Training Program On Analysis and Design of Dams (Gravity, Embankment, Arch, RCC)

Training Program on
Analysis and Design of Dams

(Gravity, Embankment, Arch, RCC)
For officials of Government of Bihar
01-06 December 2014
Organized by
National Water Academy, Pune, Maharashtra
at
Water and Land Management Institute, Patna, Bihar
Program Co- Ordination
Shri D S Chaskar, Director (Designs), NWA, Pune, &

Shri Sanjay Kumar Srivastava, System Administrator, WALMI, Patna
Table of Contents
1. Overview of Dams 01
by Shri D S Chaskar, Director – Designs, National Water Academy, Pune
2. Site selection, selection of site specific dam type, Layout setting and 18
planning
by Shri A K Nayak, Superintending Engineer (C), ME&RO, Central Water
Commission, Bhubaneswar
3. Design of Concrete Gravity Dams 34
4. Design of Spillways 48
5. Design of Energy Dissipaters 67
6. Planning and Design of Concrete/Masonry Dams 89
(Koteshwar Hydroelectric Project, Uttranchal – a case study)
7. Planning and Design of Hydro-Mechanical Equipment for Dams 102
by Shri D S Chaskar, Director – Designs, National Water Academy, Pune
8. Design Concepts for Earth & Rockfill Dams 135
by Shri Ramesh Kumar, Superintending Engineer (KCC), KGBO, Central Water
Commission, Hyderabad
9. Design of Core and Filter in Earth and Rockfill Dams 156
by Shri Ramesh Kumar, Superintending Engineer (KCC), KGBO, Central Water
Commission, Hyderabad
10. Importance of Model Studies in Dam Design 169
by Shri Rizwan Ali, Scientist’D’, Central Water &Power Research Station,
Pune
11. Application of Finite Element Method in Static Analysis of Dam 194
Pune
12. Application of Finite Element Method in Dynamic Analysis of Dam 213
Pune
13. Foundation Treatment of Dams 233
By Shri S K Sibal, Director-Embankment(NW&S) Dte., Central Water
Commission, New Delhi
14. An Introduction to Roller Compact Concrete Dams 267
By Shri V C Shelke, Chief Engineer (Retd), Govt of Maharashtra
15. An Introduction to Roller Compact Concrete Dams – a case study of 277
Ghatghar Project
By Shri V C Shelke, Chief Engineer (Retd), Govt of Maharashtra
Chapter-1
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
Analysis and Design of Dams – Government of Bihar Page 1

• Arch Dams - Single curvature or
Double curvature
• Buttress Dams
• Earthen Dams

 Rock fill Dams
• Steel Dams
 Timber Dams

 Rubber Dams

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.
 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.

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

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

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

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,

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
 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
 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

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
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

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

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

Chapter-2
Site selection, selection of site specific dam type,

Layout setting and planning
1.0 Project Planning
While carrying out Project planning of a Multipurpose Water Resource Project a very
comprehensive and detailed exercise of study of data, field investigation, project engineering
and compilation of findings in the shape of a Project Report has to be carried out. A
systematic approach for project planning and consequent report preparation involves
following stages –
1. Desktop Study
2. Pre-feasibility Report preparation
3. Detailed Project Report preparation
With each stage given above the level of study and confidence into the project goes up.
Various aspects to be studied at the time of project planning of a multipurpose project can be
broadly listed as under:-
i) Need for project development,

ii) Type of project,
iii) Topography of the project area,
iv) Reservoir Planning
v) Hydrological Studies
vi) Geological and Geotechnical assessment
vii) Seismological Studies
viii) Construction material availability
ix) Benefit assessment
x) Engineering of project components
xi) Environmental Impact Assessment
xii) Planning of project infrastructure
xiii) Construction equipment planning
xiv) Cost estimation and financial evaluation
1.1 Need for Project Development
Whenever a multipurpose project is planned, the need for each use is evaluated in order to
finalize the scope of the project and possibility of deriving that particular benefit from the
Project. An irrigation project can be planned only where the unirrigated command area is
available near the project and can be reached easily through canal system. Similarly water
supply project is planned if habitation facing shortage of water is existing near the project or
flood control benefit is planned from the project if the area experiences flood problem from
the rising river and rivulets flowing in the area. Various benefits that can be derived from a
multipurpose project can be listed as under –
i. Irrigation
ii. Hydro power
iii. Water supply for domestic and industrial use
iv. Flood control
v. Navigation
vi. Fishy culture
vii. Recreation
1.2 Type of Project
The type of project which can be developed at a site very much depend on site specific
technical, environmental and social aspects. Different categories of the project that can be
thought of at the time of planning of multipurpose project are –
a) A dam project with adequate storage to store monsoon water.

b) A non-storage project with a barrage, weir or a low dam having diurnal pondage.
c) Direct lifting of water from the river.
For a multipurpose project storage dam is a most common type of development. The
monsoon waters are stored in the large reservoir formed behind the dam which is operated to
augment the flows of non-monsoon season to irrigate areas in the downstream and generate
more power. The storage could be a carry over storage or within the year storage. The large
storage so created in multipurpose projects could also have a dedicated storage for flood
control. The storage so created can also be used to maintain the navigability of the river
throughout the year. The diversion schemes with small pondage are often used to divert the
water for irrigation and other benefits without largely affecting the seasonal availability of
water. The water flows are sometime picked up directly from the river without making any
structure like dam, barrage etc. through the intake constructed on one of the bank of the river
or through the inundation canal.
Concrete Dams are generally preferred due to following reasons
 The construction of concrete dams is faster

 It provide option of diversion through alternate construction block
 Quality of construction is better
 They are more impermeable to water
 Resists water pressure by their self weight alone
 Materials normally used for gravity dams construction

- Masonry
- Concrete
 Basic Requirements
- Good sound rock foundations
- Narrow valley
- Firm abutments
A concrete dam requires a sound bedrock foundation .It is important that the bedrock have
adequate shear strength and bearing capacity to meet the necessary stability requirements.
When the dam crosses a major fault or shear zone ,special design features ( joints ,monoliths
lenths, concrete zones, etc)should be incorporated in the design to accommodate the
anticipated movement.All special features should be designed based on analytical technique
sand testing simulating the fault movement. The foundation permeability and the extent and
cost of foundation grouting,drainage ,or other seepage and uplift control measures should be
investigated. The reservoirs suitability from the aspect of possible landslides need to be
thoroughly evaluated to assure the pool fluctuations and earthquakes would not result in any
mass sliding into the pool after the project is constructed.
The criteria set forth for the spillway, powerhouse, and the other project appurtenances will
play an important role in site selection .The relationship and adaptability of these features to
the project alignment will need evaluation along with associate costs.
Additional factors of lesser importance that need to be included for consideration are location
of existing facilities and utilities that lie within the reservoir and in path of the dam. Included
in these are railroads, power-lines, highways, towns etc.
Flow/Flood diversion during construction is an important consideration to the economy of the

dam .A concrete gravity dam offers major advantages and potential cost saving by providing
the option of diversion through alternate construction blocks
1.3 Topography of the Project Area
The topography of the area where a project is planned, largely governs the type of project that
is feasible at a viable cost. Building storage dam in plain areas may invite serious inundation
problem, while building a storage dam in hilly terrain are often faced with the problem of
non-availability of storage capacity. The balance is therefore required to be struck between
the height of structure, availability of storage and inundation problems created due to
construction of dam. The other parameters like accessibility, construction of surface and
underground structure are also affected by the terrain’s Topography. The topography in
broader sense affects the following parameters –
a) Size and location of structures

b) Storage capacity
c) Approach and accessibility
d) Drop in the river water levels for exploitation of power
e) Operation and maintenance of the project
The topography is an important factor in the selection and location of a concrete dam
and its appurtenant structures .Construction as a site with a narrow canyon profile on sound
bedrock close to the surface is preferable, as this location would minimize the concrete
material and the associated costs.
− For concrete dam, the area to be surveyed should be extended to a distance equivalent to
the height of dam upstream of the dam axis to a distance, thrice the height of dam
downstream of the dam axis. The survey should touch an elevation MWL+1/4th of dam
height or even more depending upon the geological requirements. If the requirements of
abutment stripping is substantial, the surveys should touch higher elevations to study slope
stability problems. The scale of surveys primarily depends on the survey area under
consideration i.e. for concrete dam upto 100m height; the scale of contour plan is
suggested as 1:500 with 1-2m C.I. For dams above 100m, the scale is suggested as
1:1000 with 1-2m C.I.
The x-sections at the dam site should be taken at every 25 mc/c for the concrete dam.
The x-section should be taken to an EL twice the height of dam from the average bed
level. The L-section should cover the reach 2H up stream to 4H d/s. (where `H’ is the
height of dam). The scale of x-sections and L-sections should be the same as is
followed for the dam site area. Natural scale should be followed
1.4 Water Resource Assessment
Most important aspect of a multipurpose project is availability of water in time and

space and benefits from a water resource project are essentially governed by the
quantum of flows available on yearly, seasonal and even short term (ten daily) basis.
Detailed hydrological studies are therefore carried out while planning a water resource
project. These studies generally include -
a) Assessment of water availability

b) Design flood study
c) Diversion flood study
d) Sedimentation study
The length of discharge input for simulation of a water resource project could be of the
size given below –
Type of Project Min Length of data
Diversion project 10 years
Storage within the year 25 years
Storage (over the year) 40 years
 The criteria for selecting the design flood depends upon its size, importance and
purpose etc. Normally for major / medium schemes, Project maximum flood is used
for design of main components of the project like spillway and gates, etc.
The design flood studies are also carried out to plan diversion of floods from the dam.
Frequency of the flood required to be considered for such diversion depends on the
storage/height of the dam. The design flood criteria normally adopted is as under –
DESIGN FLOOD CRITERION
Class Gross storage Hydraulic Design

(Mcum) head (metre) flood
Small 0.5 to 10 7.5 to 12 100 YR

Intermediate 10 to 60 12 to 30 SPF
Large >60 >30 PMF

For working out PMF or SPF hydro-meteorological approach is generally preferred. In this
method, design flood hydrograph is derived from the basin response i.e. unit hydrographes,
design storm and infiltration loss rate. Frequency approach is normally adopted for working
out diversion flood during the construction and design flood wherever hydro-meteorological
approach doesn’t yield the results. Empirical formula and CWC flood monograms for small
catchments are also sometime referred to whenever computation from other method becomes
difficult.
Sedimentation study is also a very important planning process for a reservoir scheme as the
dead storage to be provided in the reservoir should atleast cater to the successful operation of
the reservoir during next 50 to 100 years. Annual sedimentation rates are adopted based on
the sediment data collected at the project site or as per observed rate in the adjacent project.
Sedimentation volume is then worked out from various methods in practice or as given in the
IS Codes (IS 5477 part 2-1994). Sedimentation studies so carried out is instrumental in
finalizing the minimum draw down level for storage of reservoir and for evolving still
flushing strategies in run-off the river schemes.
1.5 Reservoir Planning
Operation of the reservoir to fulfil the requirement of various uses of multipurpose project is
a very important issue while planning the large storage projects. The reservoir could be
operated in the interest of irrigation or power or flood control or in combination of more than
one purpose. Drinking water supply wherever envisaged is given the top priority and is
planned at cent per cent success rate. For large storage reservoir planned for the
multipurpose benefits, long term flow series is simulated taking into consideration the
requirement of flow for each use, reservoir parameters and anticipated evaporation from the
reservoir. The power benefits and irrigation benefits from the reservoir are planned for 90%
and 75% success rate respectively. Wherever dedicated storage for flood control is kept in
the reservoir, the operation is carried out with desired reservoir levels during monsoon
season.
The reservoir basin has got to be very stable when full of water, as it greatly counts towards
the success of the dam. Among the requirements of reservoir, it is very essential that the
entire basin should be water tight. Any leakage will reduce the amount of water available for
power generation, irrigation, under water supply etc. a considerable amount of leakage may
make a dam in effective. Also it may make the rock weak, cause erosion at the foundation,
and generate an upward thrust. Excessive uncontrolled leakage from under the foundation
may ultimately cause sliding down of the dam structure.
The valley sides all along the reservoir should be perfectly stable and resistant to land sliding.
This is very important requirement. It is seen that a large land slide into the reservoir may
cause over topping and failure of the dam. If anywhere along the border of the reservoir, there
is even a slight chance of land sliding, proper preventive measures must be taken without any
delay.
The ground water conditions in the reservoir basin are an important feature to be studied. The
depth of water table must be carefully noted. In case, the water table is intercepted by the

reservoir base, it will be providing a permanent supply of water In another case, if the water
table is fairly deep, it will enhance chances of leakage .
The presence of faults in the reservoir area should be very care fully detected and as far as
possible avoided. It has been seen that faults which have been inactive earlier, show
movement under the thrust of water, causing reservoir related earthquakes. Also there can be
leakage along these weak planes which may act as
Presence of joints should also be carefully noted. Numerous, large, interconnected joints may
act as channel ways causing heavy loss of water. This must be checked. Grouting is the
suitable solution if within economic limits.
1.6 Geological and Geotechnical Assessment
The most important input for design of a component of dam project is the Geology and
Geotechnical condition of the rock mass at the specific location. Geology of the project is
studied mainly through Geological mapping, drilling and drifting and insitu permeability test.
Geological report prepared by the Engineering Geologists is then used by the Design
Engineer for locating the project structures, their sizing and their analysis. It must be ensured
that the structurally weak zones like faults, shear zones etc. are avoided in the layout or the
project components are so oriented that the effect of weak planes and joints is minimized.
(a) Lithology. Lithology of the area means the rock types present there. This study
involves identification of the various rock types available, their weathering
characteristics and formation of the rock debris and soil. This gives a broad picture of
the presence or absence of strong rock formations, the nature and extent of
weathering, and the nature of the weathering products.
(b) Attitude and Structure. This study includes observations on dip and strike of the beds
and structural features such as folds, faults, joints, foliation, schistosityly, rock
cleavage, and unconformities etc. these features are of extreme importance as they
have a great bearing on the suitability of a dam site.
(c) Attitude of the beds. The attitudes of the beds involves their dip and strike. Ideally bed
should dip U/S .The outstanding advantage in such a case are
1. No possibility of leakage to the down stream side through any pervious layer.
2. No possibility of sliding as the resultant force ® act across the bedding plane.
In case beds are dipping down stream and very steep slope are gentle slope are
favourable. The beds with moderate slope when the resultant force is directly more or
less along the bedplaning ,provide dangerous and highly unsafe locations.
Dams are often build on folded beds. Right location is a must.That limb of a fold
which dips u/s is better. Hence in case of synclinal fold the down stream limb
provides better location because its dip upstream provides better foundation safety
against sliding and no loss of water.

In an anticlinal fold the upstream limb provides a better condition.The upstream limb
provides better location because its dip upstream provides better foundation safety
against sliding and no loss of water.
Due to movement of the rock blocks involved these are the most dreaded structures.
However it is important to see the extent of fault. If it is extensive it should be
avoided. If the fault is active it should be avoided.
But If fault is small and in active the site can be taken into consideration for its
suitability in other respect. Presence of fault may act as a channel for the leakage, a
sliding surface, and cause of seismicity.
Highly jointed rock with too many joints and large in size is highly objectionable as
firstly they work as channel for leakage and secondly they make the rock weak and
unstable.
(d) Physiographic features. Careful observations on various physiographic features such

as valleys, mounds, terraces, slopes etc. are made. Stability of the slope is of great importance
because this controls the possibility of landslides. Also this study helps in making some
estimate about the depth of solid rock.
(e) Reservoir ream stability
Reservoir rim stability analysis is important from the dam’s safety as well as life of the
reservoir point of view. Filling water levels in the reservoir at the full reservoir level and then
lowering of water in the reservoir during the releases due to draw down conditions cause
instability in the slopes along reservoir periphery which could result in landslides along the
reservoir rim. The landmass, thus, falling into the reservoir causes ripples in the reservoir in
the form of waves. The amplitude of waves goes on increasing and could be dangerously high
if the frequency of waves reaches the characteristic frequency of the dam. It could cause high
amplitudes due to resonance. The muck and debris that falls into the reservoir also reduces
the storage capacity of the reservoir.
It is important to identify vulnerable zones along the reservoir periphery where certain
management measures could be taken so as to avoid or minimize landslides. Identification of
vulnerable areas for landslides is an extensive exercise and requires detailed soil, slope,
geological and land use studies to arrive at potentially weaker zones.

(f) Groundwater Conditions. Groundwater conditions of the are arras studied in a
preliminary way of making a note of springs swamps, wells et. Present there. The solution
effects of groundwater table in the reservoir area is an important feature as it controls the
possibilities of leakage. A very shallow water table does not allow much leakage. Whereas a
deep water table allows large amounts of water to percolate down.
1.7 Construction material availability
The choice of the dam mainly depends on the availability of local construction material in an
around project area. Detailed studies are therefore required to be carried out to assess the
suitability and availability of adequate quantity of various construction materials like coarse
and fine aggregates, Rockfill material, core material, filter material etc. The location of the
borrow/quarry areas greatly influence the cost of placement of material in dam and other
structures.
The survey, and testing, of materials has a bearing on even Location and Type of dam,
powerhouse, the scheme as such
These materials must meet certain standards for which various tests like hardness, chemical
behaviour, C&φ values, particle size and gradation etc need to be ensured that sufficient
quantities of such materials fulfilling the specifications are available in the proximity of the
project site
The data about various properties like dip, strike, major joint sets their spacing
and length infill material and roughness etc is obtained. Insitu strength and stress in the rock
are measured. Various properties are then co-related in geotechnical parameters like Q- value
and RMR value. These investigations provide the detailed information on foundation
characteristics of the project site and data required for preliminary considerations of the
design requirements and construction methods.
a) Presence of a narrow gorge
b) The rocks of the foundation should be watertight so that there is no leakage to the
down streamside.
c) The foundation rocks should be sound and stable, and resistant to sliding.
d) In the case of arch dams the abutments must be strong and stable so as to withstand
the load.
e) In the case of seismic regions, every care of additional possible forces due to the
horizontal vibrations and water thrusts should be taken and these should be accounted
for.
These are related to the physical properties of the foundation materials which have to sustain
the superimposed loads. The main requirement for acceptable foundations for the dams are
the compressive strength (bearing capacity) of the rock mass/soil, the shear characteristics to
ensure stability of the interface of the foundations and the structure, the inherent weakness in
the foundations caused by adverse disposition of discontinuities like joints, fractures and
shear zones along which materials of low shear characteristics are expected, weathering
profiles so that the dam could be seated over fresh foundations, the distressing of the
abutments because of valley effects and foundation map to assess the differential settlement,
if any. All these issues need careful assessment so that geological surprises at the time of
construction are obviated and necessary defensive measures are evolved and provided for in
the designs for realistic estimation of the cost of the projects. Out of above mentioned
problems there are a few which would decide the feasibility of the project and for the rest
remedial measures could be provided for in the designs. A little more elaboration is necessary
on these geotechnical problems so that the investigator has clear idea of their assessment for
realistic evolution of treatment measures, if required.
1.7.1 Strength of foundation materials
Most of the igneous and metamorphic rocks except the sheared phylites and schists would
have compressive strengths which would be able to sustain the loads of concrete or massive
dam of small heights while sheared and fractured rocks and some of the sedimentary
lithounits like shales and clays may have poor values of compressive strength and would need
adequate investigations to assess these parameters. Care has to be taken to assess the layered
rock foundations because the exposed rocks can apparently be competent enough but may be
underlain at depths by compressible lithounits, which are not strong enough to sustain the
super-incumbent loads leading to the possibility of unusually high settlement. Such a
situation might arise in rocks dipping at very shallow angles. If detailed geological map of the
area is available, this situation could be very easily assessed and provided for. But in the
horizontally disposed rocks we may have to explore the continuity of the exposed competent
rocks in depth as illustrated in Figure 1 (a) and 1 (b).
Also the rock used in the construction of dams, should be higher. Also the rock used in the
construction of dams retaining walls and as rip-rap material should be of a higher specific
gravity of as to provide greater stability. Specific gravity of some of the important rock types
is as given below.
Gneiss - 2.97 Granite - 2.65
Basalt - 2.77 Quartzite - 2.64
Slate - 2.77 Limestone - 2.60
Marble-2.73 Sandstone-2.06
Rock type Compressive

strength (kg/cm2)
Some varieties of Basalt and Quartzite Basalt, More than 2800
Quartzite, Granite (fine grained) and some varieties of
sandstone and limestone.
Gneiss, Granite (coarse grained) and some varieties of 1800 - 2800
sandstone and limestone.
Some varieties of limestone and shale, and porous 700 - 1800
sandstone
Some shales, tuff, chalk, siltstone, and sandstone 400-700
(porous)
Less than 400
For construction works in regions with extreme temperature variations, as otherwise good
quality building stone should also have a uniform composition and a homogeneous nature.
This is an essential requirement, as otherwise, the differential stresses generated by the
temperature variation will crack the rock.
1.7.2 Rip-rap material
It is the rock matter laid for giving a protective lining to the earth matter from being washed
away by the water, as long canal and river embankments and the upstream face of an earth
dam. In such cases the rock has no remain in contact, with water and it is therefore very
essential that the rock should be resistant to water action.
Examples
Basalts, Granite (fine grained varieties) sandstone, compact and massive varieties, Gneiss
(massive varieties) and Quartzite.
Various insitu and laboratory Geotechnical tests are carried out to understand the engineering
properties of the rock mass and overburden material. The test results provide direct inputs
like strength, deformation modulus, direction and magnitude of the principle stresses and
other engineering properties of the rock mass for design of important structures like dam,
water conductor system, powerhouse etc.
1.8 Benefit Assessment
The success of multipurpose project entirely depends on realization of various benefits

planned from the project. For working out irrigation benefits from the project detailed study
of cropping pattern, crop water requirement and canal network is required to be carried out.
Ten daily water requirements for irrigation is worked out at canal head to plan releases from
the reservoir.

Similarly power benefits are assessed from the project by working out power potential
available in a scheme and installed capacity that can be planned at the project powerhouse.
Releases from the dam for power generation are normally planned to maximise the power
benefit without adversely affecting the other uses like irrigation and flood control.
Whenever a multipurpose project is planned to have a dedicated storage for flood control
also, the water level in the reservoir is kept at the predetermined levels during monsoon
season so as to moderate the peak flow rate by routing the flood in the reservoir. Provision of
dedicated storage does affect the other benefits like power and irrigation but may overall
benefit the area by extending much needed relief during the floods. A judicious allocation of
reservoir storage to various uses is therefore required to be made to derive the optimum
benefits from the project. Benefits like drinking water supply and flood control may not be
very high in terms of monetary value but could be important from humanitarian and social
angle.
1.9 Engineering of Project Components
Engineering of project components is carried out to decide the sizing and location of the
various components. Multipurpose projects are mostly associated with the high dam
requiring detailed analysis of Geological and Geotechnical conditions of foundations and
abutments, safety and stability of structures. Seismo-tectonic study of the project area also
provides important input for design of structures against the earthquakes. Dynamic analysis
of the dam is nowadays preferred to arrive at a safe section. Maximum Credible Earthquakes
and response spectra are required to be evaluated by the earthquake specialists for such
analysis.
Engineering of other components like water conductor system, power house, canal, diversion
arrangement etc. are also done to firm up the project layout and DPR level Bill of Quantities.
Preliminary design of hydro-mechanical and electro-mechanical components of the project is
also carried out for the purpose of cost estimation. Planning of transmission system is
generally taken up as a separate project and does not form the part of the generation project
but initial planning of transmission of power is always recommended to assess the prima
facie viability of the generation project. The cost of power though generated cheap in North
East Region may ultimately prove to be costly due to high cost involved in transmission of
power to load centers in other regions.
1.10 Environment Impact Assessment
Environment Impact Assessment Study is a pre-requisite at the time of planning of a water

resource project. Detailed evaluation of negative and positive impact of the project on the
environment has to be evaluated to understand the environmental sustainability of the project.
Socioeconomic study and formulation of R&R plans are other main components of the
environmental study. These studies are specialised in nature and are to be carried out by
experts in their relevant disciplines.

1.11 Planning of project infrastructure
Water Resource Projects are normally located in the remote areas where logistic facilities like
road, electricity, water supply are non-existent. Planning of access to the project area is an
important exercise involving assessment of feasibility of transportation of large size
equipment to the project site. Access roads sometimes become too long to develop a Water
Resource project at a viable cost. Other infrastructures like construction power, water supply
requirement for construction, residential and non-residential buildings, construction buildings
like workshops, stores, internal roads, haul roads, dump areas etc. are required to be planned
in detail. Successful completion of a multipurpose Water Resource Project very much
depends on a systematic planning of the infrastructure.
1.12 Construction equipment planning
Multipurpose Water Resource projects generally involve large size dams, powerhouse, canal
system etc. where extensive construction equipments are required to be deployed. Judicious
construction planning is therefore very essential as shortage of construction equipment would
affect the progress of work adversely while excess of equipment will increase the cost of the
project. The construction equipments are therefore required to be planned in such a way that
optimum use of these equipments could be ensured by phasing out various construction
activities.
Construction planning of the water resource project involves detailed study for river
diversion, preparation of construction schedules and deployment of construction equipment
as per their availability. Network planning is therefore necessary to carry out an optimum
construction planning.
1.13 Cost estimation and financial evaluation
Planning of water resource is incomplete till cost of the project is worked out and financial
viability is assessed depending on the cost involved and benefits planned. A detailed cost
estimate of the project is prepared on the basis of project specific analysis of rates, bill of
quantity and various other sundry provisions. CWC has issued detailed guidelines for cost
estimation of River Valley Projects which are generally being followed by the project
developers to have uniform practice. For apportionment of cost of the project to different
purposes various methods given in the IS Code (IS 7560: 1974) is followed. Economic
evaluation of each project benefits is carried out to have its independent viability. Benefits
cost ratio, internal rate of return, net benefits are the main parameters of economic evaluation
of irrigation components whereas cost of energy generation, internal rate of returns are the
economic parameters for power components. For flood control components benefit cost ratio
is the main indicator for economic evaluation. Wherever independent power developers are
involved in the project development, various other financial parameters like Interest During
Construction, Return on Equity, cost of capital, depreciation etc. are considered for working
out year to year tariff and levelised tariff.

