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NORWEGIAN HYDROPOWER
TECHNQLOGY SEMINAR
PLANNING AND DESIGN
OF HYDROPOWER PROJECTS
[!] NORPLAN A.S
Consulting Engineers and Planners
Odd Guttormscn
EditOJ'
NORWEGIAN HYDROPOWER
TECHNOLOGY SEMINAR
PLANNING AND DESIGN
OF HYDROPOWER PROJECTS
Odd Guttormscn
Editor
[!] NORPLAN A.S
Consulting Engineers and Planners
NORWEGJAN HYDROPOWER
TECHNOLOGYSEMINAR
COSTA RICA
17-22 Octobcr 1994
1
PLANNING ANO DESIGN
OF HYDROPOWER PROJECTS
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NORPLAN
\
Con 1.240 MW.Ia
central llidroelc-
trica de Kvilldal es
la mayor de
Noruega.
Rotor Pelton foto
grafiado en la sede
central de SF en
Hevik, Noruega,
Statkraft
Engineering
E
n 1993, el personal del Departa
mento de Tecnologa y Desarrollo de
Statkraft SF (el Consejo Noruego de la
Energa) se organiz como un organls
mo Independiente: Statkraft Englnee-
rlng. Junto con su casa matriz Statkraft
SF y otra compaa filial del grupo, Stat
kraft Anlegg (construccin), cuentan
con una plantilla de 1.200 personas y
manejan centrales hidroelctricas con
una capacidad Instalada de 8.500 MW
y una capacidad mxima de enbalse de
30 TWh.
Cuatro pilares
Adems de los
departamentos de
Finanzas, Marke
ting y Control de
Calidad, Statkraft
Engineering tiene
cuatro departa
mentas de
ingeniera:
Permisos y Me
dio Ambiente:
estudios de im-
pacto medio-
ambiental. per-
misos y adquisi-
cin de terrenos
Ingeniera Civil:
presas y exca-
vaciones de
tneles y caver-
nas edifica-
cines
Mecnica: turbinas, vlvulas, com-
puertas y estructuras en de acero
Elctrica: generadores, transformado-
res, conmutadores y sistemas de
control
Empresas de gran calibre
Como empresa lder en obras hidroelc-
tricas en Noruega, Statkraft Engineering
es hoy una autoridad en modernos pla-
nes hidroelctricos. La mayora de estas
obras han comprendido la excavacin en
Roca de tneles y cavernas.
Los cien empleados de esta nueva
empresa acumulan 70 aos de experien-
cia trabajando en ms de 50 proyectos
de construccin de centrales hidro elc-
tricas. Su experiencia abarca todas las
fases del proceso de construccin de
una central:
Escudios de prefactibilidad y
factibilidad
Estudios de impacto medio-ambiental
Licencias y permisos
Adquisicin de terrenos
Ingeniera y diseo
Especificaciones
Negociacin de contratos
Direccirt y supervisin de proyectos
Direccin de obra
A su servicio
Statkraft Engineering ha
desarrollado soluciones
tcnicas poco convencio-
nales, que tratan de aho-
rrar dinero y energa. Est
especializada en ingenie-
ra de excavaciones y
puede suministrar plantas
completas llave en mano
y realizar estudios espe-
ciales o subcontratar
obras. Cuenta con una
amplia experiencia en la
modernizacin. rehabilita-
cin y ampliacin de plan-
tas antiguas.
Impresionante rcord
Entre las princrpales cen-
trales hidroelctricas de
Noruega en las que ha
intervenido Statkraft Engi-
neering, estn:
La de Svartisen, de
350 MW (con el mayor
grupo generador de
Noruega, de 410 MVA)
La de Kvilldal (4 x 310
MW), con una presa de
hormign de doble cur-
vatura de 255.000 m
3
La de Jostedal, de 288
MW, con la cada de
mayor altura de Europa del Norte
(1.200 m)
La de Mauranger (2 x 125 MW), a la
que el agua llega directamente de un
glaciar
La de Saurdal (4 x 160 MW), con dos
grupos reversibles, para bombeo y
turbinado
N0flllfGfl EXPORTA' .. - " -,. ,-,
STATKFRAFT
ENGINEERING AS
P.O. Box 191
N-1322 Hovlk
Noruega
Tel.: 0747 67 57 7010
Fax.:07-47 67 57 70 11
SERVICIOS
DE INGENIERIA
Y DIRECCION
DE PROYECTOS
El espectacular
salto de Verings-
fossen, de 183m.
que cae directa-
mente sobre una
garganta rocosa.
Hicieron falta
255.000 m
3
de hor-
mign para cons-
truir la presa de
Farrevass. de 1.300
m de largo.
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LIST OF CONTENT:
l.
2.
3.
GENERAL ASPECTS OF UNDERGROUND
HYDROPOWER PLANTS
INVESTIGATIONS
2.1. Topography (Surveys and mapping)
2.2. Engineering geological investigations
2.2.1. Geology, materials and sediments
2.2.2. lnvestigations for underground works
2.2.3. The engineering geological report
2.3. Hydrology
2.3.1. Hydrological data
2.3.2. Design flows
2.3.3. Floods
2.3.4. Methods of analysis
2.3.5. Operation studies
DESIGN OF CIVIL WORKS
3.1. Dams
3 .2.1. Types of dams
3.2.2. Geotechnical investigations for design
3.2.3. Selection of dam type
3.2.4. Spillways
3.3. Waterways (Tunnels)
3.3.1. General considerations
3.3.2. Design trends in tunnellayout
3.3.3. Unlined pressure tunnels and shafts
3.3.4. Lake taps
3.3.5. Air cushion surge chambers
3.3.6. Unlined tunnel hydraulics
3.3.7. Arrangement of gates and steelworks in tunnels
3.4. Pressure transients, surges and turbine goveming
3.4.1. Surges in shafts
3.4.2. Pressure rise at the turbinc
3.4.3. Regulation stability
3.5. Underground powerhouse layout
3.5.1. Generallayout
3.5.2. Powerhouse arrangements
3.5.3. Powerhouse structures
PageNo.
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35
39
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41
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45
46
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51
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58
59
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61
63
63
65
69
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4. ECONOMIC ANAL YSIS IN HYDROPOWER PLANNING 71
4.1. Project appraisal
71
4.1.1. Discounting factors 73
4.1.2. Discounting methods 75
4.2. Optimization of project elements 76
4.2.1. Marginal cost and income analysis 76
4.2.2. The optimization process 77
4.2.3. Optimization of reservoir volume 78
4.2.4. Turbine and generator capacities 82
4.2.5. Optimization ofheadrace/tailrace tunnels 84
5. THE PLANNING PROCESS 87
5.1. The hydropower development cycle 87
5.2. Reconnaissance studies 89
5.2.1. Personnel 90
5.2.2. The study 91
5.2.3. Check list for reconnaissance studies 93
5.3. Prefeasibility studies 95
5.3.1. Water studies 96
5.3.2. Various studies 97
5.3.3. Engineering 98
5.3.4. Check list for prefeasibility studies 99
5.4. Feasibility studies 1 o 1
5.4.1. Jntroduction 1 o 1
5.4.2. General considerations 101
5.4.3. Project plans 103
5.4.4. Estimates and schedules 104
5.4.5. Remarks on feasibility studies 107
5.4.6. Reports 108
5.4.7. Summary and check list for feasibility studies 108
6. LIST OF REFERENCES 112
1
1. GENERAL ASPECTS OF UNDERGROUND HYDROPOWER PLANTS
When planning hydropower projects the main concern and objective is the final
product - to achieve a power project which can be operated at design capacity with
minimal problems ovcr its entire Ji fe. A lot of planning expertise goes into achieving
this goal.
Project economy is an importan! parameter and the construction cost is normally the
most importan! single factor influencing project economy. The construction process is
therefore an importan! planning element which must be given careful attention, when
establishing project layout.
The layout ofthe project must Jcnd itselfto uncomplicated and fast construction. Thc
construction methods which can be adopted to the established layout will influence
both construction cost and construction time.
Suitable construction methods are introduced at an early stage of planning and are
actively used in formulating the project layout. In some cases available construction
methods not only influence, but even determine layout and project clements.
Hydropower projects are madc up of a number of project elements, such as dams,
waterways, power houses, etc.
The list of element categories is not extensive but each category of elements has a
large number of element types to choose from. As each hydropower project has to be
adapted to the actual si te conditions, there is Jittle possibility for standard layouts and
solutions. Each project is virtually tailormade and the skill and experience ofthe
planncrs are csscntial to sclecting the right project clements for the situation and
conditions at hand and establish a workable projcct layout.
Some of the main layout options for hydropower projects are shown in Fig. 1.1.
The two main development options are:
Direct development, with no permanent diversion involved. This "inriver"
development is used both for run-of-river installations and installations with
some regulation or pondage.
Diversion development, which allows a whole range of Jayouts. In the figure
four layout options are indicated. They al so illustrate the teclmological
development over the Jast fifty years.
2
From the water resources study the stream flows are determined, applying adequate
safety factors if historical records of acceptable reliability are not available. Such
streamflow data are adj usted for water abstraction for stipulated multipurpose uses and
losses caused by leakage, spill to secure a mnimum flow in the river, evaporation
from reservoir surface, etc.
Operation studies will be undertaken to study the anticipated operation ofthe project.
Together with the adopted production criteria resulting from the power studies a study
of the power operation is made. From these studies the need for and size of regulation
will be determined.
1 f regulation is identifed as a project fea tu re and accepted under environmental
criteria, storage of suffcient volume must be made available.
Two methods are used to create storage volume:
Construction of dams to crea te artificial reservoirs
Tapping of naturallakes to crea te artificial storage
In many cases a combination of "damming" and "tapping" will be used to provide
storage. The two methods are illustrated in Figure 1.2.
For the purpose ofthe power operation study, for optimisation ofdam height, for
estimating evaporation losses and similar, reservoir data are needed. For this purpose
the reservoir area and volume curves are dcveloped. These curves give the relationship
of reservo ir volume and surface at various storage levels.
The necessary storage volume as well as the program for operation of the reservo ir is
obtained from the operation studies.
In many cases reservoirs are used for flood mitigation by retaining flood peaks in the
reservoir. To this end reliable flood prediction must be available in order to create
storage space for flood retention.
To protect the regulation works from destruction by floods flood figures must be
estimated for use in the hydraulic studies.
One is the design flood and its hygrograph. This is used in calculating and designing
spillways and ancillary structures. The other flood parameter concerns the care of the
I'ver during construction ofthc regulation works, diversion works, cofferdams, etc.
The design flood is often defned as the flood which is expected to occur once during a
pcriod of 1000 years, or the 1000 years flood.
3
Which flood size to use in connection with construction depends on the river in
question and how erratic the floods are. For predictable rivers the 20 year flood may be
used, for others the 50 or cven the 100 years flood are adopted for the design of
diversion works, cofferdams and similar.
Care of river during construction means to manage the river so that the construction of
the various structures in the river can proceed unhampered by floods. Severa!
techniques are used for this purpose.
The main options are:
Staged construction.
Part of the structure, dam or similar, incorporating facilities for letting the flow pass
through ata later stage, is constructed behind cofferdams while the flow passes in
the unobstructed part of the river. 1 n the next stage the flow is passed through the
airead y completed part while the rest is constructed behind new cofferdams.
Construction in one operation
is used in case of favourable topography or when the structure is sensitive to
flooding or will not allow subdivision by stages (e.g. fill dams). The water flow is
in this case di verted around the construction si te which is protected behind
cofferdam upstream and downstream, securing a dry construction si te over the
whole width of the river.
Dam structures come in a variety oftypes. Physical conditions will influence the
choice of dam type for a particular damsite. The topographic condition may exclude
some dam types while the foundation conditions may reduce options and restrict the
choice lo one main lype only. Availability of acceplable construction material al or
near the damsite will also influence the choice as will transportlength, construction
conditions, construction time, environmental issues, etc.
Previous studies may have reduced the options and narrowed down the choice. Still,
considerable time and effort will, during the feasibility study, go into finding the besl
dam type for the actual si te. On the other hand, the best dam type for construction
purposes, material availability and other purposes may influence the choice of damsite,
which again will ha vean impact on project layout as a whole.
4
2. INVESTIGATIONS
Flow data and data on topography provide the base for establishing production figures
and the generation capability of contemplated projects. The demand forecast and
supply system are al so involved when the size of the installation and number of
generation units are determined.
