.
Consistency of Soilisthe relative ease with which soil can be deformed. This term is mostly
used for fine – grained soils for which the consistency is related to a large extent to water
content. The liquid and plastic limits of soils are both dependent on the amount and type of
clay in a soil and form the basis for the soil classification system for cohesive soils based on
the plasticity tests. Besides their use for identification, the plasticity tests give information
concerning the cohesion properties of soil and the amount of capillary water which it can
hold. They are also used directly in specifications for controlling soil for use in fill. These
index properties of soil have also been related to various other properties of the soil.
A gradual increase in water content causes the soil to change from solid to semi-
solid to plastic to liquid states. The water contents at which the consistency changes from one
state to the other are called consistency limits (or Atterberg limits).The three limits are known
as the shrinkage limit (WS), plastic limit (WP), and liquid limit (WL)as shown. The values of
these limits can be obtained from laboratory tests with reference to IS 2720 (Part V) - 1985.
Sample result sheet for liquid and plastic limit is shown below.
Page 11
Result Summary:
Indian Standard Soil classification system (IS 1498 – 1970)
The grain-size range is used as the basis for grouping soil particles into boulder,
cobble, gravel, sand, silt or clay. Gravel, sand, silt, and clay are represented by group symbols
G, S, M, and C respectively.
Very coarse soils Boulder size > 300 mm

Cobble size 80 - 300 mm
Coarse soils Gravel size (G) Coarse 20 - 80 mm
Fine 4.75 - 20 mm
Sand size (S) Coarse 2 - 4.75 mm
Medium 0.425 - 2 mm
Fine 0.075 - 0.425 mm
Fine soils Silt size (M) 0.002 - 0.075 mm
Clay size (C) < 0.002 mm
Fig: Plasticity Chart
Page 12
The laboratory classification criteria for classifying the fine-grained soils are given in
the plasticity chart as shown below. The' A ' line has the following linear equation between
the liquid limit and the plasticity index:
1p= 0·73 (WL - 20)
where
Ip - plasticity index, and
WL -liquid limit.
Structure of clay minerals
Clay particles are flaky. Their thickness is very small relative to their length &
breadth, in some cases as thin as 1/100th of the length. They therefore have high specific
surface values. These surfaces carry negative electrical charge, which attracts positive ions
present in the pore water. Thus a lot of water may be held as adsorbed water within a clay
mass.
A tetrahedral unit consists of a central silicon atom that is surrounded by four oxygen atoms
located at the corners of a tetrahedron. A combination of tetrahedrons forms a silica sheet.
An octahedral unit consists of a central ion, either aluminium or magnesium, that is

surrounded by six hydroxyl ions located at the corners of an octahedron. A combination of
Page 13
aluminium-hydroxyl octahedrons forms a gibbsite sheet, whereas a combination of

magnesium-hydroxyl octahedrons forms a brucite sheet.
Field identification of soil
1) Visual Examination
The visual examination of soil is done by naked eye with reference to size, shape
(angularity), touch and grading characteristics of soil grains.
2) Wet and manipulated strength test
To perform this test, take a small quantity of the soil in hand, moisten it if needed, and
work it with fingers and feel it. If the soil is clayey, a soapy touch would be felt; if the soil is
sandy, a feeling of roughness is experienced; and in case of silty soil, moisture will come out
if it is squeezed in between the fingers. Also, clay sticks to the fingers and dries slowly, but
silt dries fairly quickly, and can be wiped off the fingers easily. This test helps to distinguish
the major soil characteristics, that is , whether the soil is clayey, sandy or silty.
3) Thread test
To perform this test, take a small quantity of soil, moisten it if needed, and roll it in
between the palms of the hand or on a flat smooth surface into a thread of about 3mm
diameter. If crumbling does not occur, fold thee thread and re-roll as before. Repeat the
process until the moisture content of the soil has been reduced by drying during
manipulation, to the plastic limit, which is indicated by crumbling which occurs as the soil is
being rolled. The characteristic of the thread as it approached the plastic limit affords the
means of identification of the soil.
4) Dilatancy test - After removing particles retained on IS 425 micron sieve, prepare a pat of
moist soil of size of 2cm cube. Add enough water, if necessary to make the soil soft but not
sticky. Place the pat in the open palm on one hand and shake horizontally striking vigorously
Page 14
against the other hand several times. A positive reaction consists of the appearance of water
on the surface of the pat which changes to a consistency and becomes glossy. When the
sample is squeezed between the fingers, the water and the gloss disappear from the surface,
the pat stiffens and finally it cracks and crumbles. The rapidity of appearance of water during
shaking and its disappearance during squeezing result in identifying the fines in a soil. Very
fine clean sand gives quickest and most distinct reaction, whereas, plastic clay has no
reaction. Inorganic silt such as typical rock flour, show a moderately quick reaction.
5) Dry strength test
After removing particles retained on IS 425 micron sieve, mould a pat of soil to the
consistency of putty, adding water if necessary. Allow the pat to dry completely by oven, sun
or air drying, and then test its strength by breaking and crumbling between the fingers. This
strength is a measure of the character and quantity of the colloidal fraction contained in the
soil. The dry strength is characteristicfor clays of the CH group. Atypical inorganic silt
possesses only very slight dry strength. Silty fine ands and silts have about the same slight
dry strength, but can be distinguished by the feel when powdering the dried specimen. Fine
sand feels gritty; whereas typical silt has the smooth feel of flour.
Permeability of soil
Pressure, Elevation and Total heads
In soils, the interconnected pores provide passage for water. A large number of such
flow paths act together, and the average rate of flow is termed the coefficient of permeability,
or just permeability. It is a measure of the ease that the soil provides to the flow of water
through its pores.
Page 15
At point A, the pore water pressure (u) can be measured from the height of water in a
standpipe located at that point.
The height of the water column is the pressure head (hw).

hw = u/ϒw
To identify any difference in pore water pressure at different points, it is necessary to

eliminate the effect of the points of measurement. With this in view, a datum is required from
which locations are measured.
The elevation head (hz) of any point is its height above the datum line. The height of water
level in the standpipe above the datum is the piezometric head (h).
h= hz + hw
Total head consists of three components: elevation head, pressure head, and velocity
head. As seepage velocity in soils is normally low, velocity head is ignored, and total head
becomes equal to the piezometric head. Due to the low seepage velocity and small size of
pores, the flow of water in the pores is steady and laminar in most cases. Water flow takes
place between two points in soil due to the difference in total heads.
Darcy’s law states that there is a linear relationship between flow velocity (v) and hydraulic
gradient (i) for any given saturated soil under steady laminar flow conditions.
If the rate of flow is q (volume/time) through cross-sectional area (A) of the soil mass,
Darcy's Law can be expressed as
v = q/A = k.i
Page 16
where k = permeability of the soil

i= h/L
h = difference in total heads
L = length of the soil mass
The flow velocity (v) is also called the Darcian velocity or the superficial velocity. It is
different from the actual velocity inside the soil pores, which is known as the seepage
velocity, vS. At the particulate level, the water follows a tortuous path through the pores.
Seepage velocity is always greater than the superficial velocity, and it is expressed as:
where AV = Area of voids on a cross section normal to the direction of flow

n = porosity of the soil
Permeability of different soil
Permeability (k) is an engineering property of soils and is a function of the soil

type. Its value depends on the average size of the pores and is related to the distribution of
particle sizes, particle shape and soil structure. The ratio of permeabilities of typical
sands/gravels to those of typical clays is of the order of 106. A small proportion of fine
material in a coarse-grained soil can lead to a significant reduction in permeability.
For different soil types as per grain size, the orders of magnitude for permeability are as
follows:
Soil k (cm/sec)
Gravel 100
Coarse sand 100 to 10-1
Medium sand 10-1 to 10-2
Fine sand 10-2 to 10-3
Silty sand 10-3 to 10-4
Silt 1 x 10-5
Clay 10-7 to 10-9
Page 17
Factors affecting Permeability
In soils, the permeant or pore fluid is mostly water whose variation in property is generally
very less. Permeability of all soils is strongly influenced by the density of packing of the soil
particles, which can be represented by void ratio (e) or porosity (n).
For Sands
In sands, permeability can be empirically related to the square of some representative grain
size from its grain-size distribution. For filter sands, Allen Hazen in 1911 found that k = 100
(D10)2 cm/s where D10= effective grain size in cm.
Different relationships have been attempted relating void ratio and permeability, such
as k µ e3/(1+e), and k µ e2. They have been obtained from the Kozeny-Carman equation for
laminar flow in saturated soils.
where ko and kT are factors depending on the shape and tortuosity of the pores
respectively, SS is the surface area of the solid particles per unit volume of solid material,
and gw and h are unit weight and viscosity of the pore water. The equation can be reduced to
a simpler form as
For Silts and Clays

For silts and clays, the Kozeny-Carman equation does not work well, and log k versus e plot
has been found to indicate a linear relationship.
For clays, it is typically found that
where Ck is the permeability change index and ek is a reference void ratio.
Page 18
Factors affecting the coefficient of permeability
The coefficient of permeability depends on several factors, most of which are listed below.
1. Shape and size of the soil particles.
2. Void ratio. Permeability increases with increase in void ratio.
3. Degree of saturation. Permeability increases with increase in degree of saturation.
4. Composition of soil particles. For sands and silts this is not important; however, for soils with
clay minerals this is one of the most important factors. Permeability depends on the thickness of
water held to the soil particles, which is a function of the cation exchange capacity, valence of the
cations, and so forth. Other factors remaining the same, the coefficient of permeability decreases
with increasing thickness of the diffuse double layer.
5. Soil structure. Fine-grained soils with a flocculated structure have a higher coefficient of
permeability than those with a dispersed structure.
6. Viscosity of the permeant.
7. Density and concentration of the permeant.
Laboratory measurement of Permeability
Constant Head Flow

Constant head permeameter is recommended for coarse-grained soils only since for such soils, flow rate is
measurable with adequate precision. As water flows through a sample of cross-section area A, steady total
head drop h is measured across length L.
Page 19
Permeability k is obtained from:
Falling Head Flow

Falling head permeameter is recommended for fine-grained soils.
Total head h in standpipe of area a is allowed to fall. Hydraulic gradient varies with time.
Heads h1 and h2 are measured at times t1 and t2. At any time t, flow through the soil sample of cross-
sectional area A is
--------------------- (1)
Flow in unit time through the standpipe of cross-sectional area a is
= ----------------- (2)
Equating (1) and (2) ,
or
Integrating between the limits,
Page 20
Field test for permeability
Field or in-situ measurement of permeability avoids the difficulties involved in obtaining and setting
up undisturbed samples in a permeameter. It also provides information about bulk permeability,
rather than merely the permeability of a small sample.
A field permeability test consists of pumping out water from a main well and observing the resulting
drawdown surface of the original horizontal water table from at least two observation wells. When a
steady state of flow is reached, the flow quantity and the levels in the observation wells are noted.
Two important field tests for determining permeability are: Unconfined flow pumping test, and
confined flow pumping test.
Unconfined Flow Pumping Test
In this test, the pumping causes a drawdown in an unconfined (i.e. open surface) soil stratum, and
generates a radial flow of water towards the pumping well. The steady-state heads h1 and h2 in
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observation wells at radii r1 and r2 are monitored till the flow rate q becomes steady.
The rate of radial flow through any cylindrical surface around the pumping well is equal to the
amount of water pumped out. Consider such a surface having radius r, thickness dr and height h. The
hydraulic gradient is
Area of flow,
From Darcy's Law,
Arranging and integrating,
Seepage in soils
Page 22
A rectangular soil element is shown with dimensions dx and dz in the plane, and thickness dy perpendicular
to this plane. Consider planar flow into the rectangular soil element.
In the x-direction, the net amount of the water entering and leaving the element is
Similarly in the z-direction, the difference between the water inflow and outflow is
For a two-dimensional steady flow of pore water, any imbalance in flows into and out of an element in the
z-direction must be compensated by a corresponding opposite imbalance in the x-direction. Combining the
above, and dividing by dx.dy.dz , the continuity equation is expressed as
From Darcy's law, , , where h is the head causing flow.
When the continuity equation is combined with Darcy's law, the equation for flow is expressed as:
For an isotropic material in which the permeability is the same in all directions (i.e. k x= k z), the flow
equation is
This is the Laplace equation governing two-dimensional steady state flow. It can be solved graphically,
analytically, numerically, or analogically.
Page 23
For the more general situation involving three-dimensional steady flow, Laplace equation
becomes:
One dimensional flow
For this, the Laplace Equation is
Integrating twice, a general solution is obtained.
The values of constants can be determined from the specific boundary conditions.
As shown, at x = 0, h = H , and at x = L, h = 0
Substituting and solving,
c2 = H ,
The specific solution for flow in the above permeameter is
Page 24
which states that head is dissipated in a linearly uniform manner over the entire length of the
permeameter.
Procedure for drawing flow nets
At every point (x,z) where there is flow, there will be a value of head h(x,z). In order to represent these
values, contours of equal head are drawn.
A flow net is to be drawn by trial and error. For a given set of boundary conditions, the flow net will
remain the same even if the direction of flow is reversed. Flow nets are constructed such that the head
lost between successive equipotential lines is the same, say h. It is useful in visualising the flow in a soil
to plot the flow lines, as these are lines that are tangential to the flow at any given point. The steps of
construction are:
1. Mark all boundary conditions, and draw the flow cross section to some convenient scale.
2. Draw a coarse net which is consistent with the boundary conditions and which has orthogonal
equipotential and flow lines. As it is usually easier to visualise the pattern of flow, start by drawing the
flow lines first.
3. Modify the mesh such that it meets the conditions outlined above and the fields between adjacent flow
lines and equipotential lines are 'square'.
4. Refine the flow net by repeating step 3.
The most common boundary conditions are:
(a) A submerged permeable soil boundary is an equipotential line. This could have been determined by
considering imaginary standpipes placed at the soil boundary, as for every point the water level in the
standpipe would be the same as the water level. (Such a boundary is marked as CD and EF in the
following figure.)
(b) The boundary between permeable and impermeable soil materials is a flow line (This is marked as
AB in the same figure).
(c) Equipotential lines intersecting a phreatic surface do so at equal vertical intervals.
Page 25
Uses of flow nets
The graphical properties of a flow net can be used in obtaining solutions for many seepage problems such
as:
1. Estimation of seepage losses from reservoirs: It is possible to use the flow net in the transformed
space to calculate the flow underneath the dam.
2. Determination of uplift pressures below dams: From the flow net, the pressure head at any point at
the base of the dam can be determined. The uplift pressure distribution along the base can be drawn and
then summed up.
3. Checking the possibility of piping beneath dams: At the toe of a dam when the upward exit hydraulic
gradient approaches unity, boiling condition can occur leading to erosion in soil and consequent piping.
Many dams on soil foundations have failed because of a sudden formation of a piped shaped discharge
channel. As the stored water rushes out, the channel widens and catastrophic failure results. This is also
often referred to as piping failure.
Consolidation of soil
Elastic settlement is on account of change in shape at constant volume, i.e. due to vertical compression
and lateral expansion. Primary consolidation (or simply consolidation) is on account of flow of water
from the voids, and is a function of the permeability and compressibility of soil. Secondary
compression is on account of creep-like behaviour.
Primary consolidation is the major component and it can be reasonably estimated. A general theory for
Page 26
consolidation, incorporating three-dimensional flow is complicated and only applicable to a very limited
range of problems in geotechnical engineering. For the vast majority of practical settlement problems, it is
sufficient to consider that both seepage and strain take place in one direction only, as one-dimensional
consolidation in the vertical direction.
Compaction of soils
Compaction is the application of mechanical energy to a soil so as to rearrange its particles and reduce
the void ratio.
It is applied to improve the properties of an existing soil or in the process of placing fill such as in the
construction of embankments, road bases, runways, earth dams, and reinforced earth walls. Compaction
is also used to prepare a level surface during construction of buildings. There is usually no change in the
water content and in the size of the individual soil particles.
The objectives of compaction are:
 To increase soil shear strength and therefore its bearing capacity.

 To reduce subsequent settlement under working loads.
 To reduce soil permeability making it more difficult for water to flow through.
Laboratory Compaction
The variation in compaction with water content and compactive effort is first determined in the
laboratory. There are several tests with standard procedures such as:
 Indian Standard Light Compaction Test (similar to Standard Proctor Test)

 Indian Standard Heavy Compaction Test (similar to Modified Proctor Test)
Indian Standard Light Compaction Test

Soil is compacted into a 1000 cm3 mould in 3 equal layers, each layer receiving 25 blows of a 2.6 kg
rammer dropped from a height of 310 mm above the soil. The compaction is repeated at various
moisture contents.
Indian Standard Heavy Compaction Test

It was found that the Light Compaction Test (Standard Test) could not reproduce the densities measured
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in the field under heavier loading conditions, and this led to the development of the Heavy Compaction
Test (Modified Test). The equipment and procedure are essentially the same as that used for the
Standard Test except that the soil is compacted in 5 layers, each layer also receiving 25 blows. The same
mould is also used. To provide the increased compactive effort, a heavier rammer of 4.9 kg and a greater
drop height of 450 mm are used.
Dry density and water content relationship
Engineering behaviour of compacted soil
The water content of a compacted soil is expressed with reference to the OMC. Thus, soils are said to be
compacted dry of optimum or wet of optimum (i.e. on the dry side or wet side of OMC). The
structure of a compacted soil is not similar on both sides even when the dry density is the same, and this
difference has a strong influence on the engineering characteristics.
SoilStructure
For a given compactive effort, soils have a flocculated structure on the dry side (i.e. soil particles are
oriented randomly), whereas they have a dispersed structure on the wet side (i.e. particles are more
oriented in a parallel arrangement perpendicular to the direction of applied stress). This is due to the well-
developed adsorbed water layer (water film) surrounding each particle on the wet side.
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Swelling
Due to a higher water deficiency and partially developed water films in the dry side, when given access to
water, the soil will soak in much more water and then swell more.
Shrinkage
During drying, soils compacted in the wet side tend to show more shrinkage than those compacted in the
dry side. In the wet side, the more orderly orientation of particles allows them to pack more efficiently.
Construction Pore Water Pressure

The compaction of man-made deposits proceeds layer by layer, and pore water pressures are induced in
the previous layers. Soils compacted wet of optimum will have higher pore water pressures compared to
soils compacted dry of optimum, which have initially negative pore water pressure.
Permeability
The randomly oriented soil in the dry side exhibits the same permeability in all directions, whereas the
dispersed soil in the wet side is more permeable along particle orientation than across particle orientation.
Soil Stabilization
Stone columns – Top feeded and bottom feeded procedure are illustrated in the diagram
shown below
Page 29
Other stabilization methods and materials
Lime. Slaked lime is most often used in the stabilization of subgrades and road bases, particularly
in soil that is clay-like or highly plastic. ...
Cement
Bitumen
Chemical Compounds
Geotextiles
Mixing Materials
Grouting
Electrical Stabilization
Geotechnical Instrumentation in hydraulic structures
Instrumentation is the use of special devices to obtain critical scientific measurements of engineered
behaviour. A typical instrument arrangement consists of one or more of three basic elements: a sensor;
a signal conducting media; and a readout/recorder. The data recording may be done by hand, chart
recorder, film recorder, digital printout, or magnetic recorder, and in some cases, may be transmitted
directly to computer storage. Structural displacements, deformations, settlements, seepages, the
piezometric pressure within the structure and its foundation are items that are the focus of a monitoring
system
Water Pressure
A certain amount of water seeps through, under, and around all dams. The water moves through the
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pores in the soil, and through the cracks and joints in the rock. The pressure of the water acts uniformly
in all directions; it is termed pore pressure. The upward component of pore pressure, called uplift
pressure, has the effect of reducing the effective downward weight of the dam and can decrease the
stability of the structure. Devices used to measure pressure include several types of piezometers and
total pressure cells.
The below figure illustrates the parameters to be measured at the major cross section of the embankment
dam
Piezometers are devices used to measure the water pressure at specific locations in dam bodies,
foundations, and abutments. The primary value of water pressure data is to warn of certain conditions or
problems that may exist or may be developing. Unusual water pressure data may show that
unanticipated movement or seepage is occurring.
There are two basic types of piezometers: (1) hydraulic piezometers in which the pressure is obtained
directly by measuring the water level or the pressure into the tube; and (2) electrical piezometers in
which the pressure is measured with electrical-acoustic or electric resistant pressure gauges
(manometers), or with pneumatic sensors.
Stress and Strain - Design stresses may not always occur as expected in a completed dam. For this
reason, special total pressure instruments are used to measure the actual stresses at selected locations,
such as between a dam and its abutments or foundation, or between certain components of the dam. The
purpose of total pressure monitoring is to measure the total pressure (total load) on a contact surface or
within the mass of the dam. Several types of devices (cells) are used to measure the static total pressure
Page 31
in a dam. The measured load can be caused by earth, water, or concrete. A dam’s principal stresses can
be evaluated based on data
Earth pressures within fill and against concrete structures are measured with earth pressure cells,
which are also known as total pressure cells. They consist of two flexible diaphragms sealed around the
periphery, with a fluid in the annular space between the diaphragms. Pressure is measured by the
increase in fluid pressure behind the diaphragm with pneumatic or vibrating wire sensors. Earth pressure
cells should have similar stiffness as the surrounding soil to avoid inaccurate measurements of in-situ
stress caused by arching.
A variety of mechanical and electrical strain gauges are used to measure strain in concrete structures.
Some of the instruments are designed to be embedded in the dam during construction, and others are
surface mounted following construction. Strain gages are often installed in groups so that the three-
dimensional state of strain can be evaluated
The figure below illustrates the overall instrumentation for the core dam.
Temperature measurements of a dam, foundation, ambient conditions or instrumentation are used to

reduce data from other instruments, increase precision, or to interpret results. For example, movements
of concrete dams and changes in leakage at concrete dams are often related to changes in temperature.
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Temperature is also measured in concrete dams under construction to evaluate mix design, placement
rates, and block and lift sizes; to time grouting of block joints; and to assess thermal loads. Resistance
thermometers or thermocouples can measure the temperatures of a dam, its foundation, and other
instruments.
References:
1) “Theoretical Soil Mechanics” – Karl Terzhaghi
2) “Soil Mechanics “ – William Lambe and Robert Whiteman
3)”Advanced Soil Mechanics” – Braja Das
4)”Foundation design manual” – Narayan V Nayak
5)”Soil Mechanics and Foundations” – B.C.Punmia
6)”Soil Mechanics and Foundation Engineering’ – S.K.Garg
7)”Basic and applied soil mechanics” – Gopal ranjan Rao
8)https://nptel.ac.in/courses/105103097/
9) Soft soil stabilization using stone column – A review , jan 2018
10) Guidelines for instrumentation for large dams – jan 2018 Dam safety rehabilitation
directorate
11) Indian standard codes
Page 33
Induction Training Program (ITP) for the newly appointed officers of Central Water Engineering (Group 'A') Services.
APPLICATION OF FINITE ELEMENT METHOD IN DESIGN OF GRAVITY DAMS

UNDER EARTHQUAKE LOAD COMBINATIONS ( DYNAMIC ANALYSIS )
Rizwan Ali, Scientist ‘ D ’
Central Water and Power Research Station, Pune - 411 024
INTRODUCTION
During 20th century, many large dams have been constructed in all parts of India. These
dams have been designed based on experience or simplified methods which often
resulted in either over safe design or unsafe design. Due to frequent occurrences of
strong earthquakes in northern parts (Himalayan region), eastern parts (Assam and
other north-eastern region), western parts ( Bhuj earthquake in Gujarat and Koyna and
Latur earthquakes in Maharashtra ) and central parts (Madhya Pradesh) of India,
safety of existing and proposed dams lying in these high seismic zones have become
of great concern to project authorities. Moreover, these dams have been designed
based on recommendations of old BIS codes and old classified seismic zones of India
with less magnitude of seismic coefficients. Since then, BIS codes have been revised
several times and seismic zones of India have also been reclassified with higher
magnitude of seismic coefficients. As per modern design practices, the dam should be
safe against earthquake forces under detailed dynamic response analysis using site-
specific seismic parameters. Dynamic analysis of dams is much more complicated
since interaction between dam and the foundation rock and hydrodynamic forces need
to be modeled in a realistic way. Prior to the invention of fast computers i.e., earlier to
1970, all the dams have been designed based on conventional approaches by
considering the dam as a vertical cantilever beam and normal stresses have been
evaluated at upstream and downstream faces. With the invent of fast computers, more
sophisticated structural analysis methods such as Finite Difference Method, Boundary
Integration Method and Finite Element Method have been evolved and state of the art
finite element softwares have been developed. At present, more rigorous analysis is
carried out generally by Finite Element Method by using these general purpose finite
element softwares with automesh generation and with facilities of animation of results
during post processing. The methods of analysis need to be applied suitably to get
correct estimation of the response, as the results are very sensitive to the
approximations and idealizations made. Two dimensional(2D) finite element analysis is
generally appropriate for concrete gravity dams. It should be understood that the actual
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response of the structure is three dimensional(3D) therefore the designer should review
the analysis and realistic results to assure that the 2D approximation is acceptable and
realistic. For spillway blocks, plane stress approach gives more realistic results as
compared to plane strain approach. For long conventional concrete dams, a 2D
analysis is reasonably correct. Dams located in narrow valleys between steep
abutments and dams with foundation of varying rock Modulii which vary across the
valley, dams with openings and weak foundation zones are conditions that necessitate
3D modeling and analysis. Further, the analysis results almost become identical from
separate 2D and 3D analysis, if ratio of length to height of the dam is greater than 4.
Dynamic analysis results need to be calibrated by monitoring the response to actual
earthquakes and forced vibration tests.
FEM Softwares
Many general purpose Finite Element Softwares have been developed and are in use
all over the world. A few popularly used, general purpose FEM softwares are as follows:
1. ANSYS 2. LUSAS 3.SOLVIA 4.ADINA

5. NASTRAN 6.IDEA 7.SAP 8.ABAQUS
9. HYPERWORKS 10.SOLIDWORKS
The basic principle of all the softwares is same. The main difference lies in mesh
generation capability and post processing of results. The main components of such
programs for structural analysis are as follows:
 Input – Definition of physical model, geometry, material loading and
 Boundary conditions.
 Library of elements – Generation of mathematical models.
 Solution – Assembly and solution of algebraic equations.
 Output – Display of calculated displacements and stresses
REQUIREMENT OF DYNAMIC ANALYSIS
The dynamic analysis using site specific earthquake ground motions becomes
necessary if following conditions exist:
i. The dam is 100 feet (30m) or more in height and the peak ground
acceleration
(PGA) at the site is greater than 0.2 g for maximum credible earthquake i.e.
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Zone III.
ii. The dam is less than 100 feet high and the PGA at the site is greater than 0.4
g for the maximum credible earthquake i.e. Zone IV & V.
iii. There are gated spillway monoliths, wide roadways, intake structures, or
other
monoliths of unusual shape or geometry.
iv. The dam is in a weakened condition because of accident, aging or

deterioration.
The requirements for a dynamic stress analysis in this case should be decided in
consultation with experts.
SITE SPECIFIC SEISMIC PARAMETERS
Site specific seismic response spectra and acceleration time history of ground motion is
generated by Earthquake experts. At CWPRS, Engineering Seismology division is
carrying out such type of studies. In brief, two general approaches for developing Site
Specific Response Spectra and Acceleration Time History of ground motion are the
deterministic and probabilistic approaches.
a. Deterministic Approach: In this approach, often termed a deterministic seismic

hazard analysis, or DSHA, site ground motions are deterministically estimated
for a specific selected earthquake that is, an earthquake of a certain size on a
specific seismic source occurring at a certain distance from the site. The
earthquake size may be characterized by magnitude or by epicentral intensity.
The earthquake magnitude is typically selected to be the magnitude of the
largest earthquake judged to be capable of occurring on the seismic source, i.e.,
MCE. The selected earthquake is usually assumed to occur on the portion of the
seismic source that is closest to the site. After the earthquake magnitude and
distance are selected, the site ground motions are then estimated using ground
motion attenuation relationship or other techniques.
b. Probabilistic Approach: In the probabilistic approach, often termed a
probabilistic seismic hazard analysis, or PSHA, site ground motions are
estimated for selected values of the probability of ground motion exceedance in
a design time period or for selected values of annual frequency or return period
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for ground motion exceedance. For example, ground motions could be estimated
for a 10 percent probability of exceedance in 100 years or for a return period of
950 years. A probabilistic ground motion assessment incorporates the frequency
of occurrence of earthquake of different magnitudes on the seismic sources, the
uncertainty of the earthquake locations on the sources and the ground motion
attenuation including its uncertainty.
Seismic coefficients based on IS: 1893 ( Part 1) : 2002 are calculated as follows:
Ah= (Z/2) × (I/R) × (Sa/g) (1)
where:
Ah= Horizontal seismic coefficient
Z = Zone factor,
I = Importance factor
R = Response reduction factor (I/R=1.0 )
Sa / g = Average response acceleration coefficient
The value of seismic coefficients in vertical direction is taken as 1/2 to 2/3 of horizontal
seismic coefficient Ah .The value of seismic coefficients is taken as 1.5 times of Ah at
top of the dam and reduced linearly to zero at base. Sometimes, site specific seismic
coefficients are given by project authority based on seismic studies.
PERMISSIBLE STRESSES
The maximum tensile and compressive stresses developed in the dam body should
always satisfy the stability criteria as per IS:6512-1984. The maximum permissible
tensile stress in concrete gravity dams under simplified approaches as per BIS is taken
as 4% of characteristic cube compressive strength. As per latest design practices in
India, the allowable tensile stress using modern rigorous methods of analysis under
static and pseudodynamic conditions is taken as 1/10 to 1/8 of characteristic cube
compressive strength.
As per International practices, the splitting tensile test or the modulus of rupture
test can be used to determine the tensile strength. For initial design investigations,
static, pseudostatic, pseudodynamic and linear dynamic analysis, permissible tensile
strength of concrete is calculated from the following equation (Raphael 1984):
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Direct static tensile strength, fst = 1.7fc2/3 (2)
The static tensile strength determined by the splitting tensile test may be increased by
1.33 to be comparable to the standard modulus of rupture test. Modulus of rupture i.e.
bending tensile strength is obtained as follows:
fmr=1.33× fst = 2.3fc2/3 (3)
Dynamic tensile strength of concrete is calculated by increasing 50 percent static

tensile strength as follows:
fdst =1.5×fst = 1.5×1.7fc2/3 =2.6fc2/3 (4)

and
fdmr =1.5×fmr =1.5× 2.3fc2/3=3.4fc2/3 (5)
where:
fst = Direct static tensile strength, psi
fmr= Bending Tensile strength or apparent tensile strength, psi
fc = Uniaxial static compressive strength of the concrete, psi
fdst=Dynamic tensile strength
fdmr= Bending dynamic tensile strength or apparent dynamic tensile strength, psi
DAMPING
The damping plays important role in dynamic analysis. Damping in a structure is due to
nonlinearities that cause loss of energy. The dynamic motion of any system is damping
dependent. The damping is defined as resistance to motion. Most nonlinear analysis
use Rayleigh damping which combines a mass damping equation with a stiffness
damping equation to arrive at a percent of critical damping.
C= α×M +β×K (6)
Where α and β are damping constants, M and K are mass and stiffness matrices. α
and β are calculated as follows:
Time Period, T=5.55× (H2 /B) ×SQRT(ρ/gE) (7)
Frequency, f=1/T (8)
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Angular frequency, ω1=2πf (9)
γ2/ γ1= (ω2/ω1)n , (n=0.5-1.0) (10)

α =(2×Y / (ω1+ω2) ) × (ω1×ω2) (11)
β =(2×Y / (ω1+ω2) ) (12)
where:
H= Height of the dam section, B= Base width of dam section

ρ= Mass density of dam material, E= Young’s Modulus of dam material
ω1&ω2 = Angular frequencies, γ =% damping ratios, 5 - 10%
For concrete gravity dams, damping is taken as 5-10% of critical damping. In direct step
by step integration method, the Rayleigh damping factors corresponding to damping
percentage are computed. In Mode superposition analysis, model damping is defined
for each mode varying from 5% to 10%. Also in response spectrum analysis, model
damping is defined for each mode.
FOUNDATION – DAM – RESERVOIR INTERACTION EFFECTS

In dynamic analysis, the stresses in dam body are affected due to foundation and
reservoir water up to certain extent. Therefore it becomes necessary to consider these
interaction effects. The interaction effect of foundation rock strata on dam body is
considered by incorporation of certain part of foundation rock strata (2-4 times of height
of dam) in the finite element modelling. Further, the effect of reservoir is considered by
either lumping a certain mass of reservoir water on upstream nodes as per
Westergaard’s approach or by taking a portion of reservoir into modelling and by
applying dam fluid interaction effects using latest softwares.
LOAD COMBINATIONS
The analysis is generally carried out for the following load combinations based on IS:
6512 – 1984:
(Static Load Combinations)
a) Load Combination A (Construction Condition): Dam completed but no water in

reservoir and no tailwater.
b) Load Combination B (Normal Operating Condition): Full reservoir elevation at