ENGINEERING PROPERTIES OF ROCK AND THEIR USES IN ENGINEERING
CONSTRUCTION
Engineering Nature: Method of Units of Use in Limitations

property Field (F) measurement Measure Engineering
Laboratory Construction
(L)
Derived (D)
Unit Weight L Volumetric Kg/m3 Weight, per unit Expected Statistical
displacement in volume of entire variances in the more
water; weight rock; primary porous rocks
per unit term in many
volume; usually computations;
weighed as useful in
oven dried but computing in-
may be situ stress.
specified on
several other
basis
Moisture L Oven drying % Effect of Varies seasonally
Content moisture and under influences
variations on of construction
other physical activities of little
properties use to refer to
considered in tabulations by other
data evaluation except as a
and assessment. condition of
specific property
tests
Porosity L 20.106 mm % Indication of Often highly depth
sample placed ability to retain dependent
in porosimeter fluids or gases
device
Co-efficient of L/F Cylinder of km/sec Yield of water Field tests require
Permeability rock placed in for de-watering careful isolation
permeameter purposes, (packing) of
(L) or pressured determination of borehole
water flow into pore water segment of interest;
borehole (F) pressure avoid high pressure
distribution for hydro-fracturing;
support design greatly influenced
of slope stability by
analysis, discontinuities
planning for
grouting.
Compressive L Uniaxial or N/m2 Index Avoid
Strength triaxial classification unrepresentative
conditions, in test; load anisotropic fabric
Universal test bearing elements or
machine; strain capacity; other discontinuities:
gauges used for properties select representative
moduli according to sample; consider
determination Mohr failure data scatter; L/D
concept; slope ratio quite important
stability; mine (Standard is 2:1)
pillar stress; peak strength is
subsidence; obtained.
excavation
blasting.
Drilling & mole
boring
performance
Induced L Point-bearing N/m2 Load bearing Introduces a
Tensile compression of capacity under contributory
Strength tabular tension. compressive stress,
cylindrical therefore not a true
specimen determination of
(Brazilian test); tensile strength;
More classical magnifies effect
tensile pull test of micro defects;
is not generally theoretically of
utilized. greater T,
than direct test
value.
Engineering Nature: Method of Units of Use in Limitations
property Field (F) measurement Measure Engineering
Laboratory Construction
(L)
Derived
(D)
Unconfined L/F Direct shear c (N/m2); Index Slope stability;
shear strength box, utilizing & classification residual friction
natural Φ (degree) test; load bearing angle (φ);
discontinuities capacity; slope strong effect of
or planes of stability; mine anisotropy.
weakness; also pillar stress;
triaxial subsidence
compression
test which
initiates shear
failure on basis
of sample
geometry or
inherent
weakness.
Abrasivity L 400 g crushed Dimension- Resistance to Must be carefully
rock rotated in less abrasion as related to
paddle and indicator of petrographic
drum test device percussion nature of rock
drillability index lithology and fabric
in
order to provide for
meaningful
assessment of
effect

Hardness Small -do- Indicator of
laboratory test relative
holding devices hardness; useful
for impact. in tunnel boring
Height or rate estimates
rebound of
small diamond
tipped device
Shore L As above Multiple readings
Scleroscope are required to
overcome
effect of sharp point
impact on very small
area
Schmidt L Dimension- Indicator of Softer rock breaks

rebound less relative on impact; must use
hardness; useful type L
in tunnel boring device of minimal
rate estimates. energy
Taber L -do- As above
Total L -do-
Sonic L Core sample, km/sec Computational Difficult to
Velocity held in input for accommodate fabric
acoustical calculation of anisotropy;
bench; tangent modulus difficult to know
subjected to of elasticity, volume tested in
pulsation of Modulus of situ; does
electrically Rigidity and not introduce time
generated Bulk Modulus. dependent strain
mechanical variations
vibration in derived
properties

Engineering Nature: Field Method of Units of Use in Engineering
property (F) measurement Measure Construction
Laboratory
(L)
Derived (D)
Seismic F Mechanical or km/sec As above, indicator of overall
Velocity explosive energy nature of
Compression, wave arrival sensed rock due to averaging effect on
Shear by geophone timer wave
and recorder; travel paths, dependent on
measured on ground geophone/energy source array.
surface or in bore
hole configuration
Modulus of D Calculated from N/m2 Indicator of seismic design
rigidity sonic/seismic stiffness
velocity tests or by
use of electrical
resistance strain
gauges on
compression tests
Bulk Modulus D As above N/m2
Tangent L Triaxial compression N/m2 The fundamental stress-strain
Modulus of in universal test relationship; input for static
elasticity machine; electrical displacement computations &
(Young’s resistance strain for dynamic, seismic analysis
Modulus of gauges
deformation)
Secant Modulus L As above N/m2 Alternative expression of the
of elasticity fundamental stress-strain
relationship
Swelling Slake L Rotational cyclic Dimension- Indication of resistance to
durability immersion in water; Less weathering on
measure percent loss (0 to 100) exposure to elements
by weight, measure
swelling
displacement (d) and
initial weight of
specimen L
I = (d/L) ×100) %
measure slaking
weight as
percentages lost in
wetting cycles.

Chapter 3
Design of Concrete Gravity Dams
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.
2.0 Gravity 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.
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:
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:
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:
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.
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:
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 water

(Construction
condition)
Combination B Reservoir at full reservoir elevation, normal dry weather tail
(Normal operating water, normal uplift and silt.
condition)
Combination C Reservoir at maximum flood pool elevation, all gates open, tail
(Flood Discharge 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
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.

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 F o S a /g
where,
Fo = Seismic Zone factor for average acceleration spectra (from

Table 2, IS:1893)
S a /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 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 = C s α h wh
where,
p = hydrodynamic pressure in kg/m² at depth y,

C s = 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
Fig. 1 : Maximum Values of Pressure Coefficient (C m )

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 :
V h = 0.726 py
M h = 0.299 py²
where
V h = hydroldynamic shear in kg/m at any depth, and
M h = 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 :
T = 5.55 H2/B (W m /g/E s )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.h CG α h
where,

W = Self weight of dam in kg
h CG = 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″.
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
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.

Chapter 4
Design of Spillways
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:
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 Δt, the relationship can be expressed by the following expression:
I .∆t − O.∆t = ∆S
Where,
I = Average rate of inflow during time equal to Δt
O = Average rate of outflow during time equal to Δt
ΔS = Storage accumulated during time equal to Δt

The following three curves are required for carrying out the computations:
a) The inflow flood hydrograph

b) The reservoir capacity curve
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 Δt,
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/Δt+O/2) is constructed for the purpose.
In the above equation, it may be noted that subtracting O 2 from (S 2 /Δt+O 2 /2) gives
(S 2 /Δt-O 2 /2). This expression is identical to (S 1 /Δt-O 1 /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

(S 2 /Δt-O 2 /2) at the end of one time increment is numerically equal to (S 1 /Δt-O 1 /2) for the
beginning of the succeeding time increment.
The detailed routing procedure is as follows:
i) Compute the numerical value of left side of the equation for given values of I1 , I2 ,
S 1 and O 1 for the first time increment.
ii) With this numerical value, which equals (S 2 /Δt+O 2 /2), refer storage-indication
curve and read outflow O 2 corresponding to this computed value of (S 2 /Δt+O 2 /2).
The O 2 thus read is the instantaneous outflow at the end of the first time
increment.
iii) Subtract this value of O 2 from (S 2 /Δt+O 2 /2), which gives the value for (S 2 /Δt-
O 2 /2). The value of (S 1 /Δt-O 1 /2) for the second time increment is equal to (S 2 /Δt-
O 2 /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:
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).

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.
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.
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:

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
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
 A1   B1 
The magnitude of A 1 and B 1 are determined from the graph P/H d vs A 1 /H d and B 1 /H d
respectively in fig.2 of IS:6934, where,
P = Height of crest from the river bed

H d = Design Head
Downstream Quadrant
The downstream profile of the crest may conform to the equation:
X 2 = K 2 .H d .Y2
1.85 0.85
The magnitude of K 2 is determined from the graph P/H d vs K 2 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.

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 H d i.e. M/H d 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/H d > 0.6.

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
Square-nosed piers with rounded corners of 0.02

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.

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/H d ). 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.

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.
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.

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.

Chapter 5
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.
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 H L and q; D c , D 1 and D 2 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
D1 = Prejump depth
D2 = Post jump depth
q = Discharge per unit length
g = Acceleration due to gravity
Having obtained D 1 & D 2 , 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 D 2 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 D 2 .

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 2D 1 while width should
be D 1 . The spacing of chute blocks should be kept as 2.5D1 and a space D 1 /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 0.8D 2 downstream from chute
blocks.
c) End sill: Height of the dentated end sill should be 0.2D 2 . Maximum width and
spacing should be 0.15D 2 . 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 D 2 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 D 2 below the tail water level.
The tail water depth should not generally exceed 10% of D 2 .
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 D 1 . The
width and spacing may be varied to eliminate fractional blocks. A space D 1 /2 should
be left along each side wall.

b) Basin blocks: Height of basin blocks in terms of D 1 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 0.8D 2 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 D 2 , 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.
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 D 2
curve at all discharges.
Basin – IV: This is recommended for the case where tail water depth at maximum
discharge exceeds D 2 considerably but is equal to or slightly greater than D 2 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 D 1 from the known upstream total energy line by applying Burnoulli’s
theorem and calculate F 1 .
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.
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.

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 D 1 from the known upstream total energy line by applying Burnoulli’s
theorem and calculate F 1 . Then find out the conjugate depth D 2 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.

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
0.2D 2 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
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 (d 3 ) is between 1.1 to 1.4 times the sequent
depth (d 2 ). It has been seen that a satisfactory energy dissipation is obtained when the
roller height (h b ) is between 75 and 90 percent of the tail water depth (d 3 ). If the
aforesaid two criteria are satisfied, then the surge height (h s ) measured above the invert
level is 105 to 130 percent of the tail water d 3 , that is, h s /d 3 = 1.05 to 1.3.
Charts at fig.4 and fig.5 of IS:7365 are used for determining the roller depth (h b ) and the
surge height (h s ) respectively.

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
gH 1
H1 = Reservoir Pool Level – Bucket Invert level
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.

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.

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 v t , the theoretical velocity of flow entering the bucket using the formula,
vt = 2gH 3
where, H 3 is difference in reservoir pool elevation and tail water level.
• From fig.7 of IS:7365, find v a , the actual velocity of flow entering the bucket.
• Find d 1 =q/v a and F1.
• From fig.8 of IS:7365, find minimum allowable bucket radius.

• Find the minimum tail water depth T min and maximum tail water depth T max 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.

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:
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 (d 1 )
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,
sign taken as positive for tail water below the lip level
and negative for tail water level above the lip level
H v = 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
V a = 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
(H 4 ), the scour depth can be worked out by the following equation:
d s = m(qH 4 )
0.5
where,
d s = 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
H 4 = 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.

Chapter 6
Planning and Design of Concrete/Masonry Dams

(Koteshwar Hydroelectric Project, Uttranchal – a case study)

Koteshwar H.E. Project, Uttaranchal
- Flood Routing Studies
Design Data
1. Dam Crest Level : EL 594.50 m
2. No. of crest gates : 4 Nos
3. Size of crest gates : 18 m x 18m
4. F R L : E L 612.50 m
5. Peak Flood Inflow : 13240 cumecs
Design Summary
a. All 4 bays operative
1. Maximum Water Level : E L 614.90 m
2. Peak Outflow Rate : 13106.47 cumecs
b. 3 bays operative
1. Maximum Water Level : E L 619.10m
2. Peak Outflow Rate : 12971.68 cumecs

Chapter 7
Planning and Design of

Hydro-Mechanical Equipment for Dams
Interestingly Hydro mechanical equipments i.e. Gates and their associated equipments are
often not given due importance in the preparation of DPR. This results in serious anomalies
in the overall planning of the project later on. The common reasons given for ignoring these
vital components of project are:
1. Hydro mechanical equipments are not site specific. One size fits all.
2. Hydro mechanical equipments can be designed later on at the time of detailed
planning.
3. Cost of Hydro mechanical equipments is only a small part of overall project cost.
But a designer can ignore the importance of Hydro mechanical equipments at his own peril.
Their proper selection and planning is a vital part of preparation of DPR. Working group
guidelines instructs that the type, size and number of gates and their hoisting be specifically
mentioned in the DPR. Often these are the components of project whose trouble free
performance is essential for the success and safety of the project. Progress of many projects
is held up due to them. And many projects have failed (partially or wholly) due to their
malfunctioning.
Hydro mechanical equipments are site specific. For example some types of Gates would not
be suitable for water with heavy sediment load. For barrages the cost of Hydro mechanical
equipments forms a major part of overall project cost. Sometimes an improper selection of
gates makes the project cost substantially more. In today’s world of water scarcity, the
importance of these equipments has increased as these regulate pond level and discharge.
A brief description of various types of Hydro mechanical equipments shall be provided in

the following pages. Their design criteria and various requirements for planning shall be
discussed. For further design details list of important IS codes in given in Annexure “A”.
Some prevalent gate weight estimate formulas are given in Annexure “B”. It is stressed that
these gates weight estimates are only approximates. For more reliable estimate it is
recommended that some basic design may be carried out with along study of similar gates in
existing projects.
Hydro mechanical equipments used in the Water Resources structures can be broadly
categorized as:

A. Hydraulic Gates and Valves
B. Control Equipments for Hydraulic Gates and valves
(e.g. Screw Hoist, Rope Drum Hoist, Hydraulic Hoist, E.O.T. Crane, Gantry Crane etc. )
C. Special Equipment (e.g. Trashrack, Trashrack cleaning Machine etc.)
A. Hydraulic Gates and Valves
Hydraulic Gates are structures or devices to control the flow of water as desired. These are
essentially closure devices in which a leaf or a closure member is moved across the fluid
way from an external position to control the flow of water. In case of valves, the closure
member is generally rotated or moved from a position within the fluid to restrict discharge
passage. Viz Butterfly valve, tube valve, spherical valve etc.
Historical Development
Leonardo da Vinchi is credited with the invention of first miter gate. His sketches show that
he had conceptualized not only miter gate but top hinge flap gate, plain gate with vertical
hinges, segment gate also as early as 1490. Earliest known examples of application of this
knowledge to practice are in canal locks but little evidence remain for their existence. The
material used for these gates was predominantly wood but sometimes with metal cladding
on skin plate.
First metal gates appeared around 1830. The first known application of segment gate (i.e.
radial gate) was in 1853, on Seine river, in Paris, France where four gates 8.75 m wide and
1.0 m high were installed. On Nile river delta, near 1860, radial gates 6.0 m wide and 5.1 m
high were built. J. B. Tainter obtained a patent for Segment gate in 1886 in USA. A patent
for reverse segment gate was also given to L. F. Harza in USA in 1910. With advancement
of metal production technology, there was a spurt in the innovative design of gates and all
different types of gates like sector gate, roller gate, drum gate etc were invented and put to
application thereafter. Many gates were named after their inventors like Stoney gate, Tainter
gate etc. However not many of these designs were successful and they were discontinued
after sometimes due to operational difficulties. The challenge before the gate designer has
been ever increasing span length and higher hydrostatic forces. New solutions to these
challenges are continued and the field of gate design is an ever evolving exciting field
demanding interdisciplinary knowledge and creativity.
Types of gates
Many different types of Gates have been designed and put to use. Some of these gates
which are still in use are as follows:

1. Flap Gate
2. Cylinder Gate
3. Stoplogs (sliding and with rollers)
4. Slide Gate
5. Caterpillar Gate
6. Miter Gate
7. Roller Gate
8. Segment Gate or Radial Gate
9. Reverse Segment Gate
10. Sector Gate
11. Stoney Gate
12. Drum gate
13. Bear Trap Gate
14. Fixed Wheel Gate (Single leaf, multiple leaf, Hook Gate)
15. Visor Gate etc.
These Gates can also be classified in the following ways:
Based on location
1. Diversion Tunnel Gate

2. Spillway crest Gate
3. UnderSluice Gate
4. Penstock Gate
5. Draft tube Gate
6. Tail Race Tunnel Gateetc.
Based on Head of Water (as per IS codes)
Low Head: For head of water less than 15 m.

Medium Head: For head of water between 15 m to 30 m.
High Head: For head of water more than 30 m
Based on Area (size) as per TSGP-Japan Classification
Small size Gate: Area is less than 10 m2

Medium size Gate: Area is between 10 m2 o 50 m2
Large Size Gate: Area is more than 50 m2
Based on operational Requirement
Service Gate: Used for regulation and routine operation as main gate for flow
through spillway sluices, outlets etc.

Emergency Gate: To close the opening in flowing water condition in case of emergency
such as emergency penstock gate etc.
Maintenance Gate: Bulkhead gate, emergency gate, stoplogs that are used for
maintenance of service gates
Construction Gate: Requited to shutoff the opening during construction or to finally close
the opening after construction such as construction sluice gate,
diversion tunnel gate etc.
Based on Movement
a) Translation Gates:
1. Sliding: Slide Gate, Stoplogs, Cylinder gate
2. Rolling Fixed Wheel Gate, Caterpiller Gate, Stoney Gate
b) Rotation Gate: Flap Gate, Miter Gate, Segment Gate, Sector Gate,
Drum Gate, Bear Trap Gate, Visor Gate Fixed Wheel
Gate
c) Translo- Rotation Gate:Roller Gate
Based on Water Passage
Discharge over the Leaf: Bear Trap Gate, Flap Gate, Drum Gate, Sector Gate
Discharge under the Leaf: Slide Gate, Caterpiller gate, Roller gate, Segment Gate, Fixed
Wheel Gate, Visor Gate, Stoney Gate
Discharge over and under leaf: Mixed or Double Gate (with fixed wheel vertical gate
or Radial Gate with flap gate over the top)
Prevalent types of gates used in Dam structures in India
- Vertical Lift Gates

- Vertical Lift fixed wheel type
- Vertical Lift Slide type
- Radial Gates
Components of Gate:
Any gate can be visualized as composed of following two parts:

A. Embedment and other fixed parts
It comprises of all those components of gate which are fixed and it includes first stage
embedded parts, second stage embedded parts, sill beam, track plate, seal seats, liners, gate
body, bonnets, gland stuffing box etc.
B. Gate Leaf
It is that portion of gate which moves across the fluidway in order to control it. It includes
skin plate, vertical stiffeners, horizontal girder, end vertical girder or end arms, wheel / slide
assembly, seal assembly etc.
A brief description of various main components of gate leaf of vertical lift gate and radial
gate is as follows:
Vertical Lift Gate:
1. Skin Plate:
A membrane which transfer the water load on the gate to other components.
2. Vertical Stiffeners:
The structural vertical members used to divide the skin plate into panels.
3. Horizontal girder:
Main structural member spanning horizontally to transfer the water pressure from skin plate
and vertical stiffeners to the end vertical girder.
4. End vertical Girder:

Main vertical structural members which take load from the horizontal girders.
5. Wheel Assembly / Slide Pads:

Structural arrangements which take load from the end vertical girder and transfer it to the
track plate.
Radial Gate:
1. Skin Plate:
A membrane which transfers the water load on a radial gate to the other components.
2. Horizontal Girder:
The main structural members of a radial gate, spanning horizontally to transfer the water
pressure from skin plate and vertical stiffeners to end arms of the gate

3. End Arms:
Main structural members which carry the reactions from horizontal girder to the gate
trunnion.
4. Trunnion Hub:
A hub to which the converging arms of a radial gate are rigidly connected. It houses the
trunnion bushing / bearing and rotate about the trunnion pin.
5. Trunnion Assembly:
An assembly consisting of trunnion hub, trunnion bush or bearing. Trunnion pin and
trunnion bracket.
6. Yoke or Trunnion Girder:

A structural member supporting the trunnion bracket and held in place by load carrying
anchors or tension members embedded in piers / abutments.
7. Anchor flats / Anchors:

Structural tension members provided for transfer of water lad from trunnion girder of a
radial gate to the piers / abutments.
8. Anchor Girder:
An embedded structural member, transferring load from a radial gate to its surrounding
structure.
9. Thrust Pad or Thrust Block;

A structural member designed to transfer to the pier or abutment that component of water
thrust on a radial gate caused by lateral force induced due to inclination of end arms.
10. Trunnion Tie:

A structural member connecting the two trunnion assemblies of a radial gate to cater to the
effects of lateral force induced due to inclination of end arms.
11. Wall Plate:

A plate embedded flush in a pier / abutment to provide a track for the seal and guide rollers
of the radial gate.
Criteria for Selection of Type of Gate in a Water Resources Structure
It is difficult to give an exhaustive criterion for selection of type of gate in a Water

Resources structure because every location is unique. Advances in manufacturing and
design offer new efficient and economical solutions to old problems. However, following

may be considered while making a selection of type of gate in a dam structure with
following criteria.
1. Discharge Capacity
2. Discharge of floating debris and Ice
3. Silt and bed load passage
4. Headwater Pressure operation
5. Loads on Concrete structure
6. Absence of Vibration
7. Hydraulic Regulation
8. Automatic closure in emergency
This criteria is achieved not only by selecting the proper gate type but also by arrangement
of its components like placement of skin plate, seals, rollers etc. which makes the design
even more interesting.
Diversion Channel / Tunnel:
For diverting the flow of water during the construction stage, some arrangements i.e. a
diversion channel / tunnel is made. The flow takes place through this channel / tunnel
during the construction stage. This channel / tunnel is closed finally after construction or
sometimes it is employed for some other purpose. For inspection or for final closing of
diversion arrangement, gates are employed. These can be classified as:-
A. Diversion Arrangement outside the body of Dam
When Diversion channel is provided outside the body of dam, following is used for closure
of diversion channel after the construction period.
a. Coffer Dam
b. Needles
c. Stoplogs
d. Vertical lift gates
i. Vertical Lift Slide Type
ii. Vertical Lift fixed wheel type
B. Diversion Arrangement inside the body of Barrage Dam
Sometimes diversion tunnel is provided through the body of dam or barrage. Sometimes it
is called construction sluice also. After construction of specific blocks, the water is allowed
to pass through this tunnel for the duration of construction period. Gates are required for
final plugging of this tunnel after the completion of construction. Sometimes this tunnel is
used as undersluice afterwards with or without provision of gooseneck tunnel. In this case
gates are provided for regulation purposes.

a. Vertical lift gates
i. Vertical lift slide type
ii. Vertical Lift Fixed wheel type
b. Sluice radial Gates (with top seal)
c. Stoplogs (for maintenance of tunnel gates)
Spillway:
A. Maintenance / Emergency Gate

a. Stoplogs
b. Emergency Bulkhead Gate
B. Regulation Gates
a. Vertical Lift Gate
ii. Vertical Lift Fixed Wheel Type
b. Radial Gate
Please refer to the table below for relative merits and demerits of vertical lift as well as
radial gates.
S. Vertical lift Gate Radial Gate
No.
1 Hoisting effort required is more Hoisting effort required is less
2 Deeper and bigger gate slots in piers No such problem.
are required for high wheel loads
which is not good for hydrodynamic
conditions.
3 Length of pier required is less Longer piers are required
4 Downstream water level may be high Trunnion should be above
downstream water level
5 Width of pier required is less Width of pier required is
comparatively more as it has to
house the anchorage system
6 Gate vibration especially under partial Gate vibration problem is less under
opening is more similar loading.
Undersluice:
B. Maintenance / Emergency Gates

a. Stoplogs
b. Emergency Bulkhead Gate
B. Regulation Gates
b. Vertical Lift Gate
ii. Vertical Lift Fixed Wheel Type

C. Sluice Radial Gate (top seal)
Design Principles
Every gate is designed as per its operating conditions. A gate is generally designed to
counteract following types of forces:
1. Hydrostatic head of water

2. Silt Pressure
3. Wave Effect
4. Ice load
5. Seating load
6. Earthquake load
7. Hydrodynamic Load
8. Self Weight (usually small in comparison to other forces)
The sequence of load transfer for vertical lift gate and radial gate is as follows:
Vertical Lift Gate:
Water load
Skin Plate
Vertical stiffener
Horizontal Girder
End Vertical Girder
Slide Block Wheel Assembly

From Slide Block or Wheel Assembly the load is transmitted to Pier or abutment through
Track Plate and embedments.
Radial Gate:
Water load
Skin Plate
Vertical
stiffener
Horizontal
Girder
Radial Arm
Trunnion
Yoke
Girder
Pier or
Abutment
Every gate is designed as per relevant codal provisions( a list of codes is given in annexure
–A) and on the basis of accepted design practices. A full discussion of design of all types of
gates is not possible here. However, some concepts are discussed as follows:
1. Permissible Mono-axial Stresses for structural components of Hydraulic Gates:
The permissible stresses for various components are taken as per dry and wet condition and
further as per assessable and non accessible conditions as per table given below:
S. Material and Type Wet condition Dry condition

No. Accessible Non - Accessible Non -
accessible accessible
Structural Steel
i) Direct Compression 0.45YP 0.40YP 0.55YP 0.45YP
ii) Compression / Tension 0.45YP 0.40YP 0.55YP 0.45YP
in bending
iii) Direct Tension 0.45YP 0.40YP 0.55YP 0.45YP
iv) Shear Stress 0.35YP 0.30YP 0.40YP 0.35YP
v) Combined Stress 0.60YP 0.50YP 0.75YP 0.60YP
vi) Bending stress 0.65YP 0.45YP 0.75YP 0.65YP
Bronze or Brass
Bearing stress 0.035UTS 0.030UTS 0.040UTS 0.035UTS

YP stands for minimum guaranteed yield point stress and UTS stands for ultimate tensile
strength. For material which have no definite yield point, the yield point may be taken as 0.2
percent proof stress.
2. Co-acting width of skin plate with beam or stiffeners
For design of stiffeners and girders, the skin plate thickness is also taken into account. The
coacting width of the skin plate in non panel construction is restricted by least of the
following:
1. 40t + B
`where
T = thickness of skin plate
B = width of stiffeness flange in contact
2. 0.11 times the span
3. Center to center distance of stiffener and girder

(Hydrostatic force, Hydrodynamic forces, model studies also)
For panel construction it is limited by the width = 2 V B where

V = Reduction factor depending upon ratio of support length to the span of the
plate and action of the moment as determined in the design codes viz IS 4622-2003.
B = Half the span of the plate between two girders
However care should be taken that the width so calculated does not exceed limits set in IS
800-1980.
3. Semi flexible Design
For the eventuality of one of the roller not in contact with the track plate and extreme
loading conditions arising thereof, our IS codes have made a provision for designing the
gate as semi flexible, fitted with number of elements with only two wheels on either side.
The vertical girder in this case is discontinuous. While this features enables saving of steel
in design of roller and tracks but at the same time care has to be taken to provide flexible
joints between various elements at skin plate and end girder.
4. Hydrodynamic Loading
The gate is subjected to static water loading when the flow does not take place. When water
flows past the gate at partial opening, hydrodynamic forces also occur which may be
extreme in some cases causing vibration, cavitation, non-operability and sometimes even
failure of gate. The gate has to be designed carefully for following factors:
a. Gate Slot
b. Gate lip
c. Aeration (air demand)
Sometimes model studies become necessary to find out the amount of hydrodynamic forces
and air demand. The problem of hydrodynamic loading becomes extreme at high head of
water. Placement of sealing also plays a major role in the design of hydrodynamic loading.
5. Provision of Stoplogs:
For maintenance of gates, Stoplogs usually 10% of total number of spillway bays is kept.
However care should be taken to ascertain the condition if the Stoplogs are required to be
lowered in flowing water. In such cases, provision of emergency bulkhead gate may be
provided.
A brief description of design of vertical lift gate is as follows:
1. Skin Plate
Skin plate thickness is taken 1.5 mm more for account for corrosion. For non panel
construction it is designed for bending across stiffeners or horizontal girder. For panel
construction is designed for various end conditions as given in design code viz IS 4622-
2003.
2. Vertical Stiffeners / horizontal girder
Vertical stiffeners or horizontal girders are designed as simply supported or continuous

beams depending upon framing adopted for the gate and take the load from the skin plate.
Design principle at S. No 2 is also taken into account in design.
The spacing between horizontal girders is adjusted in such a way that all the girders carry
equal loading. The following methods may be used for this:
a. Trial and error method

b. Analytical method
c. Graphical method
Care is also taken that the deflection of the gate does not exceed the permissible limit,
especially so for the top seal gates.
3. End vertical girder
The end vertical girder is designed as continuous beam resting on wheel contact point with
concentrated loads coming from horizontal girders, at the points where they meet the end
vertical girder. Torsional effects are also accounted for where applicable. Design principle
at S. No 3 is also taken into account in design.