Detailed knowledge of the geomorphology and geology of the project arca and si tes
are needed in connection with planning ofproject layout and dcsign ofthe structures
and facilities which make up hydropower projects. Only by having suffcient and
reliable data and knowledge of geotechnical, geological, seismic conditions, sediment
loads, etc. can practica! and sound layouts and structures be planned and designed.
Knowledge of subsurface conditions are a! so needed in order to plan foundations of
project structures and underground works and installations.
Long term data on hydrology and meteorolgoy are used in determining river
discharges, flood and similar occurences. Such data and knowledge of future load
conditions are used in determining regulation needs and facilities for flood controL
2.1. Topogrphy (Surveys and mapping)
In hydropower terms the m a in characteristics of water resources are flow (Q) and head
(H) as demonstrated in the power equation:
Power = e X H X Q when e is cocfficient of efftcicncy
The flow situation can to a certain extent be improved for hydropower purposes by
means of regulation, i.e. storage ofwater in the wet seasons for use during dry time.
The flow parameter (Q) is cstablished through the hydrology study.
The head (H), which means the difference in leve! between inlet and outlet of a
hydropower installation cannot be increased or improved on. The head o ver a distance,
the gradient, can of course be concentrated in one place by means of a dam, but is
otherwise a physical feature which cannot be altered.
The head together with the flow determine the size of the water resource in
hydropower terms. The size of the head mus! therefore be determined at an early stage
as this planning parameter is of vital importance in the planning process.
The first planning step is usual! y, by means of existing maps, to determine which par!
of a watercoursc is of interest and then by field measurements to establish the river
profile. For quick reference barometric levelling is used but as soon as possible more
reliable and accurate levelling must be carried out.
Topographic surveys of catchment arcas, reservoir, dam si tes, major structures si tes,
and project land arcas involved will be carried out and con tour maps in appropriate
sea! es constructed.
1 1
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Catchment areas are usually detennincd from existing maps. Maps for large reservoirs
should ha ve a scale of 1 :25,000 with 5 meters contour intervals, or better. Small
rcservoirs should be mapped ata larger scale and ha ve smaller con tour intervals,
preferably 1: 10,000 with 2 meters con tour intervals.
Dam si te topography ata sea le of 1 :2,000 with onc meter contour intervals will usually
be adequate for preliminary dam design. Major structure si tes should be mapped ata
scale of 1:1,000 with con tour intervals of one half to one meter.
Arcas proposed for irrigation should be mapped ata scale of 1:10,000 or 1 :25,000 with
one halfto 2 meter contour intervals in order to facilitate the land classification
surveys and design of the distribution system. The con tour interval selected will
depend on the slope and relief of the arca. Actual land classi fication mapping is best
done on aerial photographs at a scale of 1: 10,000.
Satisfactory locations and estimates of canals, transmission lines, railroads, highways,
cte. can be made from 1 :25,000 sea le topographic maps if supplemented by fiel el
inspection ofthe route and use ofadditional cross slopes and more detailed topography
at critica! points. 1 f adequate topographic maps are not available, field survcys
consisting oftraverse and strip topography will be needed.
2.2. Engineering gcological inycstigations
Geology, in addition to hydrology and topography, is the most importan! physical
parameter in planning and design of water resource projects.
Knowledge of the geology and data on physical prope1iies of the surface and the
undcrground are needcd carly in the investigation process. Field investigations must
therefore start as early as possiblc but must be coordinated with topographical surveys
and project pla1111ing.
2.2, 1, Geology. materials and sediments
The first step in geological and geotechnical investigation ofprojects is the preparation
of geological maps. Such maps are usually based on topographical maps and surface
observations supplemented with information from laboratory analysis of collected
samples. When the geology is complex or the surface is covered, subsurface
investigations may be needed.
Such investigations are, however, very expensive and should never substitute
geological expertise. There should always be a well founded and flexible program
established befare subsurface investigations start, including definite siting aod
definition of purpose.
6
Subsurface examinations of dam, canal and waterway locations are conducted to
determine the nature of foundation conditions and the materials to be encountered.
Pmticular attention is paid to unusual construction difficulties and possibility of
leakage.
The availability of construction material, su eh as earth, el ay, sm1d, filter materials,
concrete aggregates, cement, timber and rock are major factors influencing selection of
type of structure and construction costs. Deposits of material of satisfactory quality
should be located, tested and mapped.
The most commonly used subsurface explorations methods are sampling by means of
boring, core drilling, exploration shafts, trcnches and tunnels. The samples derived
from such explorations are subjected to laboratory tests from which data on
engineering properties etc. are obtained.
Seismic refraction investigations and electric resistivity measurements are frequently
used in order to obtain data on overburden thickness, rock quality, faulting etc.
The water tightness of subsurface formations is often of great importance and leakage
testing is carried out in connection with boring and core drilling, to obtain leakage
values (Lugeons). These are used to determine the formation's suitability for
waterways and to estmate leakage preven ti ve measures.
For underground installations destructive tests are carried out to measure the strength
of the roe k at points subject to abnormal stresses. Such tests, termed "hydraulic
fracturing", are performed to verify ifthe interna! strcsses ofthe rock body are
sufficient to allow design ofunlined pressure waterways, shafts and tunnels. In these
tests the rock is subject to stresses until rupture to obtain the required design
parameters.
Reservo ir Tightness and Slope Stability
In some instances seepage losses from reservoirs cause problems which require serious
consideration. If the losses are small and if structural stability is not affected, the los ses
may be ignored or considered part ofthe reservoir release. Where the losses are high,
and especially where they increase dueto piping or solution of foundation materials,
they can affect the practicability ofusing the reservoir si te. All geological studies of
dam and reservoir si tes should carefully evaluate probable seepage losses.
Thc slopes of a reservo ir may be subject to severe conditions during rapid impounding
and drawdown, duc to changcs in thc ground water table. The question of slope
stability during such adverse conditions must thcrefore be thoroughly studied in case
of stccp gradients.
Seismicity .
In many pa1ts of the world seismic activities presenta problem with respect to future
stability of structures, cte. Measures to offset the effect of earthquakes must be taken
into account, and structures, waterways, etc. must be designed to withstand the effects
of earthquake induced stresses.
7
For planning and design of reservoirs, data on annual sediment transpmi is needed. For
the design of small reservoirs, diversion facilities, canals, etc., for which flushing
opcration is part ofthe design criteria, knowledge ofthc grain size distribution ofthc
transponed material is importan t. Flushing is only possible if the bed load is
reasonably free from coarse grave!, pebbles and rack. The sampling program must be
planned accordingly.
Frequently, no sediment data exist at the start of investigations. A sampling program
initiated as part of projcct investigations will only provide two to four years of data
coverage. Also, as reliable sediment transport data are difficult to acquire, it is normal
to have to base planning of sediment handling on a few data, often of questionable
quality.
Comparison with data from other, similar catchments, is then a possibility which is
frequently used. Though often necessary, this technique must be applied with care,
considered catchment background geology, human activities, etc.
Particular attention should be given to sampling during flood stages. For most river,
the majar part of the total annual sediment load is transported during floods,
sometimes by a single flood.
For most planning purposes the sediment discharge is normally expressed in terms of
weight ofsediment per unit oftime, while sediment deposits are expressed in volume.
Knowledge of the nature of the sediments as determined from size anal y ses will be
needed for the design of structures and turbines.
Practica] means to remove sediment deposits from medium or large size reservoirs are
not available at present. lf such means beco me available in the future it will be of vital
importance for design of reservoirs.
Sediment accumulation will occur in varying degrees in all parts of the reservo ir.
Space reserved for this purpose should therefore be defined asan incremcnt of
reservo ir capacity.
As sediments accumulate, storage capacity will be affected. lt may then be necessary
to operate the reservoir at successively higher levels with resulting increases in water
surface area and evaporation losscs.
Much of the sediment deposition will occur at the reservo ir inlets and in the form of
deltas. Here an opportunity will arise for extensive growth ofphreatophytes (water
plants). Consequently hcavy transpiration losses may result. In regions of critica] water
supply, these losses may be significan! and control ofphreatophytes or removal of
sediments may be justified.
8
Sediment problems in structure design
The discharge of comparatively sediment-free water below reservoirs or other
detention structures may cause serious scour or channel erosion, known as
degradation, in which case consideration will have to be given to protective measures
and grade control structures.
Consideration will ha ve to be given to the design of diversion works which may
effectively exclude the heavier sedimcnts. Desilting works may be necessary, or it may
be possible to cause the scdimcnt to be clcpositcd in the initial reach of the canal or
tunnel for perioclic removal by sluicing.
Sediments ancl sediment transport often create problems in connection with
hydropower installations. In most cases with heavy sediment loads, it is neccessary to
build sediment excluders and sedimcnt traps to avoid siltation ofwaterways and
reduce turbine wear.
2.2.2, Investigations for underground works
The main goals of engineering geological investigations for underground hydropower
plants are to obtain:
a) The necessary input for the evaluation of si te and alignment alterna ti ves and for
the overall planning of the scheme
b) A basis for evaluation of potential stability problems and the necessary input
parameters for stability analyses and planning of rock support
e) A basis for cost evaluation and for preparation of tender documents.
The geological conditions may vary widely. Eaeh site has its own eharaeteristics, ancl
hence there is no "standard investigation procedure" which will be the only right one
cvery time. When it comes to engineering geological investigations, tlexibility is
thereforc an importan! keyworcl. This tlexibility represents a considerable cost-saving
advantage in geo-investigation practicc.
Engineering geological investigations related to tunnels and underground openings are
carried out in two main stages:
Preconstruction phase investigations
Tunnelling has not yct started and all information has to be collected on or
from the surface
Construction phase investigations
Through tunncls bcing excavated the rack masses are accessible for inspection
and sampling.
9
As shown in Table 2.1. each of the two m a in stages can be divided into two substages.
The characteristic investigations for each ofthe four substages are briefly listed in the
table. Types of reports are al so indicated.
Not all investigations ha ve to be canied out for all tunnels. A short tunnel through
rocks which can easily be mapped on the surface does not necessaryily need two-stage
preconstruction investigations. On the other hand, for a hydropower scheme with
severa! alternative tunnel alignments and complicated rock conditions, the
preconstruction investigations are often divided into more than two stages.
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Table 2.1 Engineering geological site investigation stages
PRECONSTRUCTION PHASE INVESTIGATIONS
Information collectcd on or from the surface
Feasibi!ity study explora! ion
Desk studies of:
- geotechnicalliterature
- topography and gcological maps
- aerial photos
Dejinite plan study investigations
Engineering geological mapping along tunnel
alignment:
- types and quality of rocks
- oricntation, spacing and character of joints
- orientation, thickness and type of
Walk-over survey for preliminary mapping of weakness zones
soil cover, rocks, jointing and wcakness
zones.
Investigations at key points for tunnels:
- entrances
- intakes and outlcts in lakcs, fjords and
rivers
- arcas of small rock cover
- check of soil thickness in critica! points
Feasibility study report:
- review of geological and geotechnical
conditions
- evaluation of feasibility for different
altematives
- plan and cost estimates for detailed
invcstigations
- need for more maps and aerial photos
- ground water condition
Special investigations:
- refraction seismic survey
- core drilling
Sampling and laboratory testing of rocks:
- strength
- drillability
- blastability
Definite plan study report:
- Description (with maps and cross
sections) of all topographical and
geological factors that may influence
construction and use of tunnels and
openings
- estimates and preliminary plans for
cxcavation rcquirements, rock support
and lining
- plans for use of rock material
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Tab1e 2.1 (cont.) Enginccring gcologica1 sitc invcstigation stagcs
CONSTRUCTION PHASE INVEST1GAT10NS
Rock masses can be inspected in the subsurface
Detailed subswface investigations Tunnel mapping
Sampling and testing ofrocks and infilling Mapping in tunne1 of:
materials from joints and faults.
-
types and quality of rocks
Supplementary investigations: -
orientation, spacing and character of joints
- rock stress measurements -
orientation, thickness and type of
- premeability tests of rock masses weakness zones
-
convergence measurements of openings -
water seepage
-
stress included problems
Control and revision of reports from
preconstruction phase investigations.
Registration of all rock support, lining and
rock improvement.
Recommendations of permanent rock support
and lining.
Evaluation of excavation performance.
Recommendations for grouting.
Recommendation for excavation through
highly unstable rock masses.
Supplementary reports from construction Final report with tunnel-map and review of
phase investigations. rock support.