FRL normal dry weather, tailwater level and silt load at upstream and
downstream faces.
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c) Load Combination C (Flood Discharge Condition): Reservoir at maximum flood

pool elevation at MWL, all gates open, tailwater and silt load at upstream and
downstream faces.
f) Load Combination F: Combination C, but with extreme uplift (drains

inoperative).
(Earthquake Load Combinations)
d) Load Combination D: Combination A, with earthquake
e) Load Combination E: Combination B, with earthquake
g) Load Combination G: Combination E, but with extreme uplift (drains

inoperative)
DIFFERENT APPROACHES OF DYNAMIC ANALYSIS
The effect of earthquake loads into two dimensional (2D) and three dimensional (3D)
analysis is taken into account by following approaches.
Pseudostatic approach (Already discussed)

Pseudodynamic approach (Already discussed)
1. Dynamic analysis by Response Spectrum analysis
2. Dynamic analysis by Direct step by step Integration approach
( Newmark Method, Central Difference Method)
3. Dynamic analysis by Mode Superposition Method
4. Dynamic analysis by frequency substructure approach using EAGD-84 FE
software
Each approach is described here by analyzing one sample problem.
Definition of the Sample Problem
The dynamic analysis has been carried out for a proposed 62.5 m high non-overflow
concrete gravity dam with a base width of 60.4 m located in the highest seismic zone V
as per IS: 1893 (Part I)-2002 as shown in Fig.1. The analysis is based on the
assumptions that the material in the dam and the foundation is isotropic and
homogeneous and it behaves in linear elastic way, that the dam is in plane strain
condition, and that all the displacement components reduces to zero at base of
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foundation block. The properties of the dam and foundation material adopted in the
analysis are as given below:
Young’s Modulus of Dam Concrete: 2.20×105 kg/cm2
Young’s Modulus of Foundation rock: 2.50×105 kg/cm2
Poisson’s Ratios of Foundation rock: 0.15
Poisson’s Ratio of Dam Concrete: 0.20
Mass Density of Dam Concrete: 2.4×10-3 kg/cm3
Mass Density of Water: 1.0×10-3 kg/cm3
Viscous Damping Ratio for Dam: 5%
Fig. 1: Cross Section of the Dam
1. DYNAMIC ANALYSIS BY RESPONSE SPECTRUM ANALYSIS

The 2D dynamic analysis has been carried out by modifying the Finite Element Mesh
from fine to coarse by utilizing the more integrating points to allow better stress
redistribution. Site specific response spectrum generated by CWPRS Pune based on
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topography, geology and past seismic record has been considered in the analysis. The
horizontal and vertical response spectra at different damping are shown in Fig.2.
To take into account the elastic behavior of the foundation rock strata, a section of the
foundation part up to a depth equal to more than 4 times the height of the dam and
width equal to 4 times of dam base have been included in the analysis. To allow free
field ground motion the mass of the foundation is neglected in the analysis. The total
202 numbers of 2-D isoparametric plane strain elements have been generated by
defining 891 nodes including generated nodes. The detailed idealization is shown in
Fig.3.
Fig. 2: Horizontal and Vertical Response Spectra
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Fig. 3: Finite Element Model of Non Overflow Section for Dynamic Analysis
The boundary conditions are modified under dynamic analysis as compared to other
analysis. In foundation, only horizontal movement is allowed at the ends of the
foundation block as per recommendation of ICOLD Bulletin 30-Jan 1978. The base of
the foundation is assumed fixed i.e. all displacement components are assumed as zero.
At the interface of dam body and foundation block, two sets of nodes are defined by
giving identical coordinates. The dam body is treated as attached to foundation in
vertical direction i.e. dam is not allowed to move horizontally independently and firmly
rested on foundation block. At the interface, only vertical movement is allowed in the
dam body. At all other places, horizontal and vertical movements are allowed. The
detailed boundary conditions are shown in Fig.3. The hydrodynamic effects are
modeled as an added mass of water moving with the dam using Westergaard’s formula
as mentioned above. First, natural frequencies of vibration and corresponding mode
shapes for specified modes are computed by applying all static loads as per load
combination E. The earthquake loading is computed from earthquake response spectra
for each mode of vibration induced by the horizontal and vertical components of
response spectra. These modal responses are combined to obtain an estimate of the
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maximum total response. Stresses are computed by a static analysis of the dam using
the earthquake loading as an equivalent static load. The results of static and response
analysis are combined by square root of the sum of the squares (SRSS) method for
getting complete response. Figs 4-6 show the three mode shapes and fig.7 shows the
total response under three modes.
Fig.4: Mode Shape 1 Fig.5: Mode Shape 2
Fig.6: Mode Shape 3 Fig.7: Total Response under 3 Modes
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RESULTS
Results are obtained in the form of displacements and principal stresses including static
effects. Figs. 8 - 10 show the distribution of horizontal, vertical and resultant
displacements in the dam body.
Fig.8: Distribution of Horz. Displacement Fig.9: Distribution of Vert. Displacement
Fig.10: Distribution of Resultant Displacement

Displacements are in cm
As can be seen from above figures the horizontal displacement is towards upstream
side which indicates the predominance of earthquake forces. The maximum horizontal
displacement under load combination E is found to be 4.20 cm toward upstream side
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indicating predominance of earthquake forces. Figs.11&12 show the distribution of total

maximum and minimum principal stresses including static effect in the dam body. The
total maximum principal stress including static effect is found to be 99.528 kg/cm2 near
the downstream slope starting point. The total minimum principal stress is also found to
be 108.15 kg/cm2 near to upstream and downstream slope starting points. The
response spectra also gives approximate picture of stresses under earthquake forces
and may often result in either underestimation or overestimation of principal stresses.
Fig.11: Distribution of Total Maximum Fig.12: Distribution of Total Minimum

Principal Stresses Principal Stresses
(+): Tensile, (-): Compressive
2. DYNAMIC ANALYSIS BY DIRECT STEP BY STEP INTEGRATION APPROACH

(NEWMAARK METHOD/CENTRAL DIFFERENCE METHOD)
The 2D dynamic analysis has been carried out by using same mathematical model as
used for response spectrum analysis shown in fig 3. The dynamic analysis has been
performed by taking static as well as dynamic material properties. The dynamic material
properties are determined by Resonance Column test (facility available at CWPRS) by
taking concrete and rock cores. The Young’s Modulus of Elasticity E for old concrete
say more than one year is almost same as Static Modulus. Site specific acceleration
time histories of horizontal and vertical components of motion generated at CWPRS by
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taking into account seismotectonics, geology and past earthquake history of the region
has been used to define the input excitation. These time-histories are shown plotted in
Fig. 14. After generation of mathematical modal based on prepared data as mentioned
above, dynamic analysis is performed in two steps. In first step only static analysis is
performed and results are saved and plotted for static analysis. In second stage the
damping factors are defined and added mass at upstream nodes is added and
acceleration time history is defined. The Finite element software considers the static
displacements as initial displacements and dynamic analysis by Newmaark method is
performed for predefined time steps at the interval of 0.020 seconds. The results are
generated at each time step in the form of displacements, direct stresses, principal
stresses and effective stresses.
500
400 Horizontal PGA=0.38g
Acceleration (cm/sec2)--->
300
200
100
0
-100
-200
-300
-400
-500
0 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45
300
Vertical PGA=0.24g
200
Acceleration (cm/sec2)--->
100
-100
-200
-300
0 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45
Time (s)--->
Fig. 14: Acceleration Time History along Horizontal and Vertical Directions
RESULTS
Results are plotted in the form of displacement time history in both directions at
selected nodes and element stress history in high stressed zones. The maximum and
minimum principal stress envelopes for dambody by taking the principal stresses at the
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centroid of each element are plotted to know the overall distribution of tensile and
compressive stresses. The results are presented for one Earthquake load combination
E. Node displacement histories under normal operating condition with earthquake is
plotted for node 1 at upstream top point of the dam in both horizontal and vertical
directions as shown in Fig.15. The maximum horizontal displacement nearly 2 cm and
vertical displacement 1.3 cm are found to have taken place at node 1.
Fig.15: Variation of displacements with time at Node 1
The maximum and minimum principal stress time histories are plotted at the centroid of
selected elements to know the stress variation during earthquake. Figs.16-17 show the
variation of maximum and minimum principal stress at the centroid of elements
13- 15. The maximum principal stress (tensile) of the order of 40 kg/cm2 is found to be
developed at the centroid of element 15 and minimum principal stress (compression) of
the order of 64 kg/cm2 is also found to be developed at the centroid of element 15.
The envelope of maximum and minimum principal stresses is plotted by taking the
principal stresses at centroid of each element in the dambody. The pattern of the tensile
and compressive stress distribution is used in assessing the safety of the dam by
comparing the calculated stresses with allowable stresses under different loading
conditions.
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Fig.16: Variation of Maximum Principal Stress with time for selected elements
Fig.17: Variation of Minimum Principal Stress with time for selected elements
Fig.18 shows the envelope of maximum and minimum principal stresses. The maximum
principal stress (tension) of the order of 40 kg/cm2 is found to be developed near the
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slope starting point at downstream face near to top of the dam. The tensile stresses
almost cover 80% area of the dam under the complete acceleration time history. The
tensile stresses developed under Normal operating condition with earthquake are more
than the allowable limits. The maximum compression of the order of 64 kg/cm2 is also
found to develop at the same location. Also the compressive stresses developed almost
cover 100% area of the dam under the complete acceleration time history. The
maximum compressive stress developed is not excessive and remains within allowable
limit. The principal stresses are higher on upstream and downstream faces of the dam
body as compared to central region.
40
36 -2
32 -6
-10
28
-14
24 -18
-22
20
-26
16
-30
12 -34
-38
8
-42
4 -46
0 -50
-54
Fig. 18: Envelope of Max. and Min. Principal Stresses under Load combination E
3. DYNAMIC ANALYSIS BY MODE SUPERPOSITION METHOD

The 2D dynamic analysis has been carried out by using same mathematical model
(Fig.3) as used for response spectrum analysis and direct time step integration
methods. The analysis has been carried out for load combination E in two stages. At
first stage, static loads and added mass haven been applied to the model and mode
shape alongwith natural frequencies have been calculated. In second stage, analysis is
restarted and total response has been obtained by using acceleration time history in
50

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both direction by applying trapezoidal rule for the time integration of the modal
response. Modal damping varying from 5-10% has been adopted in the analysis for
three modes.
RESULTS
Results are plotted in the form of displacement time history in both directions at
selected nodes and element stress history in high stressed zones. The maximum and
minimum principal stress envelopes for dambody by taking the principal stresses at the
centroid of each element are plotted to know the overall distribution of tensile and
compressive stresses. The results are presented for one Earthquake load combination
E. Node displacement histories under normal operating condition with earthquake is
plotted for node 1 in both horizontal and vertical directions as shown in Fig.19. At node
1, the maximum horizontal displacement nearly 3.8 cm and vertical displacement 1.8
cm are found developed.
Fig.19: Variation of displacements with time at Node 1
The maximum and minimum principal stress time histories are plotted at the centroid of
selected elements to know the stress variation during earthquake. Figs.20 shows the
variation of maximum principal stress at the centroid of elements 16- 18.
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Page 51
Fig.20: Variation of Maximum Principal Stress with time for selected elements
Figs.21 shows the variation of minimum principal stress at the centroid of elements
22- 24.
Fig.21: Variation of Minimum Principal Stress with time for selected elements
52

Page 52
The maximum principal stress (tensile) of the order of 70 kg/cm2 is found to be

developed at the centroid of element 16 and minimum principal stress (compression) of
the order of 65 kg/cm2 is also found to be developed at the centroid of element 16. The
envelope of maximum and minimum principal stresses is plotted by taking the principal
stresses at centroid of each element in the dambody. Fig.22 shows the envelope of
maximum and minimum principal stresses. The maximum principal stress (tension) of
the order of 70 kg/cm2 is found to be developed near the slope starting point at
downstream face near to top of the dam. The tensile stresses almost cover 90% area of
the dam under the complete acceleration time history. The maximum compression of
the order of 65 kg/cm2 is also found to be developed at the same location. Also the
compressive stresses developed almost cover 100% area of the dam under the
complete acceleration time history. The maximum compressive stress developed is not
excessive and remains within allowable limit. The principal stresses are higher on
upstream and downstream faces of the dam body as compared to central region.
4. DYNAMIC ANALYSIS BY FREQUENCY SUBSTRUCTURE APPROACH USING

EAGD-84 FE SOFTWARE
The 2D dynamic analysis has been carried out by substructure approach using EAGD-
84 finite element software exclusively developed for 2D dynamic analysis of gravity
53

Page 53
dams by Dr. AK Chopra, USA and by adopting same mathematical model excluding
foundation part as used for earlier analysis and is shown in fig 23.
Fig.23: 2D Finite Element Model of Dambody

Same acceleration time history as used in direct time step integration and mode
superposition analysis has been adopted in this analysis also. Damping has been
considered as 5%. For considering dam- foundation-reservoir interaction effects,
substructure approach has been applied and generated foundation frequency
compliance data has been taken into analysis. Ten generalized mode shapes have
been calculated and total response including static effect has been obtained for load
combination E.
Results
Results have been obtained in the form of displacement time history in both directions
at selected nodes and element stress history in high stressed zones. The maximum
and minimum principal stress envelopes for dam body by taking the principal stresses
at the centroid of each element are plotted to know the overall distribution of tensile and
54

Page 54
compressive stress distribution. The envelope of principal stresses based on stress

values at the centroid of each element is shown in fig.24.
39
-2
36
-6
33
-10
30
-14
27 -18
24 -22
21 -26
18 -30
-34
15
-38
12
-42
9
-46
6 -50
3 -54
Maximum Principal stress Minimum Principal stress

Stress in kg/cm2
The maximum principal stress (tension) of the order of 39 kg/cm2 is found to be

developed near the slope starting point at downstream face near to top of the dam. The
tensile stresses almost cover 90% area of the dam under the complete acceleration
time history. The maximum compression of the order of 54 kg/cm2 is also found to be
developed at the same location. Also the compressive stresses developed almost cover
100% area of the dam under the complete acceleration time history.
CONCLUSIONS:
 Before taking up rehabilitation of any dam, dynamic analysis should be carried
out by suitable methods using numerical modelling.
 For old dams, stability evaluation by static and pseudodynamic stress analysis
using in-situ material properties is carried out as per BIS criteria by finite element
method for small dams lying in seismic zone II and III.
 The pseudodynamic approach is generally used for small height dam (less than
30m) and for seismic zone II & III. This approach is also applied at the initial
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stages of design to finalize the profile of dam section and in 3 Dimensional stress
analysis to economies the cost.
 The detailed dynamic analysis should be carried out for dams lying in high
seismic zones IV and V irrespective of height.
 A comparison of peak values of principal stresses developed under different

approaches is shown in table2.
 The assessment of structural safety under Earthquake loads is very useful in
deciding the type of remedial measures required for restoring structural integrity
during rehabilitation of dams.
Table 2: Comparison of Principal Stress under Different Approaches
Maximum Principal Minimum Principal Stress,

Sr. Stress, Spmax Spmin
Name of Approach
No. Value Value
Location Location
Kg/cm2 Kg/cm2
1 Pseudostatic 41.654 Heel -35.804 Toe
Starting point
2 Pseudodynamic 19.065 -32.675 Toe
of U/S slope
3 Direct Step by Step Starting point Starting point of

40 -54
Integration Method of D/S slope D/S slope
Mode Superposition Starting point Starting point of
4 65.156 -65.232
Method of D/S slope U/S slope
Starting point of
Response Spectrum Starting point
5 99.528 -108.15 U/S & D/S
Analysis of D/S slope
slopes
Frequency Sub-
39 Starting point Starting point of
6 Structure -54
of D/S slope D/S slope
EAGD-84
56

Page 56
REFERENCES
1. Burman A., Maity, D. and Sreedeep, S. (2010). ‘Iterative Analysis of Concrete
Gravity Dam-Nonlinear Foundation Iteration’, International Journal of Engineering
Science and Technology, 2(4), 85-99.
2. Clough R.W. and Joseph, P. (1975). ‘Dynamics of Structures’, Mc-Graw Hill Book
Company Inc, 336-338.
3. ICOLD (1978). ‘Finite Element Methods in Analysis and Design of Dams’, Bulletin
30, 20-23
4. IS 1893: 2002 Part-I, ‘Criteria for Earthquake Resistant Design of Structure’, Bureau
of Indian standards , New Delhi
5. IS Code 6512 – 1984, Criteria for Design of Solid Gravity Dams.

6. Malhotra V.M. and Carino, N.J. (2004). ‘Handbook On Nondestructive Testing of
Concrete’, (Second Edition), CRC PRESS, London, Fig.7.6.
7. Mockovciakova, A. and Pandala, A.B. (2003). ‘ISSN 0543-5846’, METALURGIJA,

42(I), 37-39
8. USBR (2008). ‘State-of-Practice for the Nonlinear Analysis of Concrete Dams at the
Bureau of Reclamation, Reclamation’, Managing Water in the West, 11-19.
9. Zienkiewicz O.C. (1977). The Finite Element Method, McGRAW-HILL Book

Company(UK) Limited(Page 107-115)
10. US Army Corps of Engineers, ENGINEERING AND DESIGN EM 1110-2-2200 30
June 95. Gravity Dam Design , ENGINEER MANUAL.
57

Page 57
31 INDUCTION TRAINING PROGRAM 30 ITP
Overview of Dams
Basic Concept
A Dam is a hydraulic structure of

impervious material built across a
river to create a reservoir on its
upstream side for impounding water
for various purposes.
Types of Dams
• Gravity Dams
• Arch Dams
• Buttress Dams
• Earthen Dams
• Rock fill Dams
• Steel Dams
• Timber Dams
• Rubber Dams
• Arch Dams
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Page 118 Page 58

• Arch Dams - Single curvature or

Double curvature
• Buttress Dams
• Earthen Dams
78
Page 119 Page 59

Rock fill Dams
• Steel Dams
Timber Dams
79
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Rubber Dams
80
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Classification based on Purpose of Dam
Storage Dam Storage dams are constructed to create a

reservoir to store water during periods
when there is huge flow in the river for
utilization later during periods of low
flow. Water stored in the reservoir can be
used for irrigation, power generation,
water supply etc. It may also be used as
detention dam if regulated accordingly.
Detention Dam Detention dam is constructed to

temporarily detain all or part of the flood
water in a river and to gradually release
the stored water later at controlled rates
so that the entire region on the
downstream side of the dam is protected
from possible damage due to floods. It
may also be used as a storage dam.
Diversion Dam It is constructed to divert part of or all

the water from a river into a conduit or a
channel. Mostly a diversion weir is
constructed across the river for diverting
water from a river into an irrigation
canal.
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Page 122 Page 62

Coffer Dam It is a temporary dam constructed to

exclude water from a specific area. It is
constructed on the upstream side of the
site where a dam is to be constructed so
that the site remains dry during
construction.
Debris Dam It is constructed to catch and retain debris

flowing in a river.
Storage v/s ROR

Storage Scheme
Storage dams are constructed to create a reservoir to store water during monsoon
periods when there is huge flow in the river
The stored water is then utilized later on during periods of lean flow.
Water stored in the reservoir can be used for irrigation, power generation, water
supply etc.
ROR Scheme
ROR stands for Run-of-River scheme
In ROR scheme, the water is stored during low power demand, which is utilized
during high power demand.
Run-of-River projects are constructed where no storage or a limited amount of
storage is available.
Classification Based on Hydraulic Design

Non Over Flow Dam
The Dam portion which does not allow to escape flood waters are called Non
Over Flow Dams.
Over Flow Dam
This is the dam portion which is used for escaping flood waters is called Over
Flow Dam.
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Page 123 Page 63

Overflow / Non-overflow section
Classification Based on Construction Material
Rigid Dam
Made of stone, masonry, concrete, steel, or timber
Non-rigid Dam
Made of earth, rock fill etc.
Composite Dam
Earthen dams are provided with a stone masonry or concrete overflow (spillway)
section
Design Aspects – Gravity Dams
Loads on Dams
Dead loads
Reservoir and Tail water loads
Uplift pressures
Earthquake forces
As per IS :1893 -1984
Inertial forces of dam body and hydrodynamic forces
Silt pressure
Ice pressure (for freezing conditions)
Wave loads
Thermal stresses
83
Page 124 Page 64

Dead Loads
Self weight
Weight of other structures on dam body
Spillway piers
Gates
Bridge, etc.
Unit weigths

Plain Concrete : 2400 kg/m3

Reinforced Concrete : 2500 kg/m3

Masonry : 2300 kg/m3
Water and Silt Loads

Hydrostatic Water Load

Hydrostatic Triangular Distribution taking unit wt. of water as 1000 kg/m3
Weight of flowing water over spillway neglected
Silt Load

Horizontal silt and water pressure is determined as if silt and water have a
horizontal unit weight of 1360 kg/m3

Vertical silt and water pressure is determined as if silt and water have a vertical
unit weight of 1925 kg/m3
Uplift Loads
Act over 100% of the area
Uplift pressures are not affected by earthquakes
84
Page 125 Page 65

RESERVOIR LEVEL RESERVOIR LEVEL
H FOUNDATION GALLERY
TAIL WATER LEVEL TAIL WATER LEVEL

h h
GROUT CURTAIN
L LINE OF DRAIN
Wh Wh
WH WH
W[h +1/3(H-h)]
UPLIFT PRESSURE DISTRIBUTION UPLIFT PRESSURE DISTRIBUTION

FOUNDATION DRAINS CHOKED FOUNDATION DRAINS OPERATIVE
(EXTREME UPLIFT) (NOMAL UPLIFT)
Earthquake Loads
Determined as per IS :1893 -2002
Design Seismic Coefficient is worked out as per the above code based on the location
of the project on the seismic map of India
85
Page 126 Page 66

Load Combinations
Combination A (Construction condition)
Dam completed but no water in reservoir and no tail water
Combination B (Normal operating condition)
Full reservoir elevation, normal dry weather tail water, normal uplift and silt.
Combination C (Flood Discharge condition)
Reservoir at maximum flood pool elevation, all gates open, tail water at flood
elevation, normal uplift and silt
Combination D
Combination A with earthquake
Combination E
Combination B with earthquake
Combination F
Combination C but with extreme uplift (Drains inoperative)
Combination G
Combination E but with extreme uplift (Drains inoperative)
Stability Analysis
Stability analysis is done as per IS: 6512-1984 titled “Criteria for Design of Solid
Gravity Dam”
Dam shall be safe against sliding at any section
In the dam
At dam foundation interface
Within the foundation
Safe unit stresses in concrete/masonry shall not be exceeded
Dam shall be safe against overturning
Freeboard
Free Board is the vertical distance between the top of the dam and the still water level
Free Board calculations are carried out as per IS: 6512-1984 to fix the top of dam
Free board shall not be less than 1m above MWL
Galleries
Provided for various purposes like curtain grouting, drainage, inspection,
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Page 127 Page 67

instrumentation etc.
Can run in longitudinal or transverse directions
Additional inspection / drainage galleries are generally provided after every 30 metre
height
General size 1.5m x 2.25m or 2.0m x 2.5m
Generally provided at a distance equal to 5% of the head or 3m whichever is more
from the u/s face of the dam
Minimum concrete cover between the foundation rock and the gallery is kept about 2
to 3 m
Sump well and pump chamber arrangements are provided for collecting and removal
of seepage water
Galleries
Contraction Joints
Longitudinal Contraction Joints – not preferred
Transverse Contraction Joints
Spacing 15 to 25 m
Grouted / Ungrouted
With / without keyways
87
Page 128 Page 68

Water stops are installed in the joints near the upstream face to prevent passage of
water through contraction joint
Types of water stops:
PVC Water Stops
Metal Water Stops
Rubber Water Stops
Thermal Studies
The heat generated due to hydration of cement raises the temperature of concrete far
above the placement temperature.
To restrict the rise in temperature measures like pre-cooling, post-cooling or a
combination of both techniques is adopted
For determining the placement temperature of concrete detailed temperature control
studies are carried out
Necessary guidelines are available in BIS 14591 – 1999 “Guidelines for temperature
control of mass concrete for dams”.
Temperature Control Measures
Use of ice or refrigerated water and pre-cooled aggregate for concrete preparation
Embedding copper pipes for flow of cool water after placing of concrete
Use of low heat cement, Pozzolana Portland cement, Portland slag cement, etc.
Controlling the amount of cement used
Use of shallow lifts (limiting lifts to 1.5m)
Keeping suitable time interval between successive lifts (normally 3 days)
Design Aspects – Embankment Dams
Types of Embankment Dams
Homogeneous Embankment
Dam section entirely consists of almost one type of material.
Section is made of low permeability material and requires flatter slopes than a
zoned section
Zoned Embankment
This type of embankment uses two or more types of materials, depending on their
availability, utility and costs
There is an impervious zone called the ‘core’ inside the dam section
88
Page 129 Page 69

The outer zones on both sides, called ‘shells’, should preferably be of pervious
materials
Rock-fill Dams with clay cores
Relies on fragmented rock material, either obtained by blasting or available as
natural boulder deposits, as a major structural element
Substantial rock fill zones on both sides, with an impervious zone in the middle,
and transition zones and /or filters in-between
Rock-fill Dams with u/s Face Membranes
Relies on fragmented rock material, either obtained by blasting or available as
natural boulder deposits, as a major structural element
Substantial rock fill zones on both sides, with an impervious membrane on
upstream and downstream face
Embankment Dam- Section
89
Page 130 Page 70

Basic Design Requirements
Safety against overtopping

Sufficient spillway and outlet capacity should be provided
Sufficient freeboard
Exact calculation of settlement of the embankment and of the foundation in order
to determine extra freeboard to be provided
Slope Stability
The slopes shall be stable under all loading conditions
Slopes shall be designed as per IS: 7894-1975
The u/s slope shall be protected against erosion by wave action and d/s slope shall
be protected against erosion due to wind and rain
Safety against internal erosion
The slopes shall be stable under all loading conditions
Slopes shall be designed as per IS: 7894-1975
The u/s slope shall be protected against erosion by wave action and d/s slope shall
be protected against erosion due to wind and rain
Phreatic line within downstream face

This results in “sloughing” or softening of the d/s face and may lead to local toe
failure, which may progressively develop upwards
This can be safeguarded by providing a free draining zone on the d/s face or by
intercepting the seepage inside the dam section by internal drainage.
Safety against wave action
There should be no risk of over topping of the dam section
It needs estimation of the design flood and provision of adequate spillway capacity
to pass that flood with required net freeboard to protect the dam crest against wave
splash.
Causes of Embankment Dam Failure Worldwide

Overtopping 30%
Seepage effect, Piping and Sloughing 25%
Slope Slides 15%
Conduit Leakage 13%
Damage to slope Paving 5%
Miscellaneous 7%
Unknown 5%
List of IS Codes / Technical Literature Being Used for Design of Dams

90
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Concrete/Masonry Dam
SL. CODE TITTLE

NO NO.
1 4410 Glossary of terms relating to river valley projects: Part 8 Dams and dam
section
2 6066 Recommendations for pressure grouting of rock foundations in river valley
projects
3 6512 Criteria for design of solid gravity dams
4 8237 Code of Practice for Protection of Slope for Reservoir Embankment
5 8282 Code of practice for installation, maintenance and observation of pore
pressure measuring devices in concrete and masonry dams: Part 1
Electrical resistance type cell
6 8605 Code of practice for construction of masonry in dams
7 8605 Code of practice for construction of masonry in dams
8 9296 Guidelines for inspection and maintenance of dam and appurtenant
structures
9 9297 Recommendations for lighting, ventilation and other facilities inside the
dam
10 10084 Criteria for design of diversion works: Part 1 Coffer dams
11 10084 Design of diversion works - Criteria : Part 2 Diversion channels and open
cut or conduit in the body of dam.
12 10135 Code of practice for drainage system for gravity dams, their foundations
and abutments
13 10137 Guidelines for selection of spillways and energy dissipators
23 12966 Code of practice for galleries and other openings in dams: Part 1 General
requirements
24 12966 Code of practice for galleries and other openings in dams: Part 2 Structural
design
25 13073 Installation, Maintenance and Observation of Displacement Measuring

Devices in Concrete and Masonry Dams - Code of Practice - Part 1 :
Deflection Measurement Using Plumb Lines
91
Page 132 Page 72

26 13073 Code of Practice for Installation, Maintenance and Observation of

Displacement Measuring Devices for Concrete and Masonry Dams - Part
2 : Geodetic Observation - Crest Collimation
27 13195 Preliminary design, operation and maintenance of protection works

downstream of spillways - Guidelines
28 13551 Criteria for structural design of spillway pier and crest
IS codes related to Earth and Rock Fill Dams
Sl. No IS CODE TITTLE

NO
1 4999 Recommendations for grouting of pervious soils
2 6955 Code of practice for subsurface exploration for earth and rockfill
dams
3 7894 Code of practice for stability analysis of earth dams
4 10160 Proforma for analysis of unit rate of earthwork used in construction
of river valley projects
5 11532 Construction and maintenance of river embankments (levees) -
Guidelines
6 11532 Construction and maintenance of river embankments (levees) -
Guidelines
7 10751 Planning and Design of Guide Banks for Alluvial Rivers -
Guidelines
8 7356 Code of Practice for Installation, Maintenance and Observation of
Instruments for Pore Pressure Measurements in Earth Dams and
Rockfill Dams - Part 1 : Porous Tube Piezometers
9 7356 Installation, Observation and Maintenance of Instruments for Pore
Pressure Measurements in Earth and Rockfill Dams - Code of
Practice - Part 2 : Twin Tube Hydraulic Piezometers
92
Page 133 Page 73

IS codes related to Barrages and Canals
SL. CODE NO. TITTLE

NO
1 IS 4410 (Part Glossary of terms relating to river valley projects: Part 22
2):1994 Barrages & weirs
2 IS 6966(Part Hydraulic design of barrages and weirs Guidelines: Part 1
1):1989 Alluvial Reaches (first revision)
3 IS 7720:1991 Criteria for investigation, planning and layout of barrages and
weirs (first revision)
4 IS 7349:2012 Barrages and weirs operation and maintenance -
Guidelines(second revision
5 IS 11130:1984 Criteria for structural design of barrages and weirs
6 IS 11150:1993 Construction of concrete barrages - Code of practice (first
revision)
7 IS 12892:1989 Safety of barrage and weir structures - Guidelines
8 IS 13578:2008 Subsurface exploration for barrrages and weirs - Code of
practice
9 IS 14248:1995 Guidelines for instrumentation of barrages & weirs
10 IS 14815:2000 Design flood for river studies of barrages and weirs -
Guidelines
11 IS 14955:2001 Guidelines for hydraulic model studies of barrages and weirs
Relevant Technical Literatures and Manuals
SL.NO CODE TITTLE

NO.
1 SP 16 Design Aid to IS 456-1978
2 SP 22 Explanatory handbook on codes of Earthquake Engineering
3 SP 34 Handbook on Concrete Reinforcement & Detailing.
4 SP 55 Design aid for anchorages for spillways piers, training walls and divide
walls.
5 USBR Design of Small Dams
6 CWC PENSTOCK MANUAL
7 CBIP CBIP TUNNEL MANUAL
8 CBI&P CBIP BARRAGE ON ALLUVIL FOUNDATION
& MANY MORE
93
Page 134 Page 74

Design of Concrete Gravity Dams
A.K. Nayak,
SE(HOC), CWC,
Bhubaneswar
1.0 Introduction
A dam is an obstruction or a barrier built across a stream or a river for

accumulation of water on its upstream side which is used for different
purposes. Dams are constructed for deriving various benefits like irrigation,
hydropower generation, flood control, domestic/industrial water supply,
recreation etc.
Dams can be classified based on various criteria. As per water resources

planning the dams may be classified as storage dams, diversion dams and
detention dams. As per hydraulic flow conditions the dams may be classified
as overflow dams (spillways) and non-overflow dams. As per materials used
they can be classified as earthfill dams, rockfill dams and concrete/masonry
dams.
The concrete/masonry dams can be classified further as gravity dams,

buttress dams & arch dams based on their structural behavior and as
conventional concrete dams & roller compacted concrete dams as per method
of construction.
Conventional concrete dams are constructed by dividing the dam length into
blocks of 20-25m long. Concrete placement is done by cableways, cranes,
trestles etc. in lifts of 1.5-2m. The compaction of concrete is done by vibrators.
Roller compacted concrete dams are constructed using same
machinery/equipments as that used for embankment dams. Construction is
done from abutment to abutment in lifts of 300-600 mm. Compaction of
concrete is done with the help of vibratory rollers.
Masonry dams were preferred in our country earlier as they were labour
intensive, provided more employment opportunities, consumed less cement
and did not involve any temperature control measures. However the quality
of workmanship and workers are deteriorating now. There are problems of
heavy seepage through many of our existing masonry dams. For seepage
control, various remedial measures are being adopted these days, viz.
guniting on upstream face, upstream concrete membrane, sandwich concrete
membrane, prepacked masonry construction etc. Now-a-days, there is
therefore a shift in favour of concrete dams. Further, the construction of
concrete dams is faster vis-à-vis masonry dams.
Page 135 Page 75