4. Wheel Assembly:
Wheel assembly consists of Roller, wheel pin, Wheel bearing or bushing. Care should be
taken to ensure the proper design for point contact or line contact loading. The wheel may
have to be crowned for ensuring proper contact.
5. Wheel Track
The wheel track may be designed as beam resting on elastic foundation. Care should be
taken that the bearing stress as well as shear stress in the concrete does not exceed the
permissible stresses.
6. Seal Assembly
Earlier wooden sealing or leather sealing was adopted for minor works. Nowadays sealing
is generally of rubber. It should be as per IS 15466-2004 “Rubber Seals for Hydraulic gates
– Specification” and it should be designed in accordance with IS 11855-2004 “Guidelines
for Design and use of different types of Rubber seals for hydraulic gates”. However care
should be taken to take the friction coefficient of cladded seals in such a way that takes into
account the wearing of cladded surface after repeated usage. Sometimes (for slide gates)
metal seals are used which are generally of Brass or Bronze and are fixed to the gate leaf by
countersunk screws of stainless steel or of same material.
A brief description of design of Radial gate is as follows:
Geometry of Gate:
1. Gate Sill Location

Gate sill is located downstream of crest and as close to the crest as possible to economise on
the height of gate and size of pier. Placement of hoist and bridge etc should also be
considered. As a general guideline sill may be placed at about 0.3 to 0.8 m below the crest.
2. Radius of Gate
The radius of gate should be ideally between 1.0 times H to 1.25 times H. Where H is the
distance between top of gate and gate sill. However this guideline is for crest radial gate.
For top seal radial gate provided in sluices, consideration for placement of trunnion above
water level and for minimum hoisting effort also needs to be taken into account.

3. Gate Trunnion;
Trunnion is generally placed 1.5 m above the upper nappe of water along piers to prevent
damage to trunnion due to floating debris and ice etc. However this guideline is for crest
radial gate. For top seal radial gate provided in sluices, consideration for placement of
trunnion above water level and for minimum hoisting effort also needs to be taken into
account.
4. Location of hoist.
If the radial gate is operated with rope drum hoist. The hoist may be located upstream or
downstream. Upstream location of rope drum hoist involves less hoisting effort but its
connection with gate becomes inaccessible and should be designed for extra safety.
Downstream arrangement of hoisting involves more hoisting effort but the connection to
gate is accessible and possible damage due to flowing debris etc is avoided.
A brief description of design of various components of Radial Gate is as follows:
1. Skin Plate
Skin plate thickness is taken 1.5 mm more for account for corrosion. For non panel
construction it is designed for bending across stiffeners or horizontal girder. For panel
construction is designed for various end conditions as given in design code viz IS 4623 -
2003.
2. Vertical Stiffeners or horizontal girders
These are designed in the same way as in vertical lift gates. However the effect of curvature
in design of vertical stiffeners is taken into account. Sometimes horizontal stiffeners are also
used. The total number of horizontal girders depends upon the gate height. But it should be
kept minimum to simplify fabrication and maintenance as more horizontal girder implies
more end arms which have to be accommodated in trunnion. As a general guidance the
number of horizontal girders may be adopted as follows:
a) For height of gate upto 8.5 m 2 Nos

b) For height of gate between 8.5 m to 12 m 3 Nos
c) For heights above 12 m 4 or more

3. Bracing for Horizontal girder:
Bracing for horizontal girders are designed as per shear force shared by bracing panels at
thir locations.
4. End Arms:
End arms may be straight or inclined to economize on horizontal girder. But in case of
inclined arms, lateral force has to be accounted for by provision of thrust block or trunnion
tie beam. These are designed as columns for axial force and bending transmitted by
horizontal girders.
5. Trunnion hubs:
Trunnion hubs are designed as thick or thin cylinders subjected to internal pressure
generated by the resultant load on trunnion.
6. Trunnion bushing
Trunnion bushing should be of Aluminum bronze or self lubricating type. Overall economy
is to be considered before selecting a type of bushing.
7. Anchorages;
The anchorage system of the radial gate is provided for the transfer of water load through
the gate trunnion to the piers or abutments. These may be of following types:
a) Bonded anchorages
b) Unbonded Anchorage
c) Combined Anchorage
d) Pre stressed Anchorage
In bonded anchorage the load transfer takes place in bond between the anchors and the
concrete. In unbonded anchorage the transfer takes place in bearing between the anchor
girder and concrete. For large size radial gates nowadays pre stressed anchorages are
becoming popular.
Latest Trends in Gate Design:
1. SCADA and operational innovations

2. Unconventional Radial Gates
3. Inflatable Gates and Fuse gates
4. New Materials

1. SCADA and operational innovations:
SCADA stands for Supervisory Control and Data Acquisition. It is an old concept but with
increased availability of rugged and reliable PLC (Programmable logic controller- kind of
computers allowing man-machine interface), gate operation is now capable for discharge
optimization any with any other control factors.
2. Unconventional Radial Gates
To meet the demand of increasing spans and other requirements, a number of innovative
radial gates are being used e.g Eccentric Radial Gates, Visor Gates etc.
3. Inflatable Gates and Fuse Gates
These are latest addition to the ever growing gate innovations. These are easy and fast to
install and suitable for automatic control.
4. New Materials
New materials for bushings (e.g Deva Glide – Self lubricated bushing), seals (e.g H.
fontaine- Canada -Ultra High Density Molecular Weight polythethylene) and Gate (Japan-
Fiber reinforced Plastics) are some of the examples for new exciting field of innovative
material solutions to gate design problems.
Control Equipments for Hydraulic Gates and valves
The control equipment for the Hydraulic gate is the equipment used for their operation.
These have to be designed for safe and efficient operation of gates. Following types of
control equipment are used for the operation of gates:
1. Screw Hoist
2. Rope Drum hoist
3. Chain Hoist
4. Hydraulic hoist
1. Screw Hoist
This is the very simple type of operating equipment used extensively earlier but at present
due to its limitation in hoisting capacity and inefficiency it is not finding much use for new
installation. It is designed as per provisions of IS 11228- “Recommendations for design of
screw hoists”. It is operated either by hand or by electric motor. Sometimes even today it is
used for very low head installation where a positive downward thrust is desired for closure
of gate.

2. Rope Drum hoist
It is being extensively used these days where the downward positive thrust is not required
for closure of gates and the gate is to close by its own weight. It is placed on a trestle whose
height is determined by the height of gate and water level. Drums are designed to
accommodate the required length of rope. It is designed as per provisions of IS 6938 –
“Code of practice for design of rope drum hoist and chain hoist for hydraulic gates”
3. Chain Hoist
Here sprocket and chain is used in place of drum and rope. This type of hoist is not being
used extensively these days due to more maintenance requirement and operational
problems.
4. Hydraulic Hoist
This type of hoist is being extensively used for high head installation where downward
positive thrust is required for closure of gate. It is designed as per provisions of IS 10210:
“Design of Hydraulic Hoist for gate”. At present the length of cylinder that can be honed in
India is limited but with the increasing capability of manufacturing this is finding favor in
new installations. Its use leads ease to gate operation programming as gate opening / closing
speed can be more easily manipulated.
Special Equipment (e.g. Trashrack, Trashrack cleaning Machine etc.)
Trashracks are used to exclude the trash in the intake. These are designed as per provisions
of IS 11388- “Recommendations for design of trashracks for Intakes”. The trash racks are
cleaned manually or with machines. These Trashrack cleaning machines can clean trash
rack and also have provision for removal of removal of floating logs etc. These can also
have attachment for removal and placement of trashrack panels.

Annexure –A
List of important IS codes
• IS 800: Code of practice for general construction in steel

• IS 4410: Glossary of terms relating to river valley projects Part XVI Gates and
Valves
• IS 4622: Recommendations for structural design of fixed wheel gate
• IS 4623: Recommendations for structural design of radial gate
• IS 5620: Design criteria for low head slide gates
• IS 9349: Recommendations for structural design of medium and high head
slide gates
• IS 7718: Recommendation for inspection, testing and maintenance of fixed
wheel gate and slide gates
• -Do- Part 1: Inspection, testing and assembly at manufacturing stage
• -Do- Part II: Inspection at the time of erection
• -Do- Part III: After erection
• IS 10096: Recommendation for inspection, testing and maintenance of radial
gates and their hoists
• -Do- Part 1: Inspection, testing and assembly at manufacturing stage Section I
Gate
• -Do- Part 1: Inspection, testing and assembly at manufacturing stage Section II
rope Drum hoist
• -Do- Part II: Inspection, testing and assembly at the time of erection
• -Do- Part 1II: After erection
• IS 6938: Code of practice for design of rope drum hoist and chain hoist for
hydraulic gates
• IS 10210: Design of Hydraulic Hoist for gates
• IS 11228: Recommendations for design of screw hoists
• IS 10021: Recommendations for de-icing system for hydraulic installations
• IS 15466: Rubber Seals for Hydraulic gates – Specification
• IS 11855: Guidelines for Design and use of different types of Rubber seals for
hydraulic gates
Latest edition of these codes should be used.

Figure 1. Typical assembly of fixed wheel Gate

Figure 2. Radial Gate with parallel Arms
Figure3. Radial Gate with inclined Arms

Figure 4. Sectional View of Radial Gate

Figure 5. Typical diagram of low Head Slide Gate

Figure 6. Typical Details of Low head Slide Gate

Figure 7. Rubber Seals

Figure 8. Skin Plate Various Cases – I

Figure 9. Skin Plate Various Cases – II

FLAP GATE
CYLINDER GATE
CATERPILLER GATE

MITER GATE
ROLLER GATE

SECTOR GATE
Drum Gate

BEAR TRAP GATE
VISOR GATE

Chapter 8
Design Concepts for Earth & Rockfill Dams

1. INTRODUCTION
Embankment dams have been built since ancient time for conservation and utilization of
waters. There is evidence of the existence of a stone faced earth dam in Jordan dating as far
back as 3200 B.C. The art of construction of earth dams in the Indian sub continent also dates
back to ancient times and the 21 m high Padvil dam constructed in 504 B.C. in Sri Lanka is
still functioning. In India numerous earth dams were constructed since time immemorial
across streams and depressions to store rain water during monsoons and to utilize the same
during dry season. Even today, the areas of central and south India are dotted with
innumerable small reservoirs or tanks created by earth dams serving the needs of the people.
The embankment dams constructed in the past were mostly of heights less than 20 m and
were generally constructed by simply heaping earth across an area to be blocked with
negligible compacting efforts. They were built on the experiences of past performances and
failures and by ‘Rule of Thumb’ with no real scientific basis, and they often resulted in
failures. In recent times, particularly during the last five decades, there has been tremendous
advance in the science of soil/rock leading to a better understanding of the behavior and
strength properties of soil and rock. Advances in other aspects of dam building like
investigation methods, testing of foundation and construction materials, design procedures,
construction techniques and management have enabled us to design and construct
embankment dams of heights even exceeding 300 m. These advances have given us the
confidence to evolve risk free and economical design of embankment sections. The
developments in computer application techniques have also greatly helped the designer to
understand the behaviour of structures and to evolve optimal designs.
2. ADVANTAGES OF EMBANKMENT DAMS
Embankment dams have many advantages compared to gravity dams. The main advantages
are:
• Embankment dams can be constructed on any given foundation condition and the
excavation for foundation need not be up to rock level, where the bed rock is deep
seated. Foundation excavation is negligible in most of the dams.
• Soil/rock materials locally available are used with negligible processing.
• Use of costly manufactured items like cement and steel is eliminated and there is
saving on transportation costs also.
• Embankment dam is more resistant to seismic forces and are preferred in areas of high
seismicity.
• Embankment dam can be constructed in stages and the dam height can be increased
later on easily, if needed.
• With modern earth moving machineries, the dam can be completed in less time
compared to a rigid dam.
• Embankment dams are generally much cheaper.

• The dam sites which have sound geo-technical set-up having been almost, exhausted,
the embankment dam with its flexible requirements remains almost the only choice.
It may be noted that more than 90 per cent of high dams (15m and above) planned or
constructed in the country since 1950 are embankment dams.
3. TYPES OF DAMS
Embankment dams are classified as earth fill dams or rock fill dams based on the use of
construction material. An earth dam relies mainly on earth/soil and a rock fill dam relies
mainly on rock with impervious membrane either an upstream facing or an interior
impervious core. While an earth dam generally fits into any ground situation, rock fill type is
adopted in locations where supply of rock/boulders is ample, foundation rock is at or near the
ground surface and suitable soil for earth fill is not readily available.
Earth dam classification based on method of construction includes rolled fill, semi-hydraulic
fill and hydraulic fill dams. Rolled fill dams are generally selected now a day with the
availability of efficient earth moving and compacting equipments making the construction
both quicker and economical. The rolled fill dams are also known to be more stable than
hydraulic fill dams against seismic forces.
Earth dams are further classified as ‘homogeneous’ or ‘zoned’ type. In ‘zoned dams’ a central
or an inclined impervious core is introduced to ensure control of seepage and cracking.
Several zones can also be included in a dam section to get the most economical section using
the different types of soils available at site and their physical and strength properties. Fig. 1 to
3 shows some typical sections of different types of earth dams.
Rock fill dams have an impervious interior core or an upstream impervious membrane. The
upstream membrane can be cement concrete or asphalt concrete. In smaller dams wooden,
geo-membrane or steel facings can also be used. The rock fill can be from quarrying or
naturally occurring river bed material with a fair degree of grading of fragments. Figs. 4 and
5 show details of the two types of rock fill dams.
4. BASIC DESIGN NEEDS
A competent design of an embankment dam should be both safe and economical. The safety
shall be adequate in respect of failure or damage resulting in danger to life or property. The
structure designed shall also be durable and as maintenance free as practicable. The structure
shall also serve the purpose for which it is designed.
The design of embankment dam is to be based both on precedent and on analytical studies. At
a given site, a number of design types can be evolved and hence the personal experience of
the designer plays a more important role in the final embankment section selection compared
to design of other structures.
A satisfactory design must ensure the following basic criteria:-

1. The design of the dam is adjusted to the ground conditions so that the foundation is
adequately water tight. Necessary treatment for foundation to achieve desired water
tightness is also to be provided. In case where foundation susceptible to build up of
pore pressures resulting in stability necessary treatment by way of proper drainages is
also to be provided. Interfaces of the dam with concrete structures and abutments
should be treated with caution.
2. The embankment, foundation, abutments and reservoir rim must be controlled to
prevent excessive uplift pressures, piping, instability, sloughing and removal of
material by solution or erosion of material. Concepts of design for stability will be
discussed later.
3. Camber or additional height of dam should be sufficient for allowance for settlement
of foundation and embankment. Generally upto one per cent of height of embankment
is taken for settlement allowance.
4. Surplussing arrangement viz. spillway and outlet should have sufficient capacity
consistent with the designed flood and its routing to prevent overtopping.
5. Freeboard must be sufficient to prevent overtopping through a combination of wave
run up, wind set-up and standing waves. The I.S. Codes provides a minimum value of
2 m for normal freeboard as well as for minimum freeboard. I.S. Codes 11223-1985,
6512-1984, 10635-1983 may be referred to in this regard.
6. Finished upstream dam surface shall be designed to withstand effects from waves and
erosion to prevent breaching. The protection can be by rip rap, soil cement, concrete
slabs, turfing etc. The downstream slope shall withstand effects of surface water due
to rains and wind action. Turfing with a series of collecting drains on the downstream
slope with a well designed toe protection measure with rip rap is generally adopted.
5. SEEPAGE CONTROL MEASURES
The design of a dam should consider the seepage control measures both through the
foundation and embankments, such as:-
1. Foundation grouting – both consolidation and curtain routing.
2. Foundation cut off – impervious fill, diaphragm etc.
3. Upstream impervious blanket.
4. Special foundation treatment of geological discontinuities in foundation.
5. An impervious core of sufficient width in zoned section.
6. Transition zones and filters.
7. Internal drainages like inclined, vertical or horizontal drains, drainage blankets
etc.
8. Toe drain and relief wells.
9. Strict quality control during foundation treatment, use of fill material,
compaction control etc.
6. DESIGN CONCEPTS AND STABILITY ANALYSIS
The most important cause of failure of an embankment dam is sliding. A portion of the Earth
or Rockfill will slide downwards and outwards with respect to remaining part, generally
along a well defined slice surface. The failure is caused when the average shearing stress
exceeds the average shearing resistance along the sliding surface due to various loading
conditions.

Slope stability is generally analyzed by two methods depending upon the profile of failure
surface viz. (a) Circular arc method and (b) Sliding Wedge method. In the ‘Circular arc’
method or ‘Sweedish Slip Circle’ method, the rupture surface is assumed cylindrical or in the
cross-section by an arc of a circle. The sliding wedge method assumes that the failure surface
is approximated by a series of planes.
6.1 STATIC STABILITY ANALYSIS
The design studies for slope stability include consideration of : (i) Loading conditions, (ii)
Material properties, (iii) Pore pressures and (iv) Factors of safety requirement under various
loading conditions.
6.1.1 LOADING CONDITIONS:
A dam is required to be safe and stable during all phases of construction and operation.
Analysis is done for the most critical combination of forces likely to occur. The loading
conditions considered generally include:-
1. Construction condition ( u/s and d/s slopes).
2. Reservoir partially full (u/s slope).
3. Sudden Drawdown (u/s slope).
4. Steady seepage (d/s slope).
5. Steady seepage with sustained rainfall (d/s slope).
6. Earthquake condition ( u/s and d/s slopes).
Allowance for pore pressures in the dam are varyingly determined depending upon the
loading condition, fill material properties, stress due to fill, hydrostatic head at locations
considered, and reservoir water level variations. Effective shear strengths obtained by
consolidated undrained tests are used for all loading conditions except in construction
condition where unconsolidated undrained test results may also be used. Consolidated
drained test results may be used only in cases where the material is cohesion less and free
draining.
6.1.2 SELECTION OF DESIGN PARAMETERS
The embankment material shear strength is obtained by performing triaxial tests of borrow
area materials compacted to densities aimed at during construction. The foundation material
strength is obtained by tests with undisturbed samples from triaxial shear testing. Testing in
each case shall be from zero to maximum normal stress expected in the dam.
The design shear parameters for fill material is fixed at 75 per cent availability from
an adequate number of samples, and for foundation soils minimum shear strength values
along foundation obtained are adopted after rejecting extreme or freak values.
6.1.3 ANALYSIS PROCEDURE
The procedure of arriving at driving and resisting forces involves assumption of a tentative
cross-section of the dam, a possible circular failure surface, division of the slip circle mass
into a number of slices, calculation of forces on each slice and summation of the forces
(Fig.6.). The factor of safety against sliding for assumed failure surface is obtained by the
equation:-

ΣS Σ[C + (N-U) tanφ]
FS = -------- = ---------------------------------
ΣT ΣW sinα
Where,
FS = Factor of safety
S = Resisting or stabilizing Force.
T = Driving or actuating force.
b
C = c 1 X ---------
Cos α
N = Force normal to the arc or slice.
U = Pore water pressure.
φ = Angle of shearing resistance.
W = Weight of the slice.
α = Angle made by the radius of the failure surface with the
vertical at
the centre of slice.
c 1 = Unit cohesion, and
b = Width of the slice.
Until the advent of computers, the stability analysis was being done by arithmetical or
graphical method, which is both laborious and time consuming considering a large number of
assumed slip circles to be analyzed to evolve minimum factor of safety under each loading
condition.
Now-a-days, the stability analysis for dam slopes without or with earthquake forces
(pseudo static method) are carried out using computer progammes developed by various
persons or organizations. The notable methods and programmes in vogue include spencer
method, Sarma’s method, Morgenstern method, Bishop’s method, etc.
6.1.4 MINIMUM FACTORS OF SAFETY:
I.S. Code IS 7894-1975 prescribes the minimum desired values of factors of safety for
various loading conditions as under:
Loading Condition Minimum factor Slope

of safety
1. Construction condition 1.0 u/s & d/s

2. Partial Pool 1.3 Upstream
3. Sudden drawdown 1.3 Upstream
4. Steady seepage 1.5 Downstream
5. Steady seepage with

sustained rainfall 1.3 Downstream
6. Earthquake Condition:
(a) Steady seepage 1.0 Downstream
(b) Reservoir full 1.0 Upstream
7. EARTHQUAKE RESISTANT DESIGNS
India has been divided into five seismic zones taking into account past earthquake
occurrences, and basic horizontal seismic co-efficient is given for each of the zones.
The forces induced on a structure during an earthquake is dynamic in nature and is a function
of ground motion and properties of the structure itself. The dominant effect is equivalent to a
horizontal force varying over the height of a structure. The assumption of a uniform force
along one axis at a time is an over simplification, but this practice still prevails for saving
efforts in dynamic analysis.
Two pseudo static methods viz. seismic co-efficient method and Response Spectra method
are in vogue:
7.1 SEISMIC CO-EFFICIENT METHOD
The mass of structure is multiplied by design seismic coefficient and it is assumed to act
statically in any one direction. The magnitude of the co-efficient is considered uniform for
the entire height of the structure. The design seismic co-efficient is computed from:
αh = β. I. α o
where,
αh = Horizontal design seismic co-efficient
β = A co-efficient depending on soil foundation system
I = Importance factor (depends on importance of structure)
αo = Basic horizontal seismic co-efficient
7.2 RESPONSE SPECTRUM METHOD
In this method, the response acceleration coefficient is first obtained for natural period and
damping of the structure, and the value of design horizontal seismic coefficient is obtained
by:-
αh = β.I.F o S a/g α h
where
αh = Horizontal design seismic coefficient.
β = A coefficient based on foundation – soil system
I = Importance factor
Fo = Seismic zone factor for average acceleration spectra.
S a/g = Average acceleration coefficient for appropriate natural period and
damping of the structure.

7.3 STABILITY COMPUTATION
The slope stability analysis is carried out to get the minimum factor of safety for a tested
section under steady seepage and reservoir full conditions for downstream and upstream
slopes respectively. The computer programmes cited earlier and used for static analysis are
used for the computations.
For the analysis, dynamic properties of soil/rock fill are determined using block vibration
test, cyclic plate load test and wave propagation test. These tests give in-situ dynamic and
damping properties. Triaxial tests are carried out using repeated static loading for shear
parameters.
8. DYNAMIC ANALYSIS AND DEFORMATION STUDIES
While the pseudo static methods are considered enough for project report designs, dynamic
analysis and deformation studies are necessary for detailed designs of all important dams.
The methods include both simplified and rigorous methods of analysis.
8.1 SEQUENCE OF STUDIES
Deformation and/or liquefaction studies are performed to predict embankment and foundation
response to specific earthquakes. It is considered that for a dam not subject to liquefaction,
deformation is not a problem if the following conditions are satisfied:-
 The dam is well built (densely compacted) and the peak accelerations are 0.2 g or
less, or the dam is on clay or weak rock and peak accelerations are 0.35 g or less.
 Slopes of the dam are 3H: 1V or flatter.
 The static factors of safety of the critical failure surfaces involving the crest are
greater than 1.5 under loading conditions expected prior to earthquakes.
 The freeboard is minimum 2 to 3 per cent of dam height.
If these conditions are not satisfied a deformation analysis should be made.
8.2 DYNAMIC ANALYSIS STUDIES
Inputs for deformation analysis include seism tectonic exposure assessment of dam site,
selection of ground motion parameters, assessment of dynamic properties of embankment and
foundation materials, static stress analysis and one, two or three dimensional dynamic
analysis.
The site-specific seism tectonic studies are done to identify earthquake source areas,
maximum credible earthquakes and estimates of the magnitude – recurrence interval
relationships. Potential for fault rupture in foundation and in the reservoir will also be
assessed.
Appropriate earthquake ground motion parameters for the earthquakes are provided by the
seismic exposure study (peak acceleration, peak velocity, response spectrum shape and an
accelerogram). Most of dynamic analysis procedures require an accelerogram, i.e. a record
of acceleration versus time during earthquake. Accelerograms are obtained from existing

records or from synthetic records that produce a specific response spectrum. Computer
programmes are used for arriving at response spectra.
The dynamic properties of construction material are classified into mainly two groups viz.
stress – deformation parameters (shear modulus and damping ratio) and the strength
parameter given by the liquefaction curve. Other significant parameters needed are degree of
saturation, in-situ dry density, static strength and stress deformation parameters. A number of
field and laboratory tests for determining the relevant parameters are required to be
performed.
Using the static stress analysis, the initial stress conditions required for the dynamic stress
conditions for dynamic stress analysis are established. For this purpose two dimensional
finite element analyses is generally used, though 3-D FEM studies are restarted to when
situation warrants, like for a dam situated in a deep and narrow valley. In the F.E.M.
analysis, the structure is idealized as an assemblage of a number of discrete elements which
are connected to one another at nodal points. The stresses in each element obtained from the
static analysis will be useful in selecting the dynamic properties for use in the dynamic
analysis. Several programmes are available for use on computer for these studies.
The dynamic analysis studies are done by one dimensional or two dimensional F.E.M.
studies. One dimensional study is best suited for analysis of a level ground, and the 2-D
studies are widely used for analysis of embankment dams. 3-D dynamic F.E.M. analysis is
very costly, and is not generally used for embankment dams.
8.3 DEFORMATION ANALYSIS
The deformation analysis is made using `Newmark` approach. Several procedures are
available for the analysis which includes both simplified and rigorous procedures. The steps
involved are:
 To obtain response of the structure to earthquake ground motion, and

 To calculate displacements on one or more potential sliding masses. Deformation
analysis using F.E. approach can also be used.
8.4 LIQUEFACTION ANALYSIS
Embankment dams are designed on the basis of maximum earthquake and the dam should be
capable of retaining the reservoir under the loading imposed by maximum earthquake. If the
soils of either the foundation or the embankment suffer serious loss of strength under cyclic
loading, then an evaluation of liquefaction potential and post-earthquake stability must be
done. The liquefaction analysis can be done by simplified methods (using semi-imperial
methods) or by rigorous analytical procedures using F.E.M. analysis.
8.5 COMPUTER PROGRAMMES AND METHODS
Some of methods of dynamic analyses of embankment dams in vogue are given below :-

Dynamic Analysis of Embankment Dams
Given: Earthquake magnitude and distance, Ground Motion parameters etc.
Aim : 1. To evaluate liquefaction potential of dam or foundation.