Report on permanent rock support and lining. Evaluation of preconstruction phase
investigations.
Preconstruction phase investigations
The initial site exploration is based primarily on the designer's prefeasibility study.
The aim is either to study the feasibility of a planned tunnel, or, more often, to
evaluate and reduce thc number of possible alternatives in a scheme based on
geotechnical information. Few decisions are made as yet, and sketches are more
typical than drawings. This is a very challenging phase. Importan! decisions are taken,
often based on limited informal ion. Experience from similar projects and similar is
thercfore of particular value.
At this early stage it is importan! to collect all existing relevan! information from
literature and technical reports. Desk studies of topographical and geological maps as
well as aerial photos are also made. Such studies will seek to discover where the
bedrock is covered with soil, the locations and directions ofthe more importan!
weakness zones and information about the stress situation in the area.
12
As far as topographical maps are concerned, the scale 1 :50,000 will be the best
alternative for regional investigations. For more detailed investigations larger scales
are used. Unfortunately, since hydropower schemes are often located in remole and
mountainous arcas, "blank spots" are not uncommon. In such cases topographical
maps have to be made exclusively for the project.
When good geological maps of the area airead y exist, this m ay reduce the need for
field mapping. The desk study is therefore an importan! too! in this connection.
The desk studies will normally be followed by a walkover survey to investigate certain
key points in the actual area.
Rock sampling for simple classification tests is done, and the most importan! joint
information is collected. Depth ofweathcring and ground-water conditions are also
studied during this walk-over survey.
Close cooperation between the engineering geologist and the designer is very
importan! during this early stage of the investigations. At this stage it has to be decided
whether or not to follow up with more expensive investigations.
Based on the feasibility study report, the client, in cooperation with his consultants,
will decide if further planning should be carried out, and if so, what alternatives should
be investigated. Additional aerial photos are taken ifrequired, and better maps are
drawn. The engineering geologist will normally need aerial photos and maps covering
a larger area than is strictly necessary for the other planning operations.
For the definite plan study investigations a detailed engineering geological field
mapping is carried out. This mapping should include all factors which are likely to
cause difficulties in the project. In all cases rock types, weakness zones and jointing
represen! impmtant factors, and rock stresses and groundwater conditions will
normally require special attention.
The time and effmt spent on field mapping will to a great extent depend on the
complexity ofthe geology, and hence will vary considerably from si teto si te.
The most importan! task for the engineering geologist at this stage is to produce
engineering geological maps and pro files covering the different parts ofthe project.
For this purpose sampling and analyzing rcpresentative specimens ofthc different
rocks and soils are necessary. It may be necessary to supplement purely surface-based
mapping with special investigations like core drilling, various geophysical
measurements and measurements from dril! boles like water pressure tests.
Fig. 2.1. shows a section of the engineering geological pro file of a hydropower plant
which was recently excavated in Central Norway. In this cxample the estimated
locations of rock type boundaries and weakness zones are shown, and the position of
core drilling is also indicated.
13
The results from the detailed surface investigations are collected in a report which is
nonnally a part ofthe tender documents. This report contains engineering geological
descriptions, evaluations of construction and stability problems in the different parts of
the project andan cstimation of ncccssary rock support. Rcsults from lield
measurements, sampling and laboratory testing are presented and evaluated.
Conslruclion phase invesligalions
When the construction work has stmied and the tunnel can be entered, the possibilities
for the engineering geologist to obtain better information increase considerably. The
construction phase investigations should thcrefore start as early as possible.
Stress measurements in rock mases should preferably be carried out in underground
openings and tunnels. Such measurements are therefore good examples of the type of
detailed investigations which have to be delayed until tunnelling has started. For
unlined high pressure hydro tunnels hydraulic jacking tests are used to decide the
necessary length of steel lining.
Hydropower tunnels are difficult to inspect after they have been put into operation. For
the owner it is therefore useful to have maps and drawings describing the inaccessible
parts ofthe project. Such maps should contain all geological elements that may
influence the stability ofthe tunnel such as majar joints, faults, zones ofcrushed rocks,
water leakages and areas with rockburst problems, in addition to rock types and
information about support work.
The construction phase investigations, and the tunnel mapping in particular, are
importan! elements in the process ofbuilding up enginering geological experience.
The preinvestigation methods can only be improved ifthe prognoses are carefully
controlled through the construction phase investigations. Whcre the prognoses have
been wrong, it is particularly importan! to Jlnd the reasons for this in arder to avoid
similar mistakes in the future. When an underground project is completed and all
construction phase investigations carried out, a final report is often made containing all
experience gained during the planning and construction period. Attached to the report
are maps and drawings as earlier described.
2,2.3, The engineering geological report
The reports of the various investigation stages represen! very importan! documents for
the planning and operation of underground hydropower plants. Hence, considerable
effort should be put into preparing good rep01is.
The optimum layout of a report will depend on severa! importan! factors such as
investigation stage, complexity of the geology, complexity of the actual scheme etc.
Hence it is difficult to define general guidelines. However, for an underground
14
hydropower scheme, the engineering geological repm1 from the definite plan study
investigations is often dividcd into the following chapters;
l. Introduction
Describes background material (literature, maps, aerial photos, etc.), time when
the different investigations were carried out, descriptions of the soils in the
area, unless this is dealt with in a separate chapter.
2. The rocks
Deals with the age and the mineralogical composition of the rocks, specifying
the content oftechnically importan! minerals (qumtz, calcite, micas, etc.), and
the distribution of the different rocks in the actual area.
3. The mechanical prope1ties of rocks
Sets out thc results ofthe sampling and the laboratory analysis. Evaluates the
strength values and the calculated ndices for drillability and blastability; which
rocks can be used in road construction, etc.
4. The jointing
Describes the different joint systems and their character like roughness, content
of infilling materials, orientation and spacing, etc.
5. Weakness zones
This is a general description of the tectonic situation in the area. Detailed
descriptions of each single weakness zone that may intersect the underground
openings and tunnels.
6. The stress situation
Describes the stress situation based on analysis of the topographical conditions.
Presents stress models or stress measurements if such are carried out.
7. Water
Evaluates the risks of water leakages into the tunnels during construction and
leakages out of the tunnels in the operation stage. Ice and frost problems.
8. Support and tunnel lining
Describes and lists the different types and the amount of support measures and
linings which are prescribed.
9. Construction phase investigations
Describes the investigations which should be carried out when access to the
underground is made possible.
15
2.3. Hydrology
Hydrology studies will provide data on the flow ofwater, one ofthe main parameters
used in hydropower planning.
Precipitation and therefore water supply, varies widely between geographic locations,
from season to season and from year to year. Each of these variations has a profound
effect on the plmming for the control and use of water resources.
Al! planning in hydrology tenns is predicated on the assumption that the past history
ofwater occurrence will be repeated in future. In other words, plans for control and
use ofwater are based on the assumption that the precipitation and stream flow
conditions which havc bcen observcd in thc past can be cxpccted to occur, within
reasonable limits ofsimilarity, in the future, cxcept ifstream flows are modified by
acts ofMan.
It is self-evident that planning and developing water resources cannot always be
delayed for a long period of observation and record accumulation. On the other hand,
the hazards of overdevelopment and faulty designare equally evident. There are many
examples ofprojects which failed to reach anticipated goals because oftragic
structural failures attributable to insufficient recognition of flood possibilities.
The problem is to determine the extent to which the expansion and interpolation of
records are justifiable as a basis for planning and development. The agencies
responsible for reviewing, approving and financing proposed projects must rely on the
integrity, ability and judgement of the planners.
For the present purpose, surface water may be defined as water flowing continuously
or intermittently in surface channels from definite sources ofsupply, and water
flowing through lakes, ponds, and marshes as integral pa11s of a stream system. When
water is stored in lakes or reservoirs, its movement is merely retarded or halted
temporarily for future release.
Surface water and groundwater are el ose! y related, as surface water may become
groundwater through percolation and groundwater may, through seeps, springs or
wells become surface water.
The generation of hydropower does not imply consumption of water except as a result
of incidental evaporation, especial! y from reservoirs. The extent to which power
production will affect the use of water for other purposes will depend on a number of
factors such as:
the location and capacity of power plants
the nature of power to be produced, that is, run of river power, firm power or
peaking power
the amount of forebay and afterbay regulation provided
and the relative prefcrence assigned to the uses of water for various purposes.
1 1
1
1 1
16
The determination of the water requirement for power production is probably best
accomplished by "tria] and error" methods including incremental analyses and will
require el ose coordination and integration of power studies and economic and social
studies.
2.3.1. Hydrological data
Documented information on water resources in a region is normally availablc from
central national agencies, i.e. Annual Data Books and other statistical records.
Thc rccords needed are historical series of daily or monthly flows. Short or
fragmentary records may be filled in and extended by correlation tcchniques utilizing
records from neighbouring areas.
Rainfall data
Rainfall data are used to support fragmentary flow data. The records needed are
historical series of monthly and annual totals of rainfall.
For various reasons, the proper estimation ofrainfall representativc for a broader area
may Jead to very approximate results.
Rainfall (mm/year) can be turned into flow (m3fyear) when the characteristics ofthe
catchment area are known. However, this procedure is not advisablc unless for
preliminary estimates and when no other flow data are available.
Supp/ementmy gauging
For project identification and studies at reconnaissance Jevel, an approximate estmate
ofthe river flow is normally sufticient. When moving on to feasibility designs for
dams, waterways, electro-mechanical equipment and, in particular, the calculation of
energy production, a probable seasonal distribution of flow has to be established.
lf no previous records of flow exist ofthe river to be developed, or from a catchment
close by, the alternative approach is to establish a short-term river gauging station in
the near proximity of the si te for the proposed hydropower project. This requires
measurements to be carried out, manually or by automatic equipment, over a period of
1-2 years.
Establishment of j/ow records
Short-term records will be related to long-term observations of flow or precipitation
from a si te within the same hydrological region. By modern statistical correlation
techniques one is able to extend the observed records toan acceptable period of time.
In general, rainfall measuring stations have been in operation much Jonger than river
flow measuring stations, and may therefore be used as means of extending a short tenn
flow record.
17
2.3.2. Design Flows
The river flow characteristics to be developed and assessed are:
Overall average flow
Seasonal distribution of flow
Minimum flow
Design flood flow
The o vera// average .flow
When starting investigation of water resources, the state of the hydrology data is
normally one of the cases listed below. The mcasures to be taken are indicated in each
case:
1) Flow records ha ve heen estahl ished near thc project si te:
The average recorded llow is transposed to thc project si te (intake) after adjusting
for difference in catchment sizc.
2) Flow records ha ve been established in an adjacent river:
The average recorded llow is transposed to the project si te after adjusting for
difference in catchment size. lfreliablc rainfall rccords are availablc for the two
catchments, corrections are made for possible differences in rainfall distribution.
3) No flow records exist in the arca:
The estimated average flow has to be based on measured or estimated rainfall,
multiplied by the appropriate runoff factor for the catchment. Supplemcntary
gauging is promptly initiated lo obtain records for design.
The seasonal distribution of .flow
The seasonal distribution ad described by the records observed in the river itself oras
transposed from adjacent catchments is norrnally adequate for simulation of energy
production.
1 f the se heme is run-of-river, daily flow figures should be sought during the flow
record establishing process. Monthly values might overestimate the energy production
by as muchas 10-20%.
The minimum.flow
The minimum flow and its statistical prohability can be cstimated by analysing Jow
flow records from thc region. Small catchmcnts have very specific Jow flow
conditions. These can only be determined by direct measurements in the river
concerned.
18
Flows
Records of stream discharge provide the basic information for most water resources
studies. The records should be continuous for a period of time which will be typical for
the conditions to be anticipated in operating the project. For a project where the use of
water by direct diversion from an unregulated stream is planned, a prolonged period of
critically low flows willlimit the extent to which a dependable water supply can be
furnished. A period corresponding to the critica! period should be analyzed in the
investigation.
If a project is envisioned to include storagc reservoirs to regulate the varying stream
tlow so that they approach average conditions, a period should be selectcd for study
which includes a period of critically low tlows preceding and following the critica!
years. Similarly, ifflood control is included as a function ofthe project, the study
period should include a period of abo ve normal stream flows.
Run-off estima/es
Estimates can never be cmployed as fui! substitutcs for records of stream flow.