2.0Gravity Dam
A concrete gravity dam is a solid concrete structure so designed and shaped

that its weight is sufficient to ensure stability against the effects of all imposed
forces. The complete design of a concrete gravity dam includes the
determination of the most efficient and economical proportions for the water
impounding structure and the determination of the most suitable appurtenant
structures for the control and release of the impounded water consistent with
the purpose and function of the project.
2.1 General dimensions and definitions
Gravity dams may be straight or curved in plan depending upon the axis
alignment. For uniformity, certain general dimensions and definitions have
been established and are defined as below:
The structural height of a concrete gravity dam is defined as the difference in

elevation between the top of the dam and the lowest point in the excavated
foundation area.
The hydraulic height is the difference in elevation between the lowest point of
the original streambed at the axis of the dam and the maximum controllable
water surface.
The length of the dam is defined as the distance measured along the axis of the
dam at the level of the top of the main body of the dam from abutment
contact to abutment contact including the length of spillway if it lies wholly
within the dam. However, the length of the abutment spillway located in any
area especially excavated for the spillway is not included in the length of the
dam.
The volume of a concrete dam includes the main body of the dam and all mass
concrete appurtenances cot separated from the dam by construction or
contraction joints.
A plan is an orthographic projection on a horizontal plane, showing the main

features of the dam and its appurtenant works with respect to the
topography. A plan should be oriented so that the direction of stream flow is
towards the top or towards the right of the drawing.
A profile is a developed elevation of the intersection of a dam with the original

ground surface, rock surface or excavation surface along the axis of the dam,
the upstream face, the downstream face or other designated location.
Page 136 Page 76

The axis of the dam is a vertical reference plane usually defined by the
upstream edge of the top of the dam.
A section is a representation of a dam as it would appear if cut by a vertical

plane taken normal to the axis and is usually oriented with the reservoir to the
left.
3.0 Design Considerations
3.1 Local Conditions
Collection of data on local conditions will eventually relate to the design,

specifications and construction stages of a dam. Local conditions are not only
needed to estimate construction costs, but may be of benefit when considering
alternative designs and methods of construction. Some of these local
conditions will also be used to determine the extent of the project designs,
including such items as access roads, bridges and construction camps.
Data required to be collected are:
i) Approximate distance from the nearest rail road shipping terminal

to the structure site
ii) Local freight or, trucking facilities and rates
iii) Availability of housing and other facilities in the nearest towns
iv) Availability or, accessibility of public facilities or, utilities such as
water supply, sewage disposal, electric power for construction
purposes, telephone services etc.
v) Local labour pool and general occupational fields existing in the
area
3.2 Maps and Photographs
Maps and photographs are of prime importance in the planning and design of
a concrete dam and its appurtenant works. From these data an evaluation of
alternative layouts can be made preparatory to determining the final location
of the dam, the type and location of its appurtenant works and the need for
restoration and/or development of the area.
Data to be collected are:
i) A general map locating the area within the State, together with
district and township lines.
ii) Map showing existing towns, highways, roads, railways and
shipping points
iii) A vicinity map showing the following details:
Page 137 Page 77

a) The structure site and alternate sites

b) Public utilities
c) Stream gauging stations
d) Existing man-made works affected by the proposed
development
e) Locations of potential construction access roads, sites for
Government camp, permanent housing area and sites for
Contractor’s camp and construction facilities
f) Sources of natural construction materials
iv) Site topography covering the area of dam, spillway, outlet works,
diversion works, construction access and other facilities
3.3 Hydrologic Data
In order to determine the potential of a site for storing water, generating

power or, other beneficial use, a thorough study of hydrologic conditions is
required.
The hydrologic data required include the following:
i) Stream flow records, including daily discharges, monthly volumes

and momentary peaks
ii) Stream flow and reservoir yield
iii) Project water requirements, including allowances for irrigation and
power, conveyance losses, reuse of return flows, dead storage
requirements for power, recreation, fish, wildlife etc.
iv) Flood studies including inflow design floods and construction
period floods
v) Sedimentation and water quality studies including sediment
measurements, analysis of dissolved solids etc.
vi) Data on ground water tables in the vicinity of the reservoir and
dam site.
vii) Water rights, including inter-state and international treaty effects.
3.4 Reservoir Capacity and Operation
Dam designs and reservoir operating criteria are related to reservoir capacity
and anticipated reservoir operations. The loads and loading combinations to
be applied to the dam are derived from the several standard reservoir water
surface elevations. Reservoir capacity and reservoir operations are used to
properly size spillway and outlet works.
Reservoir design data required for the design of dam and its appurtenant
works are:
Page 138 Page 78

1) Area – Capacity curves and/or tables

2) Topographic map of reservoir area
3) Geological information pertinent to reservoir tightness
4) Reservoir storage allocations and corresponding elevation
5) Required outlet capacities of respective reservoir water surfaces
and sill elevations etc.
6) Annual reservoir operation tables or charts
7) Method of reservoir operations for flood control, maximum
permissible releases consistent with safe channel capacity
8) Anticipated wave action, wind velocity, fetch etc.
9) Anticipated occurrence and amount of ice, floating debris etc.
10) Physical, economic or, legal limitations to maximum reservoir
water surface.
3.5 Climate Effects
Climate conditions at a site affect the design and construction of the dam.
Measures to be employed during construction to prevent cracking of concrete
are related to ambient temperatures at site.
The data on climate conditions considered as part of design data are :
1) Records of mean monthly maximum, mean monthly minimum and

mean monthly air temperatures at site
2) Daily maximum and minimum air temperatures
3) Daily maximum and minimum river water temperatures
4) Amount of annual variance in rainfall and snowfall
5) Wind velocities and prevailing direction
3.6 Construction Materials
Construction of a gravity dam requires availability of suitable aggregates in

sufficient quantity. Aggregates are usually processed from natural deposits
of sand, gravel and cobbles or, may be crushed from suitable rock.
Data required on construction materials are:
1) Sources of aggregate
2) Water for construction purposes
3) Results of sampling, testing and analysis of construction materials
4) Information on potential sources of soils, sand and gravel to be
used for backfill, road surface, protection of slope etc.
3.7 Site Selection
The two most important considerations in selecting a dam site are:
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1) the site must be adequate to support the dam and appurtenant

structures
2) the area upstream of site must be suitable for a reservoir
The following factors should be considered in selecting the best site out of
several alternatives:
1) Topography : A narrow site to minimize amount of material in

the dam, thus reducing its cost
2) Geology : Dam foundation should be relatively free of major

faults and shears
3) Appurtenant : Selecting a site which will better accommodate the

Structures appurtenant structures to reduce overall cost
4) Local conditions Sites requiring relocation of existing facilities like

roads, railway, power lines, canals increase overall
cost.
5) Access: Difficult access may require construction of

expensive roads, thus increasing the cost.
3.8 Configuration of Dam
A gravity dam is a concrete structure designed so that its weight and

thickness ensure stability against all the imposed forces.
Non-overflow section
The downstream face is usually a uniform slope, which, if extended, would

intersect the vertical upstream face at or near the maximum reservoir level.
The upper portion of the dam must be thick enough to resist the shock of
floating objects and to provide space for a roadway. The upstream face will
normally be vertical. However, the thickness in the lower part may be
increased by an upstream batter, if required. The base width (thickness) is an
important factor in resisting the sliding and may dictate the d/s slope.
Overflow section
Spillway may be located either in the abutment or in the dam. Section of

spillway is similar to NOF section but modified at top to accommodate the
crest and at the toe to accommodate the energy dissipater. The elevation of
crest and its shape is determined by hydraulic requirements.
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3.9 Foundation Investigation
The purpose of a foundation investigation is to provide data necessary to

properly evaluate a foundation. Basic data to be obtained during appraisal
investigation, with refinement continuing until construction is complete are:
1) Dip, strike, thickness, composition and extent of faults and shears

2) Depth of overburden
3) Depth of weathering
4) Joint orientation and continuity
5) Tests of foundation rock viz.
Physical Properties Tests

- Compressive Strength
- Elastic modulus
- Poisson’s ratio
- Bulk specific gravity
- Porosity
- Absorption
Shear Tests
- Direct shear
- Triaxial Shear
- Sliding friction
Other Tests
- Solubility
- Petrographic Analysis
3.10 Construction Aspects
Construction aspects that should be considered in the design stage are:
- Adequacy of area for construction plant and equipment

- Permanent access roads to facilitate construction activities
- Length of construction seasons
- Construction schedule developed by CPM, PERT etc.
4.0 Design Criteria - Stability Analysis

4.1 Requirements for Stability
The following are the basic requirements of stability for a gravity dam:
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i) Dam shall be safe against sliding at any section in the dam/dam

foundation interface/within the foundation.
ii) Safe unit stresses in concrete/masonry shall not be exceeded.
iii) Dam shall be safe against overturning
4.2 Basic Assumptions
For stability analysis the following assumptions are made:
i) That the dam is composed of individual transverse vertical elements

each of which carries its load to the foundation without transfer of load
from or to adjacent elements.
ii) That the vertical stress varies linearly from upstream face to
downstream face on any horizontal section.
4.3 Load Combinations
The following loading combinations have been prescribed by IS:6512 for

stability analysis:
Combination A Dam completed but no water in reservoir and no tail

(Construction water
condition)
Combination B Reservoir at full reservoir elevation, normal dry weather
(Normal operating tail water, normal uplift and silt.
condition)
Combination C Reservoir at maximum flood pool elevation, all gates
(Flood Discharge open, tail water at flood elevation, normal uplift and silt
condition)
Combination D Combination A with earthquake
Combination E Combination B with earthquake
Combination F Combination C with extreme uplift (Drains inoperative)
Combination G Combination E with extreme uplift (Drains inoperative)
4.4 Forces acting on a gravity dam
The various external forces considered to be acting on a gravity dam are:

1. Dead loads
2. Reservoir and Tail water loads
3. Uplift pressures
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4. Earthquake forces
5. Silt pressures
6. Ice pressure
7. Wave pressure
8. Thermal loads, if applicable
Dead Loads
Self weight of dam and weight of appurtenant works such as, spillway piers,
gates, hoists, spillway bridge etc. are considered for computing the dead
loads. The unit weights adopted in preliminary designs are 2.3 t/m3 for
masonry and 2.4 t/m3 for concrete.
Reservoir & Tail Water Loads
The load due to reservoir water is calculated using hydrostatic triangular

pressure distribution and taking unit weight of water as 1 t/m3. The weight of
flowing water over spillway is neglected. The load due to tail water is
calculated by taking tail water pressure corresponding to tail water elevation
in case of NOF sections and for a reduced value in case of OF sections
depending on the E.D.A.
Silt Pressures
The deposited silt may be taken as equivalent to a fluid exerting a force with a
unit weight 0.36 t/m3 in horizontal direction and 0.925 t/m3 in vertical
direction. Thus the horizontal silt and water pressure is determined as if silt
and water have a horizontal unit weight of 1.36 t/m3 and vertical silt and
water pressure is determined as if silt and water have a vertical unit weight of
1.925 t/m3.
Uplift Pressures
Water seeping through the pores, cracks and fissures of the foundation
material, and water seeping through the body of the dam exert an uplift
pressure on the base of the dam. It is assumed to act over 100% of the area of
base and assumed to vary linearly from upstream to downstream
corresponding to water heads. However, in case drainage galleries are
provided, there is a relief of uplift pressure at the line of drain equal to two-
thirds the difference of the hydrostatic heads at upstream and downstream. It
is assumed that uplift pressures are not affected by earthquakes.
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Earthquake forces (Ref: IS 1893 – 1984)
Earthquake forces are determined as per IS:1893. Design seismic coefficients

in horizontal and vertical direction are worked out as per the above code
based on the location of the project on the seismic map of India.
Design horizontal seismic coefficient (α h)
1. By Seismic Coefficient Method (for dams upto 100 m high)
αh = βIαo
where,
αh = Design Horizontal Seismic Coefficient

αo = Basic Horizontal Seismic Coefficient (from Table 2, IS:1893)
I = Importance factor of the structure (3.0 for dams)
β = Coefficient depending upon soil foundation system
(1.0 for dams)
2. By Response Spectrum Method (For dams higher than 100 m)
α h = β I FoSa/g
where,
Fo = Seismic Zone factor for average acceleration spectra (from

Table 2, IS:1893)
Sa/g = Average Acceleration coefficient read from Fig. 2, IS:1893 for
appropriate natural period and damping.
Design vertical seismic coefficient
The design vertical seismic coefficient is taken as half the design horizontal
seismic coefficient.
Inertia forces on the dam
A triangular distribution of acceleration is prescribed for determining inertia

forces on the dam. For horizontal inertia forces 1.5 times the design
horizontal seismic coefficient is assumed at the top of the dam varying to zero
at the base. For vertical inertia forces also 1.5 times the design vertical seismic
coefficient is assumed at the top of the dam varying to zero at the base.
Hydrodynamic Pressure on the dam
The basic work in this regard has been done by Westergaard. Subsequently
Zanger in 1952 presented formulas for computing hydrodynamic pressures
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exerted on vertical and sloping faces by horizontal earthquake effects. Based

on Zanger’s work, IS:1893 gives the procedure for calculating hydrodynamic
pressure on the dam.
Effects of Horizontal Earthquake Acceleration
Due to horizontal acceleration of the foundation and dam there is an

instantaneous hydrodynamic pressure (or suction) exerted against the dam in
addition to hydrostatic forces. The direction of hydrodynamic force is
opposite to the direction of earthquake acceleration. Based on the assumption
that water is incompressible, the hydrodynamic pressure at depth y below the
reservoir surface shall be determined as follows :
p = Csα h wh
where,
p = hydrodynamic pressure in kg/m² at depth y,

Cs = coefficient which varies with shape and depth
α h = design horizontal seismic coefficient
w = unit weight of water in kg/m³, and
h = depth of reservoir in m.
The approximate values of Cs for dams with vertical or constant upstream

slopes may be obtained as follows :
Cm  y  y y y  
Cs =  2 −  + 2 − 
2  h  h h h  
where,
Cm = maximum value of Cs obtained from Fig.10, IS:1893

y = depth below surface in m, and
h = depth of reservoir in m
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Fig. 1 : Maximum Values of Pressure Coefficient (Cm)

for Constant Sloping Faces
The approximate values of total horizontal shear and moment about the
center of gravity of a section due to hydrodynamic pressure are given by the
relations :
Vh = 0.726 py
Mh = 0.299 py²
where
Vh = hydroldynamic shear in kg/m at any depth, and
Mh = moment in kg.m/m due to hydrodynamic force at any depth y.
Inertia forces on the dam
1. Seismic coefficient method (For dams upto 100 m high)
A triangular distribution of acceleration is prescribed for determining inertia

forces on the dam. For horizontal inertia forces 1.5 times the design
horizontal seismic coefficient is assumed at the top of the dam varying to zero
at the base. For vertical inertia forces also 1.5 times the design vertical seismic
coefficient is assumed at the top of the dam varying to zero at the base. The
design vertical seismic coefficient is taken as half the design horizontal
seismic coefficient.
2. Response Spectrum Method (For dams more than 100 m high)
The fundamental period of vibration is calculated as under :
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T = 5.55 H2/B (Wm/g/Es)0.5
where,
T = Fundamental period of vibration of the dam in secs.

H = Height of the dam in meters
B = Base width of the dam in meters
Wm = Unit weight of material of dam in kg/m≥
g = Acceleration due to gravity in m/sec″
Es = Modulus of Elasticity of material in kg/m″
Damping used for concrete dams = 5%
The design horizontal seismic coefficient is calculated using the above time
period and for a damping of 5% from the average acceleration spectra given
in IS:1893.
The basic shear and moment due to the horizontal inertia forces is obtained by
the formulae given below:
Base shear = VB = 0.6 W. α h

Base Moment = MB = 0.9 W.hCG α h
where,
W = Self weight of dam in kg

hCG = Height of C.G. of dam above base in meters
αh = Design Horizontal Seismic Coefficient
The vertical inertia forces are calculated using the same distribution as
outlined in seismic coefficient method but using the seismic coefficient as
calculated above.
5.0 Check for permissible stresses
Check for Compressive Stresses
1. Concrete
• Strength of concrete after 1 year should be 4 times the maximum

computed stress in the dam or 14 N/mm″ whichever is more.
• Allowable working stress in any part of the structure shall not exceed 7
N/mm″.
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2. Masonry
• Strength of masonry after 1 year should be 5 times the maximum

computed strength in the dam or 12.5 N/mm″ which is more.
• Compressive strength of masonry can be determined by compressing
to failure 75 cm cubes (or 45 cm x 90 cm cylinders) cored out of the
structures.
Check for Tensile Stresses
Nominal tensile stresses permitted in concrete/masonry gravity dams (as

per is: 6512)
Load Combination Permissible Tensile Stress

Concrete dams Masonry dams
A Small Tension Small Tension
B No Tension No Tension
C 0.01 fc 0.005 fc
D Small Tension Small Tension
E 0.02 fc 0.01 fc
F 0.02 fc 0.01 fc
G 0.04 fc 0.02 fc
where, fc = Cube Compressive Strength of Concrete/Masonry
6.0 Check for Sliding
The dam should be safe against sliding across any plane/combination of

planes passing through:
- The body of the dam

- Dam foundation interface
- Foundation
The partial factors of safety against sliding as per IS:6512 are given below:
Loading Fφ Fc
Condition
For dams and the For foundation
Contact plane with Thoroughly Others
Foundation investigated
A,B,C 1.5 3.6 4.0 4.5
D,E 1.2 2.4 2.7 3.0
F,G 1.0 1.2 1.35 1.5
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The factor of safety against sliding shall be computed from the following
equation and it shall not be less than 1.0.
(W – U) tan φ + c.A
F= Fφ Fc
P
Where,
F = factor of safety against sliding

W = total mass of the dam
U = total uplift force
tan φ = coefficient of internal friction of the material
c = cohesion of the material at the plane considered
A = area under consideration for cohesion
Fφ = partial factor of safety in respect of friction
Fc = partial factor of safety in respect of cohesion, and
P = total horizontal force
7.0 Freeboard
Free Board is the vertical distance between the top of the dam and the still
water level. Freeboard is computed from the following two considerations:
Wave height considerations
It is equal to wind set up plus 1 1/3 times the wave height above FRL or
above MWL (corresponding to design flood) whichever gives higher dam top
level. A minimum freeboard of 1m above MWL corresponding to design
flood shall be available. If design flood is not equal to PMF then the top of
dam should be at least equal to MWL corresponding to PMF. At least 1m high
solid parapet is to be provided, not withstanding the above requirements.
Wind velocity generally assumed as below in absence of meteorological data:

For FRL condition - 120 km/hr
For MWL condition - 80 km/hr
T. Saville’s method as given in IS:6512-1984 is used for calculating the wave
height/freeboard.
Operation considerations
IS:11223 specifies the following:
The freeboard as specified in IS: 6512 shall be available at FRL and MWL
corresponding to all bays operative condition. For gated spillways a
contingency of 10% of gates (min. one gate) being inoperative is considered as
an emergency. A reduced freeboard may be acceptable under the emergency
condition. The dam shall not be allowed to overtop in any case.
Page 149 Page 89

Design of Spillways
A.K. Nayak
SE(HOC), CWC,
Bhubaneswar
1.0 GENERAL
Spillway is a safety valve provided in the dam to dispose of surplus flood waters from a
reservoir after it has been filled to its maximum capacity i.e. Full Reservoir Level.
The importance of safe spillways needs no over-emphasis as many failures of dams have
been caused by improper design of spillways or spillways of insufficient capacity
especially in case of earth and rockfill dams which are susceptible to breaching, if
overtopped. Concrete/Masonry dams can withstand moderate overtopping but this
should be avoided.
Further, the spillway must be hydraulically and structurally adequate and must be so
located that the overflowing discharges do not erode or undermine the downstream toe
of the dam.
2.0 SELECTION OF DESIGN FLOOD
The spillway design flood is generally determined by transposing great storms which
have been known to occur in the region over the drainage area. The resulting flood
hydrographs are then determined by rational methods. In determining the discharge
capacity consideration should be given to all possible contingencies, e.g. one or more
gates being inoperative.
IS : 11223 – 1985 provides guidelines for fixing spillway capacity. Inflow design flood for
the safety of the dam is guided by the following criterion:
The dams may be classified according to size by using the hydraulic head and the gross
storage behind the dam as given below. The overall size classification for the dam
would be the greater of that indicated by either of the following two parameters:
Classification Gross Storage Hydraulic Head
Small 0.5 to 10 million m³ 7.5 to 12 m

Intermediate 10 to 60 million m³ 12 to 30m
Large Above 60 million m³ Above 30 m
The inflow design flood for safety of the dam would be as follows:
Size of dam Inflow Design Flood for safety of dam
Small 100 years flood

Intermediate Standard Project Flood (SPF)
Large Probable Maximum Flood (PMF)
Floods of larger or smaller magnitude may be used if the hazard involved in the
eventuality of a failure is particularly high or low. The relevant parameters to be
considered in judging the hazard in addition to the size would be:
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i) Distance and location of human habitations on the downstream after

considering the likely future developments
ii) Maximum hydraulic capacity of the downstream channel
For more important projects dam break studies are done as an aid to the judgement in
deciding whether PMF needs to be used. Where the studies or judgement indicate an
imminent danger to present or future human settlements, the PMF should be used as
design flood.
2.1 Standard Project Flood (SPF)
It is the flood that may be expected from the most severe combination of hydrological
and meteorological factors that are considered reasonably characteristic of the region
and is computed by using the Standard Project Storm (SPS). While transposition of
storms from outside the basin is permissible, very rare storms which are not
characteristic of the region concerned are excluded in arriving at the SPS rainfall of the
basin.
2.2 Probable Maximum Flood (PMF)
It is the flood that may be expected from the most severe combination of critical
meteorological and hydrological condition that are reasonably possible in the region and
is computed by using the Probable Maximum Storm (PMS) which is an estimate of the
physical upper limit to maximum precipitation for the basin. This is obtained from the
transposition studies of the storms that have occurred over the region and maximizing
them for the most critical atmospheric conditions.
3.0 FLOOD ROUTING
The process of computing the reservoir storage volumes and outflow rates
corresponding to a particular hydrograph of inflow is known as flood routing. It is used
for arriving at the MWL for the project. The relationship governing the computation is
essentially simple – over any interval of time the volume of inflow must equal the
volume of outflow plus the change in storage during the period. If the reservoir is rising,
there will be increase in storage and change in storage will be positive, if the reservoir is
falling, there will be decrease in storage and the change in storage will be negative.
For an interval of time ∆t, the relationship can be expressed by the following expression:
I .∆t − O.∆t = ∆S
Where,
I = Average rate of inflow during time equal to ∆t
O = Average rate of outflow during time equal to ∆t
∆S = Storage accumulated during time equal to ∆t
The following three curves are required for carrying out the computations:
a) The inflow flood hydrograph

b) The reservoir capacity curve
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c) The rating curve showing the total rate of outflow through outlets and over
the spillway against various reservoir elevations
Flood routing in gated spillways is generally carried out assuming the flood to impinge
at FRL assuming inflow equal outflow to at that level. For ungated spillways this would
correspond to the spillway crest or a little above this.
The methods generally adopted for flood routing studies are:
i) Trial and Error Method

ii) Modified Puls Method
3.1 Trial and Error Method
This method arranges the basic routing equation as follows:

I1 + I 2 O + O2
.∆t = 1 .∆t + (S 2 − S1 )
2 2
The procedure involves assuming a particular level in the reservoir at the time interval
∆t, and computing the values on the right side of the above equation. The computed
value on the right side of the equation, corresponding to the assumed reservoir level, is
compared with the known value on the left side of the equation. If the two values tally,
then the assumed reservoir level at the end of the time interval is OK; otherwise a new
reservoir level is assumed and the process is repeated till the required matching is
obtained.
This method gives quite reliable results, provided the chosen time interval is sufficiently
small, so that the mean of the outflow rates at the start and the end of the interval may be
taken as the average throughout the interval.
3.2 Modified Puls Method
This method arranges the basic routing equation as below so that the knowns are placed
on the left side and unknowns are placed on the right side of the equation.
 I 1 + I 2   S1 O1   S 2 O2 
 + −  = + 
 2   ∆t 2   ∆t 2 
Since this equation contains two unknowns it cannot be solved unless a second
independent function is available. In the modified Puls method, a storage-indication
curve viz. outflow O versus the quantity (S/∆t+O/2) is constructed for the purpose.
In the above equation, it may be noted that subtracting O2 from (S2/∆t+O2/2) gives
(S2/∆t-O2/2). This expression is identical to (S1/∆t-O1/2) on the left side of the equation
except for the subscripts. Since the subscript 1 denotes values at the beginning of a time
increment and subscript 2 denotes values at the end of a time increment, it is apparent
that (S2/∆t-O2/2) at the end of one time increment is numerically equal to (S1/∆t-O1/2)
for the beginning of the succeeding time increment.
The detailed routing procedure is as follows:
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i) Compute the numerical value of left side of the equation for given values of I1, I2,
S1 and O1 for the first time increment.
ii) With this numerical value, which equals (S2/∆t+O2/2), refer storage-indication
curve and read outflow O2 corresponding to this computed value of
(S2/∆t+O2/2). The O2 thus read is the instantaneous outflow at the end of the first
time increment.
iii) Subtract this value of O2 from (S2/∆t+O2/2), which gives the value for (S2/∆t-
O2/2). The value of (S1/∆t-O1/2) for the second time increment is equal to (S2/∆t-
O2/2) for the first time increment. Consequently the left side of the equation can
be computed for the second time increment and the entire procedure is repeated.
4.0 TYPES OF SPILLWAYS
Spillways can be classified as controlled or uncontrolled depending upon whether they

are gated or ungated. Further they are also classified based on other prominent features
such as control structure, discharge channel or some such other components.
The common types of spillways used are:

i) Overfall or Ogee
ii) Orifice or sluice
iii) Chute or trough
iv) Side channel
v) Tunnel/Shaft or Morning Glory
vi) Siphon
4.1 Overfall or Ogee Spillway
The overfall type is by far the most common and is adapted to masonry dams that have
sufficient crest length to provide the desired capacity.
This type comprises a control weir which is ogee or S-shaped. The ogee shape conforms
to the profile of aerated lower nappe from a sharp crested weir. The upper curve at the
crest may be made either broader or sharper than the nappe. A broader curve will
support the sheet and positive hydrostatic pressure will occur along the contact surface.
The support sheet thus creates a backwater effect and reduces the coefficient of
discharge. The sharper crest on the other hand creates negative pressures, increases the
effective head and thereby the discharge.
These spillways are generally provided in Masonry/Concrete dams and also in

composite dams as central spillways located in the main river course. Examples are
Bhakra dam, Rihand dam, Sriram Sagar dam, Nagarjunasagar dam, Jawahar Sagar dam,
Tenughat dam, Srisailam dam, Tawa dam, Ukai dam etc.
A typical ogee spillway is shown in figure below:
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4.2 Orifice Spillway
Low crested spillways with either breast wall or sluice type arrangements are now
increasingly being provided for flushing out the silt and controlling the silt entry in the
power intake which is kept above the spillway crest. These spillways are called orifice or
sluice spillways (See figures below).
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The orifice spillways have the advantage of having high discharging capacity due to the
high water head. At sites where only a limited area and relatively short length of suitable
foundation material are available for the spillway structure, the orifice spillway offers
the most economic means of passing the design flood. However, the orifice spillways
result in high flow concentration, which increases the size and cost of energy dissipation
work below.
Orifice spillways are being provided in many of our diversion dams recently in rivers
carrying heavy silt load. The power intake is kept above the spillway crest and as close
to the spillway as possible. This kind of spillway arrangements thus performs the dual
function of passing the flood and managing the sediment in the reservoir.
Examples of spillways with breast wall type arrangements are in Ranganadi H.E. Project
(Arunachal Pradesh), Chamera H.E. Project Stage-I (Himachal Pradesh), Rangit H.E.
Project Stage-III (Sikkim) etc. and that of sluice spillways are in Tala H.E. Project
(Bhutan), Nathpa Jhakri H.E. Project (Himachal Pradesh), Myntdu H.E. Project Stage-I
(Meghalaya) etc.
4.3 Chute Spillway
A spillway where discharge is conveyed from the reservoir to the downstream river
through an open channel or chute along a dam abutment or through a saddle is called a
chute or trough spillway. The chute is the commonest type of water conductor used for
conveying flow between control structures and energy dissipators. Chute can be formed
on the downstream face of gravity dams, cut into rock abutments and either concrete-
lined or left unlined and built as free-standing structures on foundations of rock or soil.
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These are mostly used with earth/rockfill dams and have the following main
advantages:
i) Simplicity of design
ii) Adaptability to all types of foundations and
iii) Overall economy by using large amount of spillway excavation in dam
construction
Examples of chute spillways are Beas Dam, Ram Ganga Dam, Kolar Dam, Tehri Dam etc.
A typical chute spillway is shown in figure below:
4.4 Side Channel Spillway
The distinctive feature of side channel spillway which distinguishes it from chute
spillway is that whereas in the chute spillway the water flows at right angle to the axis of
the dam, in the side channel spillway, the flow is initially in a channel parallel to the axis
of the dam and thereafter it flows in a discharge channel at approximately right angle to
the dam axis.
This type of spillway is suited to narrow canyons with steep sides which rise to a
considerable height above the dam. This type of spillway is also provided at sites where
the overfall type is ruled out for some reason and where saddle of sufficient width is not
available to accommodate a trough (chute) type spillway. It is assumed that all the
energy of the overfalling water is dissipated in turbulence in the side channel. Example
of side channel spillway is Pancheshwar Project.
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A typical layout of a side channel spillway is illustrated in figure below:
4.5 Tunnel/Shaft or Morning Glory Spillway
In this type of spillway water enters over the lip of a horizontal circular crest and drops
through a vertical or sloping shaft and then flows downstream through a horizontal
conduit or tunnel. The spillway is suitable to dam sites in narrow canyons where room
for a spillway restricted.
In some instances advantage of the existing diversion tunnel has been taken for
conversion into tunnel spillway. A disadvantage of this type is that the discharge beyond
a certain point increases only slightly with increased depth of overflow and therefore
does not give much factor of safety against underestimation flood discharge as
compared to the other types.
Examples of Tunnel/Shaft spillways are Tehri Dam, Itaipau Dam etc. A typical
Tunnel/Shaft Spillway is shown in figure below:
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4.6 Siphon Spillway
Siphon spillways are based on the principle of siphonic action in an inverted bent pipe.
If such pipe is once filled with water, it will continue to flow so long as the liquid surface
is higher than the lower leg of the pipe unless of course, the upper leg gets exposed
earlier.
Siphon spillways are often superior to other forms where the available space is limited
and the discharge is not extremely large. They are also useful in providing automatic
surface-level regulation within narrow limits. The siphon spillways prime rapidly and
bring into action their full capacity. Therefore, they are especially useful at the power
house end of long power channels with limited forebay capacity where a considerable
discharge capacity is necessary within a very short time in order to avoid overflow of the
channel banks.
However, siphon spillways are not very common mainly because of:
i) Possibility of clogging of the siphon passage way and siphon breaker vents
with debris, leaves etc.
ii) The occurrence of sudden surges and stoppages of outflow as a result of the
erratic make and break action of the siphon, thus causing fluctuations in the
downstream river stage.
iii) The release of outflows in excess of reservoir inflows whenever the siphon
operates, if a single siphon is used. Closer regulation which will more nearly
balance outflow and inflow can be obtained by providing a series of smaller
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siphons with their siphon breaker vents set to prime at gradually increasing
reservoir heads.
iv) Vibration disturbances which are more pronounced than in other types of
spillways.
A siphon spillway through a dam is shown in figure below:
5.0 HYDRAULIC DESIGN OF OVERFALL OGEE SPILLWAYS (Refer IS: 6934)
Overfall ogee spillway has its overflow profile conforming, as nearly as possible, to the
profile of the lower nappe of a ventilated jet of water over a sharp crested weir. These
spillways are classified as high and low depending on whether the ratio of height of the
spillway crest measured from the river bed to the design head is greater than or equal or
less than 1.33 respectively. In the case of high overflow spillways the velocity of
approach head may be considered negligible.
5.1 Shape of Ogee Profile
i) Spillways with vertical upstream face
Upstream Quadrant
The upstream quadrant of the crest may conform to the ellipse:
2 2
 X 1   Y1 
  +   = 1
 1   B1 
A
The magnitude of A1 and B1 are determined from the graph P/Hd vs A1/Hd and B1/Hd
respectively in fig.2 of IS:6934, where,
P = Height of crest from the river bed
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Hd = Design Head
Downstream Quadrant
The downstream profile of the crest may conform to the equation:
= K 2 .H d
1.85 0.85
X2 .Y2
The magnitude of K2 is determined from the graph P/Hd vs K2 in fig.2 of IS:6934.
ii) Spillways with sloping upstream face
In the case of sloping upstream face, the desired inclination of the face is fitted
tangentially to the elliptical profile described under (i) above, with the appropriate
tangent point worked out from the equation. The profile of the downstream quadrant
remains unchanged.
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Figure 2 – IS:6934
iii) Spillways with crest offsets and risers
Whenever structural requirements permit, removal of some mass from the upstream face
leading to offsets and risers as shown in fig.1 of IS:6934 results in economy. The ratio of
risers M to the design head Hd i.e. M/Hd should be at least 0.6 or larger, for the flow
condition to be stable. The shapes of u/s and d/s quadrants defined for spillways with
vertical upstream face are also applicable to overhanging crests, for the ratio M/Hd > 0.6.
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5.2 Discharge Computations
The discharge over the spillway is generally computed by the equation