2. Permanent displacement of dam.
Steps : 1. Dynamic Response evaluation.

2. Deformation Response Computation.
Computation Methods and Programmes

Some known programmes and methods Empherical, simplified analytical (seed),
for liquefaction studies SHAKE (one-D), FLUSH, TLUSH (2-D),
MASH (3-D), QUAD (2-D) etc.
Some known programmes & methods Empherical, Makdisi & Seed (simplified
for deformation analysis analytical), SHAKE (1-D), FLUSH, SLUSH
(2-D), MASH (3-D F.E.M.) etc.
Pore pressure and deformation Response Empherical, Makdisi & Seed (simplified),
(methods & programmes) Newmark - DYNDSP (Analytical Math
Model), Seed-Idris, F.E.M. studies, SEDIA
(simplified seed).
FINAL SELECTION OF DAM SECTION
Based on the results of studies for slope stability by static, psudeo static and dynamic
response analyses for liquefaction potential and final displacement potential, the designer will
select the final section of the dam. In this selection, great emphasis is put on the experience of
the designer and the data of behavior of dams constructed in almost identical situations. The
data obtained from instruments installed in performine dams are also used in the process.
10 DEFENSIVE DESIGN MEASURES
While dynamic analysis of important dams is essential to avoid catastrophic failures, the
design details should also include defensive measures to enhance their performance.The
measures may include:-
 Provision of adequate freeboard to allow for settlement, slumping and fault
movement.
 Use of wide transition zones of materials not vulnerable to cracking.
 Use of drains near critical zones and central portion of dam.
 Use of wide core zones.
 Use of adequate well-graded filter zone upstream of core to serve as a crack
stopper.
 Controlled compaction of dam zones.
 Removal or treatment of foundation materials that are of low strength or
density.
 Widening of core at abutment interfaces.
 Special treatment of foundations at faults including provision of transition dam
sections.
 Stabilization of hill slopes susceptible to sliding around reservoir rim.
11 SOME CASE HISTORIES OF SPECIAL DESIGN PROVISIONS AND

FAILURES
In spite of detailed designs using all the `State of Art` design procedures there have been
some failures – though the number of failures is small considering the vast numbers
constructed – mainly due to reasons which could not be visualized during designs. The
failures can generally be attributed to inadequate investigations leading to improper
understanding of the foundation characteristics, incorrect estimation of peak floods or freak
storms leading to overtopping, improper use of materials in various zones, inadequate
drainage in the dam leading to excessive pore pressure development, improper compaction
and quality control during construction etc. A designer should consider all possible
eventualities and include failure preventive design features, wherever necessary. Some case
histories of dams where special design features have been introduced and of dams which have
failed due to non-consideration of certain preventive aspects in the designs and during
construction will be discussed. Figures 7 to 14 give the salient details of panshet dam,
Nanaksagar Dam, Sampana Dam, Ahroura Dam, Mattmark Dam, Tenughat Dam, Tawa Dam
and Durgawati Dam respectively, some of which have failed and in some of which special
defensive measures have been introduced.
12 INSTRUMENTATION IN EARTH DAM
At present the purpose of instrumenting dams in general are:
 To compare actual observations with assumed conditions which provided an

opportunity to adjust design criteria based on reliable data.
 To monitor the structural behavior of a dam during construction, initial
reservoir filling and routine project operation.
 Forewarning an impending distress.
Because of the uncertainties inherent in the design of a dam it is often necessary to conduct
observations by either mounting or embedding instruments within the dam and its foundation
to ascertain the performance of the structure commencing from the construction stage. This
is done specifically to determine whether the expected behavior of the structure assumed
during design are reflected in the actual behavior of the structure right from the construction
stage to the end of its operating life time.
The code states that the objectives of instrumentation are two fold. The instruments
embedded in, or installed on the surface of dams keep a constant watch on their performance
in service and indicate distress spots which call for remedial measures. These instruments
thus play an important role in checking the safety of the structures. In addition to these
observation from instruments from a cumulative record of structural behavior which when
analyzed can be used to modify purely theoretical assumptions in the design and place future
designs on finer footings. The future design criteria for dams can therefore be made more
realistic. For earth and Rock fill dam the following types of measurements are recommended.

 Pore Pressure
 Movements
 Seepage
 Stresses & Strains
 Dynamic loads (Earthquakes)
INSTRUMENTS FOR PORE PRESSURE MEASUREMENT
There are many types of Piezometers which are normally used in earth / rockfill dams such
as:
 Stand-pipe Piezometers – located at downstream of dam for monitoring piping.
 Hydraulic Type – USBR type used the world over – Economical, easy availability,
easy installation.
 Electrical Type – Not widely used in India.
 Pneumatic Type – These are used where hydraulic type can’t be used due to freezing
of water.
EARTH PRESSURE CELLS
The measurements of earth pressure is generally aimed at investigating the conditions

associated with differential settlement and cracking of the core. Earth pressure cells are being
installed in all modern high dams in the country.
INSTRUMENTS FOR DEFORMATION MEASUREMENT

 USBR Type Movement Device
A variety of devices are available for measurement of movements in the dam.
However, most extensively used is USBR type cross-arm device and surface settlement
points.
 Slope Indicator
This instrument is a widely used device for measuring horizontal and vertical
deformations accurately.
A CASE HISTORY ON STABILIATION OF SALAULI EARTH DAM

FOUNDATION
1. INTRODUCTION:
The Salauli irrigation project is the first major irrigation scheme in the Union Territory of
Goa. The project comprises of a composite dam across the Sanguem river, with centrally
located ungated spillway in the gorge portion and rolled filL homogeneous earth
embankments on both the flanks. The length of the dam is 1003.83 M and the maximum
height of the dam above the deepest river bed level is 42 m. A typical cross section of earth
dam is shown in fig.1. The length of the Duck bill spillway at the gorge portion is 10.7 m.
The catchment area of the river at the dam is 209 sq. km. with an average annual rainfall of
3665 mm. The dam provides a total live storage of 227 M cut of which 187 M cum is meant
for irrigation and the balance of 40 M cum for non irrigation purposes.

Due to the high degree of variability in the laterite foundation of Salauli dam, there
have been significant changes in the design of dam, which necessitated extensive foundation
treatment and caused heavy rise in the estimated cost and considerable delay in the
completion of the project. Various phases of stabilization of the foundation of Salauli earth
dam are briefly described hereafter.
2. INVESTIGATION PROGRAMME AND PROBLEMS ENCOUNTERED
To evaluate the subsurface conditions, elaborate foundation explorations were conducted at

the dam site. The early investigations included topographical surveys, geological mapping,
drilling and logging of bore holes, electrical resistivity and seismic refraction surveys and
percolations tests. Electrical resistivity and seismic refraction surveys were done to determine
the general competency of the reservoir. These explorations revealed that the entire area of
the dam site was marked by a thick cover of laterite and laterite soil underlain primarily by
metagraywacke and calcareous quartzite, see fig.2. Dam exhibited a complex geology
apparently with two sets of folds. Detailed foundation investigations wee further carried out
which included drilling of about 60 boreholes at the dam site and excavation of two open pits
on each bank of the river to carry in-situ shear tests. On the basis of these investigations
profile of rock and rock contour plans were furnished and dam layout was prepared.
Elaborate in-situ and laboratory tests were conducted for assessing the geotechnical
properties of the foundation and embankment materials. During subsurface investigations
presence of a deep buried weathered channel was noticed in the impervious overburden of
left bank near spillway. A discontinuity was also recorded in the hard laterite rock on left
bank. Right bank explorations revealed interconnections between clayey silt and gravelly
layers and indicated presence of a pervious magniferrous zone traversing upstream to
downstream. A 30 m deep iron ore mine with highly pervious formations had also been
reported upstream of right bank.
During the construction of the dam partial storage was created on the right flank by storing
water up to 30 m. immediately after impounding of this water, heavy seepage losses were
noticed on the down stream side of the dam. To ascertain causes of heavy seepage special
investigations were conducted by drilling boreholes on upstream side and Piezometers were
fixed on the down stream side of the dam. Out of these boreholes, five were located on a
berm with reduced level of 27.75 m and one borehole was located on each of left and right
abutment at elevations of 38.3m and 34.6m respectively, see Fig.3. Standard penetration tests
and field permeability tests using constant head and packer methods were conducted in these
boreholes. The logging of boreholes revealed the presence of weathered laterite rock
enclosing highly permeable coarse sand zones. To establish links between upstream and
downstream water levels, Piezometers readings were taken between 1980 and 1983 and dye
tests and tracer studies were also carried out. These investigations clearly established a link
between the upstream and the down stream water levels. Preconstruction foundation
explorations for spillway indicated the possibility of non availability of hard foundation rock.
Irregular formations were met with during excavation of foundation. Extensive subsurface
exploration were conducted by drilling nearly 130 boreholes, which revealed the presence of
patchy rock covered with many deep weathered pockets and joints.
These investigations also revealed the non availability of good hard foundation rock at the
required spillway locations and confirmed the presence of weathered cavernous zone in the
foundation rock extending to considerable depths. It was, however, observed that foundation
grade rock was available at economic depths only a very small area at the proposed spillway
site. Dye tests were conducted after drilling boreholes to establish hydraulic continuity of
weathered zone and to estimate magnitude of cavitation in the rock mass. Existence of
cavities extending from upstream to downstream had been established by these dye tests.
These cavities had exhibited a linear continuity and a very irregular configuration.
3. FOUNDATION TREATMENT
All operations connected with the improvement of foundations have as their ultimate goal the
foundation of a sound, impervious and consolidated base capable of withstanding all of the
stresses induced by the superimposed loaded structure. With this aim in view, an elaborate
foundation treatment had been evolved for the Salauli dam. Based on the surface and
subsurface investigations carried out as stated in previous section along the dam alignment
and an actual field assessment of geotechnical problem following treatment was adopted in
general for stabilization of the dam foundation. The foundation overburden consists of red
brown lateritic clayey silt with gravels extending to more than 3 m in the left flank and more
than 60 m in the right flank, see fig.2. A partial cut-off trench, an upstream impervious clay
blanket and relief wells on the downstream were provided to increase the path of percolation
for the seepage and to relieve uplift pressures in the dam foundation.
According to conventional design, the cut-off trench in the middle of the earth dam section
was taken to one third height of water below the natural ground. The upstream position of
cut-off trench was fixed by an imaginary line of 1:1 slope as shown in Fig.1. The minimum
depth of cut-off trench was limited to 3m. Discontinuities found in the slopes and bottom of
the cut-off trench were stripped to sufficient depth and filled with compacted impervious soil.
The maximum longitudinal slope of the base of the trench was 2H: 1V. The 3 m thick
upstream impervious blanket enclosed a 2m thick compacted impervious soil layer and a 1m
thick waste material layer above it. The blanket extended to a distance of 5H from the
upstream toe of the dam, where H is the head of water, see fig.1 and fig.3. In addition for a
further distance equal to 5H, the natural blanket consisting of top strata of impervious clayey
silts had been retained in undisturbed state.
A systematic study was conducted as explained in previous section, of the seepages and
subsurface conditions in the pervious zones underneath the right and left flanks of the earth
dam. The high seepages were considered undesirables both from the point of view of safety
of the dam against piping action and also from the point of view of loss of reservoir water.
The latter aspect was very highly relevant to the lateritic foundation in view of the
phenomenon observed in some of minor tanks in Goa as well as parts of Maharashtra State
adjoining Goa. In these tanks water seeps from under the dam so copiously that by end of
December the tanks are almost empty. It was felt that the partial cut-off trench provided in
the foundation would not be adequate to keep down the observed high seepages within the
permissible limits. And that a supplementary impervious barrier should be provided. Various
types of impervious barriers were considered viz (1) positive cut-off (2) grout curtain (3)
sheer pile wall and (4) cement-bentonite diaphragm wall.
The depth of the cut-off required in the present case was about 27m between the boreholes
B1 to B4 See Fig.3 and about 37m between boreholes B4 to B6, the depth being measured
from the berm at reduced level 26.75m. Positive cut-off would have involved excavation
below ground water table even upto a depth of about 37m and therefore it was considered
unsuitable. Grout curtain was not considered suitable as it is generally effective in coarse
soils with in-situ permeability in the range of 10 cm/sec or above and the response to grouting
of soil with permeability of the order of 10 cm/sec. is uncertain. Driving of sheet piles
through the strata encountered was considered hazarduous, due to presence of gravels,
boulders and weathered rock. In the present circumstances a cement bentonite self setting
slurry diaphragm wall was considered to be the best solution for arresting effectively
percolation of water. A 60 cm thick cement bentonite slurry diaphragm wall going down to
foundation layers with acceptable minimum permeability is, therefore provided on the
upstream side of the earth dam. The existing berm of the earth dam on the upstream slope at
EL 26.75m was made use of for construction of diaphragm wall, See Fig. 1. In Fig.3, the
proposed extent of the diaphragm wall has been shown. The diaphragm wall consists of a
stable colloidal suspension of cement bentonite water mixture. It is constructed as a series of
panel and in a particular sequence. The iron ore mine observed on the upstream had been
filled with impervious materials. The cavities in the weathered zones had been scooped of
weathered material and back filled with selected impervious material and/or concrete.
The investigations of foundations in the proposed spillway section revealed the existence of a
deep weathered channel, and availability of a suitable rock in a very small area. The original
position of masonry section was shifted towards the right avoiding completely the deep
weathered channel. Since the rock exhibited high degree of cavernous nature beyond the
small area in gorge portion, it was necessary to accommodate the energy dissipation unit
within the limited zone available. In order to obtain the required length of spill in the short
available length, a duck bill type instead of the straight type of spillway as suggested
originally, was adopted. This is a unique type of spillway adopted in India Even in the 20m x
20m space required for the basin, continuous hard rock was not available and the rock was
dipping very steeply from the toe of the glacis. The basin is, therefore, founded on well
foundations. The grouting may be carried out after raising the dam to sufficient height. This
will be done through the pipes provided at weaker sections and extending upwards from the
foundations level. For carrying out post construction high pressure grouting an offset of 1.5m
on upstream side has been provided. Since the proposal for modified spillway design is not
conventional the proposal of construction had to be tested on models at every stage.
4. INSTRUMENTATION
The dam was proposed to be extensively instrumented in view of the significance of its
performance both from safety and operational requirements. To monitor the development of
pore-pressures for the dam foundation and the embankment d48 hydraulic Piezometers were
installed at two sections, one on the left flank at chainage 240m and another on the right flank
at chainage 870m. These two sections were considered to be important as these were the
deepest sections having different foundation conditions. In addition six numbers of porous
tube Piezometers, three each near the downstream terminal walls at Chainages 240m and
870m were provided at the downstream berm at elevation 27.25m. Two sets of vertical
movement cross-arm devices were installed, in the vicinity of the each piezometer section at
a distance of 3m to obtain a co-relation between the settlement/consolidation of the dam and
the development/dissipation of pore water. Horizontal movement devices at these sections
were also installed to observer lateral displacement of the dam embankment as a consequence
of reservoir operation. Surface settlement points have also been proposed at 60m c/c on the
crest and slope of the dam to record the movement of the profile of the dam both in horizontal
and vertical directions.
Chapter 9
Design of Core and Filter in Earth and Rockfill Dams
1.0 DAMS AND THEIR DESIGN PHILOSOPHY
1.1 Role Played By Dams & Reservoirs
Dams have been built across rivers by mankind right from the dawn of civilization for
storing the river flow during rainy season and releasing it during the remaining part of year
for either domestic use or for irrigation. Flood control has been another important function of
these dams. While releasing water from the storages, hydroelectric energy is also generated.
With the growth of population all these functions of dams and storages have assumed great
significance and hence every civilization has tried to keep pace with the needs of the society
for food, energy, fibre and well being through this activity of water resources development.
1.2 Inputs For Safe Design
Dams constitute perhaps the largest and the most complex of structures being built by
civil engineers. Basic input of water is dependent on nature, so also the river course, its
history, its underlying strata and its stability. Assessment of the variability of these natural
phenomenon and providing for it in the design of a dam, has been an important challenge for
the dam builders. The dams are built to last from 100 to 300 years depending upon merits of
each case. During their service life, they are designed to withstand all the possible
destabilizing forces with a certain factor of safety which has been an indicator of a factor of
ignorance or lack of knowledge of various response processes of materials used in
construction, the stresses caused, the stains experienced and finally the failure mechanism.
1.3 Design Constants
The destabilizing forces themselves are associated with a significant natural variability.
Assessment of the range of these forces likely to affect a dam stability during its lifetime and
then ascribing a design value for such forces has been and will continue to be a matter of
study and concern for the designers. Every design or construction engineer cannot study
these processes for every dam and hence standards or codes of design and construction
practice are laid down and updated as information and knowledge grows Assistance of
scientists working in fields such as Hydrometeorology, Geology, Geophysics,
Geomorphology, Seismology in assessing the likely parameters of these forces is taken, the
information collected is processed as per standards and design constants worked out.
Large dams store very large volumes of water. Design of such dams, therefore, has to be
extra safe so that there is a minimum probability of their failure and consequent rapid or
sudden release of storage which can cause disproportionate flooding and losses to the human
habitats in the downstream. Very stringent codes are laid down for this purpose. In case of
inflow into a reservoir, for instance, a conceptual Probable Maximum Flood (PMF) is
determined by following special analytical procedures. If the reservoir and the spillway
caters to a properly determined outflow on the basis of such inflow, the dam would be
hydrologically safe. In similar manner, geotechnical properties of foundation material or
construction material can be determined and design constants worked out so that structural
design based on them yields a safe structural construction. Statistically speaking, the design
constants should cover the probability of occurrence of forces expected during the lifetime of
the structure under design.
1.4 Design Philosophy
The codes of practice invariably lag the strata or knowledge or state of Research &
Development (R&D). In fact codification follows verification of generated knowledge and
its global acceptance. Codes, therefore, tend to remain conservative and normally
incorporate a higher factor of safety and hence perhaps yield structures with larger dimension
and/or with higher costs. There is yet another aspect of design philosophy which is not very
explicitly understood nor adequately explained. It pertain to the various stages of design for
complex structures like dams viz. conceptualization, pre-feasibility, feasibility, detailed
project report (DPR), pre-construction, early construction and advanced construction stages.
1.5 Refine The Design As You Build
A designer starts with broad concept of design parameters in the beginning and goes
on refining his data base and hence the designs, as he proceeds through the various stages.
He assumes for the sake of his inadequate data base, simplifications or generalizations which
obviously incorporates a large factor safety in initial stages. As the passes through successive
stages, his data base proves, better and more accurate data base emerges; the range of design
constants narrows down and factor of safety reduces.
Generally, the outer dimensions of a structure do not necessarily get modified; but
components, zones or internal arrangements of a structure do undergo modification. The
structure’s response to the destabilizing forces is worked out with greater detail and is refined
while moving from one stage to the next stage. Engineers call this a process which is loosely
described as ‘Design as you build’ or ‘Refine the design as you build’ mode. It certainly
does not mean inadequacy of design or does not reflect on ignorance or incompetence of
project or design engineers. However, an inadequate understanding of this very philosophy is
one major factor responsible for much public criticism of many of our water resources
projects.
2.0 Defensive Measures

International practice recommends deployment of various defensive measures to provide
extra safety in design of high risk rockfill dams.
- Allow ample freeboard to allow for settlement, slumping or faul

movements.
- Use wide transition zones of material not vulnerable to cracking.
- Use chimney near the central portion of embankment.
- Provide ample drainage zones to allow for possible flow of water through
cracks.
- Use wide core zones of plastic materials not vulnerable to cracking.
- Use a well-graded filter zone upstream of the core to serve as a crack-
stopper.

- Provide crest details which will prevent erosion in the event of
overtopping.
- Flare the embankment core at abutment contacts.
- Locate the core to minimize the degree of saturation of materials.
- Stabilize slopes around the reservoir rim to prevent slides into the
reservoir.
- Provide special details if danger of fault movement in foundation
exists.
This list should not by any means be considered as all-inclusive. However, defensive
measures, specially the use of wide filters and transition zones, provide a major contribution
to earthquake-resistant design and should be the first consideration by the prudent engineer in
arriving at a solution to problems posed by the possibility of earthquake effects.
3.0 Criteria for Safe Design of Earth/Rock fill Dam
(i) There should lie no possibility of dam being overtopped by flood water.
(ii) The seepage line should be well within the downstream face.
(iii) The u/s and d/s slopes should be stable under worst condition.
(iv) The foundation shear stresses should be under safe limits.
(v) There should be no opportunity of free flow of water from u/s to d/s face.
(vi) The dam and foundation should be safe against piping.
(vii) The U/s face should be properly protected against wave action and the d/s
face against the action of rain
4.0 DESIGN OF CORE FOR ROCK FILL DAMS
4.1 Core
4.2 The core provides impermeable barrier within the body of the dam. Impervious soils
are generally suitable for core. However, soils having high compressibility and liquid
limit are not suitable as they are prone to swelling and formation of cracks. Soils
having organic content are also not suitable. IS:1498-1970 may be referred for
suitability of soils for core. Appendix A gives recommendations based on IS:1498-
1970. Recommendations regarding suitability of soils for construction of core for
earth dams in earthquake zones are given in Appendix B.
4.3 Core may be located either centrally or inclined upstream. The location will depend
mainly on the availability of materials, topography of site, foundation conditions,
diversions considerations, etc. The main advantage of a central core is that it
provides higher pressures at the contact between the core and the foundation educing
the possibility of leakage and piping. On the other hand inclined core reduced the
pore pressures in the downstream part of the dam and thereby increases its safety. It
also permits construction of downstream casing ahead of the core. The section with
inclined core allows the use of relatively large volume of random material on the
downstream.

4.4. The following practical considerations govern the thickness of the core:
a) Availability of suitable impervious material;

b) Resistance to piping;
c) Permissible seepage through the dam; and
d) Availability of other materials for casing, filter, etc.
However, the minimum top width of the core should be 3.0 m.
4.5 The top level of the core should be fixed at least 1 metre above the maximum
water level to prevent seepage by capillary siphoning.
5.0 Casing
5.1 The function of casing is to impart stability and protect the core. The relatively
pervious materials, which are not subject to cracking on direct exposure to
atmosphere are suitable for casing. IS:1498-1970 may be referred for suitability of
soils for casing. Appendix A gives recommendations based on IS:1498-1970.
6.0 Special Design Requirements
6.1 In addition to basic design requirements given at 5, the following special design
requirements, should also be satisfied for both earth and rock fill dams:
a) Control of cracking.
b) Stability in earthquake regions, and
c) Stability at junctions.
6.2 Control of Cracking - Cracking of impervious zone results into a failure of an earth
dam by erosion, breaching, etc. Due consideration to cracking phenomenon shall,
therefore, be given in the design of earth dam.
6.3 Reasons of Cracking - Cracking in the core of earth or rockfill dam occurs due to
foundation settlement and/or differential movements within the embankment.
Differential movements in the embankment take place due to the following reasons:
a) Unsuitable and/or poorly compacted fill materials,

b) Different compressibility and stress-strain characteristics of the various fill
materials, and
c) Variation in thickness of fill over irregularly shaped or steeply inclined
abutments.
6.4 .Cracking also develops by tensile strains caused by various loads, such as dead load
of the structure, filling of the reservoir and seismic forces. Hydraulic fracturing of the
core may also occur when the hydrostatic pressure at a section in the core exceeds the
total minor principal stress at that section.

6.5 Types of Cracks - Cracks may be classified based on the following factors:
a) Mechanism by which cracks are developed, such as tensile, compressive,

shrinkage or shearing.
b) Types of surface with which the cracking is associated, such as flat or steep.
c) Physical process involved, such as moisture or temperature changes, loading
or unloading action and dynamic activity, such as blasting or earthquakes.
6.6 Tensile stresses produce cracks on flat surface by capillary action in the moisture
range just below saturation. Tensile stress steep slope category cracks are associated
with slumping in poorly consolidated materials.
6.7 Shrinkage cracks are produced by wetting and drying action in the moisture
range of plasticity index.
6.8 Compression cracks on flat surface are produced by an abrupt change in

moisture followed by substantial consolidation and cracking around the periphery of
the affected area.
6.9 Cracking associated with shearing is commonly associated with steep slopes.
There are two conditions in this category. One is differential settlement which
involves a limited range of motion and the other is a slide failure which may involve
any amount of motion. The differential settlement condition commonly involves a
structure extending over two or more kinds of foundation with differing compressive
characteristics or a differential loading condition on a single kind of foundation
material.
6.10 Slide failures may be associated with loading ,unloading or moisture change, the
distinguishing characteristics is the potential for continued movement.
6.11 Importance of Cracks - Relative importance of each type of crack category or

group is given at 3.1.3.1 to 3.1.3.3.
6.11.1 Where permeability and possible erosion are of primary concern, the tension
group is potentially the most serous. In this group, the cracks are open and although
usually only superficial, those associated with steep slopes may extend to depths
comparable to the size of structure involved. Though the development of this type of
cracking is from the surface, it may persist, although deeply buried, where eventually
it may contribute to unsatisfactory seepage action.
6.11.2 Where maintenance of position is a prime structural requirement the compression

type of cracking is the most important because it is probable that when this type of
cracking appears the settlement has already completed.
6.11.3 Shearing cracks are identified primarily by displacement between the two sides
and a tearing configuration. Unlike tension or compression cracking, shearing cracks
commonly occur early in the failure action and further movement can be expected
after the first cracking shows up.
6.12 Measures for Control of Cracking - Following measures are recommended for
control of cracking:
a) Use of plastic clay core and rolling the core material at slightly more than
optimum moisture content. In case of less plastic clay, 2 to 5 percent
bentonite of 200 to 300 liquid limit may be mixed to increase the plasticity.
b) Use of wider core to reduce the possibility of transverse or horizontal cracks
extending through it.
c) Careful selection of fill materials to reduce the differential movement. To
restrict the rockfill in lightly loaded outer casings and to use well graded
materials in the inner casings on either side of the core.
d) Wide transition zones of properly graded filters of adequate width for handling
drainage, if cracks develop.
e) Special treatment, such as preloading, pre-saturation, removal of weak
material etc., to the foundation and abutment, if warranted.
f) Delaying placement of core material in the crack region till most of the
settlement takes place.
g) Arching the dam horizontally between steep abutments.
h) Flattening the downstream slope or increase slope stability in the event of
saturation from crack leakage.
i) Cutting back of steep abutment slopes.
7.0 Foundation Treatment Below Core :
The core contact area includes the foundation contact for the entire base width of the
impervious core, the upstream and the downstream filter zones, transitions and the
downstream drain. This area is the most important and critical in the foundation treatment of
earth-core rockfill dams. The controlling factors are:
1. The rock under the core, including the infilling material in faults and joints,
must be non-erodible and must be protected from erosion under seepage
gradients that will develop under the core.
2. Materials of the core must be prevented from moving down into the
foundations.
3. The contact between the core and the foundation rock surface must remain
intact despite distortions that might occur in the dam due to its weight and
reservoir loading.
The primary hazards to a high embankment dam are cracking within the corecaused by
unequal settlement and the development of seepage channels along the contact of the
impervious core with the foundation and abutment rock. Either of these defects could lead to
failure of the dam. It must therefore be ensured that the foundation in the core-contact area
consists of sound and hard rock reasonablyfree from joints and fissures which could be the
cause of internal erosion.
These objectives are achieved by excavation of the uppermost weathered rock zones to the
level of sound rock and by consolidation grouting to reduce the permeability of the rock
under the excavated surface. Jointed rock is an acceptable foundation, provided the joints do
not contain soft materials or clays to an extent that could endanger the stability of the rock.
8.0 Suitability of Soils for Construction of Earth Dam
Relative Suitability Zoned Earth Dam
Impervious Pervious
Core Casting
Very suitable GC SW, GW

Suitable CL, CI GM
Fairly suitable GM, GC, SM, SP, GP
SC, CH
Poor ML. MI, MH -
Not suitable OL, OI, OH -
Pt.
9.0 Suitability of Soils for Construction of Core of Earth Dam in Earthquake Zones
S.No. Relative Suitability Type of Soil
1. Very good Very well graded coarse mixtures of sand, gravel

and fines., D 85 coarser than 50mm, D 50 coarser than 6
mm.
If fines are cohesionless, not more than 20 percent finer
than 75 micron IS Sieve.
2. Good a) Well graded mixture of sand, gravel and clayey

fines, D 85 coarser than 25 mm Fines consisting of
inorganic clay (CL with plasticity index greater than
12).
b) Highly plastic tough clay (CH with plasticity
index greater than 20).
3. Fair a) Fairly well graded, gravelly, medium to coarse
sand with cohesionless fines, D 85 coarser than 19
mm , D 50 between 0.5 mm and 3.0 mm.
Not more than 25 percent finer than 75 micron IS
sieve.
b) Clay of medium plasticity (CL with plasticity
index greater than 12).
4. Poor a) Clay of low plasticity (CL and CL-ML) with

little coarse fraction. Plasticity index between 5 and
8. Liquid limit greater than 25. Liquid limit greater
than 25.
b) Silts of medium to high plasticity (ML or MH)
with little coarse fraction. Plasticity index greater
than 10.
c) Medium sand with cohesion less fines.
5. Very poor a) Fine, uniform, cohesion less silty sand, D 85
finer than 0.3 mm.
b) Silt from medium plasticity to cohesionless (ML)
Plasticity index less than 10.
10.0 Location of Core in Dam Section and Type of Core
The core can be located in one of the following three positions: (1) central, (2) moderately
slanting or (3) slanting. The central location need not be exactly symmetrical: cores with a
steeper downstream slope and flatter upstream slope, or even with a slight slant in the
upstream direction would still have characteristics of central cores. When the downstream
face of the core has an upstream slant of 0.5 H : 1 V or more, the core may be considered
as moderately slanting. A truly slanting core would be such that the downstream zone
has a self-supporting slope, i.e., 1.25 H:1 V or more, the core may be considered as
moderately slanting. A truly slanting core would be such that the downstream zone has
a self-supporting slope, i.e. 1.25 H:1 V or so; such a core is almost always associated
with a rockfill dam in which the main mass of rockfill downstream of the core can be placed
independently by dumping or in thick layers and the placement of filter zones, core and
upstream pervious zone taken up later. Even with a moderately slanting core, if the
downstream rockfill zone is substantial, it is possible to carry out a portion of the work ahead
of core placement.
The relative advantages and disadvantages of vertical and sloping cores are discussed below:
10.1 Slanting Core
Advantages
j) Downstream rockfill can be placed in advance and laying of filter, core and
upstream zone can be taken up later. This ensures rapid progress as
placement of bulk rockfill in the downstream portion is accelerated,
especially in conditions wherein core placement is possible only during
part of the year.
ii) Foundation grouting of the core can be carried out while the downstream shell
is being placed and thus better progress achieved.
iii) Since a very small part of the slip surface intersects the slanting core, the
section is practically free from the steady seepage pore pressures and is thus
more stable under a steady-state condition. This results in a steeper slope of
the downstream shell and corresponding economy.
iv) Since the flow lines are essentially vertical and equipotential lines are almost
horizontal under sudden drawdown, the drawdown pore pressures are very
much reduced. However, a larger part of the slip surface for the upstream
slope passes through the core material than would be the case with a central
core.
v) In the case of cracking of the core, the inclined core will leave a large mass of
stable rockfill on the downstream side and is likely to be safer.
vi) Filter layers can be made thinner and placed more conveniently.