However, in sorne instanccs where there is an urgent and immediate need for a project,
accurate, well founded and reliable estimates may be acccptable. Thcre are many
methods of estimating runoff. Thcir accuracy is dependen! u pon the accuracy and
uniformity ofthe available data and the ability and judgement of an experienced
observer in detennining conclating factors which will produce a realistic synthetic
record.
Good practice requires primarily the use of the nearest or most representative station
record as a correlating factor, extending operations to more distan! stations as
necessary. lt is frequently possible to obtain better estimates by independently
refening to two stations and comparing and adjusting thc results obtained. In selecting
stations for correlation, recognition must be given to al! factors which relate to runoff,
such as exposure to stonn movement, depth and character of soils, vegetation cover,
pattern of land use, topography, altitude, etc.
Reconstructions ofjlows
A second type of study goes beyond the determination of historical stream flows.
Often a prolonged period ofrecorded or estimated flows will reflect changing
conditions ofwater use or water management. For example, the observed stream flows
during the latter part ofthe record may have been influenced by diversions, storage or
other regulation not experienced during the earlier parts of the record. In order to
provide a common base, it will be necessary to adjust the historically recorded flows to
conditions which would have prcvailed throughout the study period. These may be any
preselected conditions; however, it is usually more convenient to adjust al! records to
virgin or undepleted conditions.
Consumption o.f water, evapotranspiration
The sum of the vol u mes of water used by vegeta ti ve growth in a given area in the
transpiration or building of plant tissue, and that evaporated from adjacent soil, snow
or intercepted precipita! ion on the area in any specified time is callee!
evapotranspiration.
19
Loss of water through evaporation and seepage are items to be considered in water
resources planning. Estimates of probable evaporation losses should be made by
reference to actual records of evaporation pans with adjustment to evaporation from a
free water surface. If evaporation records are not available, analytical estimates should
be based on the relationship to other meteorological factors for which records are
available.
2,3,3, Floods
Flood studies in feasibility investigations involve those phases of hydrology,
meteorology and statistical analysis which perta in to the estimation of tlood vol u mes,
discharge rates, duration, stage and frequency under hypothetical conditions.
lt is not the purpose ofthis section to discuss the detailed procedures and techniques of
tlood studies, but rather to present the nature and scope of the studies needed. The
study of tlood constitutes a highly specialised branch of hydrology and should be
conducted under the close supervision of a well qualified tlood hydrologist.
Flood studies will be needed for two general purposes:
(1) Flood control, where a principal or incidental project function may be protection
of Jand, communities or other economic values from recurring tlood damage.
(2) Hydraulic design, with the objective of providing information for the safe design
and construction of dams and spillways, di k es or other structures.
Flood routing
The process of progressively determining the shape and timing of a flood event as it
passes successive points along a stream is known as "flood routing". Ifthe only
detention or storage of the flood is that provided by the stream channel or valle y
flooding, the process is called "stream routing". Ifthe tlood wave is passed through a
reservoir, the process is called "reservo ir routing".
Severa! methods of flood routing have been developed. Although the various methods
may differ in details, they are basically alike in that they fumish solutions for the
fundamental equation: "inflow equals outtlow plus change in storage for a unit of
time".
In routing studies, sound judgement should be applied in a conscientious effort to
appraise correctly the conditions which are Ji k el y to prevail at the design tlood. In
tropical or sub-tropical regions, the most advcrse condition would be the onset of the
flood following a prolongcd pcriod of heavy precipitation and run off.
Under such adverse conditions, soils would be asswned to be saturated and storage
facilities full to capacity, in which case the tlood would impinge on the structure site
or natural channel with a mnimum ofnatural dispersion or retardation.
20
In high altitudes, or regions subject to heavy snows and freezing temperatures, a
condition of frozen soils and sudden snow melt occasioned by a warming trend might
produce similar critica! conditions.
In reservoir routing studies, the outflow during the passage ofthe flood may, under
proper circumstances, includes the discharge of service outlets as well as spillway
discharge. Flood retardation with associated reduction in peak discharge may be
considered ifthe cost ofproviding superstorage for this purpose is less than the cost of
greater spillway capacity.
Diversion during construction
When hydraulic structurcs, dams or similar constructions are to be built in a river, it
will be necessary to divert or otherwise control the normal stream flows and such
floods as may be anticipated during the construction period. For this purpose, the
designer should be furnished with flood hydrographs for anticipated floods with
frequencies of 5,1 O and 25 years. For extreme! y hazardous conditions, larger floods
may be considered.
Hydraulic design studies
Any structure or work which changes the regimc of a stream will affect orbe affected
by the passage of flood and adequate consideration should be given to floods in the
design of such structurcs and works. Nonnally the designer will be concerned with the
retcntion or safe passagc of the flood both with respect to the safety of the structure
itself and with a view to minimising the flood hazard in the downstream reaches.
Designjlood
The tenn "design flood" refers to the flood hydrograph or peak discharge value finally
adopted as the basis for design of a particular project or section thereof after full
consideration has been given to flood characteristics, frequencies, potentialities, and
the economic and other practica! considerations entering into selection of the design
discharge criteria.
The design flood estimate adopted as a basis for determining spillway capacities for
Jarge dams, failure of which would result in disastrous property damages or hazards to
life, should correspond to the maximum probable flood.
In sparesely developed areas or under other conditions where the risk ofloss oflife or
widespread property damage resulting from failure of the dam structure, or
overtopping of dikes is not serious, the design flood selected may be somewhat less
than that for maximum probable flood. The magnitude of the design flood will be
influenced by economic considerations such as balancing the construction and
maintenance costs ofthe spillway and other protective works against the cost of
replacement or repair of damage to the structure arising from the passage of excessive
floods.
21
When the construction of a dam or other works is planned in such relation to urban or
rural areas that its failure would probably result in serious losses of human life or
widespread property damage, the structure should be designed to accomodate the
maximum probable flood. In this case, the design flood and maximum probable flood
are the same.
The design flood and its statistical probability can be estimated by analysing flood
records from the region. When relevant flood records are not available, the Rational
Formula can be used, incorporating the size ofthe catchment, the rainfall intensity and
an estimated fraction for run off.
Large reservoirs will reduce flood peaks. For the dimensioning of spillways and
intakes it is necessary to describe the inflow pattern. There also are methods for
designing synthetic diagrams for such floods.
2.3.4. Methods of analysis
Before hydrologic data can bccome meaningful to the engineer, they must be
processed. In the following sorne general procedures of analysis which are particularly
suitable for the study of runoff variability for the design of storage reservoirs are
discussed.
Dura/ion curve
When the values of a hydrologic event are arranged in the order of their descending
magnitude, the per cent of time for each magnitude to be equalled or exceeded can be
computed. A plotting of the magnitudes as ordinales against thc corresponding per
cents of time as abscissas results in a duration curve.
The slope ofthe duration curve depends greatly on the observation period used in the
analysis. Daily data will yield a much steeper curve than annual data as the latter tend
to group and smooth off the variations in the shorter-interval daily data.
Establishment of a annual flow-duration curve based on daily data is illustrated in Fig.
2.2 a. It is convenient first to compute the frequency data by tabulating the number of
days for which the daily discharge has been observed between chosen limits, as
indicated in the figure. The shape of the resulting frequency graph is of course
influenced by which discharge intervals which are chosen for the analysis. The
duration curve is established as the commulative curve of the frequency graph.
The annual duration curve does not give any information asto which time ofthe year a
specific magnitude of flow occurs. This is an importan! matter in river regulation
studies and is illustrated in Fig. 2.2. b. The two different hydrographs shown in the
figure produce the same duration curve. The first case requires larger storage
capacities for water than the second with two distinct flood seasons. Reservoir
capacities can in the latter case be utilized twice ayear and seasonal duration curves
should be established.
22
Duration curves for different years may vary considerably and it is therefore necessary
to construct average curves. There are severa! ways of computing such curves and the
result will differ greatly depending on the method used in the computation.
Fig. 2.3. illustrates two types of average curves. Curve a is defined as !he average
dura/ion curve compuled as !he average duralionfor given discharges. This curve will
show the highest and lowest flow registered during the entire observation period. The
duration of such extremes will, however, be short and the curve will get a
comparatively steep gradient towards the extreme high and low flow. The curve will
not resemble any ofthe single annual curves from which it is derived.
Curve b is defined as !he average dura/ion curve compllled as !he average discharge
for given duralions. This curve has the same shape as the curves for the individual
years and it will often be possible to find a curve for a single year which nearly
coincides with the average curve. Curbe b shows at its extremes the average high and
average low flow. It is less steep than curve a.
Fig. 2.4 shows a typical average flow-duration curve (curve a). lf the flow is to be
regulated by a maximum draft of, say qr, at all time, the regulated flows computed on
the basis of a given storage function can be used to construct a regulated flow-duration
curve as shown in Fig. 2.4. 1 f there were no evaporation los ses or leakage of water, the
area below the unregulated curve and above the regulated curve should be equal to the
area below the regulated curve and above the unregulated curve. It can be seen that
there will be excess ofwater about 37 per cent ofthe time.
The Summation Curve (Mass Curve)
The summation curve ( or mass curve) is a method that can be used to study the effect
ofvarious storage capacities provided for the development ofa waterpower project. lt
is a graphical method that has been extensively used in Norway up to recent years. The
method is still used but other simulation methods which require extensive use of a
computer have gradually taken o ver, especial! y for complex water power systems.
The summation curve gives the accumulated discharge for a river-gauging station from
a set time which is usual! y chosen as at the commencement of the observations. Daily
discharges are added together in a suitable unit, selected in accordance with the size of
the run-off. Commonly used units are millions or thousands of cubic metres. The curve
is plotted with time 1 as abscissa and the accumulated discharge Q as the ordinate.
The curve is an integral curve, and if q denotes the rate of discharge, Q can be
expressed as follows:
From this can be derived q=
dQ
dt
23
The rate of discharge is thus expressed by the slope of the tan gen! at any point of the
curve. The average discharge between two arbitrary points on the curve (tm, Qm), and
(tm+ 1, Qm+ 1) will be accordingly:
q = Qm+l- Qm
tm+ 1 - tm
Fig. 2.5 shows three successive "water regulation years". This is a time unit commonly
used in hydrology when analyses are carried out on these curves. A water regulation
year has no fixed length. lt may vary from year to year and may even exceed ayear
depending upon the designcd degree of regulation and the annual distribution of run-
off. lt may therefore be defined as a period of time from the beginning of a regulation
in one year to the end of that regulation.
In Fig. 2.5 a line is drawn from the first mnimum turning point (t, Q) to the foUJ1h
(14, Q4). This represents the average discharge for the three complete regulation years
and can be expressed as follows:
q =tan a=
At all points where the tangent to the curve is parallel to this line, the discharge is
equal to the three-years average. A steeper slope of this tangent indicates a higher
discharge than the three-years average discharge and vice versa. lt will be evident that
if the river goes dry, the curve will be horizontal during that period.
1 f the observation period is two or three years only, the curve can be plotted as shown
in Fig. 2.5, but if data extend over a longer period, !he curve cannot be fitted within the
limits ofthe paper. In such cases it can be plotted as the accumulated sum ofthe
deviations from the mean. The main trace of the curve will thus be horizontal and it
can be plotted on a roll of graph paper (Residual mass curve).
Regula/ion curves
Regulation curves are a convenient too! to evaluate the effect o fa reservoir on a
regulation. The principie with a regulation curve is illustrated in Fig. 2.6. A certain
reservo ir with capacity S is filled up during the high water season. This storage is
depleted during the following low water period to obtain a certain regulated discharge
qr. By varying S and compute the corresponding values of qr, we can construct a
annual regulation curve. An example on annual regulation curves is given in Fig. 2. 7.
Each curve starts with the mnimum observed flow in the regulation year,
corresponding to zero storage. The curve ends with thc storage required to obtain a
steady regulated flow the whole regulation year.
As illustrated in Fig. 2.7, differcnt years produce highly different regulation.curves.
This means that the same storage corresponds to different regulated flows during the
observation period.
24
Fig. 2. 7 gives figures for the regulation curves in percentage of the average. Storage
capacity is calculated as a percentage of the annual average volume of water recorded
in the river, and the regulated flow is given accordingly in percentage of the average
rate of flow. This is done in arder to facilitate extended use of the regulation curve.
Experience has shown that catchments of approximately the same hydrological
character produce nearly equivalen! regulation curves when expressed in percentage
values. This often permits the use ofthe regulation curve in an adjacent area and for
other locations in the same river course.