2
Q= 2 g C.L.H 3 / 2
where, 3
C = Coefficient of Discharge
L = Effective length of crest
H = Head over crest
i) Effective Length of Overflow Crest
The net length of overflow crest is reduced due to contraction caused by abutment and
crest piers. The effective length L of the crest may be calculated as follows:
L = L' − 2 H ( N .K p + K a )
where,
L’ = Overall length of the crest excluding piers
H = Head over crest
N = Number of piers
Kp = End contraction coefficient of piers
Ka = End contraction coefficient of abutment
The pier contraction coefficient, Kp is affected by the shape and location of the pier nose,
thickness of pier, the actual head in relation to the design head and the approach
velocity. The average pier contraction coefficients may be taken as follows:
Type Kp
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Square-nosed piers with rounded corners 0.02

of radius about 0.1 times pier thickness
Round-nosed piers 0.01
Pointed-nosed piers 0.0
The abutment contraction coefficient, Ka is affected by the shape of the abutment, the
angle between the upstream approach wall and the axis of flow, the actual head in
relation to the design head and the approach velocity. The average abutment coefficient
may be taken as follows:
Type Ka
Square abutments with head wall at 90o to 0.2

direction of flow
Rounded abutments with head wall at 90o 0.1

to direction of flow, when 0.5Hd > R >
0.15Hd
Rounded abutments where R > 0.5Hd and 0.0

head wall not more than 45o to direction
of flow
ii) Coefficient of Discharge
The value of coefficient of discharge depends on the following:
a) Shape of the crest

b) Depth of overflow in relation to design head
c) Depth of approach
d) Extent of submergence due to tail water
e) Inclination of the upstream face
Fig. 3 of IS:6934 gives the coefficient of discharge C for the design head as a function of
approach depth and inclination of upstream face of the spillway. These curves can be
used for preliminary design purposes.
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Fig. 4 of IS:6934 gives the variation of coefficient of discharge as a function of ratio of the
actual head to the design head (i.e. H/Hd). This curve can be used to estimate C for
heads other than design head.
The coefficient of discharge is reduced due to submergence by the tail water. The
position of the downstream apron relative to the crest level also has an effect on the
discharge coefficient. Fig. 5A and 5B of IS:6934 give the variation of C with the above
parameters.
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iii) Design Head
When the ogee crest is formed to a shape differing from the ideal shape or when the crest
has been shaped for a head larger or smaller than the one under consideration, the
coefficient of discharge will differ.
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A design head grater than the actual head will push the crest surface into the theoretical
nappe and result in greater pressure along the curved surfaces and in lower discharge
capacities. Conversely, a design head lower than the actual head pulls the crest surface
below the theoretical nappe, resulting in sub-atmospheric pressures over some portion
of the crest curve. At the same time the discharge capacity of such a crest curve is
increased.
Excessive sub-atmospheric pressures can result in pulsating, inefficient spillway

operation, and possibly damage to the structure as a result of cavitations. A certain
amount of sub-atmospheric pressure can be attained without undesirable effects. Figure
provides a guide for determining the minimum pressures on the crest for various ratios
of design head and actual head on the crest.
Designing the crest shape to fit the nappe for a head less than maximum head expected
often results in economies in construction. The resulting increase in unit discharge may
make possible a shortening of the crest length, or a reduction in freeboard allowance for
reservoir surcharge under extreme flood conditions.
Because the occurrence of design floods is usually so infrequent, the spillway crests are
fitted to the lower nappe of a head which is 75% of that resulting from the actual
discharge capacity. Tests have shown that the sub-atmospheric pressures on a nappe-
shaped crest do not exceed about half of the design head when the design head is not
less that about 75% of the maximum head. An approximate diagram of the sub-
atmospheric pressures, as determined from model tests, is shown by figure. The design
head is normally kept as 80% to 90% of the maximum head corresponding to MWL.
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The minimum crest pressure must be greater than cavitation pressure. It is suggested
that the minimum pressure allowable for design purposes be 20ft of water below sea
level atmospheric pressure and that the altitude of the project site be taken into account
in making the calculation. For example, assume a site where the atmospheric pressure if
5ft of water less than sea level pressure, and in which the maximum head contemplated
is 60ft; then, only 15 additional feet of sub-atmospheric pressure is allowable.
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DESIGN OF ENERGY DISSIPATORS

1.0 General
The waters flowing down the spillway have very high energy. The same if not dissipated
can cause considerable erosion/scour downstream which can endanger the dam stability.
It is, therefore, necessary to provide adequate downstream protection work or energy
dissipation arrangements (EDA) for dissipating the energy downstream of the spillway
and minimize erosion of natural river bed.
As per IS : 11223 – 1985 “Guidelines for fixing spillway capacity”, the energy dissipation
works should be designed for a flood which may be lower than the inflow design flood
for the safety of the dam. The E.D.A. should be designed to work most efficiently for
dominant floods. The designs are invariably checked for lower discharges which would
correspond to various percentages of the dominant flood.
The problem of designing energy dissipators is one essentially of reducing the high
velocity of flow to a velocity low enough to minimize erosion of downstream river bed.
This reduction in velocity may be accomplished by any or a combination of the
following, depending upon the head, discharge intensity, tail water conditions and the
type of the bed rock or the bed material.
The Energy Dissipation Arrangements generally adopted consist of :

i) Stilling Basin
a) Horizontal apron type
b) Sloping apron type
ii) Bucket Type Energy Dissipators

a) Solid Roller Bucket
b) Slotted Roller Bucket
c) Flip/Ski Jump Bucket
2.0 Stilling Basin
These are one of the most efficient and commonly adopted Energy Dissipation
Arrangements. In stilling basins, the energy is dissipated through the well known
phenomenon of hydraulic jump which is the most effective way of dissipating the energy
of flowing water. The simplest kind of protection could be used if a jump would form at
all stages on a horizontal floor, at the stream-bed level, extending from the dam to the
downstream end of the jump. The height of the tail water for each discharge seldom
corresponds to the height of a perfect jump. In some cases the sloping apron will permit a
hydraulic jump to form at proper depth within the limits of the apron throughout the
entire range of spillway discharges and corresponding tail water depths.
IS : 4997 – 1968 (reaffirmed 1995) gives the criteria for design of hydraulic jump type
stilling basins with horizontal and sloping aprons.
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2.1 Stilling Basin with Horizontal Apron
When the tail water rating curve approximately follows the hydraulic jump curve or is
slightly above or below it, then hydraulic jump type stilling basin with horizontal apron
provides the best solution for energy dissipation. In this case the requisite depth may be
obtained on an apron near or at the ground level which is quite economical. For spillways
on weak bed rock and weirs and barrages on sand or loose gravel, hydraulic jump type
stilling basins are recommended.
Hydraulic Jump type stilling basins with horizontal apron may be classified into the
following two categories:
a) Stilling basin in which the Froude number of the incoming flow is less than 4.5.
This case is generally encountered on weirs and barrages. The basin is called
Basin-I.
b) Stilling basins in which the Froude number of the incoming flow is greater than
4.5. This case is generally encountered in dams. This basin is called Basin-II.
Design Criteria
Factors involved in the design of stilling basins include the determination of the elevation
of the basin floor, the basin length and basin appurtenances.
Determination of Level of Basin Floor
Knowing HL and q; Dc, D1 and D2 can be determined from the following formulae or
from fig.7 of IS:4997:
(D2 − D1 ) 3  q2 
1/ 3
HL = Dc =  
4 D1 D2  g 
2
D1 2q 2 D1
D2 = − + +
2 D1 g 4
where,
HL = Head Loss
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D1 = Prejump depth
D2 = Post jump depth
q = Discharge per unit length
g = Acceleration due to gravity
Having obtained D1 & D2, the elevation of basin floor may be calculated.
Basin – I
Requirements of basin length, depth and appurtenances for basin-I are as under:
Basin Length and Depth: Length of basin may be determined from the curve in Fig. 8A
of IS:4997. The basin is provided with an end sill preferably dentated one. In the boulder
reach the sloping face of the end sill is generally kept on the upstream side. Generally the
basin floor should not be raised above the level required from sequent depth
consideration. If the raising of the floor becomes obligatory due to site conditions, the
same should not exceed 15% of D2 and the basin in that case should be further
supplemented by chute blocks and basin blocks. The basin blocks should not be used if
the velocity of flow at the location of basin blocks exceeds 15 m/s and in that case the
floor of the basin should be kept at a depth equal to D2 below the tail water level. The
tail water depth should not generally exceed 10% of D2.
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Basin Appurtenances: Requirements for basin appurtenances, such as chute blocks, basin
blocks and end sill are as below:
a) Chute blocks: Height and top length of chute blocks should 2D1 while width should
be D1. The spacing of chute blocks should be kept as 2.5D1 and a space D1/2 should
be left along each side wall.
b) Basin blocks: Height of basin blocks in terms of D1 may be obtained from fig.9B of
IS:4997. Width and spacing should be equal to their height. A half space is
recommended adjacent to the walls. Upstream face of the basin blocks should be
vertical. The blocks should be set at a distance of 0.8D2 downstream from chute
blocks.
c) End sill: Height of the dentated end sill should be 0.2D2. Maximum width and spacing
should be 0.15D2. In the case of a narrow basin, the width and spacing can be reduced
but in the same proportion. A dent is recommended adjacent to each side wall.
Basin – II
Requirements for basin length, depth and appurtenances for Basin-II are as under:
Basin Length and Depth: Length of the basin will be determined from the curve in Fig.
9A of IS:4997. The basin should be provided with chute blocks and end sill. The
maximum raising of the basin floor shall not exceed 15% of D2 and basin in that case will
be further supplemented by basin blocks. However, when the velocity of flow at the
location of basin blocks exceeds 15 m/s, no basin blocks are recommended and in that
case the floor of the basin should be kept at a depth equal to D2 below the tail water level.
The tail water depth should not generally exceed 10% of D2.
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Basin Appurtenances: Requirements for basin appurtenances, such as chute blocks, basin
blocks and end sill are as below:
a) Chute blocks: Height, width and spacing of chute blocks should be kept as D1. The
width and spacing may be varied to eliminate fractional blocks. A space D1/2 should
be left along each side wall.
b) Basin blocks: Height of basin blocks in terms of D1 may be obtained from fig.9B of
IS:4997. Width and spacing should be equal to three-fourth of the height. A half space
is recommended adjacent to the walls. Upstream face of the basin blocks should be
vertical. The blocks should be set at a distance of 0.8D2 downstream from chute
blocks.
c) End sill: Same as Basin I.
2.2 Stilling Basin with Sloping Apron
When the tail water is too deep as compared to the sequent depth D2, the jet left at the
natural ground level would continue to go as a strong current near the bed forming a
drowned jump which is harmful to the river bed. In such a case, a hydraulic jump type
stilling basin with sloping apron should be preferred as it would allow an efficient jump
to be formed at suitable level on the sloping apron.
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Hydraulic Jump type stilling basins with sloping apron may be classified into the
following two categories:
Basin – III: This is recommended for the case where tail water curve is higher than D2
curve at all discharges.
Basin – IV: This is recommended for the case where tail water depth at maximum
discharge exceeds D2 considerably but is equal to or slightly greater than D2 at lower
discharges.
Design Criteria
The slope and overall shape of the apron are determined from economic consideration,
the length being judged by the type and soundness of river bed downstream. The
following criteria should be used only as a guide in proportioning the sloping apron
designs.
Basin III
a) Assume a certain level at which the front of jump will form for the maximum tail
water depth and discharge.
b) Determine D1 from the known upstream total energy line by applying Burnoulli’s
theorem and calculate F1.
c) Assume a certain slope and determine the conjugate depth D’2 and length of jump
for the above Froude number from fig.5 and fig.3 of IS:6977 respectively. The
length of apron should be kept 60% of the jump length.
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d) Compare the available tail water depth with D’2. If they do not match, change the
slope or the level of upstream end of the apron or both. Several trails may be
required for arriving at final figures.
e) The apron designed for maximum discharge may then be tested for lower
discharges, say 25%, 50% and 75% of maximum discharge. If the tail water depth
is sufficient or in excess of the conjugate depth for intermediate discharges, the
design is acceptable. If not, a flatter slope at the lower apron level should be tried
or Basin IV may be adopted.
f) The basin should be supplemented by a solid or dentate end sill of height 0.05 to
0.2D’2 with an upstream slope of 2:1 to 3:1.
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Basin IV
a) Determine the discharge at which the tail water depth is most deficient.
b) For the above discharge, determine the level and length of horizontal portion of
apron by criteria for horizontal apron.
c) Assume a certain level at which the front of jump will form for the maximum tail
water depth and discharge.
d) Determine D1 from the known upstream total energy line by applying Burnoulli’s
theorem and calculate F1. Then find out the conjugate depth D2 from equation 3.3
of IS:4997.
e) Determine a suitable slope (by trial and error) so that the available tail water depth
matches the required conjugate depth D’2 determined from fig.6 of IS:4997.
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f) Determine the length of jump for the above slope from fig.3 of IS:4997. If the
sum of the lengths of inclined and horizontal portion is equal to about 60% of the
jump length, the design is acceptable. If not, fresh trials may be done by changing
the level of upstream end of jump formation.
g) The basin should be supplemented by a solid or dentate end sill of height 0.05 to
0.2D2 with an upstream slope of 2:1 to 3:1.
3.0 Bucket Type Energy Dissipators
The bucket type energy dissipators generally used are:

i) Solid Roller Bucket
ii) Slotted Roller Bucket
iii) Ski-Jump/Flip Bucket
IS:7365–1985 “Criteria for Hydraulic Design of Bucket Type Energy Dissipators” is

normally used for carrying out hydraulic design.
3.1 Solid Roller Bucket
An upturn solid roller bucket is used when the tail water depth is much in excess of the
sequent depth. The dissipation energy occurs as a result of formation of two
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complementary elliptical rollers, one in bucket proper called the surface roller, which is
anti clockwise (if the flow is to the right) and the other downstream of the bucket called
the ground roller, which is clockwise.
The hydraulic design involves determination of

a) Bucket invert elevation
b) Radius of bucket
c) Bucket lip shape and lip angle
a) Bucket Invert Elevation
Normally the invert level of a roller bucket is so fixed that the difference in the design
maximum tail water level and the invert level (d3) is between 1.1 to 1.4 times the sequent
depth (d2). It has been seen that a satisfactory energy dissipation is obtained when the
roller height (hb) is between 75 and 90 percent of the tail water depth (d3). If the
aforesaid two criteria are satisfied, then the surge height (hs) measured above the invert
level is 105 to 130 percent of the tail water d3, that is, hs/d3 = 1.05 to 1.3.
Charts at fig.4 and fig.5 of IS:7365 are used for determining the roller depth (hb) and the
surge height (hs) respectively.
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b) Radius of the Bucket
The values given in fig.4 of IS:7365 shows the range of H1/R for which good roller
action can be expected. One formula which has been found to be widely applicable for a
bucket lip angle of 45o is as under:
R
= 8.26 X 10 − 2 + 2.07 X 10 −3 FD + 1.4 X 10 −5 FD
2
H1
where,
FD = Discharge parameter q
= X 10 3
3
H1 = Reservoir Pool Level – Bucket InvertgH
level
1
There are many other empirical formulae available for calculating the radius of bucket.
The bucket radius is chosen to fall within the recommended ranges (fig.4, IS:7365)
consistent with economical and structural considerations.
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c) Bucket Lip
A flat topped lip tends to lower the jet after it leaves the lip and the size and strength of
the ground roller would reduce. This is not desirable from the point of view of prevention
of erosion near the lip. Therefore, a downstream slope of 1 in 10 or slightly steeper than
that may be given to the bucket lip. The width of the lip should not be more than one
tenth of the radius of bucket. However the minimum width may be kept as one metre.
A 45o bucket lip angle with the horizontal is generally found to be satisfactory for most
cases where the discharge parameter lies between 30 and 80.
Model studies are desirable for finalizing the parameters/arrangements.
3.2 Slotted Roller Bucket
This is an improvement over the solid roller bucket arrangement. In the slotted roller
bucket, a part of the flow passes through the slots, spread laterally and is lifted away from
the channel bottom by a short apron at the downstream end of the bucket. Thus the flow
is dispersed and distributed over a greater area resulting in a less violent flow
concentrations compared to those in a solid roller bucket. The height of boil is also
reduced in case of slotted roller bucket. The slotted roller bucket provides a self cleaning
action to reduce abrasion in the bucket.
Although a slotted roller bucket is an improvement over the solid roller bucket,
experience has shown that bucket teeth are vulnerable to damage on account of various
reasons like boulders rolling down the spillway, unsymmetric gate operation causing
heavy discharge intensities etc. Slotted roller buckets are not recommended in bouldery
stages of the river.
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The hydraulic design involves determination of

a) Bucket radius
b) Bucket invert elevation
c) Bucket lip angle
d) Tooth dimensions
a) Bucket Radius
• Calculate q, the discharge per meter width of bucket.

• Calculate vt , the theoretical velocity of flow entering the bucket using the formula,
vt = 2gH 3
where, H3 is difference in reservoir pool elevation and tail water level.
• From fig.7 of IS:7365, find va, the actual velocity of flow entering the bucket.
• Find d1=q/va and F1.
• From fig.8 of IS:7365, find minimum allowable bucket radius.
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• Find the minimum tail water depth Tmin and maximum tail water depth Tmax from fig.9
and fig.10 respectively of IS:7365.
• Set such bucket invert elevation for which tail water elevations are between tail water
depth limits.
c) Bucket lip angle
Same as solid roller bucket.
d) Tooth dimensions
• Width of tooth is kept as o.125R and spacing of tooth is kept as 0.05R, where R is the
radius of the bucket.
• Detailed tooth dimensions are given in fig.12A and fig.12B of IS:7365.
Model studies are desirable for confirming the design parameters. It shall be ensured that
the teeth perform cavitation free.
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3.3 Ski Jump Bucket
This bucket is used when the tail water depth is insufficient for the formation of hydraulic
jump and when the bed of the river channel downstream consists of sound rock capable of
withstanding the impact of high velocity jet. The flow coming down the spillway is
thrown away from the toe of the dam to a considerable distance downstream as a free
discharging upturned jet which falls on the channel bed downstream. There is no energy
dissipation within the bucket. The device is used mainly to increase the distance from the
structure to the place where the jet hits the channel bed. In the ski jump bucket, only part
of the energy is dissipated through interaction of the jet with the surrounding air. The
remaining energy is imparted to the channel bed below.
Design Criteria
The principal features of hydraulic design of trajectory bucket consist of the following:
a) Bucket shape
c) Bucket radius
d) Bucket lip elevation and exit angle
e) Trajectory length
f) Estimation of downstream scour
a) Bucket shape
The performance of the trajectory bucket is judged mainly by the trajectory height and
length of throw. Generally a circular shape is preferred from practical consideration.
This depends on the site and tail water condition. For a clear flip action, the lip should be
kept above the maximum tail water level. However this may not always be possible.
Some of the various considerations which are taken into account while fixing bucket
invert elevation are as under:
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i) A minimum concrete cover of 1.5 metes over the bed rock
ii) A submergence of not more than 70% of the sequent depth over the lip of the
bucket
iii) A safe maximum submergence equal to critical depth over the bucket lip
elevation
An attempt is made to keep the bucket invert of the trajectory bucket as high as possible
consistent with economy. The hydraulic performance is normally verified in a model.
c) Bucket radius
The radius of bucket should not be less than 3 times the maximum depth of flow (d1)
entering the bucket to avoid separation tendency.
The formula generally used for determining the radius of bucket is as under:
R = 0.6to0.8 H .H 5
where,
H = Depth of overflow over the spillway crest
H5 = Reservoir Pool Elevation – Jet Surface
Elevation at bucket invert
d) Bucket lip elevation and lip angle
The lip angle affects the horizontal throw distance. The factors affecting the horizontal
throw distance also include the initial velocity of the jet and the difference in elevation
between the lip and the tail water. Normally adopted lip angle is between 30o and 40o.
Greater the exit angle grater will be the distance of throw. However the jet impinges on
the tail water at a steeper angle which results in deeper scour. For submerged lips the
lower lip angle of 30o may be adopted to minimize sub-atmospheric pressures on the lip.
The lip shall be made flat in case tail water level is lower than the lip level. However, if
the tail water level is higher than the lip level, the lip shall slope downstream about 1 in
10. In some cases necessity of aeration may arise which may be finalized after model
studies.
e) Trajectory length
The following expression may be used for calculating the horizontal throw distance:
X Y
= Sin 2φ + 2Cosφ Sin 2φ +
Hv Hv
where,
X = Horizontal throw distance from bucket lip to the
centre – point of impact with tail water
Y = Difference between the lip level and tail water level,
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sign taken as positive for tail water below the lip level
and negative for tail water level above the lip level
Hv= Velocity head of jet at bucket lip
Φ = Bucket lip angle with the horizontal in degrees
For the conditions when Y is negative, model studies may be carried out to confirm the
value of horizontal throw distance (X) and vertical distance of throw (a).
Vertical distance of throw above the lip level may be calculated from the following
formula:
v a Sin 2φ
2
a=
2g
where,
a = Vertical distance from the lip level to the highest
point of the centre of jet
Va = Actual velocity of flow entering the bucket
Φ = Bucket lip angle
g = Acceleration due to gravity
f) Estimation of downstream scour
The factors governing scour below trajectory buckets are the discharge intensity, height
of fall, water level, lip angle, mode of operation of spillway, degree of homogeneity of
rock, type of rock, time factor etc. However, restricting the analysis of correlating the
scour depth with two dominant factors, namely discharge intensity (q) and the total head
(H4), the scour depth can be worked out by the following equation:
d s = m(qH 4 )
0.5
where,
ds = depth of scour
m = constant (0.36 for minimum scour, 0.54 probable
scour under sustained operation, 0.65 for ultimate
scour)
q = discharge intensity
H4 = reservoir pool elevation – bucket endsill elevation
Experience has shown that erosion upto the ultimate scour level will take place
irrespective of the type of rock etc. The process is merely a function of time. In case of
mega projects, pre-formed plunge pool upto the scour level is being invariably
considered.
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30 ITP
FINITE ELEMENT ANALYSIS OF DAMS
In India there are more then 5000 large dams and numerous medium and small dams
constructed for various purposes like flood forecasting, irrigation, hydropower, water
supply etc. Construction of dams for water resources development and management is
an on-going process and many more projects are at present in planning stage. Design
and analysis of dam is a vital aspect, not only for new dams but also for the old dams
requiring rehabilitation and strengthening. Dams are classified as; Gravity Dams, Arch
dam, Buttress dam and Embankment (Earth &Rockfill)dams. The type of dam
depends on construction materials used, method of construction, etc. The design
procedure and criteria used for different type of dams is specified in relevant design
codes.
The Gravity Dams are designed with a consideration that all forces coming upon the
body of the dam are resisted by its weight alone. Whereas, in the Arch Dam forces
are transmitted to the thrust pads and to the abutments. Earth and Rockfill Dams are
built using locally available soils, rock masses. Earth and Rockfill dams are also
Gravity Structures as they resist all the forces coming upon them by virtue of their
weight alone. However, their design is quite complex as compared to the concrete
dam, due the heterogeneous nature of the material used, complexity in the material
properties and difficulties in predicting soil-foundation interaction .
Normally, for the design of gravity dams, conventional approach which is based on the
laws of Statics is widely used. This approach is simple in conception and calculations.
Gravity dam is designed against overturning and sliding. It is analysedfor tensile
stress, shear stress and maximum comprehensive stress induced in the body and
foundation of the dam. However, the conventional approach of the analysis does not
fully take into account the elastic properties of the foundation and dam material. The
variation in the material properties of the foundationis complex and missed out by this
method. The results obtained by this approachare very conservative. It does not give
the complete picture of the distribution of stresses, strains and displacements
developed throughout the body of the dam and the foundation. The conventional
analysis gives quite acceptable design foroverturning and sliding. However,
calculation of stresses by conventional methods are highly approximate, moreover
effects of openings like inspection galleries, drainagesetcand heterogeneous nature
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&non-linear behavior of the material cannot be accounted for the analysis. The
deficiencies of the conventional methods can be overcome by using numerical
methods. The numerical methods combined with computational power of the
computers make it possible to do the complete stress analysis of any type of dam with
a desired accuracy.
The problems involved in the analysis of continuous structure such as dams and their
foundation are generally analyzed by differential equation or integral statement for
which closed solution is possible. Analytical / Mathematical solutions are available or
possible only for Simplified situations. The Finite Element analysis of discretizing and
approximating the continuum is one of the most general and useful numerical method
for such analysis.FEM gives approximate but acceptable solution for the unknown
quantities at the discrete number of Points in the continuum.
Finite Element models are used for linear elastic static and dynamic analyses and for
nonlinear analyses that account for interaction of the dam and foundation. The
advantage of Finite Element Analysis is the capability of modeling complex geometries
including discontinuities, corners, openings, galleries and wide variations in material
properties.It can also model thermal behavior and couple thermal stresses with other
loads. An important advantage of this method is that complicated foundations involving
various materials, weak joints,fractures and faults can also be readily modeled.
The Finite Element (FE) Analysis in theory involves the following steps:
1. Discretisation and selecting element configuration

2. Selection of Displacement models
3. Derivation of Element stiffness matrix by using Variational Principles
4. Assembly of element equations to obtain global or assemblage equation
5. Solve for Primary Unknowns
6. Calculating Secondary unknowns
7. Interpretation of results
Performing FE analysis by hand involves lot of computations and as the number of

elements in the model increases beyond say 10 elements, the computations becomes
too complex to handle manually. However the main advantage with FEM is that many
of the steps above are amenable to automation and can be programmed on a
computer as modules to be used in any FEanalysis. The basic elements and their
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element stiffness matrices can be stored in the program as element library. A standard
program can be written for assembly of n number of elements. The only input that is
required is the co-ordinates of the nodes, element connectivity and material properties.
Once the boundary conditions are implemented in the form of nodal loads and nodal
restraints/constraints, the problem finally takes a form of solving n number of
simultaneous equations. A simple algorithm based on Gauss Elimination Method can
easily take care of solving these equations. The commercially available software has
made the complex looking FEM very easy and simple for the user. The typical steps
for FEM using any standard software are as follows
1. Creating geometric model with real dimensions to the extent possible.

2. Discretisation of the geometric model using finite elements of appropriate type and
order (meshing).
3. Applying restrains and constrains i.e. defining degrees of the freedom of the nodes
lying on the restrained surfaces
4. Applying the loads like hydrostatic load, dead weight, uplift pressure etc.
5. Solving the model
6. Generation of results for secondary unknowns like principle stresses, strains, strain
energy, Von-Mises stresses etc.
7. Interpretation of the results
1.0 Discretisation for Gravity Dams
Concrete/Masonry Dams are typically constructed in the form of independent blocks

across the river. Each block may have different geometrical dimensions, material
properties and geological conditionsfor foundation. Analysis of each block can be
performed separately using the exact cross section of the block, local
foundationconditions &geological properties. Fig 1 shows the typical gravity dam
constructed in the form of independent blocks. It is advantageous to perform a 3
Dimensional analysis for each of the block independently using 8 noded linear brick
element or 20 noded parabolic brick element. As foundation rock plays a major role in
supporting the dam weight, it is important that rock foundation is taken into account
upto a appropriate distance. Normally, the depth below the foundation considered in
theFEM analysis is kept equal to the height of the dam and width of the foundation
equal to three times the width of the dam at the base level. In case of non-uniform
geological conditions, this range can be however increased to an appropriate level.
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Fig 1. Blocks of a concrete dam
Figure 2shows a typical case of a concrete dam discretised with 8 nodedbrick

elements considering the depth of the foundation equal to dam height and width of the
foundation equal to three times the width of the dam. Typically, the dam foundation
can have different material characteristics at different levels and even dam body can
have different types of concretes in different parts. The variation in the material
properties in foundation as well as dams can be easily taken into account by
partitioning the dam and foundation in appropriate zones and assigning the respective
material properties to the elements associated with the respective zones.
Fig 2 : A concrete dam block discretised with 8 noded brick elements
In the Figure 2 shown above, material properties given in Zone1, 2 and 3 pertains to
the rock occurring in the respective zone, whereas, material properties given in Zone 4
and 5 represent M20 and M15 concrete respectively. Though it is advised to do
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analysis for each block separately as 3 dimensional analysis, however, in case there is
not much variation in the cross section along the length and the length is considerable
with respective to the cross section, then it is possible to do simple 2 dimensional
analysis for each block. However, it may result in a bit approximate solution.
2.0 Discretisationof Earth Dams
The earth dam is most economical as it uses locally available soils, rocks for its
construction, but the design and analysis is more involved, as it involves materials with
complex properties. Typically,an earthen dam is designed against overtopping,
internalerosion and piping, cracking in the embankment and against seepage.
Basically, the Earth Dam is a gravity dam and all aspects of designing of gravity dam
are also applicable to earth dam. However, the earth dam posses more specific
problems which are not faced by gravity dam like seepage, internal cracks and dam-
foundation interaction. Finite Element analysis can be used in analysis of earth dam
for following phenomena:
1. Stress analysis in the body of the dam and foundation
2. Cracking in the embankment
3. Seepage analysis
4. Slope stability Analysis, etc.
Fig 3Discretisationfor multi core earth dam
Typically, an earth dam longitudinal structure having length dimensionsmany

timesthan the cross sectional dimensions, moreover, the cross section is mostly
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uniform throughout the length. This continuous structure do not have joints in
between. So a 2 dimensional approach give good result for earth dam. The two
dimensional plain strain elements are appropriate. The 3nodedlinear elements or
6noded second order elementsgives the acceptable results, though 4 noded linear
element or 8 noded second order element are preferable.
3.0 Discretisation for Arch Dams
When the valley is narrow and the abutments are stable & strong, an economical
section of the dam in the form of horizontal arch can be provided . In such type of
construction, the hydrostatic load is transmitted to the abutments through the arch
dam. Typically, thickness of the arch is small as compared to the other dimensions.
There are simple conventional methods of analyzing the arch dam considering it as
apart of thin or thick cylinder. In the conventional analysis, the dam is considered to
be made up of number of sectors (part of a ring) one over the above and each sector
is analysed separately. Depending upon the type of construction, the dam can be
analysed as constant angle arch dam and constant radius arch dam. However the
results are highly approximate and counter productive to the economy being offered by
the arch dam. Moreover such conventional analysis does not throw any light on the
stress distribution across the dam body, foundation and abutments. The only
appropriate method of analysis and design of arch dam is finite element analysis.
For designing an arch dam using FEM , the analysis has to be 3 dimensional with full
details of the dam body, foundation and abutment. The geometry of the dam is also
required to be reproduced accurately in the model.
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Fig 5 Arch dam Discretisation.
The 3 dimensional analysis used for analysis of arch dam have be with parabolic or
cubic element so as to conform to the profile of the dam. Use of linear element may
be avoided. Though, FEM makes it possible to incorporate the exact geometrical
features for the foundation as well as abutments, it may lead to quite a complex
geometric model, which can pose difficulty in discretisation. The tetrahedral element
offers ease in meshing using the automatic meshing feature of the software.
However, this element is not considered to be a good element for structural analysis as
it is a stiffer element. If inevitable, only a parabolic tetrahedral should be used.
However, the results should be interpreted in the light of the stiffer element.Parabolic
or cubic brick elements are always preferred.
Data required for Finite Element Analysis
To conduct FEM analysis, the following design data is required:
i. Geometry of the dam foundation, abutments etc.: To the extent possible the
smaller dimensions and intricate features can be neglected. However, bigger openings
like inspection galleries, foundation galleries, sluices should taken into account in
geometric modeling as they have profound effect on the stress concentrations.
ii. Material properties: Structural analysis of the dam requires material properties for
each type of the concrete used and for different zones of the rock encountered in the
foundation and abutment. The properties required are Poisson’s ration, Young’s
modulus, shear modulus, coefficient of thermal expansion, density etc. In a model
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where the thermal loads are to be taken into account, the analysis requires ambient
temperature, temperature within the dam body, tail water temperature etc.
iii. Loads: The various significant loads acting on the dam body and required for analysis
are as below:
a. Dead load of the dam: This load is generally calculated automatically by the FEM
Software using the geometric properties of the dam section and density defined for
various elements.
b. Uplift pressure: The uplift pressure is considered to be acting along with the base
width of the dam with maximum intensity at the heel and minimum intensity at toe.
Profile of the uplift pressure is determined based the drainage facilities provided and
the uplift intensity factor considered. The pressure with this profile is applied on the
base of the dam acting in upward direction.
c. Hydrostatic load. The main purpose of dam is to hold water, the hydrostatic
pressure acts on the dam body on its upstream face with maximum intensity at the
base and with zero intensity at the free surface. The uniformly varying hydrostatic
load is applied on the upstream face of the dam and also at the bottom of the reservoir.
There are simple ways of applying hydrostatic loads in the standard FEM software.
d. Earthquake force: Design codes recommendthat an earthquake force should be

computed as per IS:1893. The Pseudo-static approach for computation of the
earthquake forces considers the equivalent static forces in place of the actual dynamic
force. Typically for dam, earthquake forces are maximum at the top and minimum at
the bottom and these forces computed as per the IS : 1893 are added to the other
static forces.
e. Silt Pressure. The silt deposited in the vicinity of the upstream faces of the reservoir
exerts lateral pressure on the dam face. This pressure depends on the depth of the silt
deposited, specific gravity of the silt soil and porosity of the silt deposited.
f. Ice pressure : Big sheets of ice floating on the reservoir can exert large thrust on the
dam body. This force depends upon the thickness of the ice sheets and intensity of
the ice pressure.
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Fig5 : Loads acting on Dam
Critical load combination
Typically, the dam is analysed for various load combination of the above forces as
given in the design codes. FEM analysis makes it possible to combine any load in
given proportion and create a load combination. All the anticipated forces acting on
the dam are created as individual loads and they are combined in various load sets for
analysis.
Applying constrains and restrains
In dam analysis the bottom face of the foundation of the foundation are restrained in
translation as well as rotation i.e. the X, Y, Z translation and rotation for nodes on this
plane are made zero where as the side faces are allowed displacements only in
vertical direction.
It is possible to use symmetry in arch dams to economize on the model if the arch dam
is fairly symmetrical about the vertical plan. In such a situation instead of doing
analysis for whole dam, FEM model is prepared only for ½ portion of the dam and
appropriate constraint are given on the plane of the symmetry. This results in ½
number of elements in the model, thus saving on the time required for solution.
Presentation of the results
An important aspect of any finite element analysis is that of selecting and presenting
essential information from the extensive results produced. It is extremely helpful to
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have the results presented in graphical form, both for checking and evaluation
purposes. The results should contain information for the complete structure to make a
judgment regarding the dam safety, as well as to determine whether the boundary
conditions given were appropriate or whether there are inconsistencies in the stress
distribution.
The basic results of a typical static analysis of a dam consist of nodal displacements
and element stresses computed at various element locations. Nodal displacements are
computed in most computer analyses and are directly available. They are simply
presented as deflected shapes across selected group of elements. The stress
quantities usually are plotted as stress contours ( principal, von-mises, axial etc. ) on
the dam body. Fig 6 shows a sample result for stress distribution depicted graphically.
Fig6 : Presentation of results
Application of FEM in Dam analysis is not only restricted to stress analysis, in fact any
problems handled by modern digital computers connected with static and dynamic
analysis of complicated machines or structures are generally of the form
[M]{Ü } + [C]{Ù} + [K]{U} = {F(t)}
Any physical phenomenon which can be described by equation similar to above

equation is a possible case of analysis by FEM ( e.g. Solid mechanics, heat flux, fluid
flow, seepage, acoustics, magnetic/electric field etc.)
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In water resources engineering, the problems represented by above equation can be

classified as
i. Equilibrium or steady state Problems, where the entities given in above equation
are not function of time. i.e. the problem is in the form of [K] [U] =[F] e.g.
1. Analysis of Hydraulic structures e.g. Dams, tunnels, Gates, power houses,