Disadvantages
i) The depth of excavation of the foundation at the contact surface of the core is
determined by the nature of the formations and cannot be predetermined in
advance. Thus advance treatment of the contact area may present a problem in
the case of a slanting core because if the depth of excavation increases, the
contact area moves upstream.
ii) By slanting the core upstream, although the downstream slope can be made
steeper, nevertheless, the upstream slope will generally become flatter as the
shear strength of the core material will be less than that of the pervious shell
material; the advantage of reduced drawdown pore pressures may not
compensate this factor. Thus any economy in total quantity of materials by
adjustment of core position would depend on the relative strength of the two
materials.
10.2 Central Core

Advantages
i) Provides higher pressure on the contact surface between the core and the
foundation, thus reducing the possibility of hydraulic fracturing.
ii) For a given quantity of soil, the central core provides slightly greater
thickness.
iii) Provides better facility for grouting of foundation or contact zone or any
cracks in the core if required afterwards, as this can be done through vertical
rather than inclined holes.
iv) Foundation area is independent of depth of foundation and hence can be
marked and treated in advance.
Disadvantages
i) The advantages listed for a slanting are not obtainable. Also, a moderately
thick central core with pervious shells will result in a slightly flatter
downstream slope of the dam.
ii) The problem of differential settlement between the core and the shell zone
may result in cracking parallel to the dam axis.
11.0 Design of Filters for Earth/Rockfill Dams
11.1 Introduction
Water conservation and development of water resources for irrigation have attracted
human ingenuity since time immemorial. A number of ancient tanks and earthen
embankments stand testimony to the skill of our ancestors. The Grand Anicut across
Cauvery River, built more than 1600 years ago and providing irrigation to 0.4 million
hectares of land, is a typical example of the ancient earth dams in the country, still in service
today. In the past, design of earthen dams was mainly carried by the rule of thumb and
judgment of the designer, and the heights adopted were moderate. Advances in the field of
soils mechanics and construction equipment over the years have made it possible to design
and construct earth/rockfill dams to heights which would have been considered impossible in
the past The Beas Dam (115m) Ram Ganga Dam (125m) and Salal Dam (128m) are
examples of such high dams successfully completed. Considering these achievements within
the country and the satisfactory performance of embankment dams of greater heights
elsewhere, a number of high embankment dams in the Himalayan region have been taken up
and are in different stages of development. The Tehri Dam (260m) now under completion on
Bhagirathi river in Uttaranchal is the first of the kind, and several other dams of similar
height are in the pipeline. The future mega dams like Tipaimukh, Subansiri, Dehang, Bursar,
Kishau, Kotli Behl and Utyasee within the country, as well as the Karnali, Pancheswar,
Wangchu and Kurichu dams across the border will need many engineering skills.
Design and construction practice for embankment dams have undergone a number of
changes over the years. One of the important features that could be noticed is recognition of
the useful role of ‘protective filters’. Analysis of the performance of embankment dams in
the world showed that there are almost no cases of damage or failure by piping, when filters
had been provided as per accepted design practices, and most of the failures had occurred in
dams without chimney filter or which had excessively coarse filters. Well planned filter
drainage has become obligatory in the design of modern dams. Filters are provided to safely
carry the seepage water which may pass through the body of dam, through the foundations, or
along their contact, thus protecting the structure against the undesirable and harmful effects
of seepage. Generally seepage is expected to occur through the pores of the base soil. But
there could be a more severe condition of water leaking through cracks which may develop in
the dam body foundation system. Enough evidence already exists from the observed
behaviour of dams, supported by theoretical calculations, that such concentrated leaks can
develop due to various reasons. Fortunately, recent studies have shown that the filters, if
adequately designed can also be effective in controlling erosion through such concentrated
leaks. The embankment dam designer should therefore pay adequate attention in arriving at a
proper design of these filters.
The filter criteria contained in the IS code is based on the criteria recommended by Terzaghi
and studies carried out with non-cohesive soils. There is scope to improve the provisions in
the code to cater all soil types. Recent studies, which included controlled laboratory tests
performed by various agencies and individuals ha e brought out some new findings on the
evolution of criteria for conservative/critical filters, capable of preventing erosion and sealing
off concentrated leaks. Particulars of this modified criteria and details of its adoption in
rehabilitating a dam are briefly described. Some other situations where protective filters
could be advantageously used, are also discussed.
12.0 Conservative Filter Criteria
As per the Indian Standard Code (IS: 9429-1980) a properly designed filter should
satisfy the following requirements:
a) It should be much more pervious than the protected base material.

b) It should be of such gradation that particles of the base material do not migrate
through or clog the filter voids.
c) It should be sufficiently thick to provide a good distribution of all particle
sizes throughout the filter.

To satisfy the above requirements, the following filter criteria is recommended:
i) D15F > 4 and < 20

D15B
ii) D15F < 5

D85B
iii) D50F < 25

D50B
iv) The gradation curve of the filter material should be nearly parallel to the
gradation curve of the base material.
13.0 Other criteria for design of filter are as follows:
(1) Terzaghi Criteria :
(D15) filter
-------------- < 4 to 5 (Piping criteria)
(D85) protected soil
(D15) filter
-------------- > 4to 5 (Permeability criteria)
(D15) protected soil
(2) USBR Criteria :
(i) For graded

(ii) filters of angular particles :
(D50) filter
R 50 = -------------- = 9 to 30
(D 50) base material
(D15) filter
R15 = -------------- = 6 to 18
(D15) base material
(iii) For graded filters of subrounded particles :
(D50) filter
R50 = -------------- = 12 to 58
(D50) base material
(D15) filter
R15 = ---------------- = 12 to 40
(D15) base material
(iv) For uniform grain size filters :
(D50) filter
R50 = --------------- = 5 to 10
(D50) base material
The above criteria takes into account only the grain size of base material, and is based on
studies made with non-cohesive soils.
Even though the filters are provided generally to take care of the seepage through the pores of
the embankment soils, they should also be capable of preventing erosion of soils through
concentrated leaks that may occur in the dam body or at the foundation contact.
Certain improvements and modifications to the above criteria have been brought recently on
the basis of controlled laboratory tests performed by various organizations and individuals.
Contributions by the US Department of Agriculture, Soil Conservation Service is worth
making a special mention. Filter tests have been conducted using compacted impervious soil
specimens with an artificial slot or hole and subjected o water flow discharging into the filters
of varying coarseness. These studies confirmed that a conservative filter would be
remarkably effective in preventing erosion and sealing off concentrated leaks, even with
relatively high water pressures, velocities and gradients. Such filters are required on the
downstream face of impervious core of a zoned embankment dam, and in the chimney filter
of a homogeneous dam section. Because of the important role of these filters they are also
known as ‘critical filters’. Some of the useful conclusions drawn from the studies are :
i) The gradation curve of a filter need not have to be parallel or similar in shape
to the gradation curve of the base material.
ii) A filter should be uniformly graded to provide permeability and prevent
segregation. Particles finer than 0.075 mm in the filter should not exceed 5
per cent to ensure adequate permeability. The permeability of a filter should
be at least 25 times that of the base material (D15F should be more than
5xD15B).
iii) Coarse broadly graded soils need finer filters than believed to be necessary.
The filter should be designed to protect the fine matrix of the base material
rather than the total range of particle sizes. Filters designed based on minus
4.75mm are found to be satisfactory.
iv) Sands and gravelly sands with average D15 size of 0.5 mm or smaller are
conservative filters for most of the fine-grained clays (including dispersive
clays) in nature with D85 size of 0.03 mm or larger.
v) Sand filters with average D15 size of 0.1 mm or smaller are conservative for
the finest dispersive clays.
Based on the above findings, the US Interior Bureau of Reclamation (USBR)
has developed a new set of filter criteria (2). The filter gradation limits are
determined through steps A to B as described below:
A. Select the gradation curve of the base soil that requires the smallest D15F size.
B. Proceed to step D if the base soil does not contain gravel (4.75 mm and above).
C. Prepare adjusted gradation curves for soils with particles larger than 4.75 mm.
Use the adjusted curve in working step D.
D. Determine the category of the soil from Table-1.
E. Determine the maximum D15F size in accordance with Table-2.
F. To ensure sufficient permeability set the minimum D15F size greater than or
equal to 5xD15B, but not less than 0.1 mm.
G. Set the maximum particle size at 75 mm and the maximum passing 0.074 mm
must have a plasticity index of zero.
H. Design the filter limits within the maximum and minimum values determined
in steps E, F and G. Plot the limit values and connect all the maximum and
minimum points by straight lines.
Typical filter gradation limits arrived for a category 2 type of base soil is shown below:
TABLE - 1
Category Percentage finer than 0.074 mm
1. > 85
2. 40 - 85
3. 15 - 39
4. < 15
TABLE - 2
Category Filter Criteria Remarks

of Soil
1. D15F < 9 x D85B Minimum 0.2 mm

2. D15F < 0.7 mm
3. D15F < 0.7 mm A = percentage passing
+ (40-A)(4xD85B-0.7) 0.074mm. Minimum
25 value of 4xD85B is
0.7.
4. D15F < 4xD85B D85B obtained from
unadjusted gradation
curve.

Chapter 10
Importance of Model Studies in Dam Designs
Since Leonardo da Vinci stated as a basic premise to ‘remember when discoursing on the
flow of water to adduce first experience and then reason’, the experiment has attained a
leading and continuously growing role in fluid mechanics research. The first hydraulic
laboratory was founded in 1898 by Hubert Engels in Dresden, Germany. Due to influence of
Engels and Rehbock, the use of hydraulic models gained attention throughout Germany and
in the world. Central Water and Power Research station was founded in 1918 in India. For
number of decades the art of hydraulic modeling has been an important tool in solving
hydraulic problems.
HYDRAULIC MODELING
Hydraulic modeling is a form of physical modeling widely used to investigate design and
operation issues in hydraulic engineering. It entails, with a degree of sophistication that varies
with the objective of the investigation, the use of a scaled model for replicating flow and
fluid-transport processes in diverse natural flow systems and for evaluating the performance
of hydraulic structures and hydraulic machines. The following situations are common
subjects for modeling: water movement and sediment transport in rivers and coastal zones;
the hydraulic performance of water intakes, spillways, and outlets; flow around various
objects; flow through, or in, various conduits or flow-regulating devices; performance of
turbines, pumps, and other hydro machines; performance of floating structures or ships; and
effluent-mixing processes.
An advantage of a hydraulic model is its potential capacity to replicate many features of a
complicated flow situation. There are many situations for which there is little recourse other
than hydraulic modeling to make design or operational decisions involving expensive and
complex hydraulic works. Such situations particularly arise when, for a variety of reasons,
complex flow patterns or intricate transport processes are involved, and reliable answers
cannot be obtained by means of analytical solution or computer simulation.
SIMILITUDE AND DIMENSIONAL ANALYSIS
An understanding of the principles of similitude and dimensional analysis is essential for the
successful outcome of a program of experimental research, whether it involves fundamental
studies of fluid flow, the correlation of laboratory and field data, or the laboratory design and
testing of a hydraulic structure.
A key aspect of similitude is that a process occurring at different scales may be described
using dimensionless parameters, appropriately grouping variables pertaining to the process.
Similitude principles are needed in answering the following modeling questions:

• What is necessary to simulate prototype conditions with a model?
• How do measured velocities, forces, stresses, time periods, and so on, scale up
from model tests to prototype conditions?
• Can the results from different experiments or models involving different scales,
velocities, and even different fluid properties, be correlated?
At the heart of these questions is consideration of geometric, kinematic, and dynamic

similitude between a model and its prototype. Those similitude conditions may be obtained
through three approaches:
1. Direct, or inspectional, comparison of the ratios of relevant forces;

2. Manipulation of equations of flow or fluid-transport processes; and
3. Dimensional analysis, whereby pertinent variables are grouped without direct regard
for their mathematical relationship.
SIMILITUDE
Full model –prototype similitude requires satisfaction of the following conditions.
1. Geometric similitude, whereby the ratio of all homologous (geometrically equivalent)

length dimensions is equal and where only similarity in form is involved;
2. Kinematics similitude, whereby at geometrically homologous points in model and
prototype, velocities and accelerations are in a constant ratio; and,
3. Dynamic similitude, whereby, in addition to kinematics similitude, the force polygons are
similar at geometrically equivalent points for model and prototype.
If dynamic similitude is satisfied, kinematics similitude automatically follows. In the

following discussion, the subscripts r, m, and p denote ratio, model, and prototype values,
respectively. The discussion pertains to situations of geometric similitude, for which all
length scales are equal.
The primary parameter for geometric similitude is the length ratio
Lp
Lr = (1)
Lm
which must be constant for all parts of the model and prototype. As a consequence of
geometric similitude, the area, A, ratio is
Ar = L2r (2)
and the volume, ∀, ratio is

∀ = L3r (3)
For kinematics similitude, the velocity ratio, Ur, and the acceleration ratio, A r must be
constant at all homologous points of the model and the prototype. The commensurate ratios
are
L
Ur = r (4)
Tr
Ur L
ar = = r2 (5)
Tr Tr
in which the time ratio, T r, is
Tp
Tr = (6)
Tm
Dynamic similitude involves the force ratio, Fr Forces arise in modeling due to a variety of
physical phenomena (friction, surface tension, pressure, gravity, and so on). Inertial force is
always important when flows accelerate or decelerate because of changes in flow area or
turbulence. Uniform laminar flow is a relatively uncommon exception for which flow inertia
is not important.
Newton's second law relates inertial force to mass, M, and acceleration, a. Expressed
in ratio form
Fr = M r a r (7)
The mass ratio can be written in terms of a density, ρ, ratio and the length ratio
M r = ρ r ∀ r = ρ r L3r (8)
Thus Newton's second law can be expressed in the following significant form
Ur
Fr = ρ r L3r (9)
Tr
Because the time ratio can be written from Eq. (4) in terms of the length ratio and velocity
ratio, Eq. (9) reduces to
Fr = ρ r L2r U r2 (10)

The inertial force as expressed in Eq. (10) is relevant to any flow situation, except uniform
laminar flow.
When a scaling law is valid, a condition of similarity exists between model and prototype.
The simple and fundamental nature of the foregoing scale ratios enable the similitude
principles to provide scaling laws with which the data obtained with relatively inexpensive
model tests may be extrapolated accurately to aid the design of usually expensive and large
prototypes.
IMPORTANT NUMBERS FOR MODELING

po
1. Euler number, Eu =
ρu o2
u0 L
2. Reynolds number, Re =
ν
U0
3. Froude number, Fr =
gL
ρU o2 L
4. Weber number, We =
σ
Surface-tension effects start to become important if We is of order 100 or less. This occurs
when the radius of surface curvature is small in comparison to liquid thickness or depth, for
instance, for liquid drops, bubbles, capillary flow, ripple waves, and very shallow flows in
small hydraulic models.
Values of Eu usually are preserved once the Reynolds number, Re, or the Froude number, Fr,
similitude are prescribed. The Reynolds number is always important as a similitude criterion
for flow with or without a free surface. However, generally speaking, the Froude number is
the dominant similitude parameter for flows with a free surface (for example, spillways,
power intakes, surface waves, open channel flow, and so on). The Froude number and the
Reynolds number each define unique relationships between the scale ratios Lr, T r and U r .
They cannot be simultaneously satisfied without manipulating fluid properties, which at best
is a difficult proposition.
GRAVITY
For flows driven by gravity, notably flows with a free surface, the principal dynamic
similarity criterion to be satisfied usually is constancy of Froude Number , Fr , between
model and prototype at geometrically similar locations;

U
Fr =
gY
Where,
U= water velocity;
G= gravity acceleration, and
Y = channel depth.
This essentially requires that the ratio of inertia to gravity forces be the same in model and
prototype. It also may be viewed as a ratio of water velocity, U, to shallow-water wave
velocity, (gY)1/2, in a channel of depth Y. The Froude-number similarity criterion prescribes
Fr p Ur
Fr = = =1
Frm Yr
Note that, as most models are subject to the same gravitational field that prevails at full scale,
g r = 1. The resultant scales consequent to Froude number criterion (above Eq.) are
summarized in the following table. The Froude-number criterion sets the scale ratios, other
than geometric scale. Acceptable limits to the geometric scale of models are set in accordance
with the physical properties of water, model constructability, and cost, and with available
laboratory equipment, such as pumps.
SCALE RELATIONSHIP BASED ON FROUDE NUMBER SIMILITUDE WITH ρ γ = 1
Variable Relationship Scale

Length L = Length Lr = X r = Yr
Slope horizontal length r
S= Sr = =1
Vertical length r
Velocity length Lr
U= tr = = L1r/ 2
time Ur
Acceleration velocity U r L1r/ 2
t= ar = = =1
time  r L1r/ 2
Discharge Q = velocity x area Qr = U r Ar = L5/2
r
Force F = mass x acceleration Fr = ρ r L1r/ 2 Lr = L3r
Pressure and force p r L2r Lr
P=σ = pr = σ r = = Lr
Stress area Lr Lr
Reynold
Re =
U (Re) r = L1r/ 2 Lr = L1r/ 2
Number v
MODEL TECHNIQUES
The selection of the model scale would therefore have to be made keeping the above factors
on model the ranges of scale used for study of spillways and such large structures vary from
1:30 to 1:100. Models of canal structures, valves and gates usually have scales varying from
1:5 to 1:25, most river models have scales varying from 1:10 to 1:100. The size of the model
should be such that the meaningful observations could be made example conduits or gates
and valves should be about 4” in diameter. Model of canal structures should be at least 6” in
width at the bottom. Spillway model should be such that the normal heads over the crest
should be not less than 3”. Reducing these dimensions would not only pose difficulties of
observations but also would vitiate the similitude requirements. Further, the size of the
model is also dictated by the capability of the instruments for measuring the particular
parameter. For example, current-meters for measurement of velocities in a model would
have a minimum threshold value below, which they would not respond to the flow. In the
case of studies with closed conduits, the forces involved are those due to pressure and
viscosity but in many cases the flow is so highly turbulent that compliance with Reynolds
law, is not strictly essential and further it is rarely practicable. The only condition there is
that the Reynold’s number in the model should be less than 1 x 106 and the pressure velocity
relationship would then follow the Euler law.
Sometimes air is used as the medium in preference to the water. The advantages of using air
are
1. Air has a much lower density, this permits higher construction, power requirements
are less and hence cost is low.
2. Conducting experiments is simplified. Accuracy of measurements is higher.
However, air cannot be used where a surface gradient is present and gravitational
forces influence the motion. Also, discontinuity characteristics at low pressures are not
exhibited using air.
DATA REQUIREMENTS FOR MODEL STUDIES
For conducting model experiments properly, it is necessary to obtain correct information

from the prototype that would be fed to the model initially and the model should be
`Proposed’ thereafter for known conditions in the prototype. Only after the model is
complete of reproducing these conditions the experiments could be conducted to examine the
likely results from the model with altered conditions. Though collection of prototype data is
both costly as well as time consuming there is no short cut to this requirement. Since the
entire operation of the model depends on the equality of the prototype data. In particular, the
collection of data becomes imperative during occurrence of scale events such as severe flood
passing through the river on the behaviour of structures under annual operating conditions
etc. Further more in order to remain the ambiguities of the model results it will be useful to
have periodical monitoring of the prototype behaviour so that they would be compared with
the results from the model such a cross check would help in establishing the model prototype
conformity pattern and there enhance the predictability of the model.

LIMITATIONS OF HYDRAULIC MODELLING
Hydraulic models are limited towards the upper end by the existing laboratory facilities viz.
space, head, discharge etc. and towards the lower end by the similarity conditions. One lower
limit is given by the improper scaling of viscous forces. The requirement is that the Reynolds
number in the model must always remain large enough to ensure turbulent flow conditions in
the model, when the flow in nature is turbulent. Another limitation is the influence of surface
tension. The Weber number in nature is usually so large that the influence of surface tension
can be neglected. But this is not true in the small scale model. As a matter of experience, a
lower limit of 3 cm of is usually maintained in the model to avoid the scale effects. Weber
number also influences the phenomenon of air entrainment in the model. Large scale models
are required to study this phenomenon. For models of large water bodies, smaller scaling
number for vertical depths are required than for horizontal dimensions. Distortion of model
scale is the only solution. A sever limitation of model similarity is always reached whenever
cavitation effects are observed. This phenomenon can not be studied in Froudian model.
Effects of cavitation are simulated in the model correctly provided that the cavitation number
has the same value in both model and prototype.
SPILLWAYS
The part of the dam which discharges the flood flow to the downstream side is called as
spillway. The spillways provide controlled releases of surplus water in excess of the reservoir
capacity and convey it to the river channel below the dam in such a manner that the dam and
foundation are protected from erosion and scour.
The essential requirements of a spillway are as follows:
a) The spillway must have sufficient capacity
b) It must be hydraulically and structurally adequate
c) It must be so located that it provides safe disposal of water i.e. spillway discharges
will not erode or undermine the downstream toe of the dam
d) Usually some device will be required for dissipation of energy on the downstream side
of the spillway
e) The spillway surfaces must be able to withstand high scouring velocities created by
the drop from the reservoir surface to tail water .
The efficient hydraulic design of a spillway and energy dissipator is achieved taking into
account the following aspects:

• Acceptable approach flow characteristics
• Sufficient length of crest to convey the design discharge
• Acceptable minimum pressures
• Acceptable maximum head over crest
• Acceptable velocities entering the energy dissipators
• Downstream flow stability
• Environmental and aesthetic considerations
Surface spillways usually consist of three parts:
• The crest at the upstream end which controls the discharge rate and accelerates the
flow
• A steeply sloping chute
• The terminal structure where the flow returns to the river channel. This may consist of
a flip bucket or ski-jump with a plunge pool or a stilling basin with a hydraulic jump
or a slotted or solid roller bucket or a suitable combination of different types of
energy dissipators.
CLASSIFICATION OF SPILLWAYS
Spillways can be broadly classified into two types on the basis of the position of the inlet
with reference to the full supply level in the reservoir i.e. surface spillways and submerged
spillways.
In case of surface spillways the flow over the control section i.e. spillway crest is free surface
flow. It includes free overfall spillway, ogee shaped spillway, chute spillway, side channel
spillway etc.
In case of the submerged spillways the opening is set well below full supply level and have
pressure flow over a significant part of their length.
The type of spillway to be adopted for a particular situation is largely governed by type of
dam, hydrology, purpose of dam, operating conditions and safety considerations consistent
with economy. IS 10137-1982 gives the guidelines for the selection of spillway and energy
dissipator.
Generally the spillway can be provided directly over the dam in case of concrete or masonry
dam. But for earth and rock fill dams spillway is to be provided adjacent to the dam. Thus
for a site where good rocky foundation is available at a reasonable depth in the gorge portion
itself concrete or masonry dam with ogee shaped spillway discharging the flow straight back

into the river channel would be ideal. However, at a site with poor foundation condition earth
or rock fill dam has to be provided and spillway is then provided on one of the flanks of the
dam or through a saddle in the rim of the reservoir. Chute spillway or side channel spillway
can be provided in this situation.
OGEE SHAPED SPILLWAY
It consists of a control structure, an inclined glacis and a reverse curve at the foot. The
control structure or crest is to limit or prevent out flows below fixed reservoir water level
(RWL) and to regulate releases when the reservoir rises above that level. The crest should
have high discharge coefficient with acceptable pressure distribution over the surface of the
spillway. The design of the crest profile has been almost standardized. Waterway
Experiment Station, USA has developed the profile based on the detailed observations of a
lower nappe of a free flowing jet from a sharp crested weir. The details for this profile are
given in Figures 1 and 2.
Such a profile would generally results in atmospheric pressures along the entire spillway crest
at design head H d . For head < H d pressures would be higher than atmospheric with
consequent decrease in C d and for heads > H d sub-atmospheric pressures would result.
The crest is followed by an inclined glacis. Its inclination is fixed from structural
considerations in order to obtain adequate base width for the overflow dam. The reverse
curve at the toe is necessary to deflect the high velocity jet into the terminal structure.
CHUTE AND SIDE CHANNEL SPILLWAY
Chute and side channel spillway in general consist of the following components:
1. An approach Channel
2. Control Structure
3. Discharge Channel
4. Energy Dissipator
5. Outlet Channel.
Figures 3 and 4 show the layout of a chute spillway and a side channel spillway respectively.
Approach Channel: It is required to draw water from the reservoir and convey it to the
control structure. Approach velocities should be limited and channel curvatures and
transitions should be made gradual, in order to minimise head loss through the channel and to
obtain uniformity of flow over the spillway crest and to have good coefficient of discharge.