When observations are available for a great number ofyears, the basic data for the
regulation curves can be grouped in various ways, see Fig. 2.8. Under such conditions
!he establishment of the "median curve" will be found to be practicable. The available
years of observations are then grouped into two equal parts ofwhich the one half
(50%) shows more-favourable and the other half (50%) Jess-favourable regulation
conditions than the median curve. This curve is applied in cases where a water deficit
can be permitted in halfthe number ofyears.
The "leas! favourable regulation curve" is very importan! in many instances, when
great safety is required as in the case of a water-supply scheme. This is determined as
the upper enveloping curve for the total series of available data.
Depending upon the degree of safety required in water estimates, various kinds of
regulation curves can be established. A 90% safety curve or "defining curve" is
commonly used in Norway. This means that the power plan! in question, under the
suggested river regulation, will not receive enough water in one out often years to
yield full capacity.
2.3.5. Operation studies
Operation studies of water resources are undertaken in arder to make it possible to
visualise the manner in which the project plan will function under anticipated
conditions. Basically, operation studies are a simple accounting for water income,
losses, expenditures (use) and reserve balance (storage). In its final fom1, the operation
study presents a picture of the past and water requirements assumed for the future.
In the course of formulating the project plan, a trial operation plan will be needed for
the purpose of analysing and adjusting the various elements of the plan to pro vide the
optimum development ofthe water resources. The amount and reliability ofthe basic
water resource information needed for the operation studies have already been
discussed.
Period ofstudy
Operation studies for feasibility investigations are usually made on a monthly basis.
However, under critical conditions and for spccial analyses, daily operation may be
needed. The study period to be used will be partially dependen! on the availability of
stream flow records and other data. The period should be long enough to represen! a
cycle of operations realistically and include a period of critical flows which will
demonstrate the abilitics ofthe project adequately.
25
For a direct flow or "run ofriver" project, the critica! period for water use will usually
be a period of abnormally low flows.
Where storage is a project function, the period should be long enough to demonstrate
the optimum use of storage facilities. l f the project visualises long term holdover
storage, the study period may include various cycles of low flow in order to detetmine
the physical and economic limits of carryover storage.
Reservoir Opera/ion
Reservo ir storage is usually required to approach maximum utilisation of stream flows.
The primary purpose of storagc is to regula te the stream flow to meet, as accurately as
possible, the demands for water by the various uses. The extent to which it is possible
or desirable to provide regulation is determined by the reservo ir operation studies and
economic considerations (cost of dam, spillway etc.). This particular process is often
called reservoir optimisation.
There are two general types of storage reservoirs:
"On-stream" reservoirs located on the stream which they regulate, and
"Off-stream" reservoirs located away from the main stream and supplied by
diversions from the main stream or other rivers.
The principal difference between the two types is in the inflow characteristics. The
inflow to off-stream reservoirs is restricted by the capacity ofthe diversion works, and
limited to the surplus water in the main stream. Normally it will not be feasible to
divert full river flows at flood stages.
The main elements of the reservo ir operation study will be:
total inflow
storable inflow (total inflow less flow which must be passed to meet previously
established water rights or uses)
reservoir losses (evaporation, lranspiration and seepage losses)
releases to satisfy the requirements of the various project purposes and reservo ir
spills.
Under some circumstances, seepage losses and reservoir spills may be used to help
meet commitments to earlier water rights.
In the operation of reservoirs in which flood control is a primary purpose, the space
allocated to flood control must be considered inviolate where the flood occurrence
cannot be predicted. Where flooding is seasonal and predictable, flood control space
may be encroached upon for other purposes provided sufficient space can be.safely
evacuated as needed lo handle the predicted flood. Such joint use is particular! y
aplicable where the flood volume is dcrived from snow melt which can be predicted
from surveys.
26
Where sedimentation is severe, allowance should be made in the operation study for its
encroachment on reservo ir space. Although the reservo ir may have becn dcsigncd
without reduction ofusable capacity during the economic life ofthe project, the
accumulation ofsediments willnccessitate the operation ofthe rescrvoir at succesively
higher levels. This change in operating leve! will be reflected in greater evapora! ion
and other losses. In the operation study, these changes in operating conditions may be
accounted for by periodic adjustments or by assuming an average condition for the
period of analysis.
27
3. DESIGN OF CIVIL WORKS
3.2. Dams
Regulation of run-off is an importan! aspect of hydropower projects which must be
addressed early in the planning phase, as a part of project formulation. It is practica! to
settle this issue early in the planning process as regulation of tlow has such a large
intluence on other project features.
When variation in run-off is considerable regulation becomes necessary. It is used to
improve utilization of the tlow by reducing spill and to adapt the tlow to power supply
system requirements. The need for rcgulation is thus set by variation in run-off over
the year as well as system demand and demand pattems.
Flow regulated to match the requirements of the supply system is a great advantage
and is associated with increased value ofthe generated energy. Storage ofwatcr is
needed and storage vol u me is a prerequisite for regulation of tlow. Storage reservoirs
ofthe required size must therefore be provided and included in the project plans if
regulation is a project feature.
Regulation reservoirs are formed by damming a river or valley, by tapping of an
existing lake or by a combination of both. In either case the environmental impacts are
considerable, particularly in the case of dammed reservoirs. Damming involves
inundation of land and thus crcatc larger impacts than lake tap reservoirs if such are
yiable alternatives.
I fa storage reservo ir is not accepted, which often is the case, the option left is a run-of-
river development, with this altcrnative's restriction in respect to utilization ofthe
power resource.
3 .2,1. Types of dams
In the most general scnse, a dam may be defined as a barrier built across a water
course for impounding water. This dcfinition implies no restrictions upon the purpose,
materials used, or size of thc barrier. Thus, si lis and weirs could al so be covered undcr
the general umbrclla providcd by thc word "dam". In practice, however, dams are
considered barrier structures, more complex than si lis and weirs, and thcy require for
their design, construction, operation, and maintenance the concerted effort of a number
oftechnical disciplines.
Dams can be classified according to their purpose, the type of material used in their
construction, and their geometry. Dams are built for power production, water supply,
tlood and river control, pumped storage, irrigation, recreation, and industrial waste
disposal purposes. They may be conceived for permanent (long-term) life, or
temporary operation. Regarding construction matcrials, dams may be classified as
follows:
28
Fill dams (Embankment dams)
of which there are a variety of types:
- Earth dams, made complete! y out of earth from borrow areas near the dam si te, with
or without a rock facing as erosion protection.
Rock fill dams. The dam body is normally made of quarried rock providing the
weight and incorporating a watertight medium such as;
Clay core, protected on each side by sand/gravel filters. Normally such cores are
placed in the middle ofthe dam body, sloping downstream.
Concrete. A vertical wall ofreinforced concrete placed centrally in the dam body,
oran upstream concrete slab, also reinforced.
Asphalt. An upstream asphalt concrete slab placed continuously in severa! layers or
a central asphalt concrete core, placed continuously by special equipment and
protected by filter on each si de.
Concrete dams
Ofconcrete dams there is a multitude ofvariation, ofwhich only the main types in use
are mentioned here:
- Gravity dams, usually made of mass concrete, are u sed for normal foundation
conditions.
- Among concrete gravity dams a new type, the "rollcrete" variety has emerged in
recen! years. For these dams, fill dam construction techniques are used. Stiff lean
concrete, placed by earth moving equipment in layers, is roller compacted.
Formwork is not required.
Arch dam, are thin dam structures exerting high pressures on the foundations. They
may be simple or double curved, require good foundation conditions and have
special damsite topography requirements as their curvature distributes forces to the
abutments.
Further variations within the above broad classifications are presented in Table 3.1,
which is based on the definition of the Technical Dictionary on Dams (ICOLD) Cross
section oftypical dams are presented in Figs. 3.1 through 3.3.
29
Table 3.1 Classification of Dams by Construction Materials
' ...
Embankment dams Earth dam
Embankment dam in which more than 50 percent of thc total
Any dam constructed of excavated natural
vol u me is formed of compactcd fine grained material obtained.
matcrials or of industrial waste matcrials
from a borrow arca.
Rockfill dam
Embankment dam in which more than 50 percent of the total
vol u me is composed of compactcd or dumped pervious natural or
crushed stones.
Hydraulic-fill dam
Embankment dam constructed of materials, often dredged, which
are conveycd and placed by suspcnsion in water.
Industrial wastc dam
Embankment dam, usually built in stages, to creatc storage for
thc disposal of waste products from industrial processes.
Embankmcnt materials may be conventional natural soils or
products from mining operation. Material placemcnt can be
cither by hydraulic methods or by standard cmbankment
compaction methods.
Masonry dams
Masonry dam
Any dam constructed mainly of stone, brick, or concrete blocks
jointed with mortar.
Rubble dam
A masonry dam in which the stones are unshaped or uncourscd.
Crib dam
A dam built up ofboxcs, cribs, crossed timbers, or gabions, filled
with earth or rock.
Concrete dams
Gravity dam Arch gravity
An arch dam only slightly thinner than a
Any dam constructed of rcinforced or
A dam which re les on its
gravity dam
unrcinforccd concrete
wcight for stability Curved gravity Dam curved in plan view
Cellular
Outward appearance of a gravity dam but
of hollow construction
13uttress darn
Flat slab dam or
A buttress dam in which the upstrean1 part
A dam consisting of a Ambursen dam or
is a relatively thin nat slab usually made
watcrtight face supported dcck dam of reinforced concrete
at intervals on the down
strcam side by a series of Arch buttress dan1 A buttress dam curved in plan.
buttresses
or curved buttrcss
dam
Multiple-arch dam A buttrcss dam the upstream part of which
comprises a series of arches.
So lid head buttress A buttrcss dam in which thc upstream end
dam
of cach buttress is enlarged to span thc
gap between buttresses.
Arch dam Constant-angle
An arch dam in which the angle subtended
A concrete or masonry arch dam by any horizontal section is constan!
dam which is curvcd in
throughout the wholc height of the da m.
plan so as to transmit thc
majar part of the water Constant-radius An arch dam in which evcry horizontal
load to the abutmcnts arch dam segment or slice ofthe dam has approxi-
mately the same radius of curvature.
Doublc-curvature An arch dam whicl} is curved vcrtically as
arch dam wcll as horizontally.
RCC Dams
Darns built with concrete of noslump
consistency, and compactcd with
vibratory rollcrs.
30
Gravily dams
Prior to the middle ofthe nineteenth century, dams were designed by rule ofthumb
with little concern for the principies of mechanics of materials, and, as a result, they
were usually much more massive than necessary.
Fig. 3.4 is a simplified free-body diagram of !he cross section of a gravity dam. The
forces shown are the weight for the dam W, the horizontal components of hydrostatic
force Hh, the vertical components ofhydrostatic force Hv, uplift U, ice pressure Fi, the
increased hydrostatic pressure caused by earthquakes Ew, and the inertia force caused
by the carthquake on thc dam itselfEd. The vectorial resultan! ofthese forces is equal
and opposite to R, the equilibran!, which is the cffective force ofthe foundation on the
base of the dam. A gravity dam may fail by sliding a long a horizontal plane, by
rotation about the toe, or by failure ofthe material. Failure may occur at the foundation
plane or at any higher leve! in the dam. Sliding (or shear failure) will occur when the
net horizontal force above any plane in the dam exceeds the shear resistance developed
at that leve!. 1t is good construction practice to step the foundation of a dam to increase
resistance to sliding. Overturning and excessive compressive stress can be avoided by
selecting a cross section of proper size and shape. Typical working stresses employed
in the design of concrete dams are about 6 MPa for compression and O MPa for
tension. Tensile stresses are avoided by keeping the resultan! of all forces within the
middle third ofthe base.
Keyways, Fig. 3.5,are provided between sections to carry the shear from one section to
the adjacent one and make the dam actas a monolith. Metal or plastic water stops are
also placed in the vertical construction joints near the upstream face to preven!
leakage. lnspcction galleries to pcnnit access to the interior ofthc dam are formed as
thc concrete is placcd. Thcsc galleries m ay be necessary for grouting operations, for
operation and maintcnance of gates and val ves, and as intercepting drains for water
which seeps into the dam.
When concrete sets, a great deal of heat is liberated, and the temperature of the mass is
raised. As the concrete cools, it shrinks and cracks may develop. To avoid cracks,
speciallow-heat cement may be used. Very lean mixes are also used for the interior
ofthe dam. In addition, the materials which go into the concrete may be cooled before
mixing. Occasionally, further cooling is accomplished by circulating cold water
through pipes embedded in the concrete, although this is expensive and is generally
used only on large gravity dams.