Underground cavities, etc.
2. Construction and excavation problems
3. Soil-Structure Interaction
4. Slope stability Analysis
ii. Eigen value Problems or natural frequency Analysis where the first term of the
above equation is zeroand problem is in the form of [C]{Ù} + [K]{U} = {F(t)} e.g.
5. Seiche of lakes and harbors

6. Natural frequency and modes of vibrations of structures.
iii. Propagation Problems or Dynamic Analysis where all the terms of the above
equation are significant. E.g.
7. Sediment transport
8. Wave propagation
9. Seismic analysis of W.R. structures
10. Transient seepage in soil and rock
11. Dynamic soil-Structure Interaction
Though this lecture notes deals only with stress analysis (steady state) analysis of
dams, the Finite Element Method can be used for all of the above analysis problems
effectively.
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DESIGN OF OPENINGS IN GRAVITY DAMS
Kayum Mohammad, Director,

CMDD(NW&S), CWC, New Delhi
1.0 Openings in Gravity Dams:

A system of galleries, outlets /sluices, adits, chambers, and shafts within the
body of the dam provides means of access and space for drilling and grouting,
collecting drainage and the installation, operation and maintenance of the
accessories and utilities of the dam. Following types of openings are provided
for different purposes:
i. Foundation Gallery: It is a gallery which generally extends over the length
of the dam near the rock profile , it is near and parallel to the axis of the dam.
ii. Drainage gallery: This is supplementary gallery sometimes provided
downstream at about 2/3rd the base width from the upstream face for the
purpose of draining the downstream portion of the foundation
iii. Inspection Gallery : Provide access to the interior mass of the dam in order
to inspect the structure and study the structural behavior of the dam.
iv. Gate Gallery: Gallery made in a dam to provide access to or room for, the
mechanical and electrical equipment required for the operation of gates.
v. Outlet/Sluices: Outlet is a structure in a dam to draw required amount of
water from reservoir for intended purpose of Irrigation, power generation or
Drinking Water safely.
vi. Sump Well: Sump well is provided to drain-off the seepage water, collected
through formed drain in inspection & foundation galleries, out of dam body.
The collected water is drained to the downstream side generally by gravity
through suitable arrangements. Their number and size depends upon the
quantity of water seeping through the foundation and body of the dam.
Usually a sump well is also provided provided in the deepest location.
vii. Pump Chamber: Pumps of suitable capacity should be provided to pump-
off the water collected in the sump well. As far as possible, the pumps are
located in a chamber adjacent to an inspection gallery above the foundation
gallery so that in the contingency of the foundation gallery getting flooded
the pump-chamber remains approachable.
viii. Elevator Tower/Stair and Shaft: Elevator towers are generally provided at
the end of spillway portion in the NOF block to provide access to the
galleries from top of the dam. Generally, only a lift well is provided for
which a size of 3m x 3m should normally suffice. Sometimes, a stair-well
may also be provided either separately or around the lift well, if considered
necessary. The size of the elevator tower should accordingly be modified to
include a stair-case.
ix. Adits:Adits are approach tunnels to the main dam body or to the galleries.
Adit to galleries should be provided for approaching them from downstream
side of the NOF dam at suitable elevation above the tail water level.
2.0 Galleries
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The general size of the gallery varies from 1.5 m x 2.25m to 2.0 mx2.5 m
Galleries are generally provided at a distance equal to 5% of the head or 3m
whichever is more from the u/s of the dam. Minimum concrete cover between
the foundation rock and the gallery is kept about 2 to 3 m.
Wherever possible seepage water collected is drained by gravity through adits
provided in the dam above maximum tail water level.
Grouting and drainage gallery normally extends the full length of the dam.
The gallery is located near the upstream face as close to the foundation surface
as feasible but with a minimum of 2m of concrete between the floor of the
gallery and the foundation. A minimum of 3m clear distanced is usually
provided between the upstream face and the gallery.
In high gravity dams, a second drainage gallery is sometimes provided at about
two-third of the base width downstream of the grouting and drainage gallery.
The sizes of gate chambers, located directly over service and emergency sluice
gates are determined by the sizes of gates and hoists.
(Ref: 12966:1992 Code of practice for galleries and other openings in dams)
Structural Design of openings:
An opening in a structure develops discontinuity in stress field and creats

zones of tensile and compressive stress. Therefore, reinforcement has to be
provided for resisting tensile stresses so as to avoid the cracks in concrete
near boundary of the opening.
The structural design of an opening in general can be summarized in following four

steps:
A. Determine prevalent stress field in the dam section at that location in the
absence of the opening considering uniform stress field
B. Determination of stress distribution of around the opening
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i. Therory of elasticity
ii. Stress Coefficients
iii. Photo elastic Methods
iv. Finite Element Method
C. Computation of total tension (Ft) there from
D. Computation of reinforcement for critical loading
Ast = Ft/ σst
Stress calculations:
For concrete/masonry Gravity dams with plane transverse joints which are
either keyed or grouted, the Gravity method of stability analysis is used. IS
6512 is used for carrying out stability analysis and finding out the stresses in
dam sections.
The Gravity method of analysis assumes a trapezoidal variation of vertical

stress and a parabolic distribution of shear stress along a horizontal plane. The
assumptions are substantially correct for the upper parts of the dam. However,
near the base of the dam the flexibility of the rock foundation affects the stress
distribution. As such Finite Element Analysis or any other comparable method
of analysis is prescribed for computing the stresses at the location of opening in
the dam.
The stresses are calculated for following loads and load combinations and
critical of the all is used to design the reinforcement:
5.0 Loads acting on the dam
The following forces are considered for the design of dam:-

a) Dead load
b) Reservoir and Tail Water load
c) Uplift pressure
d) Earthquake forces
e) Earth and silt pressure
f) Ice pressure
g) Wave pressure
h) Wind pressure
i) Thermal load
2.0 Loading Combination:

In our country the stability of Gravity dams used to be checked for a few load
combinations/forces only. BIS 6512-1984 has defined load combinations of
A,B,C,D,E,F and G (table 1) as given below.
Load Combination A – Construction condition

Load Combination B – Normal Operating Condition (drains operative)
Load Combination C – Flood Discharge Condition (drains operative)
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Load Combination D – Combination A with earthquake

Load Combination E – Combination B with earthquake but no ice
(drains operative)
Load Combination F – Combination C but with extreme uplift (drains
inoperative)
Load Combination G – Combination E but with extreme uplift (drains
inoperative).
Reinforcement:
For calculating reinforcement around galleries and other openings tensile area
is normally calculated using the relation
Tensile area=0.149 A σn
Where,
A = size of opening
σn = Maximum normal stress at the location of opening due to critical
loads
IS code 12966-1990 part II describes in detail the basis of design of galleries
and other openings in dams.
Reinforcement around gallery
Design of Outlets/Sluices: The outlet works through the dam body of

Embankment dams are usually called outlet. However, for concrete dams are
usually called as conduits or sluices. Outlets / sluices are provided to release the
flow when reservoir level is below crest.
Functions:
a) Irrigation
b) Power Generation
c) Water supply
d) Desilting the reservoir by draining out silt laden water
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e) River diversion during construction

f) Emptying the reservoir for inspection
Components: Intake , Conveyance structure, Control structure and Terminal

structure
Design of condut /Sluice: Since the conduits are meant to carry discharge from
reservoir to canal or down stream river, its design is carried out in two stages.
A. Hydraulic Design: Before going to structural design the varios components
of an outlet shall be designed such that it is able to carry design discharge
considering various losses during conveyance. Also, the outlet shall
hydraulically perform well without any damage to concrete and other control
structure such as gate etc..
The profile of sluice, transitions, intake, exit and air vent size of the sluice
shall be designed as per IS 11485:1985.
B. Structural Design: The structural design shall include
I. (i)Stresses due to dam load and hydrostatic pressure(σn)
(ii)Stresses due to internal pressure (p)
II. (i)Stresses due to dam load and hydrostatic pressure(σn)
(ii)Stresses due to internal pressure (p)
(iii)Stresses due to temperature gradient
List of BIS:
i. IS 6512-1984 Stability analysis of gravity dam

ii. IS code 12966-1990 part II Code of practice for design of galleries and other
openings in dams
iii. IS 11485:1985 Criteria for hydraulic design of sluices in concrete gravity
dam
iv. IS 10135:1985 Code of practice for drainage system for gravity dam, their
foundation and abutments
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INVESTIGATION OF GRAVITY DAMS

1.0 INTRODUCTION:
Detailed Project Reports (DPRs) projects prepared by all concerned

developers/agency are submitted to Central Water Commission (CWC) or CEA
for techno-economic approval. These are examined by CWC for hydrology
design, safety and cost estimates of civil structure aspects.
Besides, these DPRs need to get clearance from the Central Soil and Material
Research Station (CSMRS) from construction material aspects, the Geological
Survey of India (GSI) from geological aspects and Seismic aspects from NCSDP.
Presently, the Survey and Investigation (S&I) and preparation of detailed project
report of hydro projects are required to be carried out as per “ Guidelines for
preparation of Detailed Project Reports (DPRs) of irrigation and multipurpose
projects” issued by Ministry of Water Resources. These guidelines were
reviewed, updated and finalised in April 2000, by a working group was
constituted by Ministry of Water Resources.
With the recent technological advances, the practice of investigations has

undergone radical changes. Detailed explorations may sometimes reveal adverse
geological features which in turn may either lead to drastic changes in the design
or even render a particular structure un-feasible. An ideal approach in phasing out
the total gamut of survey and investigation of hydropower projects constitute a
four stage programme viz. (i) Pre-feasibility State, (ii) Feasibility Stage, (iii)
Detailed Investigation (DPR) Stage and (iv) Construction Stage.
2.0 VARIOUS ACTIVITIES OF SURVEY & INVESTIGATION (S&I)
2.1 The following activities are carried out for the various alternatives considered
to justify the final choice of the location of different components of the
project:
a) River surveys
b) Reservoir surveys
c) Head works surveys (dams, barrage, weir, etc)
d) Plant sites and colonies
e) Canal, branch canals, and water conductor system
f) Major canal structures
g) Power house, switch yard, surge shaft, tail race tunnel(s), adits,
penstocks etc.
i) Surveys for command area including Ground Confirmation Survey
j) Soil surveys
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k) Soil conservation
l) Construction material surveys.
2.2 The different activities of survey and investigations which are carried out
before preparing a Detailed Project Report are given in Sub-para 2.2.1 to
2.2.4.
2.2.1 Topographical Survey:
The Survey of India (SOI) has published topographical maps covering the
whole country in 1:2,50,000 and 1:50,000 scale. Besides SOI has also
published topographical maps of many parts of the country in1:25,000
scale and they are already on the job of producing maps in 1:25,000 scale
for the whole country.
2.2.2 Engineering geological, geophysical, Seismological and Construction

material survey
(i) General
These investigations are now considered as a fundamental requirement of

planning & design of large civil engineering structures pertaining to
hydroelectric Projects. All dam sites, power house locations, tunnel
alignments, major bridges etc. need to be thoroughly explored before
arriving at their techno-economic feasibility. Subsurface exploration,
comprising particularly of diamond core drilling and exploratory drifts are
the main stay of geological investigations.
Geological investigations of hydroelectric projects are of paramount

importance in understanding the geological set up of varied terrains and
their geo-dynamic development. The purpose of most engineering
geological work is to ensure that a proposed structure is built at the lowest
cost consistent with currently accepted safety standards. The “need base”
of survey and investigation for a project constitutes delineation of
lithology, stratigraphy and geological structure of the area, geo-mechanical
properties of the ground and identification of extraordinary phenomenon, if
any. The extent of survey and investigation depends on the Stage of
investigation, a common approach being preliminary and reconnaissance
investigation in the initial phase while detailing and accuracy can be
improved subsequent phase/stage of investigation.
Adequate engineering geological investigation is the pre-requisite for

the safe and economic design of the structures. Geology dominates the
feasibility, behaviour and cost of the structures. Hence, engineering
geologist must be able to answer the following broad questions to have an
insight to the geological conditions at any project site:-
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• What is the depth of overburden mass that must be removed to reach

the acceptable foundation for the structures?
• What are the rocks which make up the foundation and to what extent
are they affected by surface weathering?
• What are the engineering properties of the rocks and rock masses at
the foundation grade (e.g. strength, deformability etc.)?
• What are the geological structures of the foundation (i.e. joints,
faults, folds, shears etc.). A full description of the defect pattern in
rock mass should include orientation, spacing, aperture, extent and
persistence?
• How permeable is the foundation rock?
• Whether the dam abutments are stable and there is no anticipated
stability problem?
In order to be able to answer the above questions, the project site must be
investigated and explored by experienced engineering geologist, using the
following methods / techniques:
i. Geological mapping on large scale of surface rock outcrops
ii. Geophysical surveys wherever required to explore the depth of overburden
mass and sub-surface geological conditions.
iii. Exploration by excavating trenches and pits.
iv. Exploration by drilling to know the geological conditions at different
depth.
v. Exploration by drifting.
vi. Extent of work to be undertaken will depend on the complexity of
geological conditions.
Key Inputs Required:
The following inputs are of overriding importance since they have significant
bearing on cost, safety and useful life of surface and underground structures :
a. Geology and structural / tectonic features
b. Rock mass and intact rock properties
c. Permeability of rock mass and Hydrogeological data
d. In-situ stresses
e. Design details
f. Construction methodology
g. Stabilization measures
h. Instrumentation (monitoring) data
ii) Engineering Geological Survey
a) Surface investigations
After ascertaining the regional geology of the area the site specific
geological mapping is taken up by intensive surface traverses of the
project area and also with the aid of aerial photographs & satellite
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imagery, for coverage of inaccessible area comprehensively.

Observations and measurements of the items such as nomenclature
and classification of rock, stratigraphy and geological structure,
properties of the ground are recorded and the data that is necessary
for knowledge of the general geological condition is gathered.
b) Sub surface investigations
The direct tools include exploratory pits, trenches, drill holes, drifts,
which provide a detailed information of the ground under survey.
Test pits and trenches are best suited for shallow exploration on
moderately steep slopes. Rotary drilling is the most extensive and
common technique employed for detailed exploration to know the 11
condition of soil and rock. Water tightness of the bed rock is
determined by conducting water pressure tests. These tests are
normally carried out at proposed dam sites, powerhouse, other
caverns and reservoir locations etc. Drifts are generally made to
explore dam abutments, adit / tunnel alignments.
(iii) Geotechnical Survey
Estimation of Rock classes is done by Geomechanical classification for

tunnels/ underground works and slope stability measures to evolve type &
quantity of support system.
(iv) Geophysical Survey
Geophysical methods are employed as an aid to geological investigations

for assessment of in-situ conditions and engineering properties of the
rockmass mainly by using seismic and electrical methods. These methods
provide subsurface information which include depth of overburden, depth
and quality of rockmass, major faults, folds, dykes and water saturation
conditions. Besides, resistivity measurements are also utilised for
determination of the true resistivity values for the use of earthmat design of
switchyard and power house areas. Vibration monitoring studies are
conducted for controlled blast design and for safe excavation of major
structures. Slope stability design and analysis is carried out by utilizing the
inputs from inclinometer studies.
State-of-the-art computer aided seismic tomography is utilized for scanning

the rockmass conditions in the dam foundation and powerhouse areas.
Resistivity imaging techniques are also employed for scanning the
rockmass in terms of resistivity values. Some of the widely used methods
in hydroelectric project investigation are as under :
a) Seismic refraction / reflection method

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b) Seismic tomography involving P-wave and S-wave measurements.

c) Resistivity imaging and resistivity sounding.
d) Micro Earthquake (MEQ) studies.
e) Vibration monitoring studies.
f) Inclinometer studies.
(v) Seismological Survey
Details of seismological events are collected from IMD, New Delhi and
site specific design earthquake parameters are evaluated either by the
institutes such as IIT, Roorkee or CWPRS, Pune, for working out the site
specific design earthquake parameters. These parameters are further put up
to National Committee on Seismic Design Parameter (NCSDP) for final
approval before adopting the same in detailed design of the project. Micro
Earthquake studies are also conducted for the assessment of seismicity of
the area and demarcation of the active faults in and around the project area,
depending upon the sensitivity & magnitude of the project.
(vi) Rock & Soil Mechanic Testing and Construction Material Survey
a) Laboratory Testing
It is conducted to evaluate the engineering properties. Some of the
laboratory tests are
i) Determination of deformability of rock materials in uniaxial
compression
ii) Triaxial compression tests
iii) Determination of tensile strength
iv) Determination of Direct Shear Strength
v) Rheologic properties of rocks
b) Field Testing
These include the following:
a. Rock stress determination using flat jack, over coring and hydro
fracturing
b. Determination of modulus of deformation by Goodman Jack test
and cyclic plate load test
Preference should be given to identify quarry sites in area of submergence
(reservoir) keeping in view the environmental aspects and other related
complexity of forest clearance / land acquisition, etc.
2.2.3 Hydrological & Meteorological Survey
These surveys are carried out to establish

i. Rainfall
ii. Gauge
iii. Discharge
iv. Sediments
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v. Water quality
vi. Evaporation
vii. Availability of water for the benefits envisaged
viii. Design flood for various structures
2.2.4 Environment and Forest surveys
These surveys / studies are carried out on the following aspects

1. Environmental survey
2. Forest area involved
3. Likely displaced persons
4. Environment impact assessment
5. Environment management plan
3.0 STAGE OF PROJECT INVESTIGATION
The different stages of project for which investigations are carried out are:
a. Pre-Feasibility Stage
b. Feasibility Stage
c. Detailed Investigation (DPR) Stage
d. Construction Stage
3.1 Pre-Feasibility Stage
It is more of a desk study with limited field checks. Based on the 1:50000 or
1:25000 scale Survey of India toposheets, possible hydroelectric sites are marked.
These sites are examined by preliminary field traverses wherein topography,
broad geological aspects in terms of locating the project components are looked
into. If required, broad assessment of the terrain at the likely site is also carried
out by geophysical survey to understand the sub surface condition of the rocks.
Reconnaissance of the Area: This stage of investigation forms the basis for
taking up preliminary stage investigations. The reconnaissance must be carried
out by experienced and competent engineering geologists to study the merits and
demerits of the various sites proposed by the sponsoring agency. Later on based
on the techno-economic feasibility, one site may be taken up for further
evaluation by geological investigation.
The identification and feasibility of the water resources projects, whether storage
or run of the river schemes, depends on location, geology, gradient of river,
hydrology and seismicity.
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For example in the higher Himalaya (1000-6000 m asl ), which lies in the north
of the Main Central Thrust (MCT), the terrain is characterized by high river
gradient (> 10m/km), less river discharge, high river velocity, steep hill slopes,
high seismicity, very thick overburden of fluvio-glacical deposits over hard rocks
of Central Crystalline Group. This sector is best suited for small diversion dams
and run of the river schemes because of deeper rock foundation level and
availability of more head for power generation due to steep river gradient, which
otherwise will have less storage capacity if high dams are proposed instead.
On the other hand, high storage dams are feasible in the Lesser Himalayan
Terrain (400m – 1000 m asl) which is bounded by MCT in the north and MBF
(Main Boundary Fault) in the south and is characterised by high river
discharge, less river gradient (2-10m/km, average 5m/km) with adequate storage
capacity, rock foundation level at shallow depths (as river bed deposits ate 7 to
10 m thick).
In Lesser Himalayan sector, run of the river schemes may not to be

technoeconomically feasible as for achieving the required head for power
generation very long head race tunnels (HRTs) will be required, due to less river
gradient.
3.2 Feasibility Stage
After selecting the site during Pre-feasibility stage, intensive field traverses are
under taken. Detailed survey like contour plans and sections in 1: 1000 to 1:5000
scale are prepared for various important structures such as dam, tunnels,
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powerhouse, etc. One or two alternate axis are probed by detailed geophysical
survey and a few drill holes to ascertain depth and quality of bed rock besides
carrying out broad geological mapping & collection of regional geological
information. The hydrometeorological data collection is also started during this
stage. Based on this data, lay-out of the project is prepared and its techno-
economic viability is established.
The first consideration of the selection of a dam site is whether the topography of
the river valley provides a feasible dam and reservoir site with adequate storage
capacity and is in conformity with the geology and structure of foundation rocks.
Tehri Dam site in 1987 before river diversion
3.3 Detailed Investigation (DPR) Stage
Detailed geological mapping is undertaken during this stage. These include

geological investigations at the finally selected project site, covering both
regional geological and local geotechnical aspects. Important geological
considerations are:
In the area around Dam Site (Including Reservoir Area): For reservoir area,
construction material sites, access roads the mapping is carried out on 1 :5,000 to
1: 15,000 with 5m to 10m contour interval. Depending upon the requirements, a
suitable scale is adopted within the above range, considering the size of the study
area & availability of topographic plans. Geological mapping of areas of special
importance in the reservoir is recommended by using 1 :5,000 to 1 :2000 scales
with 2.5m contour interval. Sufficient geological data is collected to decide on the
remedial measures for reservoir rim treatment and to comment on water tightness
& mineral submergence. All the selected Borrow Areas & Quarry Sites are
mapped on 1 :2000 and 1 :5000 scales with 2.5m and 5m contour interval
respectively.
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• Study of regional geology and tectonics using existing geological maps and
also latest satellite imageries of high resolution. Lineament pattern picked
up from satellite images and ground validation.
• Identification and delineation of neotectonic features -active faults/thrust.
Time-lapse measurements by geodetic surveys to record movements along
active faults.
• Categorization of tectonic features/dislocation identified in the area in
different orders based on their strike continuity and seismic status.
• Seismotectonic evaluation of the area to find the linkage between tectonic
features and a seismic events in the area.
• Landslide zonation in reservoir area and study of slope stability around
reservoir rim.
• Identification and detailed investigations of areas rich in construction
materials. The investigations include geological mapping, geophysical
profiling, pitting, sampling and testing.
• Long-term siltation studies in the reservoir area.
• Micro seismic investigations by establishing a net work of
seismographs/accelerographs in and around project site.
At Dam Site: Detailed engineering geological investigations are carried out at

the dam site to study rock mass behavior under different geological setting. For
dam, ancillary structures & power house it is recommended to use 1 :1000 scale
with 2.5m contour interval for geotechnical assessment. Geological sections ate
prepared along axis of dam, spillway, tunnel alignment, water conductor
system, power house cavities etc. depicting geotechnical information required
by design engineers. The geomechanical properties and permeability values of
the rock masses are determined to assess rock mass strength and reliability.
The following are some important investigations at the project sites.
a. Detailed Topographic Survey
b. Geomorphological Studies.
c. Geological Mapping.
d. Sub-Surface Explorations
e. Geophysical Exploration.
f. Drilling.
g. Drifting.
h. Laboratory Tests.
i. In-situ Tests.
a. Detailed Topographic Survey
• The entire dam site should be covered by accurate topographical surveys

on 1:1000 scale using Total Station (which is a less time consuming
technique), after establishing adequate number of reference pillars/bench
marks. The errors in preparing topographical map may lead to
discrepancies in geological mapping, planning and layout of project
features.
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• Topographical surveys on different scales are required for different

project features. For dam , spillways, powerhouse etc. map on 1:500 scale
are required whereas for tunnel maps on 1:5000 scale are appropriate.
For reservoir area, covering hill slopes above maximum reservoir level,
maps on 1:5000 to 1:10000 scale are required.
b. Geomorphological Studies
• The geomorphological expressions sometimes give important clues for

unraveling the existence of major structural and tectonic features present
in the area. The straight course of the river, sudden change in the course
of the river, break in slope etc. are the expressions which indicate
existence of a fault or mega shear zone.
• But detailed geological investigation are necessary for proving or
disproving such features, as these structural features have direct bearing
on the feasibility of the project and sometimes these problems may delay
the decision.
• At Tehri dam site, a river bed shear zone was interpreted on the basis of
geomorphic expression which was later ( after 25 years ) disproved by
subsurface exploration, but caused delay in project formulation and
design decision.
c. Sub-surface Explorations
In order to unravel the depth of bed rock below the thick apron of overburden
mass/slide mass, to decipher the limits of weathering/destressing of rock mass, to
prove or disprove the interpreted structural features like faults.
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d. Geophysical Exploration
• These are indirect methods of exploration for getting useful information
related to subsurface geology of a larger area.
• The geophysical surveys include seismic (refraction/reflection) profiling,
seismic tomography by ground penetrating radar (GPR), electric resistivity
sounding and ultrasonic logging.
• The seismic and resistivity surveys are used for determining depth to bed
rock, disposition of fault of shear zone and for assessing modulus values
(modulus of deformation) of rock mass.
• Modulus value of rock mass can also be obtained by ultrasonic logging of
drill cores. The geophysical interpretation should be substantiated by
drilling and drifting.
For delineation of subsurface structural features:

• .Cross-hole geophysics
• .Cross-hole Tomography
• Geophysical surveys should be done intensively and
extensively in order to reduce drilling quantum.
e. Exploratory Drilling : Exploratory drilling for a dam is carried out by

drilling few holes on either abutment and in the river. The holes are
generally aligned along the axis or in a grid pattern depending upon the
expected geological features, ascertained during geological mapping
covering the base upto downstream toe of the dam. The depth of the holes
depends on the geological set up and type and height of dam, but generally
the holes are drilled into fresh and sound rock to the extent of 10 meters.
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During exploratory drilling maximum core recovery is attempted and

presence of weak and weathered seams, faults, shear zones, is deciphered.
 Exploratory drill holes are planned at project sites with the objective of
exploring quality of rock mass likely to be encountered, depth of
overburden, depth of weathering / destressing, existence of shear zone /
weak zone, rock cover above the proposed underground structures.
 It may be mentioned that drilling gives very limited information about the
sub-surface geological conditions at required depths. It is a point
information.
 Drilling is a time consuming operation and mostly the delay is due to poor
and less drilling rate/day.
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f. Exploratory Drifting
• Exploration by drifting has an edge over drilling particularly in

demarcating slump zones and weathering / destressing limits.
• Current practice of driving drifts manually which takes more time and
causes enormous delays, be replaced by mechanized drifting. Tunnel
boring machine (TBM) of smaller diameter can be used.
• The explorations by drifting are direct and reliable. The drifts are planned
at different levels to assess the actual rock mass behavior by undertaking
detailed 3-D mapping 1:100 to 1:200 scale and rating the rock mass in
terms of Q, RMR, etc.
• Drifts are also used for conducting in-situ tests to obtain information on
strength and deformation properties of rock mass which are utilised in
design of underground structures. The geological information obtained in
regard to weathering/distressing limits for ascertaining limit of stripping
to achieve foundation grade.
• Exploratory drifts and pilot tunnel should be provided for ascertaining
geological conditions in tunnelling.
g. Laboratory Tests:
• The drill core samples should be tested for determining the physical and
mechanical properties of intact rocks by different methods in the
geotechnical laboratory.
• The core samples should be tested for determining specific gravity,
modulus of elasticity, poisson’s ratio, unconfined compressive strength (in
dry/wet state) tensile strength, swelling index and hardness.
h. In-situ Tests :
At project sites, the in-situ tests are done to determine the key
parameters:
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• In-situ stresses
• Modulus of deformation
• Shear parameters
• Permeability
Both the abutments are probed further by two or three level exploration drifts
with cross cuts. The number and length vary depending upon the size of the dam.
Nowadays, the dam base is scanned by seismic tomography depending upon the
site conditions/requirements. All other tests like grouting, shear tests are also
carried out. Insitu test for ascertaining bearing capacity of the foundation may be
required. In some cases SPT tests may also be necessary depending on geological
conditions.
At least one drill hole shall be placed specifically for energy dissipation
arrangement immediately after the spillway. A provision of at least three drill
holes is generally kept separately for spillway in case it is a side channel spillway,
away from the main body of the dam. The location of coffer dam in the river bed
portions especially for the upstream one is required to be probed by a drillhole to
understand nature of overburden material and bedrock depth. Similarly, for
diversion tunnel also, a provision of minimum three drill holes is kept with one
each at the inlet & outlet portals and the third one suitably placed on the tunnel
alignment, depending on the geological set-up and topographic considerations.
Exploratory drilling for water conductor tunnels (HRT/TRT) is carried out to

establish rock cover available above the proposed crown level of the tunnel
especially in low cover zones such as in the beds of stream and to know the
substrata along the proposed alignment of the tunnel. Drill holes are proposed at
the intake and portal sites at outlet and along proposed alignment of the tunnel.
These holes are drilled to the proposed invert level of the tunnel. It would be
desirable to probe the expected tunneling media to the extent possible. But, in
view of the high rock cover above the tunnel alignment, normally drilling of
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holes down to tunnel grade is a difficult task. Hence, majority of the tunnel
forecast is based on detailed geological map & projections. However, certain
major weak zones such as faults or thrusts etc should be probed by advance core
drilling during the tunneling activity to identify the exact condition and to
minimize geological uncertainties.
Tunnel Portals are mapped using 1: 500 scale with 2m contour interval instead of
1: 1 000. For Adits / Access Roads, Borrow Areas / Quarry Sites all construction
as well as access adits are mapped on 1 :2000 scale with 4m contour interval.
Vulnerable areas on access roads are also mapped on the above scale. As such, all
geological maps are updated in this stage. If there have been certain changes in
the layout, additional areas are covered.
For powerhouses, sub-surface exploration is carried out by holes drilled at least

5m below the proposed level in order to assess the nature of the 17 rock for the
foundation of the power house if rock cover is less. Similarly, drill holes for
ascertaining the geology of surge shaft and pressure shaft etc. are also carried out.
Permeability tests should be conducted in all the drill holes selective pits &
trenches. Geological logging of Drill Holes, Drifts, Trenches & Pits is carried out
using 1:100 scale.
Groutability tests to assess the grout intake and reduction in permeability values
are generally done in this stage of investigation. Generally the rock mechanic or
soil tests are carried out in the DPR stage for detailed design. Moreover, some of
the detailed & expensive tests like mortar bar test for construction material survey
and insitu rock stress measurements for design input are done at this stage. The
seismotectonic studies are pursued in detailed manner during this stage for getting
site specific earthquake parameters.
3.4 Construction Stage
Engineering geological investigations are continued during construction of

project feature. This is done to ascertain actual rock mass conditions exposed at
the foundation grades of the structure and to adopt minor changes in design, if
need be, depending upon the variations recorded in geological and structural
features of the foundation grade. During construction stage, detailed geological
mapping (on 1:200 to 500 scale) of foundation of dam and spillway is carried
out depicting lithological units, structural discontinuities and rock defects like
faults, shear zones, weak zones. These rock defects are properly treated for
making the foundation monolithic and impervious
In case of underground works especially for tunnels, major identified grey ares
are probed by advance drilling or drifting to minimize geological uncertainities.
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4.0 OPTIMISATION OF METHODS FOR SURVEY AND