Control Structure: the crest may be straight or curved in plan. Also it may be ogee shaped
or broad crested. The crest is placed normal to the axis of the discharge channel in case of
chute spillways and along the side of the discharge channel in case of side channel spillways.
Discharge Channel: It conveys the flow released through the control structures to the
terminal structure. It’s profile and cross sectional shape is governed by hydraulic
requirements as well as topographical and geological characteristics of the site. It is
necessary that the flow should remain super-critical throughout its length. Changes in shape
of the channel, vertical curves and horizontal curves may be necessary to conform to
topographical and geological site conditions. These should be gradual in order to avoid cross
waves and uneven flow distribution across the width of the channel and undesirable flow
conditions at the terminal structures.
SUBMERGED SPILLWAY
When the river carries huge amount of sediment it settles in the reservoir and the problem of
silting of the reservoir becomes critical. It will affect the performance of the intakes for
powerhouses and irrigation canals. Under these situations submerged spillways in the form
of a battery of low level sluices are provided to perform dual functions viz. Flood disposal as
well as flushing out the sediment deposited in the reservoir.
Longitudinal section of Tala dam spillway is shown in figure 5. 20 m long sluices with
rectangular cross section at throat have been provided. The bottom has been kept horizontal
and roof with elliptical profile. Radial gate for regulating out flow have been provided at the
downstream end. The bed of the spillway downstream of the gate has been provided with
parabolic profile conforming to the free jet profile.
During normal operation of spillway for flood disposal, gates would be opened partially with
pressurized flow in the sluices and free surface flow downstream of the gates. During
sediment flushing operation the reservoir level will be lowered by opening the gates and the
sediment-laden flow will pass over the spillway under free flow condition.
ENERGY DISSIPATORS
The water stored in the reservoir upstream of the dam possesses high potential energy. When
it flow down the spillway, this potential energy gets converted into kinetic energy and the
flow attains very high velocities. It left uncontrolled, it may erode the river bed downstream
of the structure. This may ultimately endanger the structure itself. It is therefore necessary to
dissipate the excessive energy of the high velocity flow to such an extent that the river bed is
not excessively eroded. Energy dissipators downstream of spillway are thus provided for
dissipation of excessive energy of the flow and to achieve normal velocity flow in the river
downstream in the shortest possible distance.
For high head spillways one of the following device is used for energy dissipation.
1. Stilling Basin
2. Bucket type energy dissipator
Stilling Basin
The dissipation of energy can take place by (a) external friction between the water and the
channel or the water and the air (b) internal friction and turbulence.
The energy absorbed by the external friction is very marginal because of very short length of
the dissipator. Turbulence causing surging, boiling and eddying is the main factor causing
dissipation. These increase the internal friction between the water particles which converts
the kinetic energy into heat energy. Turbulence is created because of formation of hydraulic
jump. The supercritical high velocity flow at the entrance of the stilling basin changes to
subcritical flow having less velocity.
Hydraulic jump type stilling basins are generally classified in two types:
1. Horizontal apron type
2. Sloping apron type
When the tail water rating curve approximately follows the sequent depth curve then stilling
basin with horizontal apron can be provided as shown in Figure 6. When the tail water depth
is more than the sequent depth D 2 , stilling basin with sloping apron (Figure 7) is provided as
it would allow an efficient jump to be formed at suitable level on the sloping apron.
The design of stilling basin includes the determination of the elevation of the basin floor, the
length of the basin and basin appurtenances if any. The criteria for design of hydraulic jump
type stilling basin is described in "Hydraulic design of stilling basin and energy dissipators,
USBR Monograph No. 25" and "IS 4997-1968, Criteria for design of hydraulic jump type
stilling basin with horizontal and sloping apron".
For proper functioning of stilling basin it is desired to have uniform flow distribution across
its width at the entrance which implies that all the spillway gates are to be operated equally.
However, for large spillways the number of gates to be operated depends on the magnitude of
flood to be passed down the spillway. Due to unsymmetrical or unequal operation of gates,
large eddies are generated in the stilling basin which may be able to bring boulders from river
bed downstream into the basin and damage the stilling basin floor. Therefore, divide walls
are provided in the stilling basin to minimise effect of eddies.
Though turbulence created by hydraulic jump is useful for dissipation of excess energy of the
flow released through the spillway, it is associated with large velocity and pressure
fluctuations. These fluctuating pressures can propagate through construction joints or small
cracks beneath the floor slab or on the backside of concrete lined training walls, causing large
dynamic uplift forces on the floor slab and large pullout forces on the training walls. Also,
the divide walls are subjected to dynamic moments. These dynamic forces are 2 to 3 times
larger than those obtained from considering static loading condition. However, at present, it
is not possible to obtain these forces from mathematical analysis. Therefore they have to be
determined experimentally either directly by force measurement or indirectly by pressure
measurements. In recent years excellent contributions have been made by several research
workers all over the world for estimating extreme pressure fluctuations, dynamic uplift and
pullout forces. A brief account of the hydrodynamic design of stilling basin and appurtenant
structures is as follows:
HYDRODYNAMIC DESIGN OF ENERGY DISSIPATORS AND APPURTENANT

STRUCTURES
The concept of hydrodynamic design of spillway appurtenant structures, over the

conventional hydrostatic design is relatively new. Well established methods are available to
account for static loading caused by the flowing water including uplift tail water pressures
and earth pressures. The hydrodynamic forces are caused by the intense turbulent fluctuations
in the energy dissipators. The intensity of hydrodynamic forces increases exponentially with
increase in total head. Recently several instances of damage to the energy dissipators and the
appurtenant structures have come to light. A few of them can be cited as:
• Uplift of the stilling basin floor slab weighing about 700 tonnes at
Netzahualcoyotl dam in Mexico.
• Failure of divide wall of Bhakra dam spillway in India during one of the
construction stages.
• Severe damage to the chute of the Karnafuli dam spillway in Bangladesh.
Post damage studies in all these cases revealed that the structures were subjected to forces
and moments several times than those assumed in the design. These forces, moments and
vibration are now attributed to the macroturbulent pressure fluctuations in the flow. The
recent laboratory studies have also indicated that these pressure fluctuations are two to three
times that of the mean pressures.
NATURE OF HYDRODYNAMIC FORCE

In order to understand the origin and nature of such forces, it is necessary to understand the
mechanism of turbulent flow occurring around the structures. The term turbulence denotes a
motion in which irregular fluctuations are superimposed on the main flow. The most striking
feature of turbulent motion is that the velocity and pressure at a fixed point in space do not
remain constant with time but perform very irregular fluctuations of high frequency. While
describing a turbulent flow in mathematical terms, it is customary to separate it into a mean
motion and fluctuating motion. Thus,
F (t) = F + F’
Where the mean force F is defined as,
1 t
lim
F= ∫ F (t ) dt
t→∞ t 0
The fluctuating forces vary greatly from one instant to another. Their magnitudes are
also expressed in terms of root mean square values,
0.5
lim 1 t

(F ′)RMS =  ∫ F ′ (t )
2
dt 
t→∞ t o 
In order to obtain the above turbulence forces analytically one has to solve governing
equations. However, it is almost impossible to obtain these forces from mathematical
analysis. Therefore, they have to be determined experimentally either directly by force
measurement or indirectly by pressure measurements. The following are the characteristics of
the turbulent flow which are required to be considered in the hydrodynamic designs :
• Dynamic uplift or dynamic moment causing excessive loading

• Structural vibrations
• Fatigue of material
• Instantaneous pressure depressions leading to intermittent cavitation inceptions
Dynamic Uplift: The most disastrous problem caused by pressure fluctuations in a hydraulic
jump is that due to hydrodynamic uplift. Uplift of the concrete lining of the floor could be
caused due to one or a combination of the following:

1. Hydrostatic uplift caused by the seepage gradient below the stilling basin.
2. Propagation of undamped fluctuating pressures below the lining (at the concrete –
rock interface) causing uplift whenever instantaneous difference between the
pressures on the upper and lower surface exceeds weight of the concrete and is acting
upwards.
3. Propagation of fluctuating pressures damped so that the mean pressure prevails at the
bottom and uplift is caused whenever pressure on the upper surface is less than the
mean pressure.
The conventional procedure of determining the thickness is still based on hydrostatic

consideration. IS 11507-1985 describes the design procedure for calculating the thickness of
stilling basin slabs.
In recent years excellent contributions have been made by several research workers allover
the world for estimating the hydrodynamic uplift forces on the lining of the stilling basins.
Hydrodynamic uplift force on the bottom slab is a function of the incoming velocity head, the
Froude number, dimensionless functions of longitudinal and transverse dimensions of the
lining slab, extent of extreme pressure fluctuations, the instantaneous spatial correlation of
pressure fluctuations and dimensionless pressure coefficients. Spoljaric and Hajdin (1982),
Spojaric and Stevanovic(1982), Lopardo and Henning (1985), Bowers and Toso (1988),
Farhoudi and Narayanan (1991) and Firroto and Rinaldo (1992) have indicated various
approaches for estimating extreme pressure fluctuations and dynamic uplift forces in
hydraulic jump. The studies carried out at CWPRS for assessing the hydrodynamic uplift
forces indicated that the methods proposed by Hajdin et al (1985), Farhoudi et al (1991) and
the uplift forces worked out from measurement of pressures in model, agreed well in all the
cases. The design charts for finding out the hydrodynamic uplift forces for various Froude
numbers and various dimensions and locations of slabs in the stilling basin have been
presented by Farhoudi et al (1991) and could be readily used.
HYDRODYNAMIC LOADS ON WALLS OF THE STILLING BASIN
The turbulence imposes pulsating forces against divide walls and side walls of the
stilling basin as well as energy dissipating appurtenances particularly baffle blocks. The
magnitude, frequency and distribution of these dynamic loads are the basic inputs from
hydraulic analysis for the structural design of these elements.
Side Walls: Past practice consisted in designing side walls to withstand the loads resulting
from maximum anticipated heads due to water and/or soil loading plus an additional
unknown but estimated dynamic load. A general procedure for calculating the dynamic load
and bending moment has been evolved by Flecher et al (1988). A designer can calculate the

average hydrodynamic force knowing, the unit discharge, spillway height, velocity entering
the stilling basin, Froude number, sequent depth and tail water depth.
Sometimes the side walls of stilling basin are in the form of anchored walls i.e. concrete
cladding on dressed rock surface, if the flanks are relatively steep and made up of good rock.
The concrete lining may be subjected to hydrodynamic pullout pressures. The anchors for
such linings have to be designed considering the magnitude of pullout force and strength of
the rock. As there is no generalised procedure available, evaluation of forces has to be made
on a hydraulic model. Khatsuria et al (1992) have presented detailed account of estimation of
pullout forces on concrete lined training wall.
Divide Wall
Conventionally, the structural design of a submersible divide wall is based on the bending
moment caused by hydrostatic force resulting from the condition of water up to its top on one
side with no water on the other side. This unbalanced force is believed to be larger than the
hydrodynamic differential force due to level retained flow. This is not always the case.
Studies were carried out at CWPRS for assessing the dynamic bending moments on the
submersible divide walls and training walls of the stilling basins of number of projects. The
bending moments were measured in a hydraulic model using a specially designed bending
moment transducer. The results indicated that instantaneous bending moments in the region
of intense turbulence were about 2 to 4 times those obtained from the hydrostatic distribution.
These results indicated the probable reasons of failure of divide walls in the prototype. Such
analysis also gives information for the structural design of the divide walls such as dominant
frequency of the forcing function and probability distribution of hydrodynamic bending
moments. The dominant frequency of the macroturbulent fluctuations 'in hydraulic jump
generally varies between I to 2 Hertz, maximum. This means that the slender structures like
divide walls should have natural frequencies not less than 4 to 5 Hertz so as to avoid failure
of the divide wall due to resonance.
Bucket Type Energy Dissipator
Although the stilling basins are most reliable as energy dissipators, the current trend is in
favour of providing bucket type of energy dissipators wherever it is possible, to achieve
economy. Bucket type energy dissipators are of two types:
1. Roller bucket
2. Trajectory bucket.
Roller buckets are of two types:
1. Solid roller bucket

2. Slotted roller bucket
Roller bucket type energy dissipator is used when the tail water depth is excessively high and
river bed rock is good.
Trajectory bucket type energy dissipator is used when tail water depth is lower than the
sequent depth of hydraulic jump thus preventing formation of the jump and bed of the river
channel downstream is composed of sound rock capable of with standing the impact of
trajectory jet. Sometimes by locating at higher level, it may be used in case of higher tail
water depths.
Details for bucket type energy dissipators are given in Figure 8.
MODE OF DISSIPATION OF ENERGY
In solid roller bucket, energy dissipation occurs as a result of interaction of two

complimentary rollers, one in bucket proper, called the surface roller, which is anti-clockwise
and the other downstream of the bucket, called ground roller which is clockwise. The ground
roller also picks up material from downstream bed and carries it to the lip where it is partly
deposited and partly carried away downstream by the residual jet from the lip.
Slotted roller bucket, in which the bucket is provided with teeth in it, is an improvement over
the solid roller bucket. The dissipation of energy occurs by lateral spreading of the jet
passing through bucket teeth in addition to interaction of two complimentary rollers as in the
solid bucket.
In trajectory bucket, the jet is deflected in the air and it meets the river bed far downstream of
the lip. The energy is partly dissipated through interaction within the jet, interaction of the jet
with surrounding air and its impact on the channel bed downstream.
DESIGN CRITERIA
Performance of bucket type energy dissipator depends upon head, discharge intensity, Froude
Number of the incoming jet and tail water depth. The procedure for determining radius of
bucket, bucket invert elevation, elevation of the lip and exit angle of the bucket has been
given in "IS 7365-1985, Criteria for hydraulic design of bucket type energy dissipators".
In case of trajectory bucket, large scour hole at the zone of impact of the jet is formed. The
factors governing the scour are the discharge intensity, height of fall, tail water level, lip
angle, mode of operation of spillway, degree of homogeneity of rock, type of rock, time
factor involved in the process of scour etc. The ultimate extent of scour and its progress are
matters of concern. Many empirical formulae have been developed for assessing the depth of

scour. However, the results obtained by these formulae differ with each other to a large
extent. Use of trajectory bucket is therefore restricted to sites where generally sound rock is
available in the river bed or otherwise a pre-excavated plunge pool preferably with concrete
lining on both the banks needs to be provided to avoid uncontrolled erosion of river bed and
banks.
CAVITATION ON SPILLWAY SURFACE
Cavitation is a process of passing from the liquid to vapour state by changing the local
pressure while the temperature remains constant. The local pressure reduction associated with
cavitation can be caused by separation of the flow from the boundary, turbulence or vortices.
However once the cavitation starts the cavitation bubbles grow and travel with the flow to an
area where the pressure field will cause them to collapse. When the cavitation bubble
collapses or implodes close to or against a solid boundary , an extremely high pressure is
generated which causes damage (pitting). The inception of cavitation damage can be assessed
by the cavitation index defined as
Po − Pv
σ =
V2
ρ o
2
Where
P O = Reference pressure
P v = Vapour pressure,
V o = Reference velocity
An attempt to correlate the cavitation index of the flow with time and the extent of the
damage was made by Falvey (1990). Falvey has recommended following values of for
different situations.
σ > 0.2 No damage
0.12 < σ < 0.2 Minor damage
σ < 0.12 Major damage
Damage potential and damage index defined by Falvey (1990) are some of the other
parameters for assessing the cavitation hazards on the structure.
Cause of Cavitation Damage

(a) Inadequate Design
The designs which are conducive to separation of the flow e.g. baffle piers in the
stilling basin.
(b) Misalignments in the surfaces of high velocity flows; waviness of surfaces

supposed to be plane
e.g. Arizona spillway tunnel, USA and Invert of sluice, Libby dam, USA,
Nagarjunasagar Spillway, India.
(c) Surface Irregularity
This is perhaps the most common cause of cavitation damage. Examples of damage
are on Keban dam spillway, Turkey.
The mechanisms involved in the cavitation inception are fluctuating pressure

depressions, separation of flow especially in chute blocks and baffle piers and sheared flows
entering into stagnant pool of water.
PREVENTING CAVITATION DAMAGE
Cavitation could be prevented from forming, by properly designing the system so that the
cavitation index is large and constant. Past experiences suggest that strict attention is needed
to the surface tolerances. However, it may not be possible to adhere to these tolerance limits
in practice. Also, weathering of the concrete surface or the deposition of calcite through
minute cracks may soon disturb the spillway surface again. Damage resistant materials such
as stainless steel, polymer impregnated concrete etc. could also be used to prevent the
cavitation damage. But this alternative may be very costly. Therefore, other means of
protecting the surface need to be considered. It is known that extremely small quantity of air,
dispersed through a water prism, will significantly reduce the tendency for cavitation.
FORCED AERATION
Forced aeration is an effective method of mitigating cavitation damage and aerators are the
simple devices to induce air artificially in the flowing water. The first known installation of
aerator on a spillway was at the USBR's Yellowtail darn. Following the success at Yellowtail
dam spillway, aerators have been installed on spillways worldwide. In India, aerators have
been provided on Karjan dam, Chamera Stage – I, Sardar Sarovar dam etc.

Designing a forced aeration system requires answers to the following questions:
(a) At what location the first aerator be provided?
(b) What is the type and size of the aerator required?
(c) What is the volume of air entrained by the aerator?
(d) What air supply system be provided?
(e) What is the spacing between the aerator to maintain a given protection level?
The first aerator should be located where the flow cavitation index is below 0.2. It is also
preferable to have the Froude number of the flow at least equal to 6. Additional aerators are
to be provided at sections where the concentration of air falls below the minimum required
level of 5 -7%.
AERATOR GEOMETRY
Ramps or steps inserted on the chute surface are the simplest and most practical devices used
to cause aeration of water flow near a solid boundary. The purpose of the ramp is to lift the
flow away from the lower boundary of the chute or spillway. By lifting the flow away from
the boundary, it forms a trajectory allowing the underside of the nappe to become aerated.
When flow once again rejoins the boundary, it should have entrained enough air to protect the
downstream flow surface from cavitation damage. Figure 9 illustrates basic aerator shapes
and air supply system. Although, much theory has been developed, aerator design in still
somewhat an art. Therefore, the results obtained from the theory should be regarded as
preliminary subjected to model testing in respect of jet trajectory performance and size of air
grooves for drawing adequate air.

REFERENCES
1. CBIP Technical Report No. 37 (1985) “Spillways and hydraulic energy dissipators”
2. Falvey, H.T. (1990), "Cavitation in Chutes and Spillways", Engineering Monogram No. 42, USBR
Publication.
3. Farhoudi Javed and Rangaswami Narayanan (1991), "Forces on Slab beneath Hydraulic Jump",
Journal of Hydraulic Engineering, ASCE, Vol. 117, No. 1, Jan. 1991.
4. Firotto V. and Andreu Rinaldo (1992), “Fluctuating uplift and lining design in spillway stilling basins",
Journal of Hydraulic Engineering, ASCE, Vol. 118, No. 4, April 1992.
5. Flecher, B.P. & Saunders P.E., `Dynamic Loading on Side Wall Monoliths of a Spillway Stilling Basin',
USWES Technical Report HL - 88 - 10, May 1988.
6. Hajdin G. & Slavimir Stevanovic (1982), "Contribution to the evaluation of fluctuation loads on fluid
currents limit areas : Dynamic pull-out forces acting on the apron bottom below both submerged and
unsubmerged hydraulic jump".
7. “Hydraulic Design Charts”, Crop of Engineers, USA, 1985.
8. “IAHR Monogram Hydraulic Structures”
9. ICOLD Bulletin 58 (1987) “Spillways for dams”
10. “IS 4997-1968, Criteria for design of hydraulic jump type stilling basin with horizontal and sloping
apron”.
11. “IS 10137-1982, Guidelines for selection of spillways and energy dissipators”.
12. “IS 7365-1985, Criteria for hydraulic design of bucket type energy dissipators.
13. “IS 11527-1985, Criteria for structural design of energy dissipators for spillway”.
14. Khatsuria R.M. and Deolalikar P.B., "Various approaches for determining thickness of apron lining of
stilling basins - An evaluation in respect of adequacy", International Symposium on New
Technology in model testing in Hydraulic Research, 24-26 Sept. 1987, India.
15. Khatsuria R.M., Deolalikar P.B. and Bhosekar V.V. (Mrs.), "Pullout forces on a concrete lined
training wall in a stilling basin", VIIIth APD-IAHR Congress at CWPRS, Pune, 20-23 October 1992.
16. Spoljaric A, Maksimovic L. and Hajdin G. (1982), “Unsteady Dynamic Force dye to Pressure
Fluctuation on the Bottom of an Energy Dissipator", Proc. of Int. Conf. on Hydraulic Modelling of
Civil Engineering Structures, Coventary, England, BHRA Publication.
17. USBR Monograph No. 25, “Hydraulic Design of Stilling Basins and Energy Dissipators”, May 1984.
18. USBR “Design of small dams”

Figure 1: Spillway profile
Figure 2: Discharge coefficient for spillway profiles

Figure 3: Side Channel Spillway
Figure 4: Chute spillway

Figure 5: Section of Tala Dam Spillway
Figure 6: Tail water rating curve and Jump height curve

Figure 7: Horizontal and sloping apron stilling basins
Figure 8: Bucket type energy dissipators

Figure 9: Aerator shapes and air supply systems

Chapter 11
Application of Finite Element Method

in Static Analysis of Dam
INTRODUCTION
Most existing dams during earlier days have been designed by very simplified methods that are now
considered simplistic and inaccurate. Moreover, due to ageing effect and old technologies
employed in the construction of dams during that period, many dams have started showing
distresses in the form of cracks, large deformations, seepages, bulging of faces of dams and
galleries, loss of mortar in joints of masonry dams and dislodging of concrete from faces etc. Under
these distresses, the condition of the dam looks very scary and apprehensions are created about the
structural safety of dam. Further, the damages are sustained by some dams that have been subjected
to intense ground motions and growing concern of seismic safety has led to considerable interest in
evaluating structural safety of the dams against static and earthquake forces. Over the past 30
years, due to the availability of fast computers, more sophisticated numerical methods of
analysis such as Finite Difference Method, Boundary Integration Method and Finite Element
Method have been developed for stress analysis of hydraulic structures. The usual practice to
ascertain structural safety of the dam is to carry out stability analysis of dam by numerical
modelling using Finite Element Method to revalidate the design of old dams as per conditions
prescribed in modified BIS codes. In order to assess stability of dam, stress analysis of gravity dams
is performed to determine the magnitude and distribution of stresses in the structure under static and
dynamic load combinations. The stresses in gravity dams are analysed by either approximate
simplified methods or by finite element method depending on the refinement required for the
particular level of design and the type and configuration of the dam. Finite element models are used
for linear elastic static, pseudostatic and pseudodynamic analysis. Two dimensional finite element
analysis is generally appropriate for analysing different sections of concrete gravity dams without
transverse and vertical openings. The lecture note describes following types of analysis with some
illustrations:
i. Conventional Analysis (beam Analysis)
ii. 2D Static stress analysis by Finite Element Method (FEM) of gravity dam
iii. 2D Pseudostatic analysis by FEM accounting earthquake loads based on site specific
seismic coefficients
iv. 2D Pseudodynamic analysis by FEM taking into account earthquake loads by varying site
specific seismic coefficients varying from 1.5 times at top of the dam to zero at base of the
dam.
Before discussing stress and stability analysis, let us get brief idea of Finite ElementMethod.

Finite Element Method (FEM):
The concept of the Finite Element Method consists of subdividing a given structure or domain
into a discrete number of small regions of finite dimensions. Each small region is
characterized as finite element, whose analysis is easily carried out by standard principles.
The original structure or domain is then reassembled from such elements to study the total
behavior of the structure. The strain field inside an element should nearly be constant. The
system is called as an assembly of discrete finite elements. The finite element method now a
days applied to many types of problems such as structural problems to find stress/strain
distribution, physics problems consisting of seepage analysis and electromagnetic problems to
determine magnetic field distribution etc..
Advantages of FEM
The Finite Element Method has several advantages. A few are as follows:
• Automation of equation formation and solution on computer can be done very easily.
• Highly irregular and complex geometry can be handled very easily.
• Complicated loading conditions can be handled with ease.
• Complex variation of material properties and geometry features can be
incorporated.
• Boundary conditions and loading of complex nature can be applied.
• Non linear problems can also be handled very conveniently.
• Disadvantages of FEM
Besides these merits, some drawbacks and difficulties are also involved.
• The applications to problems of infinite domain are difficult to describe.