Arch dams
An arch dam is curved in plan and carries most of the water load horizontally to the
abutments by arch action. The tluust thus developed makes it essential that the
sidewalls of the canyon be capablc of resisting the arch forces.
Structural analysis of arch dams is complex, and the computations are lengtby. In
principie an arch dam is visualized as consisting of a series ofhorizontal arches
transmitting thrust to the abutments ora series ofvertical cantilevers fixed at the
foundation, Fig. 3.6. The horizontal componen! ofthe water load is resistedjointly by
the arch and cantilever action. The distribution oflhe load bctween thc are hes and the
31
cantilevers is usual! y determined by the trial-load method, which begins with an
assumption as to the load distribution. Near the bottom of the dam most of the load is
carried by the cantilevers, while near the top the arches take more ofthe load. After
assuming a division of the load, the resulting deflections of the arches and the
cantilevers are computed. The deflection of the arch at any point should equal the
deflection ofthe cantilever at the same point. Ifcomputed deflections are not equal,
new loads are assumed until a distribution is found which produces equal arch and
cantilever deflections at al! points. Stresses in the dam and foundation can then be
computed on the basis of this load distribution.
There are two main types ofarch dams, conslanl-center and variab/e-center, Fig. 3.7.
The constant-center arch dam, also known as the constant-radius dam, usually has a
vertical upstream face, although some batter may be provided near the base of large
dams. Intrados curves are usually, but not always, concentric with extrados curves.
The variable-center arch dam, also known as the variable-radius or constant-angle
dam, is one with decreasing extrados radii from top to bottom so that the included
angle is nearly constan! to secure maximum arch efficiency at al! elevations. This
design often results in an overhang of the upstream face near the abutments and
sometimes ofthe downstream face near the crown ofthe arch. The variable-center dam
is bes! adapted to V -shaped canyons since arch action can be depended u pon at al!
elevations. The constant-center dam is sometimes preferred for U-shaped canyons as
cantilever action will carry a large portion of the load at the lower levels. The
formwork for a constant-center dam is much simpler to construct, but the increased
arch effciency of the variable-center dam usual! y results in a saving of concrete.
The same forces which act on gravity dams also act on arch dams, but their relative
importance is different. Because ofthe narrow base width ofarch dams, uplift
pressures are less importan! than for gravity dams. However, interna! stress caused by
ice pressure and temperature changes may beco me quite importan! in arch-dam design.
The simples! approach to arch analysis is to assume that the horizontal water load is
carried by arch action alone. Most early arch dams were designed on this basis. Fig.
3.8 represents a free-body diagram of the forces in the horizontal plane acting on an
arch rib ofFig. 3.6. Since the intensity ofhydrostatic pressure is p = yh, the total
downstream componen! of hydrostatic force on a rib of unit height is
/h"' yll2rsin;
This force is balanced by the upstream componen! of the abutment reaction
Rr = 2Rsin (3_
2
Since '[.F,. = O,
32
2R i n ~ = 2yhr i n ~
2 2
or
R =yhr
If the thickness t og the arch rib is small as compared with r, there is little difference
bctween the average and maximum compressive stress in the rib and a"' R/t. The
required thickness ofthc rib is
yhr
1=-
<Jw
Where a ... is the allowable working stress for concrete in compression. This indicates
that the thickness ofthe ribs should increase linear! y with distance below the water
surface and that for a given water pressure the required thickness is propportional to
the radius of curvature.
When minimizing the volume of concrete required, theory gives 8 = 13334' for a rib
of mnimum volume. This is the reason why a constant-angle dam can be designed to
require less concrete than a constant-center dam. In practice the central angles of arch
dams vary from l 00 to 1400.
Rigorous analysis of an arch dam involves many factors not considered in the
preceding approximate analysis. The cantilevers are actually trapezoidal in cross
section, and their deflection includes that dueto shearing action as well as bending.
Deflection of arch ribs is caused mainly by the water load, but it is al so greatly
affected by temperature changes. Shrinkage and plastic flow of the concrete must al so
be considered. Yielding of the foundation or abutments affects the structural behavior
of arch dams. If thc foundation yields relatively more than the abutments, cantilever
action is suppressed, while if the boundary conditions are reversed, arch action plays a
lesser role.
The foundation of an arch dam must be stripped to sol id rock and the abutments
should be stripped and excavated at approximately right angles to the line of thrust to
preven! sliding of the dam. Seams and pockets in the foundation and abutment are
grouted in the usualmanner. Since the cross section of an arch dam is relatively thin,
care must be taken in thc mixing, pouring, and curing ofthe concrete in order to secure
adequate resistancc to sccpage and weathcring. A !ayer of mortar is usual! y placcd
between lifts to cnsure better bond. Small arch dams are provided with only radial
construction joints, while large arch dams ha ve circumferential joints as well. All
joints must have keyways, and water stops must be provided to prevent leakage. To
minimize temperature stresses, the closing section ofthe dam is poured only after the
heat of setting in the other sections is largely dissipated.
33
Buttress dams
A buttress dam consists of a sloping membrane which transmits the water load toa
series of buttresses at right angles to the axis of the dam. There are severa! types of
buttress dams, the most importan! ones being thej/at-slab (Fig. 3.9) and the multip/e-
arch. These differ in that the water-supporting member in one case is a series of flat
reinforced-concrete slabs, while in the other it is a series of arches which permit wider.
Buttress dams usually require only one-third to one-half as much concrete as gravity
dams ofsimilar height but are not necessarily less expensive because ofthe increased
formwork and reinforcing steel involved. Since a buttress dam is less massive than a
gravity dam, the foundation prcssures are lcss and a buttress dam may be used on
foundations which are too weak to support a gravity dam. Ifthe foundation material is
permeable, a cutoff wall ex lending to rock may be desirable. The upstream faces of
buttress dams usually slope at about 450, and with a full reservo ir a large vertical
componen! of hydrostatic force is exerted on the dam. This assists in stabilizing the
dam against sliding and overturning. The first reinforced-concrete slab and buttress
dam was built by Nils Ambursen in 1903, and this type of dam is often called an
Ambursen dam.
Buttress dams are subjected to the same forces as gravity and arch dams. Because of
the slope of the upstream face, ice pressures are not usually importan! as the ice sheet
tends to slide up the dam. Uplift pressures are relieved by the gaps between the
buttresses. The total uplift forces are usually quite small and can generally be
neglected except when a mat foundation is used.
Embankmenl dams
A rockfill dam is defined asan embankment dam comprising ofmore than 50% by
volume of fill obtained from rock quarry or rock excavation or from natural stones or
boulders (JCOLD).
An earthfill or grave! fill dam is defined as an embankment dam comprising of more
than 50% by volume of fill obtained from clay, silt, sand, or grave! borrows (ICOLD).
Moraine or glacial till, which Norway possesses in abundance, has been the
predominan! material u sed in the construction of the impervious element. However, in
the past decade asphaltic concrete cores have come increasingly into use. They are less
susceptible to adverse weather, which makes construction work easier, and potential
scars in the landscape from borrow pits are avoided. In Norway today, there is a
continuous process of research and development in the design and construction of
rockfill dams.
Various terms used in connection with embankment dams are explained in Fig. 3.1 O.
Impervious elements may be designed by use of earth, clay, concrete, asphaltic
concrete, bitumen or even steel, wood and more recently synthetic membranes. The
impervious element may be cmbcdded within the fill or placed on the surface of the
34
upstream slope ofthe embankment. Dcpending on the type and placement ofthe
impervious element, the dam may for instance be characterized as a rockfill dam with
central moraine core, ora rockfill dam with concrete facing. Yarious types ofrockfill
dams described by cross-section are shown in Fig. 3.11.
Most Norwegian embankment dams are rockfill dams with impervious core of
moraine. Moraine or glacial till is a scoured material, dcposited beneath the ice during
the last glaciation, it is a broadly graded mixture of boulders, stones, grave!, sand, silt
and clay.
A typical rockfill dam is shown in Fig. 3.1 O. The cross-section comprises of: 1)
impervious core ofmoraine, 2) filter zones of sandy grave!, 3) transition zoncs of fine
blasted rock, and 4) supporting shells of blasted rock.
Moraine cores are so widely used as the impervious element of embankrnent dams in
Norway because deposits of loose material in mountain areas where most dams are
situated, usual! y consist of either glacial ti lis or fluvial deposits. The fluvial deposits
are sand or grave! which may be suitable filter materials, but are too permeable for
waterproofing. Moraine deposits on the other hand have the fines content required for
materials of sufficiently low permeability.
In places where suitable moraines do not exist within an economic hauling distance fro
the dam si te, other impervious materials ha ve to be employed. Examples of dams with
various altematives are shown l\ Fig. 3.12. Marine clay, for instance, was used in the
frontal blanket of the Manika Dam as shown on top of the figure.
Marine clay is found in areas raised above the present sea leve! after the last glaciation.
In Norway, the land has risen most, about 220m, in the south-east. In other regions the
rise varies from 25 m along the western coast to about 100m in mid-Norway and 25 to
75 m in the No1th.
In some cases it may prove economical to crush soft rock to sufficient fineness for use
as impervious material. Crushed phyllite has been utilized for impervious cores in two
dams in Western Norway.
Severa! dams ha ve impervious facing on the upstream slope ("frontal
decks"). Materials used in the facings are asphaltic concrete
(Yenemo ), wooden planks (Aursjo) and reinforced concrete
(Grondalsvatn). During the 1980s severa! rockfill dams were built
with a central core of asphaltic concrete.
A) Lille Manika Dam, frontal blanket of marine clay. Completed 1964.
B) Venemo Dam, frontal deck of 15 cm asphaltic concrete. Completed
1963.
C) Grondalsvatn Dam, frontal deck of cement concrete. Completed
1971.
35
D) Grasjo Dam, test section with stone-bitumen core. Completed 1969.
E) Styggevatn Dam, central core of asphaltic concrete. Completed
1990.
3.2.2, Geotechnical investigations for dam design
The failure of a full-storage reservo ir would result in considerable loss of life and
prope11y. lt is, therefore, impcrative that thc retaining structurc be designed in such a
way that the possibility of failurc is mini mal. 1\ safe dam requires that both the
structure itself and the soil or rock foundation on which it is built are safe. lt is bccause
of this requirement that extensive geotechnical invcstigations ata proposcd dam and
reservoir si te should precede the design ofthe structure.
Severa! factors (economic, environmental, hydrologic, hydraulic) are considered in the
selection of a reservoir si te from among a number of possible candidates. After the
general reservoir si te selection is made, attention is directed to the study of the type of
dam best suited to alternative dam si te locations. Geotechnical considerations strongly
influence the latter decision. Questions relatcd to the characteristics of the foundation
and its required treatment, embankmcnt volume, practicality of construction of
embankment and appurtenant structures, and availability of construction materials
need to be answered. Thesc questions cannot be resolved without adequate
geotechnical information. The objectives of the geotechnical investigations are,
therefore,
To characterize the distribution and the cngineering properties (strength,
compressibility, and permeability) of the soils and rocks which comprise the darn
foundation and the abutments at alternative sites, and
To study the extent and characteristics of available construction materials for
embankments and for concrete
The scope and the cost of the geotechnical investigations vary from si te to si te,
depending on the complexity ofthe geology and on the variability ofthe soil and rock
foundations. They also depend on whether the project is in the feasibility, design, or
construction stage. During the feasibility stage, geotechnical investigations must be
undertaken at each si teto the extent that is necessary to permita fair comparison ofthe
costs of differcnt types of dams on altcrnative sitcs. Once this phase is completed, and
the type and location ofthe dam and ofthe appurtenant structures are defined, more
detailed geotechnical information is obtained in order to proceed with the design of the
facilities.
So urce of Infomwlion
Asan initial step, available information concerning the si te area should be collectcd
including topographic, geologic, ancl soilmaps ancl aerial and Landsat photographs.
36
A search should be m a de for those maps covering the areas of the reservoir, the dam
si te, and the potential borrow areas. The location and elevation of exploratory boles,
trenches, and pits and significan! physical features, such as rock outcrops, landslides,
or roads, trails, etc., can be placed on the m a p. The topography of the storage basin is
used to determine the reservoir storage volume availablc below various levels and the
presence of any saddles along the perimeter of the reservoir. The topography of the
dam si te can be used to estmate amount of excavation and embankment materials and
to lay out the dam, appurtenant structures, and access roads.