INVESTIGATION OF HYDROPOWER PROJECTS
An ideal method in optimising the investigation for hydropower projects emerge

after due consideration of its ability to solve technological complexity of the area
within the stipulated cost, time effectiveness, approachability and reliability of
the practice. Some of the important practices are highlighted below.
4.1 Wider induction of remote sensing data in geological reconnaissance
Aerial photographs and satellite imagery are used for rapid interpretation of
geomorphology, lithology, structure and preparation of land use thematic maps
which are widely used in environmental impact assessment of the project.
4.2 Utilization of advance tools of positioning and analysis particularly in

hostile terrain
Geographical Information System (GIS) is used for mapping and analyzing things
that exist and events that happen on earth. GIS technology integrates common
database operations and statistical analysis. The process of making maps by GIS
is much more flexible than traditional manual or automated cartography
approaches. Existing maps are digitized and computer compatible information are
translated into GIS. Remote sensing using sensors such as cameras carried on
aeroplanes, GPS receivers, or other devices collect data in the form of images and
provide specialized capabilities for manipulating, analyzing, and visualizing these
images.
5.0 CONCLUDING REMARKS
The cost and feasibility of the project is dominated by geology and geological
complexities – which are generally inadequately explored. Hence, critical
attention must be given to the prospective use of state-of-the-art techniques of
geological / structural data collection, geophysical surveys, exploration by
drilling, and in- situ / laboratory testing followed by numerical modeling. These
are required to avoid the cost and time overruns.
The investigation programme, planned in different stages, must provide
adequate geological and geotechnical data required for assesment of rock mass
condition and also to identify potential geo-hazards that may exist at the project
site. Information obtained from geological mapping, sub-surface explorations
and rock mechanics investigation is of great help in finalization of project
layout, design and construction methods; and thus in cost saving.
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ANNEXURE-I
1. TOPOGRAPHY- The location and layout of the projects largely depend

upon the topography of the project area. The detailed survey for
preparation of the contour and L-section as required for the different
components must be done. CWC has published guidelines for the scale and
intervals to be adopted for the preparation of the contour plans and other
topographical investigations for surveying different components of the
hydropower/ multipurpose projects. Some important features are tabled
below:-
Sl no. Compo Extent of survey Scale Contour
nent interval
1. Dam Grid plan with covering the 1:2500 0.5m -
area upto 250 m upstream and
1.0
500 m downstream of the axis
extending upto an elevation of
MWL + 5 m or more
depending upto the site
conditions.
2. Powerhouse, Contour plan of the site to cover 1:2500 0.5 - 3 m
switch yard, full area of the components of
surge shaft, the various alternative layouts.
tailrace etc.
Contour plan of the area 1 : 2500 1m - 3m

covering the length of the
tunnel & 500 m on the either
Tunnels & side of the centre line of the
3. adits tunnel/ adit.
L -section horizonta
l1:2500
Vertical
1:100 to
1: 1000
Contour plan of the area 1 : 2500 1m - 3m
covering the length of the
structures and 150 m on either
side of the centre line of
Penstocks penstocks.
4.
L -section horizonta
l1:2500
Vertical
1:100 to
1: 1000.
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ANNEXURE-II
Minimum Pattern of Drilling
Spacing of drill Depth of drill holes/Pits/Drifts

holes/Pits/Drifts
(a) Earth and Rock-fill Dam

Drill holes along the axis 150 m or Depth equal to half the height of
less apart, with intermediate pits to Dam at the elevation of the hole or
delineate weak and vulnerable 5 m in the fresh rock whichever is
strata with a minimum number of 3 less. About two holes to be
to 5 holes in the gorge portion and extended deep (equal to the
additional two on each abutment maximum height of the dam in the
parallel to the flow. absence of rock at higher elevation
Drift on each abutment at about or 5 m in fresh rock whichever is
60m elevation interval at a higher), in the gorge portion and
minimum of one each on each one each in abutments.
abutment. Drifts to be extended 5m in
geologically sound strata for keying
the dam in the absence of rock.
(b) Masonry & Concrete Dam

(i) Drill holes along the axis at 100 10 m in the fresh rock (proved by
m interval or less apart to geophysical or any other suitable
delineate weak and vulnerable method). About two holes to be
strata with a minimum number extended deep (equal to the
of 3 to 5 holes in the gorge maximum height of the dam in the
portion and additional two on absence of rock at higher
each abutment parallel to the elevation), in gorge portion and
flow. one each in abutments.
(ii) 2-3 drill holes down stream of 10m deep in fresh rock or equal to
spillway. maximum height of dam in
absence of rock.
(iii) Drifts on each abutment at about 10 m in the fresh rock (proved by

60m elevation interval with a geophysical or any other suitable
minimum of one on each method).
abutment.
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(c)Tunnels
(i) Drill holes at each of the portal Drill holes 5-10 m below the tunnel
and adit sites and additional at- grade of maximum possible depth.
least one every 1-5 km interval Wherever it is not possible to drill
depending on the length of along the central line of the tunnel
tunnel. the holes can be shifted.
Drifts one each at the portal and The explorations shall be so

adit sites planned as to satisfactorily portray
the geological structure and
tunneling conditions.
Drifts shall be extended up to 10 m
in fresh rock or up to tunnel face.
List of BIS Codes:

i. IS 4453:2009 Subsurface exploration by pits, trenches, drifts and shafts-
Code of practice
ii. IS 4464:1985 Code of practice for presentation of drilling information and
core description in foundation investigation
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MATERIAL PROPOERITIES, TESTIMG AND DIVERSON ARRANGEMENT

FOR GRAVITY DAMS

A. MATERIAL PROPERTIES AND TESTING:
INTRODUCTION:
Any water resources development project involves interaction between the super
structure and its foundation. The stability of the structure is hugely influenced by
characteristics of foundation medium. The foundation strata may vary from loose
sandy soils to dispersive, expansive soils to hard rock. The characteristics of
foundation need to be evaluated for safe and economic design of the proposed
structure. Numerous direct and indirect techniques are available for determining
the material properties.
A gravity dam is keyed into the foundation so that the foundation will normally
be adequate if it has enough bearing capacity to resist the loads from the dam. If,
however, weak planes or zones of inferior rock are present within the foundation,
the stability of the dam will be governed by the sliding resistance of the
foundation. The following strength parameters for use in stability and stress
analyses:
a. Bearing capacity (compressive strength).
b. Shear strengths along any discontinuities and the intact rock.
c. Deformation Modulus of the rock mass.
d. Hydrostatic pressure in rock joints.
These parameters are usually established by laboratory tests on samples obtained

at the site. In some instances, in situ testing may be justified. In either instance, it
is important that samples and testing methods be representative of the site
conditions. The results of these tests will, generally, yield ultimate strength or
peak values and must, therefore, be divided by the appropriate factors of safety in
order to obtain the allowable working stresses.
Foundation borings and testing can be helpful in identification of weak zones in

the foundation beneath the dam. The presence of such weak zones can cause
problems under either of two conditions: (1) when differential displacement of
rock blocks occurs on either side of weak zones and (2) when the width of a weak
zone represents an excessive span for the dam to bridge over. Sliding failure may
result when the rock foundation contains discontinuities and/or horizontal seams
close to the surface. Such discontinuities are particularly dangerous when they
contain clay, bentonite, or other similar substances, and when they are adversely
oriented. Appropriate uplift pressures must be applied to failure planes in
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foundations. Associated with stability are problems of local over stressing in the
dam due to foundation deficiencies.
Foundation permeability tests may be helpful in conjunction with the drilling

program and to design an appropriate drainage system. Permeability testing
programs should be designed to establish the permeability of the rock mass and
not an isolated sample of the rock material. The mass permeability will usually be
higher, due to jointing and faulting, than an individual sample.
The structural features which are suspected to be indications of poor foundation

conditions are listed below:
a. Low RQD ratio (RQD = Rock Quality Designation).
b. Solution features such as caves, sinkholes and fissures.
c. Columnar jointing.
d. Closely spaced or weak horizontal seams or bedding planes.
e. Highly weathered and/or fractured material.
f. Shear zones or faults and adversely oriented joints.
g. Joints or bedding planes described as slickensided, or filled with gouge
materials such as bentonite or other swelling clays.
h. Large water takes during pumping tests.
i. Large grout takes.
j. Rapid penetration rate during drilling.
Compressive - In general, the compressive strength of a rock foundation will be

greater than the compressive strength of the concrete within the dam. Therefore,
crushing (or compressive failure) of the concrete will usually occur prior to
compression failure of the foundation material. When testing information is not
available this can be assumed, and the allowable compressive strength of the rock
may be taken as equal to that of the concrete. However, if testing data is
available, the safety factors should be applied to the ultimate compressive
strength to determine the allowable stress. Where the foundation rock is non-
homogeneous, tests should be performed on each type of rock in the foundation.
Shear - Resistance to shear within the foundation and between the dam and its
foundation depends upon the zero normal stress shear strength (cohesion) and
internal friction inherent in the foundation materials, and in the bond between
concrete and rock at the contact surface. Ideally, these properties are determined
in the laboratory by triaxial or in the field through insitu testing.
The possible sliding surface may consist of several different materials, some
intact and some fractured. Intact rock reaches its maximum break bond resistance
with less deformation than is necessary for fractured materials to develop their
maximum frictional resistances. Therefore, the shear resistance developed by
each fractured material depends upon the displacement of the intact rock part of
the surface. The shear resistance versus normal load relationship for each
material along the potential sliding plane should be determined by testing
wherever possible.
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The foundation parameters of are assessed under geological parameters and

geotechnical parameters. The dam foundation requirements are based on type of
dam proposed and is largely dependent on the strength, deformation and
permeability characteristics of site material. To determine the depth of excavation
needed to achieve an adequate foundation, observation in borings and test pits,
field testing of soil and rock, laboratory testing of representative samples and
ultimately, analysis/design is needed.
The geotechnical properties of foundation can be assessed through several surface

and sub-surface methods of investigation. Geophysical investigation includes
seismic refraction method, electrical resistivity survey and imaging techniques,
tomography and ground vibration techniques. These geophysical techniques are
used as a tool for qualitative assessment of subsurface strata and stratification of
bed rock.
Geological investigations are carried out by surface maping, drill holes,

exploratory drifts. The properties of intact rock may be determined by subjecting
the rock specimens to various tests in dry and saturated conditions in the
laboratory. The strength and deformability characteristics of rock mass may be
obtained from insitu direct shear tests and uniaxial jacking and Goodman jacking
tests.
In situ stresses- In situ stresses play an important role in safe and economic
design of structure created inside of rock mass. In situ stresses are rarely uniform
in a rockmass. Underground works require knowledge of in-situ stresses. Many
methods are available for determination of magnitude of principal stresses.
Empirical correlations for assessing the rock mass quality: In the absence of
test data, some empirical correlations developed from time to time are also used
for assessing the rock mass quality.
Intact Rock and Rock Mass: When studying the subject of rock mechanics, the
terms Rock Mass and Intact Rock are generally used. It's important to distinguish
between rock mass and intact rock.
a. Intact Rock: The term intact rock refers to rock which has no through
going fractures significantly reducing its tensile strength. It is usually
characterized by density, deformability Young's modulus and Poisson's
ratio) and strength (unconfined compressive strength, cohesion and angle
of friction).
b. Rock Mass: The term discontinuity is used in rock engineering for all such
types of fractures to indicate that the rock is not continuous unlike the
intact rock described above which is mechanically continuous. Clearly the
nature, location and orientation of discontinuities profoundly affect most of
the rock properties (deformability, strength, permeability, etc.) and,
therefore, the rock engineering application. The rock mass means in-situ
material, which consists of intact rock, joints and other discontinuities. The
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greater the strength of intact rock, the more important is the discontinuities
in determining the behaviour of rock mass.
2. Rock/Rock Mass Characterization
The rock mass is characterised by conducting in-situ testing along with testing in
the laboratory. The objective of both the tests is to classify the rock for
engineering design purposes. The characterization of rock and rock mass is
essential to study the behavior of foundation materials on which the structure has
to rest or which has to support the rock loads in case of underground caverns and
tunnels.
Many researchers and rock mechanics experts have developed empirical

correlations between rock mass classifications viz. RMR, Q, GSI with the
engineering properties of rock mass like UCS, modulus of deformation, shear
strength parameters etc. over a period of time. But these have limitations of
limited data base and that too pertaining to certain specific regions only.
Moreover, empirical classifications of rock mass are also based on the judgments
which contain human errors and limitations. Therefore, nothing can replace the
actual test results. However in the event of non-availability of actual data, these
may be helpful in preliminary design of any structure. The same may be validated
later on based on actual testing and design may be reviewed.
2.1 Laboratory Investigation and Characterization of Rock
Properties of intact rock may be determined by subjecting the rock specimen to

various laboratory tests. Tests conducted on the rock cores. These rock specimen
can either be the cores obtained from drilling or the rock fragments. The
following are the common type of tests performed in the laboratory:
1. Density (Grain and Bulk), Water Absorption, slake durability index,
2. Point Load Strength Index
Engineering Properties in Saturated State
3. Uniaxial compressive strength (UCS)
4. Elastic parameters: modulus of elasticity and Poisson’s ratio
5. Triaxial compression test for c and ø
6. P and S Wave Velocity
7. Indirect tensile strength
8. Point Load Strength Index
9. Slake durability index
The following tests are being conducted frequently on the rock cores.
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2.1.1 Strength (in Uniaxial Compression) and Deformability Characteristics
The saturated specimens (with length to diameter ratio 2.5 to 3) uniaxial

compressive strength is evaluated, along with its deformability characteristics
(modulus of elasticity and Poisson’s ratio). In saturated condition, when loaded in
uniaxial compression, the stress and strain are determined for Nx size rock
specimens. The longitudinal and lateral strains of the specimen are measured with
the help of electrical resistance strain gauges. Strain gauges are cemented at the
middle of the specimen. The rock specimens are loaded - until failure - axially
between the platens in a Universal Testing Machine. The stress value at failure is
given by the relationship.
σc =F/A
Where,
σc = Compressive Strength of Specimen (MPa)
F = Applied force at failure (N) and
A = Initial x-sectional area of the specimen transverse to direction of force
(mm2)
2.1.2. Tensile Strength
Specimens under compression often fail due to development of tensile stresses.

Tensile failure is also an important phenomenon in drilling and blasting of rocks,
failure of roof and floors etc. Tensile strength is measured directly by applying
tensile load or indirectly under compression or in bending test. Due to difficulty
of gripping the specimen and applying load parallel to its axis, indirect methods
of estimation of tensile strength are commonly used. Several techniques for direct
as well as indirect methods have been developed each having their own pros and
cons. The indirect method in which compression load is applied diameteraly on a
circular disc developed in South America known as Brazilian test is considered
easy and reliable. Assuming homogenious, isotropic and linearly elastic material,
the tensile stress developed at the centre of the disc when failure initiates is given
by the following equation:
T = P/ π. r. t
Where, P : applied maximum compressive load,
r : radius and
t : thickness of the specimen.
2.1.2. Triaxial Compression Test
Tests on unconfined rock specimens were found to give an incomplete

explanation of rock behaviour in situ. The conventional triaxial compression tests
are carried out on rock core samples of Nx size, with length to diameter ratio of
2, to find out the shear strength parameters. Saturated specimens are tested in a
Hoek’s Triaxial Cell. The triaxial cell is an apparatus, in which the test specimen
is enclosed in an impermeable flexible polyurethane membrane, and is placed
between two hardened platens, one of which is spherically seated.
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There is an arrangement for applying constant lateral fluid (oil) pressure to the
specimen in the triaxial cell. After enclosing the specimen in the triaxial cell, the
cell is placed in a compression-testing machine, and the specimen, under constant
lateral hydraulic pressure, is loaded axially to failure. The specimens are tested
under different lateral/confining pressures.
The normal stress at failure versus confining pressure (i.e., Strength Envelop),
comprising all the tested specimens, is plotted. The modified failure envelope,
which is the ‘best-fit’ of the tested data, is drawn to estimate shear strength
parameters. In the sense of Coulomb’s failure theory, the apparent cohesion (C)
and the internal friction angle (Ф) are computed using the following formulae:
Ф = arc sin [(m-1) / (m+1)]
C = b [(1- sin Ф) / 2 cos Ф]
where,
m = slope of the modified failure envelop, and
b = intercept of the failure envelop on the axial stress axis
2.1.3. Point Load Strength Index
The Point Load Strength Test is intended as an index test for strength
classification of rock materials. It may also be used to predict other strength
parameters with which it is correlated, for example uniaxial tensile and
compressive strength.
2.2 Field investigations and characterization of rock mass
Rock mass is a discontinuous, non-homogeneous and anisotropic geological

medium containing fissures, fractures, joints, bedding planes, folds, shear seems
and faults. The strength of rock mass is governed by the behaviour of these
discontinuities and planes of weakness. The discontinuities may exist with or
without gouge material. The infilling material in these discontinuities also varies.
The frequency of joints, their orientation with respect to the engineering
structures and the roughness of the joint have a significant impact on stability of
the structures. Determination of rock mass characteristics is a great challenge e.g.
difficulty in preparation of undisturbed specimen, limitation of testing methods,
volume of rock mass involved, no. of major discontinuities involved, limitation
of testing equipment, human errors, etc. However, compared to laboratory
testing, in-situ testing represents the actual rock mass since it takes into account
the effect of discontinuities, scale effect, natural conditions etc. Evaluation of
these parameters on the basis of laboratory tests on tiny intact rock specimens or
through indirect empirical relations may be often misleading and can result into
inappropriate design.
It is necessary to conduct in-situ deformability and in-situ shear tests as it is

impractical to simulate field conditions in laboratory. Deformability
characteristics (deformation modulus and modulus of elasticity) are generally
obtained by conducting the uniaxial jacking tests and recording the load-
deformation data inside a drift or in a trench as per the site conditions.
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Deformability characteristics can also be obtained by conducting borehole jack

tests inside the drillholes. Determination of the shear strength parameters
(cohesion and friction angle) for concrete to rock and rock mass involves the
shearing of the block under constant vertical stress at the concrete to rock and
rock to rock interface respectively. In-situ shear tests conducted either inside the
small drift or in open trench take into account the effect of discontinuities;
orientation of foliation or bedding planes and other joints.
Strength and deformation characteristics of rock mass containing the

discontinuities may be found by conducting field tests. Field tests are essential for
shear strength and deformability characteristics of rock mass. The following are
the common tests employed to characterize the rock mass:
1. Shear Strength parameters c and Ф by in-situ shear tests for
a. rock to rock and
b. concrete to rock interfaces
2. Modulus of deformation of rock mass by Uniaxial jacking tests or
borehole
methods
3. In-situ Stress Measurements
4. Permeability test
5. Groutability test
6. Rock Bolt Pull out test
7. Instrumentation
In-situ shear strength and deformability characteristics of rock mass have been
discussed in detail here.
2.2.1 Shear Strength Parameters: Shear strength parameters are required for
design of any structure on rock. Shear strength parameters involve two
components viz. cohesion (c) and friction angle (Ф). The shear failure may occur
in two ways i.e. either in concrete/rock interface or within rock mass.
Methodology and Test Procedure

Blocks of rock mass are cut for rock over rock interface with no or minimal
disturbance and concrete blocks are cast for concrete over rock interface for
testing purpose in accordance with IS 7746:1991. During the preparation,
separate the rock mass of block size (70cm x 70cm x 35cm) from parent rock are
prepared in drift or trench. Similarly, after leveling the rock surface, the concrete
block of 70cm x 70cm x 35cm are prepared by using steel frame. All the blocks
are cured for 28 days before shearing.
For testing purpose, a set of minimum five blocks each of rock over rock and
concrete over rock has to be prepared. Each block is sheared at constant but
different normal load. Vertical and horizontal shear loads are applied by
hydraulic jacks of respective adequate capacity. From the side reaction pad, the
horizontal shear load is applied at an angle of 150 with the horizontal so that the
resultant force passes through the center of the test block.
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During the test, the shear force and the corresponding vertical, horizontal and
lateral displacements of the block are measured by dial-gauges of 0.01 mm least-
count. The observations are recorded even after the failure to the extent possible
to get the information regarding residual frictional resistance.
Each test block is sheared till failure and beyond for establishing the peak and
residual shear strength parameters as per IS 7746:1991. After completion of the
test, block is overturned to measure the actual area under shear and to know the
failure pattern.
The peak shear stress and residual shear stress both are plotted against the normal
stress and using linear regression analysis ‘best fit envelope’ are drawn. From the
equation of straight line obtained, the intercept on the Y- axis gives cohesion ‘c’
of the rock mass and the slope of the line gives the friction angle ‘Ф’ of the rock
mass.
2.2.2 Deformability Characteristics Of Rock Mass

Commission of Terminology of the International Society for Rock Mechanics
(ISRM) defined deformation modulus of rock mass in 1975.
Modulus of elasticity or Young’s modulus: The ratio of stress to corresponding
strain below the proportionality limit of a rock material.
Modulus of deformation of rock mass: The ratio of stress to corresponding
strain during loading of a rock mass, including elastic and inelastic behaviour.
Modulus of elasticity of rock mass: The ratio of stress to corresponding strain
during loading of a rock mass, including only the elastic behaviour. The modulus
of rock mass is denoted in terms of deformation modulus rather than modulus of
elasticity, because rock mass contain joints and during loading permanent
deformations occur because of closing of the joint spaces.
Deformation characterisation of rock mass is required for load transfer from the
proposed structure, be it foundation of any water retaining structure or any other
civil engineering structure or heavy machinery or an underground tunnel/cavern.
The response of the foundation strata due to cyclic pressure needs to be studied.
The deformation viz. elastic or plastic needs to be analysed for better
understanding of the rock mass behaviour. A number of methods exist for the
determination of modulus of deformation of rock mass. The following in situ
tests are conducted for determination of modulus of deformation:
• Plate loading test,
• Plate jacking test,
• Goodman Borehole jack test,
• Flat jack test,
• Cable jacking test,
• Radial jack test, and
• Dilatometer test.
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List of BIS Codes for Laboratory Tests:

• IS:9143-1979: Method for the determination of unconfined compressive
strength of rock materials
• IS:9179-1979: Method for the preparation of rock specimen for laboratory
testing
• IS:9221-1979 Method for the determination of modulus of elasticity and
Poisson’s ratio for rock materials in uniaxial compression
• IS:10050-1981 Method for determination of slake durability index of rocks
• IS:10082-1981 Method of test for the determination of tensile strength by
indirect tests on rock specimens
• IS:10782-1983 Method for laboratory determination of dynamic modulus of
rock core specimens
• IS:12608-1979 Method of test for hardness of rock
• IS:12634-1989 Method of determination for direct shear strength of rock joints
• IS:13030-1991 Method of test for laboratory determination of water content,
porosity, density and related properties of rock materials
• IS:19047-1991 Method for determination of strength of rock materials in
triaxial compression
• IS:14396 Method for laboratory testing of argillaceous swelling rock
(PT.1)-1996 Part 1- method of sampling, storage and preparation of test
specimens (PT.2)-1996 Part 2 - Determination of maximum axial swelling stress
(PT.3)-1996 Part 3 - Determination of axial and radial free swelling strain
(PT.4)-1996 Part 4- Determining axial swelling stress as a function of swelling
strain
• IS14436-1997 Method of test for laboratory determination of resistivity on rock
specimen
• IS:8764-1978 Method of determination of Point Load Strength Index for rock
material
• IS:2386(PT.8)1963Methods of test for concrete aggregate - Petrographic
examination
 IS 7317 (1993): Indian Standard code of practice for Uniaxial Jacking test
for modulus of deformation of rock
 IS 7746 (1991): Indian Standard code of practice for In-situ Shear test on
rock
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B. DIVERSON ARRANGEMENT FOR GRAVITY DAMS
Introduction:
Prior to commencement of the actual construction of any work in river bed, it

becomes obligatory to exclude temporarily the river flow from the proposed work
area during construction so as to provide dry or semi dry work area. Regardless of the
type of dam, it is necessary to de-water the site for final geological inspection, for
foundation improvement and preparation, and for the first stage of dam construction.
The magnitude, method and cost of river diversion works will depend upon the cross-
section of the valley, the bed material in the river, the type of dam, the expected
hydrological conditions during the time required for this phase of the work, and
finally upon the consequences
of failure of any part of the
temporary works.
At most sites it will be
necessary to move the river
whilst part of the dam is
constructed; this part will
incorporate either permanent
or temporary openings
through which the river will
be diverted in the second
stage. If the first diversion is
not large enough the initial
stages of construction will be
inundated, if the second stage
outlets are too small, the
whole works will be flooded.
Diversion During Construction:

Engineers must de-water the river where the dam is meant to be built. This is done by
diverting the river through a system of temporary diversion dam and tunnel/channel
that runs away from the intended construction zone. Diversion dams do not generally
impound water in a reservoir; instead, the water is diverted through an
artificial water course, channel or conduits/tunnels.
River diversion Scheme essentially consists of:
a. Coffer dam(s) built across the part or full width of the river to divert the
flowing water away from the work area.
b. Tunnel or channel works to transfer the diverted water from upstream to
downstream of the work area without affecting it.
Types of river diversion:
1. Scheduling part of the work area for construction and allowing the river to
flow through the remaining area. Temporary diversion with laterally
constriction of the river is done by building a cofferdam.
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2. River diversion trough tunnel: The river diversion through tunnel has great
applicability in embankment dams but it has the highest cost.
3. River diversion trough conduits: Alternative to tunnel diversion when
surrounding rock has no enough quality to make a tunnel.
4. River diversion trough channel: When it’s not economically unfeasible to carry
out a tunnel- this solution can use where the topography is characterized by
flattened valleys.
5. Opening left in the dam body: This method use in concrete dams, more
especially arch dam.
Scheme of Diversion varies from project to project depending on various factors.
Cost and economics of the scheme mainly decides over the available choice. A
good & reliable diversion scheme is a pre-requirement for successful completion
of the Project.
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Types of Diversion Methods: Generally two types of diversion arrangements:

I. Single Stage Diversion:
II. Multi Stage Diversion
I. Single Stage Diversion: For Narrow valley

1. Build a partial coffer dam allowing construction of diversion tunnel,
culverts flumes ad control works
2. Divert the flow through these structures.
3. Build full size of u/s & d/s coffer dams to proved dry working area for
main dam .
4. Build the permanent works (main dam, spillway etc)
5. Close the diversion passage and start impounding the water.
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II. Multi Stage Diversion: For wide valley

Diversion has to proceed in stages as follows:
a. Build a 1st stage coffer dam around a portion of work
b. A portion of dam is constructed within this area with sluices to take river flow
during subsequent stage of construction.
c. After reaching the height of main dam where completion can be permitted after
flooding, the coffer dam is removed to allow the flow though the sluices.
d. The remaining section of the river is enclosed within a 2nd coffer dam.
e. The sequence a to d may be repeated for completing the construction of dam
over entire width of river.
Closure of Diversion Works:

Final closure of diversion work is an important stage in diversion work. Closure
must take place under low-flow period.
• For small Head and flow- putting stoplogs in prepared slots.
• For large flows- by dropping bulkhead gate/sliding gate of steel
Once the gates are lowered and permanent concrete plug can be casted.
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Diversion Flood:
The diversion structures work process need to guarantee that the river can bypass the
dam site during construction. Design of this river diversion needs study of
hydrological characteristic of the water course and morphological characteristic of the
site.
The efficient scheme of diverting the river flow away from the work area should aim
at limiting the seepage into the work area to minimum. The proper planning and
design of such temporary diversion work would be greatly influenced by design flood
in addition to other factors.
Generally the largest observed non-monsoon flood or non-monsoon flood of 25

year return period is adopted as a diversion flood.
Design Flood for Coffer dam:

Concrete /Masonry Dam = 1in 25 years non-monsoon return flood
Earthen/Rockfill Dam = 1in 100 years return flood
Fixation of Height of Coffer dam and Size of tunnel:
Flood routing and hydraulic model studies for evolving suitable arrangement of the
diversion through open channel help in:
a. Discharging capacity ( Numbers and size) of the diversion outlets/conduits.
b. Height of the upstream and downstream coffer dams. ( MWL is known from
flood routing, Height= MWL+Free Board)
c. Deciding the most efficient alignment of the diversion channel
d. Protection measures for the coffer dams if they are to be overtopped
e. Flow conditions in the diversion channel depending on its utility during
diversion as well as during permanent stage.
Selection of Diversion Arrangement:
A concrete or masonry dams could be allowed to get overtopped during floods when
construction activity is not in progress. Generally the largest observed non-monsoon
flood or non-monsoon flood of 25 year return period is adopted as a diversion flood.
Advantage is also taken of passing the floods over partly completed dam or spillway
blocks, thereby keeping the diversion channel of relatively smaller size than that is
required for embankment dam. In such a case a small excavated channel either in the
available width of the river or one of the banks of the river proves to be adequate.
Construction sluices are located in such excavated channels which allow passage of
non-monsoon flows without hindrance to the construction activity.
Such sluices are subsequently plugged when the dam has been raised to adequate
height. If the diversion channel is excavated on one of the river banks, it is possible to
use the same for locating an irrigation outlet, a power house or a spillway depending
upon the magnitude and purpose of the project
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Types of Coffer dams
a. In situ Concrete / Masonry coffer dam

b. Earthen coffer dam
c. Rockfill coffer dam
d. Steel coffer dam
e. Timber Coffer dam
Design criteria of masonry Coffer Dam: The dead load, upstream and downstream
water loads, uplift, etc. considered in the design of coffer dam calculate according to
IS:6512-1972. Forces considered in Design concrete coffer dam:
i. Dead load
ii. Hydrostatic pressure, including velocity head
iii. Uplift pressure
iv. Earth and Silt pressures
v. Reaction of foundation
Requirement of stability:
i. The coffer dam shall be safe against overturning
ii. The coffer dam shall be safe against sliding
iii. The unit stresses developed in the masonry or concrete of the coffer dam or In
the foundation material shall not exceed the permissible values
iv. Resistance against Overturning: following criteria must be satisfied
a. The resultant of all forces shall normally fall within the middle third of the
base.
b. The maximum compressive stresses at any point shall be within
permissible limit.
Earthen Coffer Dam:
Sufficient freeboard against overtopping due to anticipated flood shall be provided.

Seepage flow through the Dam body and its foundation to be controlled to avoid
damages due to piping,sloghing and removal of finer particles . Stable slopes both at
u/s and d/s of the coffer dams under all conditions of construction
For minimizing seepage through the dam body an impervious central earth core and/or
an impervious upstream membrane is usually provided. Adequate provision for passage
of diverted river discharge should be made. Design and analysis of earthen coffer dam
is carried out in accordance with IS:7894 & IS:8826
Diversion Tunnel:
Diversion Tunnel carries water from the mainstream to other channels or across the
construction site. These can be permanent or temporary structures. The size of a tunnel
depends upon magnitude of diversion flood and height of u/s coffer dam ( higher the
head smaller the size of the tunnel), Economics of height versus diameter of tunnel shall
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be worked out. A tunnel can be pressure or free flow type. Permanent closure of the
tunnel is done by placing concrete plug in the tunnel.
Design considerations of Channel:
Channel are designed on the basis of manning’s formula. The velocity in the unlined
section should ot exceed 5m/s. in lined channels velocity may go up to 15m/s. For the
diversion channel excavated in overburden, it is also necessary to ensure that the banks
are not eroded due to flood flows.
KOTESHWAR HE PROJECT – LAYOUT PLAN
List of BIS Codes:

i. IS 14815:2000 Design code for river diversion works-Guidelines
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AN INTRODUCTION TO RCC DAMS
1 INTRODUCTION
The term Roller-Compacted concrete (RCC) describes concrete used in the

construction process, which combines the economical, and rapid placing techniques
used for fill dams with the strength and durability of concrete. RCC is concrete with
a no-slump consistency in its un-hardened state that is transported, placed and
compacted using fill-dam construction equipment.
The RCC is a material composed by the same components that made a conventional
concrete (cement, admixtures, sand, grave, water and Additives) but is transported,
extended and compacted with the own technology of the earth’s movement.
The properties of hardened RCC are similar to those of traditionally-placed concrete.