• Discontinuities in the domain are also not easy to handle.
• There are very few procedures available to check the correctness and accuracy of finite
element analysis.
• Experience and judgment are needed to construct a good finite element model.
Steps in Finite Element Model formulation
In brief, the FE Model formulation consists of following main steps:
i. Discretisation of the structure.

ii. Selection of displacement stiffness using variational principle. iii.
Derivation of element stiffness using variational principle.
iv. Assembly of the algebraic equations for the overall discretized structure. v.
Solution of the unknown displacement.
vi. Computation of the element strains and stresses from nodal displacements.
1.) Discretisation of the structure :

The first step in finite element method consists of subdividing the structure into small
elements forming a mesh of finite elements. The finite element mesh is defined by the type
and number of finite elements used. There is no fixed rule which can be generally used to
determine the number of elements and nodes that should be used in a finite element mesh.
The element size is selected in such a way that strain within an element remain almost
constant. Therefore, small size elements are made around sharp corners and near to
openings. Attempt should be made to obtain best results with coarse mesh. Better results
can be obtained by using higher order isoparametric elements. The design of finite element
mesh is usually done using regular elements as possible and based on the previous
experience in the use of the finite element method. Convergence test such as Patch test and
Eigen value test available in literature can be applied. In case of doubt, the same
problem can be solved with meshes by increasing number of elements or using different
type of elements. The comparison of numerical solutions will easily establish the precision
achieved.
2.) Selection of displacement stiffness using variational principal:
The displacements are selected in such a way that all the nodes are pin jointed and no
moments are generated. Depending upon the type of structure displacements along two or
three directions are assigned. Equilibrium equation for each node is defined by including
forces, stiffness and displacements.
3.) Derivation of element stiffness using variational principal :
The stiffness off each element is calculated based on standard expressions by using
geometry and elastic properties.
4.) Assembly of the algebraic equations for the overall discretized structure:
All the equations are assembled into matrices forms depending upon the
interconnectivity of elements through nodes.
5.) Solution of the unknown displacement :
The unknown displacements are calculated by matrix inversion by reducing the matrix
into upper diagonal or lower diagonal forms.
6.) Computation of the element strains and stresses from nodal displacements: After
calculating displacements, strains and stresses are computed by using element
geometry properties and elastic parameters. The details of all the steps can be studied
into any text books on Finite Element Method
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 asfollows:
1. ANSYS 2. LUSAS 3. SOLVIA 4. ADINA
5. NASTRAN 6. IDEA 7. SAP 8. ABAQUS
9. HYPERWORKS 10. 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 four components of such programs for
structural analysis are as follows:
• Input – Definition of physical model, geometry, material properties and loading

• Boundary conditions
• Selection from Library of elements and Generation of mathematical models.
• Solution – Assembly and solution of algebraic equations.
• Output – Display of calculated displacements and stresses
Different Types of Elements:
For plane problems the geometric shapes used are mainly triangles, rectangles and quadrilaterals
which may have straight or curved sides. For three dimensional problems, tetrahedral,
hexagonal and parallelepiped brick elements are used. Other types of elements used based on
type of domain are shell, plate, beam, iso-beam, truss, fluid, contact elements, pipe elements
etc.
STABILITY RITERIA
The basic stability requirements as per IS: 6512-1984 code for a gravity dam for all conditions
of loading are:
I. That it be safe against overturning at any horizontal plane within the structure, at the
base or at a plane below the base.
II. That it be safe against sliding on any horizontal or near horizontal plane within the
structure at the base or any rock seam in the foundation.
III. That the allowable unit stresses in the concrete or in the foundation material shall not be
exceeded against the allowable limits.
Characteristic locations within the dam in which a stability check should be considered include
planes where there are dam section changes and locations of high concentrated loads. Large
galleries and openings within the structure and upstream and downstream slope transitions are
specific areas for consideration. The factor of safety against sliding is calculated based on
IS:6512-1984 using equation (6.1) as follows:

The equation is reduced in terms of direct stresses by dividing the equation (1) by Area. The
allowable stresses are taken as per criteria mentioned in IS: 6512-1984 under static,
pseudostatic conditions. Under Pseudodynamic and Dynamic conditions higher tensile stresses
may be allowed as per criteria mentioned in EM 1110 June 95. In absence of any new
guidelines in Indian conditions a tensile stress of the order of 10% of ultimate crushing strength
of concrete may be permitted under Pseudodynamic and dynamic loading conditions as per
Central Design Organisation of Maharashtra.
CALCULATION OF SEISMIC OEFFICIENTS:
For carrying out stability analysis by considering the effect of earthquake forces, seismic
coefficients are required for a particular zone . As per IS: 1893 ( Part 1) : 2002, India has been
divided into four seismic zones (II-V) depending upon the intensity and
frequency of earthquakes. The seismic coefficients are calculated as follows:
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 site specific seismic studies.
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 tail water.

b) Load Combination B (Normal Operating Condition): Full reservoir elevation at FRL
normal dry weather, tail water level and silt load at upstream anddownstream
faces.
c) Load Combination C (Flood Discharge Condition): Reservoir at maximum flood pool
elevation at MWL, all gates open, tail water and silt load at upstream anddownstream
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)
DATA REQUIRED
For carrying out stress analysis dams by F.E.M. following data and drawing are required
to get the clear picture of the problem:
1. Detailed dam section drawing: The drawing should consist of all the dimensional details
and be as per scale. All the details of the galleries and openings and details of spillway
gates, bridges should clearly be shown. Details of various imposed loads such as cranes,
bridge and live load should be mentioned.
2. Geological details of foundation: The drawing of foundation strata below dam base
should clearly show the type of rocks, their thicknesses, details of faults, shear zones, dykes
and properties.
3. Material properties: The material properties of the various grades of concrete mix and
zones of dam body and foundation strata should be known. The material properties may
include Young’s Modulus, mass density, Poisson’s ratio, silt density and damping ratios.
4. Available designs: The details of available designs should be studied to know the
permissible stresses and details of other parameters taken into account during design.
STEPS INVOLVED
Following steps are involved in the analysis of dams:
1) Study of drawing: The supplied drawings are studied to identify various details such as
openings, spillway pier, bridge, hoisting mechanism and foundation strata details.
2) Identification of problem: Before proceeding for analysis, the nature of the problem
is studied. The problem is identified as 2D or 3D, plane strain or plane stress, shell or
plate, depending upon the parameters to be studied, function of the structure and geometry of
the structure. If the structure consists of openings varying in size and direction then it is
considered as a 3D problem. Further, if ratio of length of the structure to its height is
greater than 4 times and there is no change in geometry along the length then the problem
may be considered as 2D problem with plane strain condition.

3) Plotting of the required geometry: The geometry of the structure is plotted as per scale
with all the given dimensions after excluding non structural part and superimposed part.
4) Discretisation of the Geometry into Finite Elements: For discretization of hydraulic
structures a certain part of foundation strata up to a depth of 2 to 4 times of height for
homogeneous rock strata and higher for non homogenous and weak rocks are considered.
Further, upto 2 times of base width is extended in upstream and downstream side of the
structure for satisfying boundary conditions. For 2D analysis, isoparametric elements and
3D analysis solid brick elements are considered. The mesh is made fine by reducing size of
elements near to sharp corners, upstream and downstream faces.
5) Identification of Boundary Conditions: At the base of the foundation, all the displacement
and rotation components are assumed zero and boundary is considered as fixed. At upstream
and downstream faces of foundation block, only settlement is allowed and all other
components are assumed zero.
6) Data preparation: For creating the geometry of the structures, coordinates of all the
defined nodes are calculated in global coordinate system or local coordinate system
depending upon the type of the structure. In auto-mesh generation softwares, only type of
element and size is defined following which element boundaries are marked and node
numbers are defined.
7) Load calculations: Following loads are calculated depending upon the location of the
application of the load:
a) Hydrostatic Pressure: The hydrostatic pressure acting an upstream anddownstream
faces of the dam is calculated as follows:
b) Uplift pressure: The uplift pressure below dam base is calculated at upstream and
downstream side depending upon the depth of water as follows:
c) Silt load: The horizontal silt load is applied by considering density of silt laden water
as 1360 kg/m3 and vertical silt load by taking density as 1925 kg/m3.
d) Gate Thrust: In case of spillway block the horizontal thrust of water on spillway gate
is transferred to the pier. The same is distributed along the area on the upstream face
of the pier and is applied as pressure per unit length as follows:

e) Dead weight of the Gate, Bridge and hoisting mechanism: In case of spillway
blocks, vertical weight of the bridge and live load is distributed at the top of the pier
and self weight of the gate and hoisting mechanism is also distributed at the point of the
application in vertical downward direction.
f) Internal pressure inside sluices: The internal pressure inside sluices is applied
along all the four sides of the sluice.
g) Self weight of dam: The self weight of the dam is applied by considering the density
of the dam material. The load is calculated by FEM software and applied at C G
of the elements.
h) Hydrodynamic forces due to water inertia: for the calculation of
hydrodynamic forces seismic coefficients based on IS: 1893 ( Part 1) : 2002 are
first calculated. For calculating hydrodynamic forces, Westergaard’s approach is
utilized as follows:
i) Inertia forces due to weight of dam: The inertia force due to weight ofdam is applied at
CG of each horizontal strip in the body of the dam in the form of point loads in
vertical upward and horizontal direction to produce mostadverse conditions.
k) Inertia forces due to silt load: Inertia force due to silt load along horizontal and
vertical directions is applied at upstream and downstream nodes in the form of point
loads.
(8) Data entry into PC: The prepared data is entered carefully into PC in proper format
and without error. First of all, only data for geometry creation such as coordinates and
shape parameters are entered. The boundary and loading data is entered after creation of
geometry.
(9) Creation of Geometry by FEM software: The geometry of the structure
including foundation is created based on entered data. The created geometry is
compared with original supplied drawings. Error and deficiency in geometry is rectified.

The problem is preliminary run by FEM software to check the pattern of loading and
boundary conditions.
(10) Stress Analysis by FEM and study of results: After checking and rectification of
geometry, the problem is solved by FEM and stresses and displacements are evaluated and
compared with supplied design values. If stresses are coming veryhigh and deflection also
exceptionally high then pattern of loading, modulus of elasticity value, density, Poisson’s
ratio and direction of loading is checked and verified by the supplied values.
(11) Plotting of results in various forms: The calculated stresses, strains and displacements
under various load combinations are plotted in the form of contour surfaces. For studying
results near to high stress zones contour surfaces for the regions is plotted by pre defined
zones.
(12) Calculation of Stability factors based on results: The stability factors against sliding
at the interface of dambody and foundation is calculated based on IS: 6512-
1984 and average factor of safety is evaluated.
Stress and Stability Analysis of Gravity Dam - An Illustration
A 62.5m high concrete gravity dam is proposed to be constructed in highest seismic zone V as
defined in latest revised IS: 1893 (Part I) -2002. The top width of non overflow section is
8.5 m and base width is of the order of 60.40 m. The upstream face
batter is 1V:0.25H and downstream slope is 1V:0.84H (Fig.1).
Fig. 1: Section of Non overflow Concrete Block
Input Parameters

The values of various input parameters such as mass density of dam material and water, Young’s
Modulus of Elasticity E, Poisson’s ratio for dam material and foundation rock strata, silt
density and seismic coefficients considered in the analysis are given in table 1. For static,
pseudostatic and pseudodynamic analysis, static material properties have been considered in the
analysis. For detailed dynamic analysis material properties (hypothetical) under both static and
dynamic load conditions have been considered in the analysis.
Load Combinations
The analysis has been carried out for the following load combinations (based on IS:6512 – 1984):
f) Load Combination A (Construction Condition): Dam completed but no water in reservoir

and no tail water.
g) Load Combination B (Normal Operating Condition): Full reservoir elevation at FRL at

Rl.143.0 m normal dry weather, tail water level at Rl.101.0 m and silt load upto Rl.101.0 m
at upstream and downstream faces , normal uplift.
h) Load Combination C (Flood Discharge Condition): Reservoir at maximum flood pool

elevation at MWL at Rl.143.58 m, all gates open, tail water at elevation at Rl.116.58 m,
and silt load upto Rl.101.0 m at upstream and downstream faces, normal uplift.

inoperative).

i) Load Combination D: Combination A, with earthquake (Horizontal seismic
coefficient αh =0.32 and Vertical seismic coefficient αV =0.23).
j) Load Combination E: Combination B, with earthquake (Horizontal seismic oefficient

αh =0.32 and Vertical seismic coefficient αV =0.23).
k) Load Combination G: Combination E, but with extreme uplift (drains

inoperative) (Horizontal seismic coefficient αh =0.32 and Vertical seismic coefficient
αV=0.23).
Conventional Analysis (Beam Analysis)
The dam section has been considered as a vertical cantilever beam. The analysis is carried out by
beam analysis by taking moment due various loads at toe to calculated point of action of
resultant force. The eccentricity is calculated. The seismic/ earthquake loads are applied
in the form of equivalent static loads. The factor of safety against sliding and overturning is
calculated based on standard equations. The dam is considered safe if resultant of all forces lies
in the middle third portion of the dam base. The Normal stresses are calculated at heel and
toe of dam section by following
equation:

2D Static Analysis by Finite Element Method
2D static analysis has been carried out by Finite Element Method by discretizing the non
overflow section into 782 elements and 2495 nodes (Fig.2). To take into account the elastic
behavior of the foundation rock strata, a section of the foundation part upto a depth equal to
more than two times the height of the dam and width equal to four times of dam base have
been included in the analysis. Data has been prepared by including coordinates of defined
nodes, details of element generation, boundary conditions, types of elements, details of material
properties etc. Model is generated by running the General Purpose Finite Element software
SOLVIA version 99 by pre- processing commands. FE model is checked for any error or
discrepancies and necessary modifications are made to get proper geometry of the dam
including details of openings. A trial run is made without any external load and pattern of
stresses at important locations as well as deformation is studied. Pattern of stresses
and magnitude is compared with standard behaviour of the dam. In the next step various
loads such as hydrostatic pressure including silt load at upstream and downstream face,
uplift pressure are calculated using standard expressions. Loads are applied at pre identified
elements and nodes along the proper direction. The pattern of applied loads is checked in “pre”
run plots. The analysis has been carried out by considering four above mentioned load
combinations under static condition. The results are obtained in the form of direct and
principal stresses. The principal stresses under all four load combinations are plotted in the
form of maximum principal stress contours (Fig.3- 6).

Displacements are also obtained and compared with permissible values. Factor of
safety is calculated at the interface of dam body and foundation, based on direct stress
values as per IS: 6512-1984 criteria. The factor of safety against sliding at the interface of
dam base and foundation is plotted as shown in Fig.7. The average factor of safety is also
calculated by taking into account the size of element at interface of dam base and
foundation. The stability of the dam is studied under three criteria as mentioned in
IS:6512-1984.

Results
As the dam lies in highest seismic zone the stresses developed under static loads are very
small. Highest tensile stress of the order of 2.33 Kg/cm 2 is found to be developed under load
combination A at the sharp corner near to upstream heel point due to singularity effect. The
tensile and compressive stresses are well within permissible limits. The average factor of safety
against sliding is also greater than 1 under all four load combinations. Hence, the dam may be
considered safe under static load combinations as per the criteria mentioned in IS: 6512-1984.
2D Pseudostatic Analysis by FEM

After performing static analysis, pseudostatic analysis is performed to get approximate stress
pattern under earthquake loads. All the loads such as hydrostatic pressure, siltpressure and
uplift pressure are applied in the same way as in static analysis. The effect of earthquake is
taken into account by applying loads due to inertia of reservoir water and dam body material.
The effect of foundation due to inertia on account of its mass is neglected to allow free ground
motion. Water inertia load is applied by calculating mass of water as per Westergaard’s
approach. The calculated mass of water is lumped at upstream nodes of dambody in contact of
water. The inertia due to mass of the dam is taken into account by horizontal and vertical seismic
coefficients by defining loads proportional to mass. The seismic coefficients are taken as
constant throughout the height of the dam. The elastic effect of foundation is taken into
consideration by taking foundation block of size 4 times base width of dam and depth equal to 2-
4 times of height of the dam. This analysis is very approximate, hence only used at preliminary
stage to decide the profile of the dam. The stresses developed are generally on higher side as
compared to more refined methods. In the present analysis same 2D mathematical model as in
static analysis is utilized to carry out pseudostatic analysis. The boundary conditions are also
taken same as in case of static analysis. The analysis is carried out under three Earthquake load
combinations as described above. The results are obtained in the form of direct and
principal stresses. The stresses are plotted in the form of maximum principal stress contours
and deformed shape is also plotted to study the behaviour of the da. The maximum principal
stress contour surfaces in the dambody under three load combinations and deformed shape is
shown in Fig.8-13. Stability of the dam is again checked as per provisions of IS: 6512-1984.

Results
As the dam lies in highest seismic zone, the stresses developed under pseudostatic loads are
very high. The maximum tensile stress of the order of 46.229 Kg/cm 2 is found to be developed
under load combination G. The tensile stresses developed are beyond allowable limits as per
the criteria mentioned in IS: 6512-1984. The maximum horizontal displacement is also very
high as compared to static load combinations. The average factor of safety against sliding is
also less than 1 under load combinations E and G.Hence, the dam should be analysed
more rigorously using more advanced methods before finalizing the profile of the dam.
2D Pseudodynamic Analysis by FEM
The 2D Pseudodynamic analysis has been carried out based on recommendation of IS: 1893-
1984, IS:1893:2002 and IS:6512:1984. All the loads such as hydrostatic pressure, silt pressure
and uplift pressure are applied in the same way as in static analysis. The effect of earthquake is
taken into account by applying loads due to inertia of reservoir water and dambody material. The
effect of foundation due to inertia on account of its mass is neglected to allow free ground
motion. The inertia force due to water has been taken into account by applying equivalent
concentrated point loads at nodes in contact of water at upstream face calculated based on
Westergaard’s added mass theory. The inertia force due to mass of the dam has also been
applied as concentrated point loads at the centroid of each strip along the height of the dam in
two directions. The seismic coefficient has been taken as 1.5 times of given value at top of the
dam and linearly reduced to zero at the base of the dam. The results in the form of maximum
principal stresses in the dam body are plotted as shown in Figs.14-16 under three earthquake load
combinations and the factor of safety against sliding is calculated based on direct stresses at the
interface of dam base and foundation and are plotted as shown in Figs.17-18. The average factor
of safety is calculated by taking weighted average of all elements at the interface.
Results
The stresses developed under pseudodynamic analysis are drastically reduced as compared to
pseudostatic analysis. The maximum tensile stress of the order of 23.482Kg/cm2 is found
developed under load combination G. The tensile stresses developed are still beyond allowable

limits as per the criteria mentioned in IS: 6512-1984 and tensile strength of concrete. The
maximum horizontal displacement is also higher as compared to static load combinations. The
factor of safety against sliding is also less than 1 under load combinations E and G at few
locations. But the average factor of safety is more than 1.0 under all load combinations. Since
the dam lies in highest seismic zone V and its height is also more than 30 m, detailed dynamic
analysis should also be carried out before finalizing the profile of the dam.

CONCLUSIONS
• Before taking up rehabilitation of any dam, structural safety should be assessed by

carrying out stability analysis 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.
• The pseudodynamic approach is generally used for small height dam (less than30m) and for
seismic zone II & III. This approach is also applied at the initial stages of design to finalize
the profile of dam section and in 3D stress analysis to economize the cost.
• The assessment of structural safety is very useful in deciding the type of remedial
measures required for restoring structural integrity during rehabilitation of dams.

REFERENCES
1. A Finite Element Software Package with Pre and Post Processing facilities, SOLVIA
Engineering AB Sweden.
2. 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.
3. CWPRS, Technical Report 4614, March 2009 on “ 2D-Pseudo Static Stability Analysis
ofConcrete Section of Lift Dam for Sankosh Multipurpose H E Project, Kerabari, Bhutan for
THDC Ltd., Uttarakhand”.
4. IS Code 6512 : 1984, CRITERIA FOR DESIGN OF SOLID GRAVITY DAMS
5. IS Code 1893 :1984, CRITERIA FOR EARTHQUAKE RESISTANT DESIGN OF

STRUCTURES
6. IS Code 1893 ( Part 1) :2002, CRITERIA FOR EARTHQUAKE RESISTANT DESIGN OF

STRUCTURES, PART1 GENERAL PROVISIONS AND BUILDINGS ( Fifth Revision)
7. ICOLD BULLETIN 30 ( January 1978) FINITE ELEMENT METHODS IN ANALYSIS

AND DESIGN OF DAMS (Page 20-23)
8. Rizwan Ali, SRO, Hanumanthappa M S, RO, Shyamli Paswan,RA, Chaphalkar S.G.,CRO

and S Govindan, JD, “Verification of Structural Design of a Proposed Gravity dam in seismic
zone V by 2D Pseudostatic approach using Finite Element Method- A case study” 14th
Symposium on Earthquake engineering & Golden Jubilee Celebrations, 17-19 Dec 2010, IIT
Roorkee.
9. US Army Corps of Engineers- ENGINEERING AND DESIGN-EM 1110-2-2200-30 June 1995

Gravity Dam Design ENGINEER MANUAL.
10. William Weaver, Jr., Paul R. Johnston (1987): Structural Dynamics by FiniteElements
Published by Prentice-Hall, Inc., Englewood Cliffs, New Jersey 07632.
11. Zienkiewicz O.C., R.L. Taylor & J.Z. ZHU (2005). The Finite Element Method: Its Basis and
Fundamentals Sixth edition Part I Published by Butterworth- Heinemann 2005.

Chapter 12
Application of Finite Element Method

in Dynamic Analysis of Dam
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 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
necessitate3D 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 asfollows:
11. ANSYS 12. LUSAS 13. SOLVIA 14. ADINA
15. NASTRAN 16. IDEA 17. SAP 18. ABAQUS
19. HYPERWORKS 20. 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 four components of such programs for
structural analysis are as follows:
• Input – Definition of physical model, geometry, material properties and loading

• Boundary conditions
• Selection from Library of elements and Generation of mathematical models.
• Solution – Assembly and solution of algebraic equations.
• Output – Display of calculated displacements and stresses
REQUIREMENT OF DYNAMIC NALYSIS
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. 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.
v. 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 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:
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,
peudodynamic and linear dynamic analysis, permissible tensile strength of concrete is calculated
from the following equation (Raphael 1984)

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:
Dynamic tensile strength of concrete is calculated by increasing 50 percent static tensile

strength as follows:
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.

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 OMBINATIONS
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
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.

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 foundation block. The properties of the dam and foundation material adopted in the
analysis are as given below:

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 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.

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 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.

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.
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
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/cm 2 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.
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 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.
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 dam body 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 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.

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.

Fig.18 shows the envelope of maximum and minimum principal stresses. The maximum principal
stress (tension) of the order of 40 kg/cm 2 is found to be developed near the 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/cm 2 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.

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 both direction by applying trapezoidal rule for the time
integration of the modalresponse. 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.

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 gravitydams 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.

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 compressive
stress distribution. The envelope of principal stresses based on stress values at the centroid of
each element is shown in fig.24.

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 than30m) and
for seismic zone II & III. This approach is also applied at the initial 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.

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.

Chapter 13
Foundation Treatment of Dams
1. Foundation Treatment ?
To Foundation treatment is the controlled alteration of the state, nature or mass
behaviour of ground materials in order to achieve an intended satisfactory
response to existing or projected environmental and engineering actions.
Mitchell, J M and Jardine, F M (2002) ‘A Guide to ground treatment’ CIRIA
2. Why Foundation Treatment ?

• To increase bearing capacity and stability (avoid failure)
• To reduce post construction settlements foundation and thus the overall
settlement of the top of the dam
• To reduce liquefaction risk( seismic area)
• To reduce leakage through the dam foundation
• To reduce seepage erosion potential
• To reduce uplift pressure under concrete gravity dams in conjunction with
drain holes
3. Main Improvement Techniques
• Temporary
o e.g. dewatering or ground freezing, where the improvement is only
during the application.
• Short-term
o e.g. some forms of grouting, or use of diaphragm walls for ease of
construction with longer term benefits.
• Long-term
o e.g. soil nailing, vibro-replacement, curtain grouting of a dam, where
the treatment is integral to the permanent works.

4. Effect on the Ground
• Change of state;
o i.e. the same ground but made stronger, stiffer, denser, more durable.
• Change of nature;
o i.e. the ground becomes a different material by inclusion of other
materials.
• Change of response;
o i.e. through the incorporation of other materials, the ground becomes
a composite material with enhanced load-carrying or deformation
characteristics.
5. Foundation Treatment Techniques

6. Parameters for Concept
7. Main Improvement Techniques

• by vibration
• by adding load
• by structural reinforcement
• by structural fill
• by admixtures
• by grouting
• by specialist dewatering
8. CRITERIA & GROUTING TECHNIQUES
9. Purpose of Grouting
• Reduce leakage through the dam foundation

• Reduce seepage erosion potential
• Reduce uplift pressure under concrete gravity dams in conjunction with
drain holes
• Strengthen the Dam foundation
• Reduce settlements in the foundation and thus the overall settlement of the
top of the dam

The limiting Lugeon value given in the table, are recommended for deciding the
necessity or otherwise of grouting. Lugeon values in excess of those given in the
table would indicate that grouting is desirable.
10. Function of Grouting

11. Possibilities of infilling of grout in Rock joints / Void space
12. Classification of Grouting
Foundation grouting can be classified into two types:

• Curtain grouting
• Consolidation grouting
13. Curtain grouting

Curtain grouting is designed to create a thin barrier (or
curtain) through an area of high permeability.
It consists of a single row of holes (3 to 5 rows in very
permeable foundations) drilled and grouted to the base of
permeable rock.
It safeguards the foundation against erodability hazard.

14. Typical Profile of Curtain grouting
15. Consolidation grouting

Consolidation grouting is designed to give intensive grouting
of the upper layer of more fractured rock, in the vicinity of the
dam core, or in regions of 'high' hydraulic seepage gradient.
Under the plinth for a concrete face rock fill dam It is usually
restricted to the upper 5 to 15 m While carried out in
sequence, consolidation grouting is commonly applied to a
predetermined hole spacing.
16. Depth of Grout holes
According to IS: 11293 (Part 1)-1985 “Guidelines for the design of
grout curtains”, the following empirical criteria may be used as a
guide:
D= H/3 to H

 Where D is the depth of the grout curtain in meters and H is
the height of the reservoir water in meters.
 The grout holes may be either vertical or inclined.
17. Orientation of Grout holes
• The orientation, plan and inclination of grout holes depend upon

the type of joints and the other discontinuities in the foundation
rock.

• The most common practice is to drill holes inclined towards the
upstream at 5 to 10 degrees to the vertical.
• Apart from the gallery at the foundation level, there could be

other galleries also.
18. Sequence of Grouting Operations
• The holes are drilled and grouted in sequence to allow testing of

the permeability before grouting and allow a check on
effectiveness of the grout take by the foundation.
• Primary holes are drilled first, followed by secondary and then

tertiary.
• The final hole spacing will commonly be 1.5 or 3, but may be as

close as 0.5 m. This staged approach allows control over grouting
operations.
19. Staging of grouting
• Downstage without Packer
• Downstage with Packer
• Upstage
• Full Depth
20. Downstage without Packer
• One of the preferred methods.
• Reduces the risk of leakage of grout to the top stage, allowing

progressive assessment as to whether the hole has reached the
desired closure requirement.

• Allows higher pressures to be used for lower stages, giving better
penetration.
• Expensive, as drilling required every time.
21. Downstage with Packer

 Problem of seating, leakage past the packer.
 Bleeding water cannot be removed as in the first case.
 Ewert prefers this method as the potential to fracture the rock
in the upper levels if packers are not used.
 Expensive because each time drilling is required.

22. Upstage
 Full depth is drilled in one go and grouting is done in stages
using packers.
 Does not allow progressive assessment of the depth of grout
hole needed to reach closure.
 Cheaper, as the drilling rig is set only once, but savings may be
offset by the need for more conservative total depths.
 Appropriate for secondary and tertiary holes.
 Bleeding water cannot be removed.

23. Full Depth
• Full depth of the hole is drilled in one go.
• The hole is washed and grouted.
• Does not allow proper assessment of where grout take is

occurring or reduction in Lugeon value is taking place.
• Grouting pressures are limited.
• It is not an acceptable method except for consolidation grout

holes

24. Lugeon Test
• Decision to install grout curtain depends largely on the results

of WPT
• Tests not in harmony with grout takes, small quantity of

water, large cement take
• Impossible to reduce permeability even though originally

permeable & large takes
• Very little seepage though originally high permeability but

grout takes were low
• No proportional head reduction despite high take
25. Permeability of joints depends on the Orientation of joints

26.
Different Conditions
27. Water Pressure Test
• Tests may be conducted in cycles 1 to 5
• Corrections in pressure are required to take care of elevations

and inclinations

• Groundwater back pressure, skin friction
• Natural permeability needs only one cycle
• Pressure may be 0.1 or 0.2 MPa in the first cycle
• Results are plotted in two ways
28. Pattern of WPT

29. Interpretation
30. Flow vs. Orientation

Flow vs. Orientation Contd.

31. Geologic Structures
32. Conclusions
• Consider, if grouting is really required.
• Take the geological structures and their orientation into account.
• Design Grout Mix appropriately.
• Limited utility of Water Pressure Test.
• Review the Acceptance criterion.
• Consider chemical grouting in special cases.

33. PARTIAL & POSITIVE CUT-OFF
• Functions & Design Requirements

of Cut-off:
• Functions & of Cut-off:

To reduce loss of stored water through foundations and
abutments.
To prevent subsurface erosion by piping.
The alignment of the cut-off should be fixed in such a way that
it’s central line should be within the base of the impervious
core.
In case of positive cut-off, it should be keyed at least to a depth
of 600 mm into continuous impervious sub-stratum/ Rock.
The partial cut-off is specially suited for horizontally
stratified foundations with relatively more pervious layer near
top.
The depth of the partial cut-off in deep pervious alluvium will
be governed by:
Permeability of substrata
Relative economics of depth of excavation
governed usually by cost of dewatering
versus length of upstream impervious
blanket.
34. IMPERVIOUS BLANKET
The horizontal upstream impervious blanket is provided to increase
the path of seepage when full cut-off is not practicable on pervious
foundations.
Impervious blanket shall be connected to core of the dam.
The material used for impervious blanket should have far less
permeability than the foundation soil.
To avoid formation of cracks, the material should not be
highly plastic.
Reference may be made to IS: 1498 for suitability of soils for
blanket.
A 300 mm thick layer of random material over the blanket is
recommended to prevent cracking due to exposure to
atmosphere.
Impervious blanket with a minimum thickness of 1.0 m and a
minimum length of 5 times the maximum water head may be
provided.
35. RELIEF WELLS

To ensure safety of the earth dam in cases where the cut-off is
partial or reliance is placed on an upstream blanket for
controlling under seepage.
This may be effectively done by installing a system of relief
wells suitably spaced which will reduce the intensity of the
under seepage pressure and render the seepage water
practically.