Geologic maps are prepared for the region where the project is located and for the dam
si te proper. The information and the detail provided by each are different. Severa!
types of geologic maps are available. Maps showing a plan view of the bedrock in the
ara is a bedrock geologic map. Generally such maps depict visible boundaries of rock
formations and undifferentiated overburden. Surficial geologic maps differentiate the
overburden according to its origin, such as stream alluvium and glacial or wind
deposits. Structural geologic and tectonic maps indicate the location and
characteristics of geologic faults and, generally speaking, of lineaments which can be
recognized from physical features such as offset ofbeds and dikes; presence of gouge,
or zones of badly fractured rock; or topographic features, such as linear trenches or sag
valleys, offset alignment of rivers, and vegetation.
Related to structural geology is the issue ofthe seismic activity within the region.
Catalogs of historie seismicity should be compilcd for the region for later study and
correlation with structural geologic and tectonic maps.
Air photos are primarily used to identify surficial features: topography, drainage and
erosion patterns, vegetative cover, landslides, lineaments, joint systems, and fault
zones. In some cases, however, experienced individuals are able to interpret surficial
features reliably to predict deep underground conditions such as the prescnce of karstic
formations.
Explora/ion Methods
Following the study of the information provided by maps and photos, a program of
field exploratory work (including testing) can be prepared. This program should
consist of a detailed field reconnaissance and mapping by engineers and geologists,
and the execution of subsurface explorations, and soil and rock sampling, including
boreholes, test pits, trenches, adits, geophysical surveys, in si tu soil and rock
permeability, and strength testing.
Rotary drilling equipment is manufacturcd in a varicty of types from lightweight and
highly mobile, to heavy, stationary units, and with capacity and attachments capable of
drilling holcs in soils and rocks from lcss than 2 cm to more than 1 m in diameter.
Undisturbed soil samplcs and rock cores can be rctricved from the boreholes. At the
same time, the borings can be uscd for pcrmeability tcsting, density tests, modulus of
deformation tests etc.
37
Open test pits and trenches are of great use for visual observation of stratigraphy, for
perfonning tests, and for recovery ofsamples. These methods are highly recommended
for dam foundation investigations and geologic fault studies, and are, in fact, a very
expeditious method of sampling and observation in deposits containing gravels and
cobbles.
Adits ha ve two advantages: they pennit the visual inspection of the subsurface soils
and rock, and, if required, they allow thc performance of a variety of in si tu tests. The
walls, floor, and roof of the adits can be mapped and photographcd, and the direction
of scams, discountinuitics, and rock jointing observed. Adits are especially use fu! in
the investiga! ion ofthe soil and rock conditions a long the abutments of a dam.
Geophysical Surveys are used to supplemcnt and extend infonnation obtained from
borings, trenches, and adits. Velocities correlated with known stratigraphy can be used
to delineate the thickness of overburden, zone ofrock weathering, unstable slopes, and
variations in general stratigraphic trends. Geophysical surveys provide an invaluable
means of obtaining data from which the low-strain compression and shear elastic
moduli of soils and rocks can be calculated.
In many cases, where properly done, feld tests provide the bes! means to obtain highly
reliable information on in si tu soil and rock prope1ties, either because a larger mass of
material is involved in the feld determination or because of diffculties in obtaining
good samples for laboratory testing. Typical examples include permeability tests (in
pits or boreholes), defonnation tests, large shear tests, in si tu density of sandy and
gravelly soils, and test flls.
The procedures for laboratory testing of rock, soil, and aggregate are well developed.
Equipment and procedures, standardized by internationally recognized associations,
are available which provide means to identify and characterize the strength,
compressibility, pcrmeability, durability, and in general the adequacy ofmaterials
encountered in nature for use in the construction of embankment and concrete dams,
and the study ofthe foundation materials at proposed dam si tes.
Because ofthe variety ofsubsurface conditions and the materials that may enter in the
construction of dams, thc design of every ncw dam ca lis for individualized treatment.
There are, howcver, certain "musts" that thc geotechnical investigations should
address. For reference purposcs, Table 3.2 provides a unifed view of importan! issues
that mus! be addressed by the geotechnical investigations.
38
Table 3,2 A Checklist for Required Geotechnical Investigations
Objective of the investigation Comments
Rack foundations
Crushing and shearing strengths Adequate for small dams; possible exception; shales and siltstones. lnvestigate
weathering and microcracks and fissures; rack strength in the laboratory may differ
from mass-rock strength. lnvestigate extent, nature, and properties of clay seams,
including residual strength, effect of saturation. lnvestigate brecciated zones.
Rack foundation characteristics Determination in the laboratory (modulus ofelasticity) and in situ mass-rock
and residual stresses deformation as affected by presence of fissures, seams, etc. Residual stresses to be
determined by field testing.
Pcrmeability lnvestigatejointing, seams, and bedding in the field. Hydrologic investigations
required for determining the nature of groundwater, whether nom1al, perched, or
artesian. Perfom1 field-permeability tests in boreholes. lnvestigate presence of
karstic formation, limestone, other cavities.
Active tectonic faults Studies to be done both at the dam site and within the reservoir arca. Carry out
trenching to observe possible fault displaccment in Holocene deposits.
Soil foundations
Strength and compressibility Granular soils: requires determination of in si te densities and/or a field-test-
correlatable densities with strength parameters such as standard penetration
resistance, Becker penetration tests (for gravels), and cone penetration tests.
Fine-grained soils: primarily based on laboratory test data.
Penneability Proper definition requires an accurate picture ofthe stratigraphy, anda series of
field-permeability tests (Lugeon, Packer) or well-pumping tests.
Construction materials
Location ldentify distance toda m site, access road; thickness of overburden to be wasted,
excavation difficulties, water table difficulties, in situ moisture content, blasting
characteristics (in the case ofrocks).
Properties Characterization ofthe engineering properties for use in embankment construction
oras an aggregate for concrete is done in the laboratory.
Prior to, or during initial stages of, constn1ction test fills are often carried out to
verify adequacy ofproposed construction procedures.
Properties to be investigated include gradation, plasticity, moisture/density
relationships, permeability, static and dynamic strengths, compressibility, durability,
chcmical makeup. Quality ofmaterials for preparation ofconcrete.
39
3.2.3. Selection of dam type
As far as technical feasibility is concerned, often more !han one type of dam is
adequate for a selected dam site Jocation. The final selection, then, is either based on
economic considerations, on preferences of the designer or owner, or on the decision
of a consulting board. Following is a list of factors which the dam designer mus!
consider in selecting the most appropriate structure for a si te:
Topography
Dam foundation
A vailability of construction materials
Flood hazard
Seismic hazard
Climate
A vailable resources
Topography. Narrow valleys with high rock abutments favour concrete dams.
Low rolling hills favour earth dams.
Hydraulic fill dams are frequently associated with wide, tlat alluvial plains
with minimal topographic relief.
Da m Foundation. Rock foundations, properly cleaned of weathered material and
treated for water tightness, are ideal for any type of dam.
Dense sand-and-gravel foundations are adequate for all embankment dams, and for
small concrete dams when proper seepage control measures are implemented.
Compressible silt and clay foundations preclude the consideration of concrete dams
and require special care for rockfill dams.
Loose sand foundations in a seismic environment are subjected to potential seismic
liquefaction and are inadequate for any type of dam. lfthe loose materials are
excavated, or their physical conditions improved, then an embankment dam could be
considered.
Available of Construction Materials. Materials are required for the construction of
!he embankment ( core, shells, filters, slope protection) and manufacture of concrete.
When adequate materials are available near a si te, embankment dams can usually be
built ata lower cost !han concrete dams.
Availability of sands and gravels, but absence of impervious clays may favour the
choice of a concrete dam. On the other hand, if an impervious soil is readily available,
the design may favour a homogeneous embankment dam with a few interna! granular
filters provided for seepage control.
40
Flood Hazard. The possibility of flooding during construction favours either a
concrete type of dam ora rockfill dam with or without downstream reinforcing.
Associated with flooding is the spillway requircment. Often the cost of constructing a
spillway is high. For such cases, combining spillway and dam into one structurc
(concrete dam) may be advantageous. In other cases, where the excavated material
from a separate spillway can be used in the construction ofthe embankment, an
earthfill embankment may be advisable.
Seismic Hazard. Potential fault rupture a long the dam foundation precludes the
consideration of any rigid structures such as a roller-compacted or a concrete-type
dam. Ernbankment darns with large zones of sand and grave! are recommended in
these cases. Potentially strong earthquake ground motion may rule out the
consideration ofrigid structures (concrete) or cmbankment dams built with loosely
placed granular soils (hydraulic and tailings darns).
Clima te. Construction of embankment dams during the rain y season is often lirnited to
the pervious zones, making rockfill dams more appropriate. During freezing weather,
precautions must be taken to avoid damage to freshly poured concrete in concrete
darns. Rockfill dams may prove to be cheaper to construct in severe clirnates.
Diversion Works. Valley configuration, hydrologic, and schedule considerations can
often pose serious construction difficulties which require expensive works.
Available Resources. At sorne sites, neither skilled contractors for a specified
construction nor adequate labour force may be available. For exarnple, a country rnay
ha ve neither the experiencc nor thc cquipment necessary for the construction of a
roller-compacted concrete dam or for the concrete face in a rockfill darn. In such cases,
a simpler earth embankment dam rnay be more appropriate.
3 .2.4, Spillways
The spillway is designed to pass flows larger than can be used for hydroelectric
generation. The importance ofthe spillway cannot be overemphasized. Most dam
failures have occurred because the spillway was incapable of passing a particular
flood, with the result that the dam was overtopped and breached. Many spillways with
adequate capacity ha ve failcd bccausc severe eros ion occurred at the base of the
spillway, resulting in damagc to thc spillway, the dam, or both.
Overtopping ofeaithfill darns will usually result in their breaching, unless the
overtopping is of very short duration. such as that produced by runup of waves.
Concrete dams may, howevcr, withstand modcrate overtopping providcd the
foundation is adequate. Rockfill dams may withstand mnima! overtopping.
Frequently, two spillway structures will be provided. The first, a scrvice spillway, may
be a small overflow concrete structure. This spillway will be designed to pass all small
floods which produce no dangcr of overtopping the dam. A second spillway, an
emergency spillway, may be locatcd offthc dam mid will be designed to supplement
41
the service spil1way during the 1arge design flood. Some damage should be expected if
the emergency spillway operates.
The simples! and most dependable form ofspillway is an uncontrolled crest. lfthe
design discharge for the spillway is large, the rcquired length ofthe uncontrolled crest
may be very long. lfthe required crest length cannot be developed at the site, it may be
necessary lo provide gates on the crest which control the flow, except when large flood
flows must be passed. Flashboards, stop logs, rectangular gates, and radial gates are
commonly used on small dams.
From the standpoint of operation, radial gates are easiest to opera te. The resultan! of
pressure forces acting on the radial gate is normal to the circular surface, thus causing
no moment about the trunion. Only the weight ofthe gate itselfmust be lifted when
the gate is opened. Fig. 3.13 shows a typical radial gate installation.
Rectangular vertical gates can be constructed as roller gates, which makes it possible
to raise them under fui! hydrostatic pressure. However, slide gates without rollers can
be very difficult to operate under pressure because ofthe large friction forces
developed. Fig. 3.13 shows a typical vertical gate installation.
Stop logs are nanow rectangular beams which can be placed in slots on the spillway
eres! to raise the reservo ir surface. Because of friction in the slots, they are very
difficult to install or remove under overflow conditions. They should not be used in
situations where unexpected floods can occur, since advance warning is required to
remove the flashboards prior toa flood. Fig. 3.14 shows a typical stop-log installation.
Flashboards consist of individual boards which are held on the spillway eres! by
vertical pipes or columns anchored to the crest. The flashboards can be designed to fail
ifthe leve! in thc reservoir reaches a given leve!, thus providing an automatic
operation. lfthey are not dcsigned to fail automatically, sufficient warning time must
be possible to allow remo val of the flashboards befo re a flood arises.
Riprap will be requircd in the channcl downstrcam from the spillway to control
erosion unless the channcl is rock. To prcvent crosion ofthe dam, the spillway should
be extended downstream from thc toe of thc dama sufficient distance to ensure that
velocities near thc embankment are below the magnitude which will produce scour. In
some cases, riprap protection at the toe of the dam may be required.