Material properties such as elastic modulus, Poisson’s ratio, coefficient of thermal
expansion, and unit weight are similar to those of traditional dam concrete since
they depend to a great extent on the aggregates used.
There are four main requirements for an RCC to be used in a water-retaining

structure and two additional factors that should be considered. The four
requirements are: impermeability, density, strength and most important the ability
to be transported, spread and compacted without detrimental segregation. The two
other factors are: durability, should the RCC be exposed to the environment and not
completely protected by encapsulation by facing concrete or some other protection,
and construction conditions
Generally, shear strength along the horizontal joints between the layers is more
critical because of the “layered” method that is used in the construction of RCC
dams. In addition, because of the construction technique, temperature distributions
and the corresponding thermal stresses in the dam are very different from those of a
traditional concrete dam. This is one of the major design considerations and is often
investigated using finite-element method (FEM) analysis
The interest in RCC dams is driven by economic considerations and also where
speed of construction is an important element. Given an adequate foundation, RCC
dams commonly have a lower cost than the equivalent fill dams when the savings in
cost of diversions and spillways are taken into account.
Although well-designed RCC dams are frequently the least-cost solution when
compared to other forms of dam, there are conditions that can make RCC dams
more expensive. Situations where RCC may not be appropriate include those where
aggregate material is not reasonably available, the foundation rock is of poor quality
or not close to the surface, where foundation conditions could lead to excessive
differential settlement, or where the valley is very narrow and steep-sided leaving
limited room in which to manoeuvre the equipment.
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Requirements for galleries, instrumentation, and appurtenance for RCC dams are
similar to those of traditional concrete dams. Nevertheless these features can impact
on the construction programme. To ensure that RCC construction can proceed
rapidly, thereby ensuring that low unit prices for the RCC are obtained, the design of
the inserts in the dam in particular should be such that they have the minimum
possible effect on rates of concrete placement.
2 DESIGN CONCEPTS
The lean (low-cementitious material content) RCC dam, with a low cementitious (i.e.
Portland cement and mineral admixtures) content (< 100 kg/m3) The low-
cementitious RCC dam uses an upstream watertight membrane to protect the low-
cementitious roller-compacted interior concrete that is usually fairly permeable,
particularly at the joints between the layers. This membrane can either be an
immersion-vibrated concrete facing (up to 500 mm wide) placed at the same time as
the interior concrete and cast against conventional formwork, or pre-cast concrete
panels with or without an attached geo-membrane. Bedding mixes (concretes or
mortars with a higher cementitious content) are frequently placed between each lift
near the upstream face to improve the bond and reduce seepage between the layers
of RCC.
The high-paste (high-cementitious material) content RCC, with a relatively high

cementitious content (> 150 kg/m3).
The design philosophy of the high-cementitious content RCC dam is that the roller-
compacted interior concrete should be the watertight barrier. Thus the RCC has to be
designed to bond layer to layer and to have an in-situ permeability equivalent to that
of a traditional concrete dam. Contraction joints are formed through the dam. If
immersion-vibrated concrete is used on the faces of the dam, it is provided to give an
improved finish and to contain the water stops at the upstream end of induced
contraction joints.
A further classification of a medium-cementitious RCC dam, which has a

cementitious content between 100 and 149 kg/m3
3 ENGINEERING PROPERTIES
The most important properties of RCC when used in dam construction are density,
permeability, compressive strength, shear strength and tensile strain capacity.
Density:
The in situ density of RCC is depends largely on specific gravity of the aggregates to
be used. It also depends on void ratio of fine aggregate and the paste-mortar ratio. A
lean Paste RCC has about 95% to 98% of Theoretical Air Free (TAF) density while in
high paste ration it varies from 98% to 99.5%.
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Unit weight of RCC is typically equal or slightly higher than for conventional non air
entrained concrete.
Permeability:
Permeability value of RCC are generally lower than for conventional concrete due to
presence of high cementatious material. Usual values of permeability in low paste
RCC varies from 10-4 to 10-9 m/sec while same varies from 10-10 to 10-13 m/sec in
high paste RCC.
Compressive Strength:
In general compressive strength of RCC mixes is higher at later ages than for a
conventional concrete mix with the same cemntatitious content.
Tensile Strength:
Tensile strength as a percentage of compressive strength is generally lower for RCC

than it is for conventional concrete. Tensile strength varies with aggregate quality,
age of concrete, cement content and strength. In lean RCC it is about 0.5 MPa and it
varies from 1.5 MPa to 2.5 MPa in high paste RCC.
Shear Strength:
The cohesion value (C) of RCC typically varies from 0.5 MPa to 4 MPa. Friction angle
at bonded joint is usually more than 45 degree. For preliminary design typical value
of Angle of Friction (φ) is 45 degree and Cohesion as 10 % of compressive strength of
RCC.
Tensile Strength Capacity:
Strain is induced in concrete when a change in its volume is restrained. When the
volume change results in, tensile strain that exceeds the capability of the material to
absorb the strain, a crack occurs. The threshold strain value just prior to cracking is
tensile strain capacity of material. It is influenced by rate of loading, type and shape
of aggregates and cement content
RCC tensile strain capacity is lower because of less cement content.
Elastic properties:
A low value is desired to decrease the crack potential. Typical values are 15 to 25
GPa.
Poisson Ratio:
It is usually similar to conventional concrete and its values varies from 0.2 to 0.3.
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4 DESIGN CONSIDERATIONS
The use of vibratory rollers to compact concrete instead of immersion vibrators does
not change the basic design concepts for dams; nevertheless, it does affect
construction procedures. Therefore, during construction planning, the structural
design and layout of appurtenant structures and inserts and the methods that are to
be used for the treatment of the joints between the layers must all be considered so
that the advantages of the rapid method of construction that is possible with roller
compacted concrete are not lost.
Important considerations that must be addressed before proceeding with the design
of an RCC dam include the basic purpose of the dam and the owner’s requirements
for cost, programme, appearance, water-tightness, operation and maintenance. A
review of these considerations should help to determine the optimum RCC mixture
proportions, the type of layer surface treatment, the method of forming the face of
the dam and the basic configuration of the structures. The overall design should be
kept as simple as possible in order to fully utilise the advantage of the rapid method
of construction using RCC. The Designer, in taking advantage of the flexibility
afforded by RCC, must balance the potential cost savings against the technical
requirements of the structure.
5 RCC GRAVITY DAMS
RCC gravity dams are designed to the same criteria as a traditional concrete gravity
dams with respect to stability and allowable stresses in the concrete. Given the
layered form of construction of RCC, the strength of lift joints and the potential for
sliding on lift joints must be considered carefully. With high cementitious content
RCC, good cohesion is achievable, but low-cementitious RCC and RCCs that
segregate can have low cohesion. Low cohesion values also tend to lead to high
permeability. The shear properties and permeability at lift surfaces are dependent on
a number of factors that include material properties, mixture proportions, joint
preparations, construction operations, and exposure conditions. Actual values used
in final designs should be based on tests of the materials to be used or careful
extrapolation from tests on RCC mixtures from other projects with similar
aggregates, cementitious material contents, and aggregate gradings.
As with any dam design, the Designer of RCC structures must be sure that design
assumptions are realistically achievable with the construction conditions anticipated
and the materials available.
Gravity dams are normally analysed as two-dimensional structures using

conventional plane-stress analysis or finite-element analysis. For all but the largest
dams, the thermal performance of an RCC gravity dam does not affect the design of
the dam cross-section as the section is monolithic in the upstream-downstream
direction and no forces are assumed to be transmitted along the dam axis. For a
traditional concrete gravity dam, the dam-foundation interface is usually the most
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critical section for stability evaluation. However, because of the potentially weaker
horizontal joints between the layers, in addition to the dam-foundation interface, it is
also necessary to perform stability analyses for other critical sections through the
body of the RCC dam.
Seismic aspects:
The analysis of RCC dams for seismic loading conditions is identical to that for
traditional concrete dams. In seismic design of concrete dams, there are certain
“good practices”, such as eliminating or minimising geometrical discontinuity in the
dams and reducing dead load at the top of the dam. These practices are equally
applicable to RCC dams. The tensile and shear strength of the horizontal lift joints
required for seismic loading may be higher than those under static loading. Proper
measures have to be taken during construction to accommodate these requirements.
Galleries
Galleries and adits serve the same purposes in RCC dams as they do in traditional
concrete dams. For example, a foundation gallery can serve as access to the interior
of the dam for inspection, as a collector of seepage, as access for instrumentation and
other equipment, and as a terminal point for drain holes drilled from the crest or a
gallery at a higher elevation. Design requirements for RCC galleries and adits are
commensurate with those of traditional concrete dams. The paradox is that the
inclusion of galleries in RCC dams interferes with clean, efficient placement and
compaction of RCC. For that reason, some Designers of RCC dams would like to
reduce the number of galleries and adits to a minimum, especially in low dams
where the need for them may be questionable [24]. However galleries provide the
only immediate interior access during operation for inspection, for safety, and to
clean or re-drill drains to maintain stability as designed. Costs associated with
failure or for additional stability can far outweigh the costs of construction. RCC
productivity may drop 10 to 15 percent for those layers that cross a gallery.
Designers of RCC dams should weigh the advantages and disadvantages of

galleries. For example in low dams (or at the ends of large dams), it is possible to
place a porous-pipe drain in the foundation and drill from the top of the dam to
intersect with the pipe. Where galleries are necessary, the layout of the gallery
should be designed taking into account the effects on RCC placement operations. If
possible, the gallery should be located a reasonable distance from the upstream face
to allow construction equipment to operate in the area. The galleries can be stepped
in a manner that when placing the RCC adjacent to the gallery, access to placement
areas is not completely blocked. The gallery construction methods (see Section 5.9)
should be consistent with the purpose of the gallery. A gallery that is only to provide
access to the interior of the dam can be constructed by any method. A gallery that is
intended to provide a means to inspect the RCC and to observe cracks should avoid
the methods that mask the RCC, e.g., pre-cast concrete forms.
Spillways:
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Spillway designs used for traditional concrete dams are also suitable for RCC dams.
However, in RCC dams when gated spillways are provided, they are constructed in
conventional concrete.
Appurtenant structures and inserts
Appurtenant structures and inserts can provide obstacles to RCC placement. The
preferred practice for RCC dams is to locate any insert that has to pass through the
dam in or along the rock foundation to minimise delays to RCC placement.
6 INSTRUMENTATION
The instrumentation in an RCC dam is similar to that in a traditional concrete dam.

However more emphasis is usually placed on the thermal conditions in an RCC dam
(because of the more rapid method of construction) and therefore frequently there
are more thermocouples in an RCC dam than in a comparable traditional concrete
dam.
Unless carefully planned, installation of embedded instruments such as strainmeters,
thermocouples and piezometers can interfere with RCC construction and their
installation should be carefully considered during design. It is noted that these
instruments also interfered with the construction of traditional concrete dams but to
a lesser degree.
7 CONSTRUCTION
The layout, planning and logistics for construction of RCC dams are somewhat
different from those of traditional mass concrete dams. Instead of vertical
construction with independent monoliths, RCC construction involves placing
relatively thin lifts over a large area, essentially placing a series of roads one on top
of the other in rapid succession. If a problem develops on a given layer, it has to be
resolved before any subsequent layers can be placed. There are no alternate
monoliths on which to work while a problem is being studied. It is therefore
important that all related activities such as foundation clean-up, access and delivery
of materials and embedded parts be planned and programmed well ahead of time.
When problems of an engineering nature develop, responsibility and authority to act
on those problems should ideally be at site level.
Traditional mass concrete placement usually requires a high ratio of man-hours to

volume placed due to labour-intensive activities, such as raising formwork, joint
preparation and consolidating concrete with immersion vibrators. RCC usually has a
lower ratio of man-hours to volume placed because of the use of mechanised
equipment for spreading and compacting the concrete, less formwork and reduced
joint preparation.
Thickness of layers:
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A number of factors effect the thickness of layer. Modern vibratory rollers have more
than sufficient energy to obtain good densities with a well-designed workable RCC
in layer thicknesses certainly up to 1000 mm. The more important factor is the need
to have sufficient compactive energy at the bottom of the layer to obtain good bond
between the new layer and that previously compacted. A further factor that
influences lift thickness is the maximum allowed exposure time before covering one
layer with the subsequent layer. Each project should be studied to optimise the
benefits of various layer thicknesses. Thicker layers mean longer exposure times but
fewer joints between those layers and thus a reduction in the number of potential
weaknesses in the structure. Thinner layers result in more potential joints but allow
those joints to be covered sooner, resulting in improved bond. The compacted
thickness of any RCC lift should be at least three times the diameter of the maximum
size of aggregate The majority of layers have been 300 mm thick.
.
Compaction:
Traditional concrete is consolidated during vibration, whereas the density of an RCC

is achieved by compaction. There are a great variety of parameters that can influence
the compaction, such as the maximum size of aggregate, the quantity and type of
cementitious material, the water content, the thickness of the layers, the equipment
used, etc. Adequate compaction is an essential factor in order to obtain a good-
quality RCC. RCC is roller compacted or tamped into a dense mass by external
energy rather than by being internally (or externally) vibrated and densified by
settlement under its own weight. Compaction should be performed as soon as
practicable after the RCC is spread.
Manoeuvrability, compactive force, drum size, frequency, amplitude, operating

speed, and required maintenance are all parameters to be considered during the
selection of a vibratory roller. The compactive output in volume of concrete per hour
obviously increases with size and speed (which should be limited in the
Specification) of the roller. Project size, workability of the mix, layer thickness, the
extent of consolidation due to dozer action and space limitations will usually dictate
selection. Rollers larger than about five tonnes usually cannot operate closer than
about 200 mm to vertical formwork or obstacles, so smaller hand-guided compaction
equipment and thinner layers are usually needed to consolidate RCC in these areas.
The freshly-spread RCC surface should be smooth so that the roller drum produces a
consistent compactive pressure under the entire width of the drum. If the spread
surface of less workable RCCs is not smooth, the drum may over-compact high spots
and under-compact low spots.
Generally four to eight passes of a 10-ton vibratory roller will achieve the desired
density for RCC in 300-mm thick layers. This assumes compaction in a timely
manner with appropriate equipment. Over-compaction or excessive rolling should
be avoided as it may reduce the density in the upper portion of the layer.
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Compaction should be accomplished as soon as practicable after the RCC is spread,

especially in hot weather. Compaction is frequently specified to be completed within
15 minutes of spreading and 45 minutes from the time of initial mixing. Tests have
shown substantial and rapid reductions in compressive, tensile and modulus values
if low-cementitious RCC is compacted when it is more than about 30 to 45 minutes
old and the mix temperature is 20 °C or higher
8 JOINTS BETWEEN LAYERS OF RCC.
The performance of an RCC dam will almost entirely be dictated by the performance
of the horizontal joints between the layers. If there is no segregation when the RCC is
placed and spread, if there is intimate contact between the two layers and if there is
sufficient energy from the vibratory roller to turn that contact into good bond, the
RCC will perform as a monolithic structure with a performance at least to that of a
traditional concrete dam. In addition the joint surfaces must be scrupulously clean;
this is generally accomplished by a vacuum truck or by air blowing. However, if any
of these factors are not present, the performance of the joint may be less satisfactory.
The adhesion between layers of RCC is produced by two mechanisms; cementitious

(chemical) bond and penetration of the aggregates from the new layer into the
surface of the previously-placed layer. As the exposure time between the placement
of the layers increases, the chemical bond becomes the predominate factor because
the potential for penetration of the aggregates decreases faster than the chemical
bond.
The treatment of the joints between the layers differs from that of traditionally
placed mass concrete because there is no surface water gain during setting of the
concrete. Consequently, there is no weak laitance film on the surface. Surface water
gain (bleeding) is the result of subsidence during setting, when the excess water
separates from the mixture and is displaced to the surface by the heavier materials.
Bleeding does not occur in properly-proportioned RCC with a reasonable
water/cementitious ratio. However, it is not uncommon for full consolidation of the
RCC to bring paste to the surface. This paste is not weakened by subsequent water
gain and, if properly cured, does not have to be removed prior to placement of the
covering layer.
Following three classes of joint treatments are defined:
1. Fresh (or “hot”) joint – this is a joint that occurs when the RCC layers are being
placed in rapid succession and the RCC is still workable when the next layer is
placed.
2. Intermediate (or “warm” or “prepared”) joint – this is the condition that occurs
between a fresh joint and a true “cold” joint.
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3. Cold joint – at this stage the surface of the previously-placed layer is judged to be
such that little or no penetration of the aggregate from the new layer will be
possible into the previously-compacted layer.
Bedding mixes used on the surface of the layer will improve the shear and tensile
strength of the joint for a given set of conditions. However, with a well designed
workable RCC with an excess of paste an equivalent performance can be achieved.
Indeed, the joints with the best performance found during the testing of cores have
all been in RCC dams without bedding mixes.
There are two forms of bedding mix, mortar and bedding concrete (with a maximum
size of aggregate greater than 5 mm). The mortar is generally 10 to 20 mm thick. The
thickness of the bedding concrete has varied considerably and has been up to 75 mm
thick.
9 CURING AND PROTECTION OF RCC
After the RCC has been placed and compacted, the surface of the layers should be
kept continuously moist 24 hours a day and protected from drying or freezing prior
to placement of the next layer as would concrete placed by traditional methods. The
surface should be clean and at, or near, a saturated-surface-dry (SSD) condition just
prior to placement of the next layer. The surface should also be protected from
freezing by insulating with plastic thermal blankets (or some other means) until it
gains sufficient maturity.
The final layer of RCC should be cured for an appropriate time, generally in excess
of 14 days. Curing compound is generally considered unsuitable because of the
difficulty in achieving 100 % coverage on the relatively rough surface, the probable
damage from construction activity, the low initial moisture in the mixture, and the
loss of beneficiary surface temperature control that is associated with moist curing
when there is low relative humidity. An effective cure is covering with a layer of
damp sand which will also provide beneficial thermal protection.
10 PERFORMANCE
Cores have been extracted from a significant number of RCC dams for testing to
ascertain the performance of the dam. The diameter of the cores should be at least
two and a half times that of the maximum size of aggregate and preferably three
times. These results giving the in-situ performance are far more important that those
obtained from testing of manufactured specimens as they give a representation of
the concrete in the dam. In addition it is the performance at the horizontal joints
between the layers that is of more importance than the performance of the parent
(unjointed) material.
Results of various constructed RCC dams have shown that RCC dams can be
designed for any reasonable impermeability and there are examples of dams in
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which the in-situ permeability has been measured at 1 X10–12 m/s which is at least as
good as, if not rather better than, the in-situ permeability of traditional concrete
dams
It is also apparent that the performance at the joints increases significantly as the
cementitious content increases, for example with low-cementitious RCC dams the
average cohesion is approximately 6 % of the compressive strength, while with high-
cementitious content RCC dams it is over 9 %.
11 ADVANTAGE OF RCC DAM
The advantages of RCC in dam construction as compared with traditional concrete

dams include:
• More rapid construction (2.5 to 3 m vertical progress per week can be achieved in
large dams – greater rates have been achieved in smaller dams);
• Effective use of conventional equipment (trucks, dozers, vibratory rollers, etc.);
• A reduced cost of construction as a consequence of the above
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OVERVIEW OF GHATGHAR PSS- PLANNING, CONSTRUCTION AND

SUPERVISION w.r.t. ROLLER COMPACTED CONCRETE DAM
BY
V. C. SHELKE,
Retd. Chief Engineer, Koyna Project, Pune
ABSTRACT: Ghatghar Pumped Storage Scheme is conceived for enhancing hydropower capacity of
Government of Maharashtra and thereby achieving balance of hydro-thermal ratio in the state. Ghatghar
Pumped Storage Scheme is first ever largest scheme (250 MW) consists two units of 125 MW each.
Ghatghar Pumped Storage Scheme comprises underground powerhouse complex. The construction of
machine hall, transformer hall of powerhouse complex are in advanced stage. In order needs commission
powerhouse, the construction of upper and lower dam needs to be completed prior to or concurrently to
powerhouse. Upper dam is 15 m high while lower dam is 84 m high. Conventional masonry or concrete
dam would require 5 to 10 years for construction. This has lead to search for latest technology to build
dam fastest. The answer to this is Roller Compacted Concrete (RCC). Roller Compacted Concrete (RCC)
dam is a key solution for number of hydro projects world over. India has also gone for its first ever RCC
dam for Ghatghar Hydroelectric project. This project is unique of its kind because of use of reversible
turbine pumps and adoption of RCC technology for three dams. Out of three dams Saddle dam (40000
m3) has been completed and in next two seasons, it is planned to complete the Lower dam (600000 m3).
On successful completion of Lower dam the new trend will be set for adopting RCC technology in
upcoming new dams for hydroelectric projects in the country.
This paper describes preliminary trials like Test sections, full scale trial and the construction
methodology. Use of fly ash is also an attractive eco-friendly feature of the dam.
Introduction
Ghatghar Pumped Storage Scheme in Maharashtra state of India is on river Pravara, 15 km upstream of
existing Bhandardara dam on same river, provider for an installation of two reversible pump turbines,
each of 125 MW in an underground powerhouse.
Power will be generated during peak hours of demand using potential energy by releasing water from
upper dam to lower dam and water will be pumped back from lower dam to upper dam during night hours
utilizing surplus power.
The scheme envisages construction of two reservoirs, i.e., (i) Upper reservoir near village Ghatghar
District Ahmednagar (ii) the lower reservoir near village Chondhe (Bk.) District Thane (iii) and a water
conductor system with powerhouse in between the two dams. The scheme involves transferring of water
alternately between the upper reservoir and the lower reservoir with a vertical distance of more than 400
m between them. The scheme is intended to be operated on a weekly cycle with generation for six hours
daily except Sunday and pumping for seven hours during of peak hours from Monday to Saturday and the
balance on Sunday.
To have a speedy construction of this hydroelectric project, the upper dam and lower dam are proposed to
be constructed in Roller Compacted Concrete. The features of upper and lower dam are as given below:
Table No.1: The features of upper and lower dam
Dam Height Length Qty. of RCC
Upper dam 14.5 m 451 m 42000 m3
Saddle dam No.1 11.5 m 250 m 13000 m3
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Lower dam 84.0 m 415 m 600000 m3
Necessity of RCC Dams

Ghatghar Pumped Storage Scheme is the first ever largest scheme (250 MW) each. The Government of
Maharashtra (India) comprising two units of 125 MW each. The scheme was administratively approved in
June-1988. A loan of Rs. 360 crores was granted in December-1988 from J.B.I.C., Japan. However forest
clearance was accorded in 1992 and clearance under wild life protection act was obtained as late as in
1997. The actual work could start only in the year 1998. This loss of precious time about 10 years was to
be negotiated by finding rapid methods of construction for three dams. The work of underground
powerhouse was started in the year 2000 with construction period of four years and in advance stage of
construction. The conventional concrete / masonry dam would require at least 5 to 10 years for such a
large dam of 84 m high. In order to commission the powerhouse the construction of all three dam’s
needed to be completed prior to powerhouse. This has lead to adopt this new technique of RCC dam. Due
to this decision the construction period could be reduce to three years. This is the main advantage to go
for RCC dams. This has been proved world over for number of hydroelectric projects.
RCC Dams
Three RCC dams namely saddle dam, (11.5 m) 13000 m3 upper dam (14.5 m) 42000 m3 and the lower
dam (84.0 m) 600,000 m3 will be built in the same order for Ghatghar pumped Storage Scheme. The
saddle and upper dam is located near the origin of river Pravara at Ghatghar close to the westerly natural
slope of Sahyadri ranges at MSL 750 m. It provides storage of 5.87 m3 of water required for the operation
of pumped storage scheme. Tow saddles on right fringe of upper reservoir, open out on the westerly
slope, out of which one saddle is already build in colgrout masonry. The Saddle.250 m, along with
maximum height of 11.5 m, above the deepest foundation was proposed to be constructed in RCC and is
completed in April 2003. The upper dam is gravity dam 451 m long with 14.5 m maximum height above
the deepest foundation the dam has a vertical upstream face and a stepped downstream face with a slope
0.8:1 (H.:V.) beyond 10 m vertical from the top. Top width is 8 m. Central spillway in the river portion
with 5 radial gates each of 12 m3 m in size. River sluice located in one of piers of the non-overflow
portion. The overflow portion is in conventional concrete while the non-overflow portion of the dam is
being constructed in RCC.
The lower dam is located down the continental divide across Shahi river, near Village Chonde at MSL
350 m which is at the foot hill of Sahyadri ranges. It provides storage 3.80 Mm3 of water. The lower dam
is a gravity dam 415 m long with maximum height 84 m above deepest foundation. The dam has
upstream batter of 0.14:1 (H: V), and downstream batter of 0.782:1 (H: V) and beyond 11 meter height, it
is vertical and the top width of 8 m. An ungated stepped spillway 84 m long with height and width of
each step at 0.6 m and 0.47 respectively is proposed in the gorge portion with 8 m wide bridge on the top.
The discharge over the stepped spillway is 2 m3/m which is quite low. The lower dam including overflow
portion is proposed to be constructed in RCC.
Design of Dams
All the three dams are designed basically as gravity dam. The lower main dam having maximum height of
84 m is provided with foundation gallery, and foundation drainage holes, inspection gallery, ventilation
shaft, lift shaft etc., as per the conventional gravity dam. The other two dams with low height are not
provided with such openings.
All the three dams are proposed to be constructed using high paste RCC withl layer thickness of 300 mm.
Further to make the dam impermeable 0.5 m-1 m wide facing both upstream and downstream is proposed
to be formed in grout enriched vibrated RCC (GEVR). All the three dams are being constructed by one
and the same contractor, Patel Engineering Ltd (India) in association with ASI ( USA ).The work of
powerhouse complex is also with the same contractor. Thus coordination between two works has become
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easier. The design of the dam is done by Tata Consulting Engineers (India) as an Indian counter part of
EDPC (Japan) who is the prime consultant. Malcolm Dustan and Associates (UK) is the consulting
engineer for RCC dam.
Test Section 1
Based on MERI mix (Table2) Test Section 1 was carried out in March 2002. Test section 1 was
successful in understanding methodology and sequence of operation and training the staff. Also new
procedure for GEVR was decided in Test Section 1. However the results of test section were not up to the
mark for impermeability and requirement for strength due to lapses in quality control aspects like lack of
uniform gradation of aggregate, no temperature control etc. due to these discrepancies it was decided to
place additional test section 2. It was realized from test section 1 that extensive laboratory work is
required to finalize the mix proportion. The results of test section 1 were analyses in light of mix design
parameter. Accordingly a detailed mix design exercise at field laboratory was carried out. The
cementations material was kept same as per MERI design and changing other parameters like gradation of
aggregate sand / aggregate ratio. The corrections for specific gravity and water absorption, were applied.
The different mixes were evolved based on 28 days strength result.
Table No. 2: Details of mix by MERI
Cement Flyash % Flyash Sand Course Aggregate (Kg) Water Admixtures

(Kg) (Kg) (Kg) (Kg) (Kg)
88 132 60 714 50-20 20-10 10-5 115 0.88
mm mm mm
769 390 391
Test Section 2
Test section 2 was carried out in October 2002 based on mix by field lab (Table3), though there was
increase in strength of specimen as well as in-situ core strength. The test section 2 was not successful in
getting a continuous core, due to segregation observed at lift joints. At this juncture, Malcolm Dunstan
and Associate (MD&A) were invited for guidance. The objective of the trial mix programme carried out
by MD&A was to optimize the gradation and workability of the RCC so that cohesive RCC could be
obtained with little potential for segregation and one that could be used for GEVR. At this stage actual
strength of RCC was considered to be less important because it was to be used initially in the Saddle dam
in which the stresses required are less stringent than the upper dam and much less stringent than lower
dam. Two main changes were made to the specified mixture proportion, first the gradation was changed
and second mix was made much workable. The actual optimize gradation is compared to the suggested
limit. This mix was designated as G-85.
Table No. 3: Details of mix by field lab

88 132 60 721 50-20 20-10 10-5 146 0.88
mm mm mm
745 314 265
A small trial of the proposed RCC was undertaken with the mix suggested by MD&A. A number of load
of RCC were dump from truck on to the surface of test section 2. The RCC was spread in layer and
compacted by 4 passes of the double drum vibratory roller ( 1 static and 3 vibratory ). All the nuclear
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densitometer readings were in excess of 2500 kg/m3. Although the trial was only small it was sufficient
to show that RCC with the gradation proposed and with the workability proposed could easily be handle
and could be roller compacted to a high density. The surface of RCC after roller compaction was
satisfactory. The same mix was decided to be adopted for placement of saddle dam as a full scale trail.
Table No.4: Details of mix by MD & A (G-85)

88 132 692 558 50-20 20-10 10-5 135 2.2
mm mm mm
558 446 406
Full – Scale Trial
The full-scale trial was done for layer 1-2-3 with mix proposed by MD&A as shown in Table 4for saddle
dam in December 2002. it was found that both the cylinder density and in-situ densities are very much
higher than those found during the first two test section. This was because the water contents of the mix
was higher and thus theoretical air free density was lower than that of mixes used in two test sections.
The reasons for higher density were that the RCC was much more compactable and thus there were lower
air voids.
The objective of the full scale trial was to investigate all the construction procedure in particular the
joint treatment between the layer and the training of personnel who were suppose to work at the
Upper dam and lower dam. The first trial was constructed between 9 to 27 March 2003 and consisted of
19 layers of 300 mm compacted thickness with a total volume of 6780 m3 in left hand side (LHS)
portion of saddle dam. Similarly the second half of saddle right hand side (RHS) portion was started on
22nd April 2003 and completed on 9th May 2003. The RCC volume of 7431 m3 was placed in RHS. Thus
this full scale trial of RCC placement for complete saddle dam for the placement of RCC volume of
14200 m3 gave good learning curve to all the supervisors of department and the contractor and the
designer. During this learning, following activities were learned:
. Calibration of nuclear densitometers and measuring the in-situ densities
. Optimization of dosages of set-retarder
. The optimization of the exposure time between layers
. The insertion of joint crack inducers
. The use of interface against abutment: Upstream and downstream GEVR
. The optimization of water contents in different hours of day and night.
. The optimization of number of passes of vibratory rollers
Construction Plants and Equipments

The contractor has installed a crushing plant of 100 t/hr initially and subsequently added one more 80 t/hr
for upper dam and Saddle. A batching plant of 64m3/hr was installed for placement of Saddle and RHS
portion (15000 m3) of upper dam. The contractor subsequently installed one 120 m3/hr. ‘SCHWING’
batching plant for LHS portion (25000 m3) of upper dam. The minimum capacity for crushing plant was
specified as 220 t/hr ( draw out ) Therefore aggregate productions was less resulting into delay of RCC
placement for saddle and upper dam, so also was the case with batching plant. The specified capacity for
batching plant was 100 m3/hr (output) which has resulted in long exposure time. That was to be
negotiated by using ‘CONPLAST R’ set-retarder.
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Aggregate cooling system
The specifications required that placement temperature of RCC shall not more than 27o C. To achieve this
aggregate were covered by weather sheds and were chilled by water to 10o C. But during summer, hottest
day, chilling plant had difficulties and the work of upper dam was to be stopped for few hours and to be
taken during cooler hours.
Transportation of RCC
The batching plant is installed at upper dam location which is at a distance of 2 km from the saddle. The
transportation of fresh RCC was done by the dump trucks with capacity of 4 m3. A special arrangement
was done to the rear of the trucks to reduce the potential for segregation when the concrete was dumped.
The trucks were covered to avoid dust and to protect from solar radiation.
A stacker-conveyor was installed at the center of saddle to convey the RCC from specially raised
platform to saddle.
A hopper was installed at a fixed point from where the RCC was again discharge into intra-dump
trucks in the body of a dam. Pair intra dump trucks were used for conveying the RCC to the point the
placement.
RCC Placement
The RCC discharged at the point of placement by the intra dump trucks was spread the required thickness
(340 mm un-compacted, to achieve 300 mm after compaction) the thickness of layer was assured by
automatic laser guided system connected to blades of dozers.
The RCC was placed in 8 m wide strip parallel to the axis of the dam. As width was less there was
not possibility of a joint either parallel or perpendicular of dam axis. The placement was carried out
continuously 7 days a week and 24 hrs a day.
Curing
The RCC was cured continuously by using sprinkling the water into in order to keep the surface of a layer
always in moist condition. A saturated surface dry (SSD) condition was maintained till the placement of
next layer. After completion of RCC placement of Saddle continuous curing was done for 40 days.
Horizontal Joint Treatment