A relief well is a small drainage well (45 to 90 cm in dia) near
about the downstream toe, with a pipe having narrow slots,
placed in the centre and surrounded by graded filter.

36. METHODS OF TREATMENT OF DIFFERENT
FOUNDATION MATERIAL-OVERBURDEN & ROCK (IS
4999 :1991 & IS 6066 :1994)
DAMS ON SHALLOW PERVIOUS FOUNDATIONS

37. DEEP PERVIOUS FOUNDATIONS WITH IMPERVIOUS
TOP STRATUM

38. INVESTIGATION REQUIRED
To judge the overall permeability in order to enable a
preliminary assessment to be made of the degree of
impermeabilization desired and the feasibility of achieving the
same.
To explore the local variation in the grain size distribution
and permeability in order to ascertain the groutability of the
various strata and the extent of ungroutable layers.
To investigate salt content of the soil as well as ground water
to identify presence of salts which may inhibit gellation.

39. PERMEABILITY TESTS IN-SITU
The in-situ permeability is governed by the size, extent and
spacing of layers of high permeability zone.
This is conducted by constant mead method in accordance
with IS 5529 (Part-I) :1985.
The average permeability of pervious deposits may be
determined by pumping out test in accordance with IS 5529
(Part-I):1985.
40. GROUTING OF PERVIOUS SOIL
These are applicable where the primary purpose of grouting
is to reduce the permeability of the soil. In such cases
consolidation of the soil is the primary objective.
The seepage through a pervious stratum is generally governed
by the presence of a few pockets or layers of high
permeability.
It is necessary to treat only such layers to achieve the
necessary reduction of permeability.
It is judge not merely in terms of the grain sige distribution of
each individual layer or lense but in terms of its contribution
to the over permeability.
41. GROUTING METHODS & THEIR SELECTION
Pervious soils are generally heterogeneous, and the grain size
distribution may change abruptly over a short distance.
The grout flow generally concentrates along layers or pockets
of coarser and relatively pervious soils.

Hence, it is necessary to treat short lengths of grout holes at a time
and repeat injections to ensure that the least pervious and fine
grained soils are treated thoroughly.
The method of grouting selected should, therefore, satisfy the
following requirements:
A. Soils of different characteristics should be treated
individually.
B. It should be possible to treat short sections of the
bore-holes in any desired sequence and repeat the
injection, if required.
C. Leakage along the boreholes shall be prevented.
42. Description of Grouting Methods

The following methods are generally followed for grouting of
overburden soils:
Rising Tube
In this method, grouting is done through the casing which is
driven to the bottom of the hole.
The tube is withdrawn a short distance and grout is injected
through the open end into the cavity left by the tube as it is
raised.
In this manner the tube is lifted progressively until the entire
depth required to be grouted is treated.

Description of Grouting Methods
Descending Stage
In this method, grouting is done through the lower open
end of the grout pipe in short stages of 1 to 2 metres
starting with the top of the grouted zone.
The process involves repetition of a sequence of
operations comprising drilling through the length of each
stage and grouting followed by redrilling.

Grouting Through Tubes with Sleeves
In this system of grouting, a pipe, with rubber sleeves
fitted at 30 cm intervals, is installed in the borehole by
filling the annular space around the tube by a sheath of
clay cement grout.
Grouting is done by seating a set of double packers
opposite the sleeves which open under pressure. The
sheath grout is cracked under pressure every time
injections are made.
43. Grouting in Rock- CHOICE OF GROUTING MATERIALS & MIXTURES
Particle size ( in suspension ) should be small enough, so that

the grout can penetrate the soil easily.

The viscosity of the grout mix should be sufficiently low so that
the mix canStravel sufficient distance in the soil to achieve an
economical and practicable spacing of holes.
After penetration into the soil, the grout should form a deposit
which will not be eroded by the pressure gradient imposed on
the curtain over the entire serviceable life of the structure.
44. Grouting in Rock- BLANKET GROUTING/CONSOLIDATION GROUTING
The normal practice of splitting the spacing starting with an
initial spacing of 6 to 12.0 m for each of the rows.
Final spacing depends upon the joints pattern, normally 3.0 m
is provided.
Special geological condition requires closer spacing.
45. Grouting in Rock- CURTAIN WIDTH
The curtain width at the core contact should match the core
base, usually width in the range of 1/3 to 1/5 head is provided.
The main curtain should extend to rock or impervious stratum
and the width should be reduced from the width at core
contact to the main curtain width, about ¼ the depth of the
pervious alluvium.
The main curtain should have two or more rows depending
upon the requirements strata. For clay cement silicate
aluminate grouting the main curtain should have a width of
1/7 of head.
46. MIX PROPORTION & GROUTING PRESSURE
 Grout Mixture

Rock grouting is usually performed with a mixture of cement
and water with or without additives.
The cement generally used are.
Ordinary Portland IS 269:1989
IS 8112:1989
IS 12269:1987
Portland Slag IS 455:1989
Sulphate Resisting Portland IS6909:1990
Supersusulphated Cement IS 6909:1990
Portland Pozzolana IS 1489
(Part 1&2) 1991
Other solid materials may be used as additives to the grout
mixture are:
Pozzolanas such as flyash (IS 3812:1981) and calcined shale
(IS 1344:1981).
As early strength is important on most grouting jobs, the
pozzolana may behave only as inert non-cementing fillers.
Fine sands (IS 383:1970) are economical additives widely used
in grouting.
 Grout Mixture- Admixture
Use in small quantities the following admixtures impart certain
desirable characteristics:
Retards to delay setting time.
Accelerator to hasten setting time.
Lubricants for increasing workability.
Protective colloids to minimize segregation.
Expansion materials to minimize shrinkage.
 Grout Mixture - Grout Mix Proportion

For determining the mix proportions the viscosity& bleeding of
grout, strength and economy shall be the main consideration:
Mix proportion should be exercised according to the
following guidelines (IS-6066:1994)
The choice of grouting mixtures is based on results of
percolation tests conducted prior to grouting.
Ranging from 5:1 to 0.8:1 are recommended.
The grouting should be continued till refusal stage is
achieved i.e the rate of intake becomes almost negligible
say 1.0 litre/min averaged over a period of 10 minutes at
desired limiting pressure up to 3 kg/ cm2 and 1.5
lirte/min for pressure between 3 and 10 kg/cm2.
It is desirable to carry out the grouting with the mixture
of cement and water only. However if the intake is more,
the grout may be thickened by using inert materials like.
Pozzolan as or fine sand, rock powder, clay bentonite etc.
 Grout Mixture- Grout mix for Multiple Line Grout

Curtains
In case of multiple line grout curtain differs from single line
curtains.
In the outer line thick grouts may be used to prevent over
travel and to block the more pervious zones.
In the central lines grout may be thickened very gradually
and comparatively thinner grout may be used at the start.
Thickening of grouts may be carried out more gradually in
tertiary holes as compared to primary and secondary holes.
Thickening of grouts may be carried out more gradually in
tertiary holes as compared to primary and secondary holes.
In order to prevent over travel of grout in wide joints, sodium
silicate or sodium hexa meta phosphate is sometimes added.

For increasing the flowability in case of thin joints, 2 to 3%
bentonite is added.
 Grout Pressure- Control of Grout Pressure

Control of pressure should be exercised according to the
following guidelines (IS-6066:1994):
Control of grouting pressure is very important to avoid
excessive pressure and resulting damages. The pressure shall
be built up gradually from a less value to desired value.
The limiting value of pressure for each zone and depth may be
established initially from the results of trial grouting, along
with observations of upheaval. Fig-2 may be used as guide.
Pressure limits may be decided by analysis of the results of
percolation test.
The grout pressure should be such that it should travel
through the cavities to the maximum possible distance at the
same time, it shall not be so excessive that it may cause
upheaval.
Review the Acceptance criterion.
Consider chemical grouting in special cases

Chapter 14
An Introduction to
Roller-Compacted Concrete 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.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 amedium-cementitious RCC dam, which has a

cementitious content between 100 and 149 kg/m 3
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%.
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.
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 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:
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:
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.
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.
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 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

Roller Compacted Concrete Technology
for Dam Construction – A case study of Ghatghar Project
1.0 INTRODUCTION:
Dams are built from times immemorial either to store water or to divert water. Civil Engineers
have always strived to use innovative materials and/or techniques so that the society gets maximum
benefit from the least expenses at the earliest of times without in anyway compromising with the
quality. One of the main types of gravity dams are the concrete dams. The research on the improvement in
design procedure, material selection, method of construction is continuously in progress, especially in late
th st
20 century and in 21 century.
After the masonry dam in the good old days, the dam industry switched over to Concrete dam,
and is trying to achieve more and more improvement in the concrete mix design and the construction
technique. Some of the major challenges faced by the dam industry to construct concrete dams are :
i) To economise on the quantity of cement used and to minimize the heat liberated by the
cement in the concrete
ii) To achieve a satisfactory level of compaction of concrete in order to get the designed density.
iii) To reduce the gestation time of construction and accomplish the projects in minimum time.
One of the recent developments in this context is the advent of RCC dam construction.
RCC is the short form for Roller Compacted Concrete. RCC is defined as the concrete of no slump
(or zero slump) consistency, compacted using vibratory rollers. RCC combines the economical and rapid
placing techniques of fill dams, with the strength and durability of concrete dams. It is a wrong notion to
classify the RCC as a mediocre material in between the fill material and conventional concrete. A well
designed and constructed RCC dam is equally good, if not better, than any conventional concrete dam.
More and more RCC dams are being constructed recently to derive the benefits of this modern method of
dam construction.
The cementitious materials used in RCC dams are a mixture of cement and some pozollona -
usually fly ash, which is a waste that can be obtained from Thermal Power Stations.
2.0 HISTORY OF DEVELOPMENT OF RCC

Use of RCC started in 1920’s for Road construction as fill material in sub grades of highways, air
field pavements etc. Over the years RCC has been called by different names such as,
Roll Crete (RC) – which was the name in vogue in North America
Rolled Concrete Dam Concrete (RCD) – name that is in use still in Japan
Dry Lean Concrete (DLC) – in U.K. and other countries including India when it is really used as
a dry lean mix and a fill material for subgrade of the roads
Ultimately the name Roller Compacted Concrete (RCC) was given by ACI and the same is in use all over
the World except in Japan which continues to call it RCD.
This material however owing to its lean mix was not thought fit to be used for dam construction
initially. In 1941 it was first suggested that with proper design & construction technique RCC could be
used for dam construction. However, dam industry had to wait upto 1960 when a coffer dam was
constructed in Taiwan and a coffer dam in Iran (Karun dam) using RCC. However, nowhere it was used as
a permanent material in the construction of the dam proper. In 1970’s efforts were made throughout the
world to develop this technique for large scale dam construction. In 1975 RCC was used to replace the
collapsed rock from the intake tunnel of Tarbela dam in Pakistan. Since this was intended to only
replace the fill material not much care was taken for the quality aspect of it and therefore it was of poor
quality and cannot be called as the component of RCC dam. Again in 1978, in the same dam 18,40,000
Cum of RCC was placed to stabilise the highly eroded stilling basin.
US Army corps of Engineers constructed the first RCC dam in the form of Willow creek
dam (Oregon, USA) in RCC in 1982. [52m high, 542m long]. Then Copperfield dam was
constructed in Australia in 1984. Later RCC dam construction technique was universally accepted and

started in several
countries like China, Spain, Brazil, Mexico, South America etc. India has also joined this elite club
of countries with RCC dams by constructing three RCC dams in Ghatghar Hydroelectric Project
in Maharashtra in 2006. And two more dams are under construction viz. Middle Vaitarana and Tala IV.
Now there are about 380 RCC dams completed and another 40 are in progress in the World.
3.0 DEFINITION AND TYPES OF RCC:
Definition: RCC is defined as concrete of zero slump. ACI 207.5R-89 defines RCC as concrete
compacted by rollers. Thus the concrete in its unhardened state must support a roller while being
compacted. RCC differs from conventional concrete mainly in its consistency requirement. The
consistency should be such that there is enough binding and cohesion, at the same time the roller
compacting it, should not sink in it.
Types of RCC:
The classification of RCC is based on the total content of cementitious materials in the mix and
the percentage of cement replaced by fly ash.
i) Lean paste RCC : This is RCC that contains upto 150 Kg/cum of cementitious material with 40%
of cement replaced by pozollana.
ii) High paste RCC : In this case the total cementitious material is more than 150 Kg/cum with 60-
80 % of cement replaced by pozollana.
iii) Rolled concrete dam concrete (RCD): This mix is mainly used in Japan. Here the
total cementitious materials is kept at 120 – 130 Kg/cum with 20-35% cement replacement.
4.0 ADVANTAGES OF RCC DAM CONSTRUCTION ECONOMY

RCC dam construction is economical in the larger context. If the three ingredients of valuation
i.e. Time, Cost and Quality are evaluated the overall cost of construction of RCC dams will be less than
the equivalent other dam with the same factor of safety. The material required for the fill dams would be
cheaper but the sections will be bulkier. The conventional concrete dams will be sleeker in section but
the placement scheduling, the cement content, the cooling required and the longer gestation period make
them costlier. It is found that an RCC dam is cheaper by 25 to 50% as compared to conventional
concrete.
SPEED
The RCC construction can be very fast. In fact if the speed is not there the very purpose of taking
up RCC dam is defeated. The record of the speediest construction is held by Longtan dam in China,
where 18476 cum of RCC was placed in 24 hours. And also 400654 cum of RCC was placed in
one calendar month. High speed of construction results in lesser overheads and early benefits of project.
USE OF FLY ASH
The waste from thermal power station is utilized to some extent which makes the RCC
construction eco friendly. The replacement of cement by fly ash reduces the heat of hydration and its ill
effects. This also results in reduction of cost.
IMPERVIOUSNESS
As compared to fill dams the RCC dams are more impervious. The high paste RCC dams would be
equally impervious, if not more, as compared to the conventional concrete dams.
MONOLITHIC CONSTRUCTION
RCC dams are constructed in one go. At times they may have one or two joints only, unlike the
conventional concrete dams which are constructed in number of monoliths. Even the spillways are
Incorporated within the structure. Structurally they act as truly 3-D structures and as such derive the
advantages of 3-D structures.
SMALL DIVERSION
As compared to fill dams RCC dams would have smaller cross section and therefore, they will
have smaller Penstocks and conduits, smaller diversion works during construction and smaller length of
coffer dam.

4.0 DISADVANTAGES OF RCC DAM
CONSTRUCTION Need for Good Foundation
As compared to fill dams the RCC dams require a sound foundation similar to the conventional
concrete dams. Structurally there will be interaction with the foundation rock and the infirmities in the
foundation pose problems in the design of these dams, especially under seismic conditions.
Tight control during construction
A very good overall control is required during construction if the RCC dam construction has to
achieve the desired objective. No loose threads can be accommodated. If a problem develops in
traditional mass concrete dams in one of the monoliths, the construction activities in other monoliths
can continue. This is not the case with RCC dams. The work has to be stopped. The stoppage is very
costly and complicated.
RCC dams require extra ordinary skill
Right from the stage of conception, design, planning and construction very highly skilled
planners, designers and team of construction engineers are necessary to accomplish RCC dams.
Continuous construction
The construction of RCC dam is a continuous 24x7 process. Any stoppage is bound to create
some problem and involve higher cost.
Material management
Large stock piles of materials are necessary to keep the RCC work continuous. This requires more
transport facilities and more space at the project site and also higher cost to maintain the reserve stock to
avoid stoppages.
Temperature sensitive
In view of the high speed of construction and monolithic construction, extra efforts are required to
accomplish the cooling of the concrete. Thus, extensive post cooling arrangements are required for RCC
dams.
Less employment generating
RCC dams being fully mechanized are less labour intensive and therefore they do not generate
employment like masonry or conventional concrete dams.
5.0 DESIGN CONCEPT OF RCC

The design concepts of RCC are essentially the same as those of the conventional mass concrete
dams
Material properties
The basic material properties of RCC such as Elastic modulus E, Poisson’s ratio ν, Coeff. of

Thermal expansion; are all similar to those of concrete dams, since the hardened RCC has the
properties of conventional concrete. However, the values might be on the lower side because of the
lower cement content.
Compressive strength
The target Characteristic cube compressive strength of RCC is 15 MPa and most of the dams in
the World have been constructed with this design strength.
Direct Tensile strength
The RCC construction is a layered construction and as such it is important to specify the tensile
strength across the horizontal layers. Direct tensile strength across horizontal joints is specified as 1-1.5
MPa for RCC. Sliding shear strength is also critical because of ‘layers’ of RCC. Cohesion at joints
is designed to a value of 1 to 1.5 MPa and SFF > 1.2
Placement
Placement shall have to be continuous. Minimum hindrance due to provision of ‘inserts’ such as
galleries needs to be ensured.
Seismic aspects
The seismic aspects are same as the conventional concrete dams. All the care and caution that is
necessary if a dam were to be built in an active earthquake area is to be ensured for RCC dams.
Thermal aspects
RCC dams are more sensitive to thermal considerations and therefore, a detailed study of the
thermal analysis of the dam is essential and meticulous design of placement temperature of RCC is
essential before starting the construction work. Seasonwise daily and hourly placement temperature
vis-à-vis the ambient temperature should be carefully decided to achieve the best results. The adiabatic
temperature rise is lower for higher fly ash replacement ratio.
Imperviousness
The u/s and d/s faces of dam and also the interfaces between the abutment and dam and on the
vertical faces of the gallery special care has to be taken to render imperviousness to the construction.
6.0 INGREDIENT MATERIALS FOR RCC

In RCC the main controlling ingredient is pozzolana apart from the ingradeints of conventional concrete.
Types of pozzolana are as shown below :
POZZOLANA
GRANULATED FLY ASH NAT URAL M ANUFACTURED

BLAST POZZOLANA POZZOLANA
FURNACE SLAG
LOW LIM HIGH LIM M CALCINED

E FLY E FLY ILLED CLAY
ASH ASH SAND

RCC MIX DESIGN
As in case of conventional concrete, RCC mix design should also consider the requirement of
Permeability, Density, Strength, Segregation, Durability, Construction conditions and Cost. A
very detailed and meticulous design of the RCC mix along with its trial placement under the
expected ambient conditions is a pre-requisite of the RCC dam construction. Here consistency of the
mix is the key since RCC has to get compacted using vibratory rollers.
The design mix used for Ghatghar hydroelectric project is as shown below :
Cementitious
F Aggregate
VB S/a Air C+F material Sand Admixture
C+F
C F W 50-20 20-10 10-5
(Sec) (%) (%) (Kg) (%) (Kg) (Kg) (Kg) (Kg) (Kg) (Kg) (Kg) (Kg)
25 35 1.5+1 220 60 88 132 115 713 767 383 324 0.88
GRADATION OF AGGREGATES
Sieve size
mm 53 37.5 19 9.5 4.75 2.36 1.18 0.3 0.075
% Passing
by Wt. 90-100 83-95 60-75 40-55 32-42 23-36 14-22 6-16 0-9
7.0 CONSTRUCTION METHODOLOGY Production of RCC :

RCC mixers- The capacity of the mixers is to be designed considering the overall site
conditions to match the speed of placement & thorough blending of the ingredients are the pre-
requisites for selection.
Types of Mixers: Different types of mixers are available which are not different from those
used for conventional concrete dams. The types of mixers used are :Twin shaft Mixers ,Tilting Drum
Mixers, Continuous Mixers, Split drum Mixers , etc.
In the RCC conductor system it is very essential to provide for the bypass arrangement
to dispose off the out-of-specification RCC should it by mistake be mixed. This
arrangement will ensure non-stop construction.
Transportation and placing:
Transportation of RCC is done using
Trucks, and/or Conveyor with trucks. Some times,
scrapers, funicular railway arrangement is also used
based on the site convenience. Ready mix transporters
are unsuitable owing to the dry mix of RCC.
Spreading :
Spreading of RCC is done using by Dozers with
U shaped blades, Spreader box, Motor graders often
with laser guns to maintain the grade.

Compaction:
Important factors affecting compaction are

Workability of RCC, ambient temperature,
humidity, wind speed, aggregate fines content and
plasticity. Compaction to a uniform texture with
smooth surface using plane and vibratory rollers is
essential.
Joints between Layers:

RCC is truly a layered construction and as such the joints between the successive layers are very
important indicators of the efficient dam construction. The joints that are formed in RCC are of
three types:
Fresh or Hot joint- This joint occurs when the RCC is still workable when the next layer is
placed. Practically no treatment is required except removing of loose aggregate and excess
water using a vacuum truck. The exposure time i.e. the time between placements of two
successive layers is to be finalised during a full scale trial. (Normally less than 15 Hours)
Warm or Prepared joint- This is the joint that occurs between hot joint and a true cold joint.
The surface needs thorough cleaning with water jet, a road brush and a vacuum truck.
Cold joint- The condition of previous layer is such that no penetration of aggregate from
fresh
RCC is possible(fully set). Extensive joint preparation by green cutting and mortar bedding should
be resorted to.The joint preparation takes 2 - 3 days and hence should be avoided as far as possible.
Contraction Joints:
Normally RCC dams do not prefer the contraction joints. But if they are essential from the
design consideration, they can be made by one of the following methods:
Crack inducer : This is the most widely used method of joint preparation. This is done
by vibrating galvanised steel plates 200 mm high upto
the bottom of each layer.
Placing of RCC against formwork:
This is less preferred since it requires extensive
joint preparation
Use of Plastic sheet as joint: This method is used if
the height of the joint is small.
Others methods include drilling of holes to
create weak section in the transverse direction to act as a
joint.
Forming the faces of RCC dams :
One of the following methods is used for forming the
face of RCC
Casting facing concrete against formwork (All RCDs and 55% of RCC dams use this
technique) RCC directly against formwork (10% of RCC dams use this technique)
Other methods include use of Pre-cast concrete panels, External membrane, unformed d/s
face, stepped spillways and d/s faces etc. ( 27-34 % of the dams use this method)
GEVR: Grout Enriched Vibratable RCC.
In this method, the RCC in its uncompacted state is

enriched by grouting it with 1:1 cement mortar and then
compaction is carried out. This also gives more
imperviousness. This method of forming the face is used both
for u/s and d/s.
CURING :
Water curing is employed in almost all the cases of RCC dams.
8.0 QUALITY CONTROL:
Quality is the essence of RCC dam construction. The RCC dam construction is a linear
procedure where no weak links can be afforded in the entire operation right from design to completion.
Quality needs to be exercised right from Design, specification, planning and construction.
Rapid construction is one of the keys to the economics of RCC dams and therefore, the Quality
control has to be consistent during placement. It is unrealistic and expensive to remove the deficient
RCC if found so after placement and compaction. Hence rigid quality control for the materials and the
methods to be employed are a pre-requisite for RCC construction. In addition to these a FULL-SCALE-
TRIAL of the entire construction methodology is absolutely necessary to ensure that there are no weak
links in the sequence of operations. Veebe time is the indicator for the in situ consistency of the
RCC. Regular moulds, cylindrical and cubical are to be cast during placement in a similar way as
for conventional concrete dams.
FULL SCALE TRIAL:
Full scale trial is the dress rehearsal of all activities before starting the construction of the
main dam. In this trial all the activities, however small during the actual dam construction,
have to be anticipated and practiced in order to know the intricacies of that time and to overcome the
possible difficulties that may arise. Full scale trial is an essential part of the QC program. The main
objectives of this full scale trial being,
To train personnel who will actually work on the dam.
To demonstrate & confirm suitability of equipments, procedures and methodology.
To evaluate RCC mix performance like segregation, proportions and compactibility under all
circumstances (such as high temperature, windy day or rainy day etc.)
To establish co-relation between tests carried out during placement & properties of hardened
concrete.
9.0 CONCLUSION:
The development of RCC dams have caused major shift in the construction of mass
concrete dams. The technology is better suited to the present day requirement of faster and better
construction.
RCC dams are the future as they are more cost effective, eco-friendly and structurally
efficient. In spite of having 1/3 rd of the number of large dams of the World, India has just entered this
field with only 5 dams so far, The thrust on RCC in India needs to be emphasized more.

Training Program On Analysis and Design of Dams (Gravity, Embankment, Arch, RCC)

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Training Program On Analysis and Design of Dams (Gravity, Embankment, Arch, RCC)

Uploaded by

Copyright:

Available Formats

Training Program on

Analysis and Design of Dams

01-06 December 2014

Program Co- Ordination

Shri D S Chaskar, Director (Designs), NWA, Pune, &

A Dam is a hydraulic structure of

Analysis and Design of Dams – Government of Bihar Page 1

Analysis and Design of Dams – Government of Bihar Page 2

Analysis and Design of Dams – Government of Bihar Page 3

Analysis and Design of Dams – Government of Bihar Page 4

 Storage Dam Storage dams are constructed to create a

 Detention Dam Detention dam is constructed to

 Diversion Dam It is constructed to divert part of or all

 Debris Dam It is constructed to catch and retain debris

Storage v/s ROR

Classification Based on Hydraulic Design

Analysis and Design of Dams – Government of Bihar Page 6

Classification Based on Construction Material

Design Aspects – Gravity Dams

Analysis and Design of Dams – Government of Bihar Page 7

Water and Silt Loads

Analysis and Design of Dams – Government of Bihar Page 8

TAIL WATER LEVEL TAIL WATER LEVEL

UPLIFT PRESSURE DISTRIBUTION UPLIFT PRESSURE DISTRIBUTION

Analysis and Design of Dams – Government of Bihar Page 9

Analysis and Design of Dams – Government of Bihar Page 10

Analysis and Design of Dams – Government of Bihar Page 11

Temperature Control Measures

Design Aspects – Embankment Dams

Types of Embankment Dams

Embankment Dam- Section

Analysis and Design of Dams – Government of Bihar Page 13

 Safety against overtopping

 Phreatic line within downstream face

Causes of Embankment Dam Failure Worldwide

Analysis and Design of Dams – Government of Bihar Page 14

SL. CODE TITTLE

25 13073 Installation, Maintenance and Observation of Displacement Measuring

Analysis and Design of Dams – Government of Bihar Page 15

27 13195 Preliminary design, operation and maintenance of protection works

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

Analysis and Design of Dams – Government of Bihar Page 16

SL. CODE NO. TITTLE

SL.NO CODE TITTLE

Analysis and Design of Dams – Government of Bihar Page 17

Site selection, selection of site specific dam type,

1.0 Project Planning

i) Need for project development,

1.1 Need for Project Development

1.2 Type of Project

a) A dam project with adequate storage to store monsoon water.

Concrete Dams are generally preferred due to following reasons

 The construction of concrete dams is faster

 Materials normally used for gravity dams construction

Flow/Flood diversion during construction is an important consideration to the economy of the

1.3 Topography of the Project Area

a) Size and location of structures

1.4 Water Resource Assessment

Most important aspect of a multipurpose project is availability of water in time and

a) Assessment of water availability

DESIGN FLOOD CRITERION