As per different exposure time the horizontal joint were treated in a different way. For exposure time of
less than 24 hrs, only loose aggregate were removed and pounded water was squeezed. For exposure time
of more than 24 hrs, an exposed aggregate finish was achieved for cold joints. When the concrete had
stopped for a long time high pressure water blaster (40 MPa) was used. Depending upon mean
temperature of the month, joints were classified as hot, warm, cold and super cold, and were treated
accordingly. In saddle there was only one planned cold joint after layer 1, 2, 3, in RHS portion. While in
upper dam there is only one planned cold joint at the end of working season in June 2003.
Contraction Joints
The contraction joints are vertical joint perpendicular to axis of a dam. These joints have been specified at
50 m for upper and saddle dam. Central Water Power Research Station, Pune (CWPRS) has
recommended placement temperature as 17oC. However in these thermal studies joints spacing and
cooling effect due to gallery have not been considered. In order to negotiate this contraction joints are
further decided to be at closer spacing of 25 m, accordingly they have been provided. Considering higher
ambient temperature at lower dam 15 m joints spacing is proposed. In saddle dam and upper dam at each
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layer, galvanized steel crack inducer was inserted at the location of each contraction joints. The crack
inducers were 500 mm long and 200 mm high. These plates were inserted in a freshly laid layer with the
help of jack hammer very easily.
Quality Control
The quality control was exercised effectively through well equipped Quality Control Laboratory installed
at upper dam site. The personnel involved in this were trained and the supervisor had responsibility for
evaluating and controlling the following on a daily basis:
. Proper aggregate gradation
. Quality of cement and fly ash
. Mixture proportion and variability at the mixing plant
. Temperature and water content of fresh concrete both at mixing plant and placement points
. Fresh density and workability of the RCC (in terms of the Ve-Be time) insitue density
. Compressive and direct tensile strength
Conclusions
The in-situ properties of RCC for saddle dam are now available based on this; suitable optimized RCC
mix proportion would be adopted for the lower dam. The lower dam RCC placement will be started only
after analysis of the results of full scale trial on saddle as well as of upper dam. At the moment micro
planning for execution of lower dam is being done on the basis of experience gained during this long
learning curve. In general, the successful completion of Saddle and upper dam has boosted the level of
confidence for everyone who has participated in this process with a view to achieve an excellent RCC
dam. This step by step approach will facilitate in building the confidence level and heading towards
perfection. The lessons learnt from each earlier dam regarding the mix design, construction methodology,
adequacy of plant and equipment, results of strength obtained will be useful for construction of 84 m high
lower dam which is the main target.
The daily rate of placement of LHS of upper dam with the batch plant of 120 m3/hr was 900 m3. The two
batch plants of 120 m3/hr, are installed at lower dam and suitable augmentation in batch plant capacity
will be done. So that about 600000 m3 of RCC will be placed with average monthly rate of placement
40000 m3 in 15 months. Due to mon soon, the placement will be done in two seasons. This will be fastest
dam building activity in order to commensurate the commissioning of 250 MW powerhouses. This is
possible only because of decision of going for RCC. Thus, on the successful completion of the three dams
in general and lower dam in particular the new trend will be set for adopting RCC technology in
upcoming new dams for hydroelectric projects in the country.
x.x.x.x.x.x.x
References
Dunstan, Malcolm – November 99 ‘Report on construction methodology for upper and lower dam. MERI
Nashik – December 2000. ‘Report on RCC mix design for Ghatghar Project’.
Dunstan, Malcolm – December 2002 and February 2003 Report on Value- Engineering proposal for the
upper and lower dam.
208
Page 257 Page 196

Page 197
LEFT BANK RIGHT BANK

.L
N.S
N.S
.L
N.S.L
TOP OF DAM (EL. 1205)

ELEVATION (IN METRES)
EXCAVATION ABOVE RIVER BED

~136m
EXCAVATION BELOW RIVER BED

~80m
REDUCED DISTANCE (IN METRES)

MAIN DAM - UPSTREAM VIEW
River valley
• The hard rock foundation below the normal
river overburden
• Sand, loose rocks and boulders
Page 198
Concrete Dam Foundation

Rock foundation
• Strong to with stand stress
•Offer resistance to sliding
•No movement with in the rock
•Reasonably Impervious
•No differential settlement
Causes of Failure of Dams

• OVERTOPPING 29%
• FOUNDATION 53%
• OTHERS 18%
Page 199
Failure of St. Francis dam

Major
reasons:
Rock Formations
Conglomerate: expands
with water
Schist: badly laminated,
interspersed with talc
Fault line
Paleolithic landslide
Page 200

• May not always be completely satisfactory all
along the proposed foundation and abutment
area.
• Cracks and joints (called seams) filed with poor
quality crushed rock.
• In most cases strengthened artificially to
 Sustain the loads that would be imposed by the
dam and the reservoir water.
 Check water seeping into the foundations under
pressure from the reservoir.
Page 201

Improvement of the foundation for a dam by
 Grouting the foundation to increase its strength
and to render it impervious.
 Excavation of weak rock zones and backfilling the

entire excavated region with concrete.
 Making a concrete cutoff walls across leakage

channels in the dam foundation.
Treatment of Rock Foundation
Page 202
Foundation Preparation
• The foundation surface should be shaped by excavation and
filling
• Foundations such as shale, chalk, mudstone, and siltstone
may require protection against air and water slaking.
• These excavations may be protected by leaving a temporary
cover of unexcavated material, immediately applying a
minimum of 12 inches of cement mortar to the exposed
surfaces.
Page 203
Foundation Problems
Most of the dams have to be built on complex foundations
requiring special treatments. Various types of geological
features encountered are:
1. Faults
2. Shear Zones
3. Shear Seams
4. Shattered/Highly jointed rock
5. Foundations with more than one type of rock with
different properties
6. Folds
7. Buried Channels
8. Jointing pattern of the rock mass
9. Caverns/Cavities
10. Springs etc.
Faults and Shear Zone
• A fault or fault line is a planar fracture in rock in

which the rock on one side of the fracture has moved
with respect to the rock on the other side.
• A shear zone or shear is a wide zone of distributed
shearing in rock. Typically this is a type of fault but it
may be difficult to place a distinct fault plane into the
shear zone. Shear zones may form zones of much
more intense foliation, deformation, and folding. En
echelon veins or fractures may be observed within
shear zones.
Page 204
Treatment of Fault and Weak Zones

• Faults and weak zones exist in most rock formations, their size, Continuity and
orientations are important factors in determining the suitability of a
foundation for any dam.
Type of Fault Problem to Foundation Treatment

Low- Angle Faults Providing Inadequate 1. Excavating out the weak
(Dip angle < 450) Sliding Resistance material
2. Providing Shear Keys
3. Use Rock Anchors
High – Angle Faults The main problem is 1. Dental treatment
(Dip angle > 450) that of Bridging over of 2. Providing Seepage Cut-
the Structure and the off on U/s
resulting Stress
3. Use Rock Anchors
Concentrations
Shear Zone-Backfilled by Concrete
Page 205
Grouting
• Grouting is the process of injecting liquids,
mixed suspensions, or semi-solid mixtures
under pressure to achieve one or more
desirable end results in terms of improving
engineering properties.
• Permeation grouting is the injection of high-
mobility grouts (HMGs) into small voids or
low-( mobility grout (LMG) for effective filling
of large voids.
Page 206
Purpose of Grouting
Permeability Reduction:
• Necessary for reducing rates of seepage or
leakage through or into structures and
foundations
• Reducing hydrostatic forces acting on structures,
• Inhibiting internal erosion of foundation and
embankment materials
• In any critical hydraulic application, grouting is
normally one of several lines of defense.
Purpose of Grouting
Improvement of Mechanical Properties
• Enhancement of bearing capacity
• Improvement in settlement-related
properties such as elastic modulus and void
ratio
• Improvement in shear strength, and
elimination of voids that might adversely
affect either loading conditions or the
response to loads.
Page 207
Application of Grouting in dams

• Curtain Grouting for Hydraulic barrier grouting to
control leakage and pressure distributions.
• Foundation consolidation grouting to reduce
foundation and structure deformations under
load.
• Contact grouting of the interface between
structures and foundations.
• Compaction grouting for densification of loose
deposits or jet grouting to replace zones of loose
materials.
Application of Grouting in tunnels

• Grouting in advance of tunneling to reduce
water inflows during construction.
• Grouting in advance of tunneling to improve
excavation stability and/or reduce or to
prevent ground loss during tunneling
• Grouting between the tunnel lining and the
tunnel excavation surfaces to reduce longterm
tunnel loads, improve stress distributions, and
reduce water inflows
Page 208
Page 209
Types of Grouting
• Suspension-type grouts:- The suspension-type
grouts include clay, cement and lime
• Emulsion-type grouts:- The emulsion-type
grouts include bitumen
• Solution type grouts:- The solution-type
grouts include a wide variety of chemicals
Pure Cement Grout

• It is an unstable grout
• Bleeding can be avoided with water cement
ratio less than 0.67
• Usual mix proportions are from water cement
ratio 0.4 to 1 for grouting
• Very high mechanical strength can be attained
with this type of grout
• The grain fineness is an important factor for
fine fissures.
Page 210
Bentonite Cement Grout
• In water stopping, grout will include a lot of

bentonite and little cement. In consolidation
works, grout will contain a lot of cement and
little bentonite.
• Ideal mixes should be both stable and easy to
pump.
Bentonite Cement Grout
When bentonite is added to a cement suspension, the

effects are: -
• Obtain a homogeneous colloidal mix with a wide range
of viscosity.
• Avoid cement sedimentation during grouting.
• Decrease the setting time index and separation filtering
processes.
• Increase the cement binding time.
• Improve the penetration in compact type soils
• Obtain a wide range of mechanical strength values.
Page 211
Foundation Grouting
In concrete dam foundation, two kinds of
grouting programme are usually identified:-
• Consolidation grouting
• Curtain grouting
Consolidation Grouting
• The intent is to fill open fractures to improve the structural
properties of the rock mass.
• To reduce deformations associated with closing of fractures
under applied loads,
• To treat locally fractured zones and thereby homogenize
the foundation,
• To fill fractures for the purpose of reducing movement of
rock blocks that might otherwise loosen during excavation
and/or tunneling operations.
• For foundations in karst areas to increase the level of
assurance of adequate foundation support.
• The enhancement value of consolidation grouting depends
on the rock mass conditions. Greatest benefit will occur in
highly fractured rock masses with a predominant number
of open joints.
Page 212
• Low pressure grouting

• Shallow depth grouting
• Grout holes arranged in a pattern or grid
Purpose
• To consolidate the foundation rock and make
more impermeable to so as to prevent erosion
of infilling material in this zone of maximum
seepage gradient.
• Drilling and grouting is usually done from
excavated surface
• Holes drilled normal to the foundation
• For the dams more than 30 m in height, it is
usual to drill holes to a depth of 6 to 15 m.
• Spacing of 3 to 8 m.
Page 213
• Grout pressure is governed by rock condition.
• These pressure could be as low as 0.06 MPa to
a high range of 0.5 to 0.7 MPa.
• Consolidation grouting is usually done
through a 76 mm to 150 mm holes.
• Ascending Method
• Descending Method
• IS : 4999
Page 214
Grout Mix
• The grout mixes used for consolidation grouting are normally either
balanced stable grouts or neat cement grouts.
• Neat cement grouts generally develop a higher compressive
strength and have a shorter set time, either type of mix would
normally suffice, and the choice of one versus the other is
predominantly based on the project size and type rather than on
specific property differences.
• For example, on a dam project where balanced stable grouts are
being used extensively in a hydraulic barrier application, it would be
logical to use the same grouts for consolidation grouting. On a
foundation improvement project where the only activity is
consolidation grouting, it might be more logical to use neat cement
grouts to limit execution complexity.
• Where neat cement grouts are used, the starting mix should not be
thinner than a 2:1 water-cement ratio (by volume). If it is found that
thickening is routinely required during the grouting, the starting mix
should be changed to a 1:1 water-cement ratio
Refusal criteria
• Reaching a certain rate of grout take or reaching
zero measurable take.
• Sometimes the definitions incorporate rates of
take that vary with the applied pressure.
• Refusal be defined as the point at which there
has been no measurable take (3-4 l/minute) at
the desired pressure within a 15-minute period.
• It varied project to project based on various
factors.
Page 215
Curtain Grouting
• Grout curtain is provided near the heel of dam to
impede the flow of water under or around the
dam.
• Usually a single line of grout holes is provided
below concrete dams
• High grout pressures without causing
displacement in the rock or loss of grout through
surface cracks, curtain grouting is carried out
subsequent to consolidation grouting and after
some of the concrete has been placed.
Curtain Grouting
Page 216
Curtain Grouting
Curtain Grouting
• The grout holes are angled in the upstream
direction or parallel to dam axis. The
alignment of grout holes should be such that
the base of the grout curtain will be located
on the vertical projection of the heel of the
dam.
• When the holes are drilled from upstream
fillet, they are usually vertical or inclined
downstream.
Page 217
Curtain Grouting
• The depth of the grout curtain holes depends upon the
nature of the rock in foundation and in general, it may
range from 30 to 40 percent of the head of the water
on good foundation and to 70 percent of head on poor
foundations.
• According to IS: 11293 (Part2)-1993 “Guidelines for the
design of grout curtains”, the following empirical
criteria may be used as a guide:
• D= (2/3) H + 8
Where D is the depth of the grout curtain in meters
and H is the height of the reservoir water in meters.
Curtain Grouting
• Grout pressures are set to maximum permissible
values for each segment and depth zone of the
grout curtain on the basis of experience and
geological evaluation supported by test grouting.
• Thumb rule for determining the maximum
allowable pressure at the collar of the hole is that
grout pressure should not exceed 0.23 Kg/sqcm
per meter depth of the rock for average to weak
rock.
• For sound rock with tightly interlocked joints,
grout pressure several times of this value could
be achieved.
Page 218
Curtain Grouting
• Lugeon tests will determine the groutability of the rock mass and the
type of grout to be used. Refer the following table for details
• The hydraulic conductivity is expressed in terms of the Lugeon value,
which is empirically defined as the hydraulic conductivity required to
achieve a flow rate of 1 litre/minute per meter of test interval under a
reference water pressure equal to 1 MPa
Lugeon Units Grout Usage
1–3 No grouting
3 – 10 Microfine cement or chemical grout
> 10 Ordinary Portland cement grout
Deere’s Grout Take

Classification System
Classification Symbol Original Criteria Modified Criteria (Stable
(maximum bags/ft) Grouts) (maximum gal/ft)
Very l ow VL 0.09 1.0
l ow L 0.18 2.5
Moderately Low ML 0.36 5.0
Moderate M 0.71 10.0
Moderately Hi gh MH 1.43 25.0
Hi gh H 2.85 50.0
Very Hi gh VH >2.85 >50.0
Page 219
Grouting
• Grouting for ground engineering is a process
for filling the voids, fissures or cavities existing
in the soil and rock to improve water-tightness
or mechanical characteristics
• The most important aim of the ground
investigation for grouting is to identify if or not
the ground is suitable for the intended
grouting technique i.e. groutability of the
ground.
Grouting Techniques
• Rock Fissure Grouting,
• TAM Grouting,
• Compaction Grouting,
• Compensation Grouting and
• Jet Grouting
Page 220
Rock Fissure Grouting

• Hole drilled through the fissures and joints of
a rock mass to allow grout to be injected at
close centers vertical
• The voids in the forms of rock fissures and
open joints are filled with the grout injected
under pressure with partial or complete
displacement of infilling ground water
Page 221

• Grouting pressure relates to the in-situ
overburden pressure at the grouting depth.
• Maximum grouting pressure should be less
than the overburden pressure. Above that
pressure, joint / fissure will be opened and
hydraulic fracture of rock may occur if the rock
is poor and shattered

• Generally, it is assumed that the grout volume
is equal to 5% to 10% of the rock mass volume
to be grouted.
• Either the DTH Percussion Drilling Method or
the Top Hammer Drilling Method is deployed
to form the grout holes.
• The grout hole diameter is normally from
32mm to 150mm.
Page 222
Tube-à- Manchettes (TAM) Grouting

• Soils or completely decomposed rock
• Sleeved perforated pipes in grout holes
• Partial or complete displacement of in-filling
ground water.
• Often call Permeation Grouting
• The most obvious change in ground property
by this treatment method is the reduction of
permeability. Ground consolidation is also
attained

Criteria for design
• The grout volume to be injected depends on
ground porosity, geometry of the treated
zone, grout hole spacing, stage length and
total depth to be treated.
• The groutability of soil with particulate
grouting has been evaluated based on the N
value (Mitchell and Katti 1981)
Page 223

• N is defined as N = (D15)Soil / (d85)Grout.
• Grouting is considered feasible if N > 24 and
not feasible if N < 11
• d85 - 85% finer size from grain size distribution
curve of cement
• D15 -15% finer size from grain size distribution
curve of soil
• IS 4999 :1991 Recommendation for Grouting
of Pervious Soils.

• Grout Pressure: Overburden pressure plus
100kPa or 20kPa per meter depth
• Drilling Method: ODEX system
• Sleeve grout is used to seal the gap between
the grout pipe and the hole
Page 224
Axis
EL-1187.00
UPSTREAM SIDE DOWNSTREAM SIDE
Roller Compacted rock fill
M:20
Colcrete
River Flow
Colcrete
Compacted Clay
~100m PLASTIC CONCRETE CUT-OFF-WALL

SOIL/OVER BURDEN
(FOR SEEPAGE CONTROL)
ROCK LINE
ROCK
U/S COFFER DAM - CROSS SECTION
Jet Grouting
• Jet grouting is a grout injection that cuts and

mixes the soil to be treated with cement or
cementitious grout.
• Soil particles are cut by the grout jetting under
high pressure
• Soil particles are mixed with it to form a
matrix
• matrix is impermeable and possesses some
kind of strength.
Page 225
Jet Grouting
• Mono-fluid system: Cement grout is used as desegregating and
consolidation fluid. In this the erosion and soil cementation are
achieved with the same fluid (Cement gout) forming a jet stream
when directed at the ground.
• Bi-fluid system: Cement grout plus air are used as desegregating

and Consolidation fluid. In this and air jet envelopes the grout jet
for improving the grout jet stream erosive efficiency (two fluid
employed, grout and air).
• Triple-fluid system: Water plus air used as desegregating fluid while

cement grout is used as consolidating fluid. In this erosion is
achieved with a double jet of water surrounded by an air jet and
cementation is simultaneously obtained by a separate grout jet
(three fluid employed, water, air and grout).
Jet Grouting
Page 226
Page 227
Jet Grouting
Jet Grouting
Page 228
Jet Grouting
Row of interlocking columns of jet grouted

material within the alluvium.
Jet Grouting
• A jet grouted element corresponds to the volume of soil
eroded and cemented from a single borehole. When
rotating and simultaneously translating the erosive jet
stream in the borehole with constant speeds, a column is
formed having the shape of a cylinder in homogenous soil.
In heterogeneous ground, with obstacles, the jet grouted
column obtained has an irregular shape. The column
diameter varies all along the borehole as a function of the
resistance opposed by the soil to the jet erosion and as a
function of the parameters of execution.
• The jet grouted materials is the soil- cement mixture left in
the ground by the process, and constituting the body of a
jet grouted element after setting. When jetting in sandy
soils, the jet grouted material is like a cement mortar.
Page 229
Jet Grouting
Grouting Scheme Design Considerations
• When the SPT N value is greater than 50, the
soil mass is normally classified as not suitable
for jet grouting.
• Presence of cobble / boulder will cause
‘Shadowing ‘ effect on cutting and mixing .
• The final strength of the mixed soil mass
relates to the purpose of the grouting
Jet Grouting
• Pure cement grout is used for jet grouting to
strengthen the ground.
• Compressive strength of soil cement mix
ranges from 2 MPa to 25 MPa
• For water sealing purpose, bentonite is usually
added to the cement grout
• The longer the cutting time is, the more the
original soil mass be displaced and the larger
the grout column diameter
Page 230
Jet Grouting
• Mixing time dictates the extent of mixing of
the grout and the soil mass.
• Prolonged mixing will eventually displace all
the soil mass and replace it with the grout.
• it is very important to monitor the verticality
of the jet columns
Jet Grouting
MAIN ADVANTAGES:
• Wide range of soils that can be successfully
treated
• Capability to obtain columns of consolidating soil
with diameter ranging from 60 to more than
200cm by using small diameter drilled holes, in
general not larger than 100 to 140 cm
• Capability to overpass pre-existing foundations
boulders, rocky layers
• Use of light weighing and small sized drilling rigs
in small working areas
Page 231
Diaphragm Walls
• A concrete cutoff wall is used as a remedial
measure for seepage control.
• Positive cutoff is created by excavating the soil
beneath the dam in form of a trench and the
resulting void backfilled with a barrier material of
well defined properties.
• Plastic concrete consists of aggregate, cement,
water, and bentonite clay mixed at a high water
cement ratio to produce a ductile material
Diaphragm Walls
Axis
EL-1187.00
UPSTREAM SIDE DOWNSTREAM SIDE
Roller Compacted rock fill
M:20
Colcrete
River Flow
Colcrete
Compacted Clay
~100m PLASTIC CONCRETE CUT-OFF-WALL

SOIL/OVER BURDEN
(FOR SEEPAGE CONTROL)
ROCK LINE
ROCK
U/S COFFER DAM - CROSS SECTION
Page 232
Diaphragm Walls
The diaphragm wall is constructed as a series
of alternate panels:
• Primary panels
• Secondary panels
Diaphragm Walls
Page 233
Diaphragm Walls
Diaphragm Walls
Cut-Off Wall Construction
Page 234
Diaphragm Walls
Diaphragm Walls
Page 235
Diaphragm Walls
Diaphragm Walls
Pl a stic Concrete: Cement, Bentonite ( 1 to 2%), Sa nd and 10 mm s ize Aggregates
Page 236
Diaphragm Walls
Diaphragm Walls
Page 237
Diaphragm Walls
Dental Treatment
• Process of remove the weak material and
reinforcing and stabilizing the weak zone by
backfilling with concrete is known as dental
treatment.
Page 238
Dental Treatment
• Final excavation uncovers the faults, seams or
inferior rock extending to such depths that it is
impracticable to clear such areas.
• It requires to excavate such areas to certain
depths and backfill with concrete.
• This procedure of reinforcing and backfilling
with concrete is called “Dental Treatment”.
Dental Treatment
Shasta and Friant dams Formula
• d = 0.00656 b H + 1.526 (for H> 46 m)

• d = 0.3 b+1.524 (for H < 46 m)
• where,
•
• H = height of dam above general foundation level
• b = width of the weak zone in m
• d = depth of excavation of weak zone below
surface of adjoining sound rock
Page 239
Abutment
Abutment
Abutment slope failure

• Circular Failure
• Planer Failure
• Wedge failure
• Toppling Failure
Page 240
Circular Failure
• Circular failure occurs in waste rock heavily
fractured rock and weak rock with no
identifiable structural pattern. The failure
surface is free to find a line of least resistance
through the slope. The slide is controlled by
shear strength i.e. cohesion and friction angle
Circular Failure
Page 241
Plane Failure
Occurs in rocks with plane discontinuities, e.g., bedding planes .
Wedge Failure
Occurs in rocks with intersecting discontinuities
forming wedges
Page 242
Toppling Failure
• Occurs in rocks with columnar or block
structures separated by steeply dipping joints.
In such failures rock block width and height
ratio is less than the gradient of the toppling
plane
Toppling Failure
Page 243
Analysis
• Stability analysis of abutments is usually
carried out limit equilibrium methods or by
FEM analysis
• PHASE-2’, ‘ABACUS’ and ‘SLIDE’, GEO SLOPES.
Data usually required for analysis are

• Unit weight of rock/soil mass
• Modulus of Elasticity
• Modulus of deformation
• Rock mass classification
• Cohesion
• Friction angle
• Tensile strength
• Poisson ratio
• Slope geometry
• Water table information
Page 244
Reservoir Rim Stability

• Slopes near the MWL/FRL, are inspected and
those slopes which appears to be unstable are
marked
• Rock slopes are usually strengthen by
shotcreting, cable anchoring and rock bolting
while slopes made of river born material
(RBM) or colluviums mass are stabilized by
geo gridding, turfing, retaining walls , timber
piling etc.
Reservoir Rim
Following aspects of the reservoirs have to be properly
investigated:-
(a) water tightness of the basins
(b) stability of the reservoir rim
(c) availability of construction material in the reservoir area
(d) silting
(e) direct and indirect submergence of economic mineral
wealth and
(f) Seismo-techtonics.
These investigations are carried out by surface and sub-

surface exploration of proposed basin.
Page 245
Investigation Stage
A topographical index map on 1:50 000 scale
should be used at this stage to delineate the
areas which would require detailed study,
subsequently.
Investigation Stage
To prevent an undesirable amount of leakage
from the reservoir, the likely zones of such
leakage, such as:-
• Major dislocations and
• Previous or cavernous formations running
across the divide of the reservoir should be
identified
Page 246
Mass Concrete Definition

Mass concrete is defined by ACI “Any volume of concrete with
dimensions large enough to require that measures be taken
to cope with generation of heat from hydration of the cement
and attendant volume change to minimize cracking.”
Examples:
• Dam
• Raft Foundation
• Pile Cap.
• Thick Wall.
• Thick column.
• Deep Slap.
 All concretes generate heat as the

cementious materials hydrate.
 Most of this heat generation occurs in the first
days after placement.
 For thin items such as pavements, heat
dissipates almost as quickly as it is
generated.
 For thicker concrete sections (mass
concrete), heat dissipates more slowly than
it is generated.
 The net result is that mass concrete can get
hot.
 Management of these temperatures is
necessary to prevent damage, minimize
delays, and meet project specifications.
Page 308 Page 247

Type-I cement composition
Heat of Hydration of different components
Page 309 Page 248

Typical Values of Heat of Hydration
HOH Main Concerns

Differential Temperature:
Crack Concern: Thermal Cracking
Max Temperature:
Durability Concern: DEF Cracking
“DEF = Delayed Ettringite Formation”
Strength Concern : Effects on Ultimate Strength
Page 310 Page 249

Maximum Temperature (Tmax)
Maximum Temperature “Tmax” is sum of Placement

Temperature of Concrete and Temperature Rise due
to Heat of Hydration
Page 311 Page 250

Factors Affecting Maximum Temperature

“Tmax” of Concrete
•Cement Content.
•Type and source of cementitious materials.
•Section Thickness.
•Concrete Placing Temperature.
•Formwork and insulation.
• Ambient Temperature.
Temperature v/s Section thickness
Page 312 Page 251

Temperature v/s placing Temperature
Page 313 Page 252

Thermal Cracking
Thermal cracks occur when:
• The tensile stress due to thermal stress is
greater than the tensile strength of concrete
OR
Thermal cracks occur when:
• The thermal strain is greater than the tensile
strain capacity of the concrete
Thermal Stress Due to Temperature

Changes
• f = α EP R (TP + T0 – TL - TS ) ∆T
where
• TP = Placement temperature of concrete in 0C
• T0 = Ultimate adiabatic rise in temperature of
concrete in 0C
• TL = Temperature loss, i.e. T3 + T2 +T1 in0C
• TS = Final stable temperature of dam in 0C
• α = Coeff of thermal expansion of concrete
• EP = Sustained modulus of elasticity of concrete
in MPa
Page 314 Page 253

 This temperature difference is the

difference between the
temperature at the hottest portion
of the concrete and that at the
surface.
 Thermal cracking will occur when

contraction due to cooling at the
surface causes tensile stresses
that exceed the tensile strength of
the concrete.
Concrete Temp. V/S Time
Page 315 Page 254

Development of surface cracks with time
Page 316 Page 255

External Restraint
• Caused by the foundation rock (or the
hardened surface of already cooled concrete)
beneath the freshly placed concrete.
• The external restraint is of concern during
temperature drop in concrete from the
maximum temperature.
• Ratio of the height H to the length L of the
concrete block
Internal Restraint
• When different areas of concrete have
different temperature change and therefore
volume change
• The thermal stress due to internal restraint is
induced by differential temperature changes
when the surface is cooled by ambient air
temperature
Page 317 Page 256

Internal Restraint
• Internal restraint is the main cause of
transverse vertical cracks on the upstream and
downstream faces of dam due to severe
ambient conditions. Provision of the
transverse joints at suitable spacing serves to
control or mitigate this tendency.
Allowable ∆T with Agg. Type

Aggregate type Allowable ∆T in ° Celsius
Quartz 20
Granite 28
Lime Stone 35
Light weight coarse Agg 53
with natural Sand
Page 318 Page 257

Typical Temperature rise in concrete

(°C/100 kg Cement)
Thickness (m) OPC GGBS (50%) Fly Ash (50%)

(No additive)
1.0 12.5 9.5 7.5
1.5 13.5 11.0 8.3
2.0 14.0 11.8 9.0
2.5 14.5 12.1 9.5
3.0 14.8 12.3 9.7
Typical limits of max temp in concrete

• The max temperature at any point within the
pour shat not exceed 65-70 °C
WHY..….?
To avoid DEF and Negative affect on ultimate
strength.
• Use of GGBFS and Fly Ash reduce the negative
effects of high temperature on the ultimate
strength ofconcrete
Page 319 Page 258

 The concrete temperature at the time of placement

has a great impact on the maximum concrete
temperature.
 Typically, for every 1°F (0.6° C) reduction or increase

in the initial concrete temperature, the maximum
concrete temperature is changed by approximately
1° F (0.6° C).
 As an example, to reduce the maximum concrete

temperature by approximately 10° F (6° C), the
concrete temperature at the time of placement
should generally be reduced by 10° F (6° C).
According to previous knowledge, general conclusions can be

made when using normal hardening cement:
• The 50 °C value is not generally exceeded when:
the initial temperature of concrete is < 20 °C,
The amount of cement < 350 kg/m3 and
thickness of the structure 0.9 m
Page 320 Page 259

Important definitions
• Adiabatic condition: adiabatic environment is
the environment perfectly thermally insulated
• Heat is Energy, Heat Quantity is measured by
(Kj/Kg), it is Quantity dependent variable
• Heat Flow: Heat flows in the direction of
decreasing temperature. (for concrete,
generally from the interior to exterior, since
the interior tend to be hotter
IQ-Drum
• IQ-Drum is a semi-Adiabatic Calorimeter, a
plastic cylinder 150×300mm filled by concrete
then place in its place in IQ-drum then
connected to thermo-sensor attached to the
IQ-drum by a thermocouple.
• IQ-drum measures: (every 15 minutes):
Sample temperature (measured in °C) and the
rate of heat loss from the calorimeter
(measured in millivolt) .
Page 321 Page 260

IQ Drum
Temperature Control Measures

• Mix design
• Pre-cooling of concrete ingredients
• Artificially cooling the concrete by means of
embedded pipe systems.
Page 322 Page 261

Precooling
• Keep temperature of the mix water to
approximately 0oC
• Replacing a portion of mix water with ice
• Cooling the Aggregates
• These treatments resulted in a drop not over
10oC when concrete is placed.
• A drop less than 10oC have been obtained in
colder months only
Mix Design
• Heat generated within mass concrete is
directly proportional to the amount of cement
• Mix selected is that which will provide the
required strength and durability with the
lowest cement content
• Heat of hydration requirements at ages 7 and
28 days are 70 and 80 calories per gram
respectively for OPC
Page 323 Page 262

Mix Design
• Pozzolana are used in concrete along with
cement.
• In place of OPC, PPC is used for production of
mass concrete.
• Fly Ash is the most common Pozzolona used in
concrete.
• About 40 to 50 percent cement is replaced by
fly ash.
Placement Temperature
• The thermal study is carried as per the Indian
Standard, “ Temperature Control of Concrete
for Dams – Guidelines”, IS:14591-1999.
• The loss of heat is calculated separately for
the following three idealized conditions and
then the total loss is obtained by summation
phase losses
Page 324 Page 263

• The first idealized condition assumes that the
placement temperature of the concrete and
the atmospheric temperature are the same
that is 0°C and the lift is cast upon an inert lift
initially at 0°C. The loss of heat as it is
generated as given by the equation
T3 = η T0
η = Ratio of heat lost to the total heat
generated.
• Under the second idealized condition, the
heat loss due to the difference between the
placement temperature and atmospheric
temperature θo
• T2= calculated as equation given in code
Page 325 Page 264

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भारत सरकार

के द्रीय जल अिभयांित्रकी सेवा के नव िनयक्

के द्रीय जल अिभयांित्रकी सेवा के नव िनयक्

BASIC SCIENCES, ANALYSIS AND DESIGN

Sr. Topics Page

10. Material Properties, Testing and Diversion Arrangement for Gravity Dams 163‐180

12. Overview of Ghatghar Pumped Storage Scheme‐ Planning, Construction 191‐196

13. Foundation Treatment 197‐246

14. Thermal Studies 247‐264

INDUCTION TRAINING PROGRAM– CWC_NWA

(Prof. Dr.Sukhanand Bhosale)

Introduction to Soil Mechanics

 Design of earth dams

Basic characteristics of soil

Void ratio and porosity are inter-related to each other as follows:

where = Unit weight of water

Volume Weight Inter-relation

Properties of Soil for analysis and design

Volume Weight Characteristics

 Clay size fraction

5. Two grams of sodium hexametaphosphate or one gram of sodium hydroxide and

where D = diameter of particle in suspension, in mm;

µ = coefficient of viscosity of water in poises at the temperature of suspension at the

GI = specific gravity of water, in g/cm’;

H = height of fall of the particles or sampling depth, in cm; and

t = time elapsed before sampling, in minutes.

The chart for recording grain size distribution is shown below

The grading characteristics are then determined as follows:

1. Effective size = D10

Indian Standard Soil classification system (IS 1498 – 1970)

Very coarse soils Boulder size > 300 mm

Fig: Plasticity Chart

Structure of clay minerals

An octahedral unit consists of a central ion, either aluminium or magnesium, that is

aluminium-hydroxyl octahedrons forms a gibbsite sheet, whereas a combination of

Field identification of soil

2) Wet and manipulated strength test

5) Dry strength test

The height of the water column is the pressure head (hw).

To identify any difference in pore water pressure at different points, it is necessary to

where k = permeability of the soil

where AV = Area of voids on a cross section normal to the direction of flow

Permeability of different soil

Permeability (k) is an engineering property of soils and is a function of the soil

Factors affecting Permeability

For Silts and Clays

For clays, it is typically found that

where Ck is the permeability change index and ek is a reference void ratio.

Factors affecting the coefficient of permeability

1. Shape and size of the soil particles.

2. Void ratio. Permeability increases with increase in void ratio.

3. Degree of saturation. Permeability increases with increase in degree of saturation.

6. Viscosity of the permeant.

7. Density and concentration of the permeant.

Laboratory measurement of Permeability

Constant Head Flow

Permeability k is obtained from:

Falling Head Flow