3.3. Waterways (Tunncls)
3.3.1. General considerations
Waterways conduct the water from the intake lo the power station and back to the
river. Normal! y they are arranged in such a way that both the inlet and the outlet may
be closed. The inlet, called intake, may be incorporated in the dam or regulation works
orbe arranged as a separate structure. They are fitted with trash racks to keep out
floating debris and gates to regula te the access of wter to the waterways.
42
The waterways upstream the power station are called the "headrace" while the
downstream pa1i is called "tailrace". Normally the headrace is furnished with valves at
the end ofthe headrace, inunediately in front ofthe turbincs. The tailrace is equipped
with gates at both ends. The upper will isolate the turbine outlet, draft tu bes or turbine
pits, from the tailrace. The lower ones will isolate the tailrace from the river.
Options for waterways are many. The main alternatives are:
canals
culverts
tunnels
shafts
penstocks
Canals for hydropower projects are normally open and lined. Tunnels and culverts can
also be designed to opcrate as open canals but will be object to headloss in case of
headwater leve! fluctuation. The other waterways are normally designed to be opcrated
completely fi llcd to reduce headloss and achieve ease of operation.
Headloss, or loss of gradient, is loss of water pressure ca u sed by friction and adverse
hydraulic conditions when the water is conducted through the waterway.
Headlosses are proportional to the square of the water velocities and related to the
surface smoothness ofthe waterways. They are also susceptible to other hydraulic
conditions such as abrupt changes of section, sharp bends and similar.
The most effective way to reduce headlosses is to increase section and/or improve
surface smoothness of the waterway. 1t is al so costly and in dimensioning the
waterway the present valuc ofheadloss over time must be compared to the incremental
construction cost for increase of section and improvement of surface.
Many rivers carry heavy sediment loads and all particles larger than what can be kept
in suspension must be removed befare the water is allowed to enter the waterways.
This has a dual purpose. As the water vclocity is small in the waterway, to reduce
headloss, the large sediment particles may settle and accumulate in the waterway. If
reaching the turbine such particles may cause wear and reduce the lifetime ofthe
hydraulic equipment.
To effect the removal ofthe heavy sediments costly sand excluders and sediment traps
are built between the intakcs and the waterways. Most such traps are based on the
simple principie that thc heavicr scdiment particles will settle when the water velocity
is sufficiently rcduced. The traps therefore consist of severa! long compartments, each
of which may be isolated from the others for flushing of scttled sedimcnts in arder to
maintain a continuous opcration of the sediment trap and the power plan t.
43
The headrace part of the waterway is often a tunnel conducting the water under small
inclination towards the power station while the last part is a strongly inclined pipeline,
called penstock if located outside, called pressure shaft when situated underground.
The pressure variations in the penstock during load variations are mainly determined
by the length of waterway counted from the nearest open water surface. An open
surface tank, a surge tank or similar is therefore incorporated in the waterway, as near
the turbines as possible, i.e. at the top of the penstock. Thus it will not be necessary to
vary the velocity in the tunnel as muchas in the pcnstock, the difference will be
balanccd by fluctuation of the water leve! in the surge tan k.
Quick turbine load increases mean immediate increase of water flow to the turbines.
The water in the headrace represents a heavy mass and time is needed to accelerate this
mass ofwater. For a start the turbines are supplied with water from the surge tank
itself, making the water leve! in the tank drop, thus increasing the gradient between
intake and surge tank, increasing the acceleration.
The new load situation requires more water through the tunnel, increasing velocity and
headloss thus reducing the water leve! in the surge tank. Due to inertia, the leve! will
sink lower than needed for balance, the water masses are retarded and the water load in
the tank will rise again and oscillations around the new balance leve! are induced. The
oscillations are, however, normally dampened and the amplitude is quickly reduced.
At quick load reductions the opposite will occur. The water in the tunnel only retards
slowly. Surplus water flls the surge tank and raises the water leve!, thus reducing the
gradient between the intakc and the surge tank. The gradient may even become
"negative" and work in the direction against the intake thus hastening retardation.
However, also in this case the water leve! will oscillate around thc new balance leve!
before it settles down.
The surge tank must be dimensioned to accommodate both the highest and lowest
water levels which may occur.
Ifthe tailrace is a tunnel ofsome length, a surge arrangement may also be needed here.
In preparing the plans for tunnel waterways many physical factors must be considered.
Ifcanal solutions are possible the alignment is toa degree dictated by the topography.
The canal may be long and lead to high headlosses. A basin (forebay) has to be
arranged at the top ofthe penstock, including spillway and facilities for evacuation of
surplus water. A tunnel alternative may presenta viable solution and will operationally
be more attractive than a solution with headrace canal.
The waterway alignments will be studied and traced on con tour maps of appropriate
scale, taking care that thc proposed alignment. in case oftunnels, is situatcd-in sound
rock below the weathered zone with suffcient cover to support the water pressure in
the tunnels. The tunnel alignment must also allow rational excavation and facilitate
division into headings ofsuitable length using excavation adits where neccssary.
44
When designing the section of a water turmel consideration must be given to severa!
requirements, as shown on Fig. 3.15.
The stability ofwater tunnels in rock is complicated. Only through the last 20-30 years
has this problem been treated in a rational, systematic and scientific manner. The
modern engineering geology approach has drawn much of its early experience from
water tunnels. New methods, material and equipment ha ve been developed for dealing
with the various problems specific to water tunnels. New tested types of rock support
are available as are methods, material and equipment for dealing with leakages, inflow
of water, and similar problems.
The new concept in rock engineering is to use the rock as a structural element in
planning and design ofunderground works. This concept is based on a detailed
knowledge of the geology in the tunnel, the rock properties and rock mechanics on
which the tunnel support etc. is designed.
The new concept differs considerably from the old which prescribed full concrete
lining for all water tunnels thus accepting the highest cost solution in the beliefthat the
concrete lining is water1ight. The rock mass surrounding the lining is justas watertight
as the lining which have numerous contraction fissures.
lf the concrete lining is not needed to preven! leakages in a well situated tunnel, e.g.
below the ground water line, its remaining purpose is tunnel support for which far less
costly alternatives are available.
Under the new concept the water tunnel is only concrete lined where absolutely
necessary for stability reasons. The lining is then placed at the face immediately after
the blast thus serving as temporary work support as well as permanent tunnel support.
By combining these two in one operation the costly temporary steel ribs support,
lagging, etc. are avoided and considerable savings are achieved.
The new concept, however, relies heavily on engineering geology expertise to be
successful. Such expertise must be permanently available during construction of
tunnels and other underground work. This situation is known as the "design as you go"
method. The permanent tunnel support is designed as the excavation develops and the
geological conditions become known in detail.
The last part of the headrace, the penstock, is normally a supported or embedded pipe
made of steel. Other materials can al so be used, c.g. wood, cast iron and glass fibre
reinforced plastics. The penstock may be one pipe serving severa! generating units, in
which case a manifold is required, or one pipe for each unit. Each turbine pipe is
furnished with a valve. Penstock pipes are often supplied with closure anangement at
the top, automatically triggered in case of pipe failure.
The above ground penstock is often replaced with an underground shaft solution,
vertical or inclincd. This alternativc is known as "pressure shaft" and under acceptable
geological conditions prcferred beca use of flexibility, safety and cost. The pressure
shaft is either fui! y, partly or unlined but is invariably steel-lined from the bend,
45
including the manifold and turbine pipes. The steellining is normally embedded in
concrete but penstocks placed in open shafts are also encountered.
The head race surge arrangement for tunnel waterways are afien vertical or inclined
shafts of varying section, open to the atmosphere at the top.
Nearly allmajor hydropower plants constructed in Norway after World War 11 are
placed underground, meaning that more than 80% of the total installation is now under
ground.
The next sections will deal with the design of unlined tunnels in rack, emphasizing the
later trends in design and the experience gained from applying some unconventional
design features.
3.3.2. Desin trends in tunnellayouts
The hard-rock tunnelling could be used as the hallmark for present-day design of
hydropower plants in Norway. In any modern high-head power development, tunnels
are used not only as supply conduits from an intake in a reservoir towards a
powerhouse, oras tailrace out from a powerhouse, but even more extensively as
drainage collectors fram the remate parts of the catchment area to a reservo ir or supply
tunnel, oras pressure tunnels, powerhouse access tunnels and for cable conduits.
Fig. 3.16 demonstrates the principie of using tunnels as collectors of drainage from
majar mountain streams passing over the tunnel, by intercepting the stream-flow with
a small dam andan intake, togcther with a shaft lcading from this intake pond down to
the tunnel. Some projects may ha ve more than 30 km of such diversion tunnels and
more than a dozen stream interceptors.
lt should be mentioned here that rack tunnelling in Norway refer to tunnels that are
basically unlined. This is of course partly dueto the reasonably sound rack conditions
that prevail, but is al so dueto the thrifiy philosophy of installing rack support only as
required by stability and local conditions (as recorded after excavation), contrary to the
principie of installing tunnellining or other supporting measures in accordance with a
preconceived design, without regard to the actual conditions encountered.
We shall take a closer look at the following cost-saving features related to tunnelling,
features developed in Norway and presently in general practice throughout the
country:
unlined pressure tunnels and shafts
a ir cushion surge chambers
lake taps
46
3.3.3. Unlined pressure tunnels and shafts
Historie deve/opment
The layout for Norwegian high head powcr plants built before World War 11 normally
included an unlined supply tunnel from the intake to a surge tank structure on the
surface, located in the mountain-sidc above the powerhousc, and from there a steel
penstock on the surface clown to the powerhouse, al so located abo ve ground. The
supply tunnel was located at a high leve! and subjected only to a low interna! water
pressure.
According to new design ideas that carne up around 1950, the entire watcrway
including surge chamber and powerhouse was put underground, while the steel
penstock was maintained but with the spacc between rock and steel liner filled with
concrete. In thc next stage the steel liner was abandoned, and the unlined pressure
shaft emerged.
In the most recent layout, the unlined pressure shaft has been replaced by an unlined
pressurc tunnel, a design providing a shorter waterway and improved constructability,
since a tunnel can be excavatecl with nonnal equipment in contras! to the somewhat
complicatecl machinery necessary for a shaft. Also, this tunnel can now be attacked
from the power station area, limiting the Contractor's plan! to that area ancl eliminating
any neecl for a transport road up the mountain-sidc to where the headrace tunnel would
otherwise be located. Such roacls are costly and may have an adverse impact on the
environment. Fig. 3.17 ancl 3.18 clemonstrate the difference between pressure shaft and
pressure tunnel.
Where a surge chamber is required in the upstream waterway, this in now frequently
constructecl as a re1atively small, unlined a ir cushion chamber and p1aced as el ose to
the powerhouse as permissib1e.
The total result of these new design features have been significan! savings in the cost
of civil works ancl of steelliner for the waterway. This statement refers of course to the
cost leve! for services, steel and other matcrials in Norway, but is probably true for the
conditions and the economy in any country. Other advantagcs are the small
maintenance costs compared to an abo ve grouncl penstock, and the improved safety
against acts of war.
Experiences
Unforcseen cleformations and/or uncontrollable leakages ha ve occuned in unlined
conduits as late as 1968, 1970 and 1971 during the filling ofthe systems. Most leak
ages occurred 1-3 days after the filling had taken place, the principal cause being
insufficient rock and/or unfavourably located joints.
Pressure conduits designed with adequate rock cover and with all its pervious zones
carefully sealcd will, however, ha ve only negligible permanent leakages, rarely more
than 5 1/s, se e Table 3.3 below:
' 1
1
Tablc 3.3
47
Summary of layout, gcology and leakage control results from six
hydropowcr plants with unlincd prcssure tunnels/shafts.
Power Plant Max head Layout Gcology Predicted Mcasured Calculatcd
on unlined Jeakage in Jeakage mass pcr-
rack (BAR) 1 -1
S
in mcability
1 -1
S
/llS-1
J0RUNDLAND 28 2,0 km pressure precambrian granite - 1
110
9
1971 tunnel and gneiss
SKJOMEN 36 2,6 km pressure precambrian granite -
1-2
310-
9
1973 tunnel
BORGUND 25 2,9 km pressure precambrian gneiss - 3-4
110-
8
1974 tunnel
LEIRD0LA 45 0,6 km pressure precambrian gneiss - 0,9
.o-
1978 shaft
LO MI 59 0,7 km pressure ordovician mica schist 1-5 3-6
510-
8
1979 shaft
SK!BOTN 44 4,0 km pressure ordovicia 2-10 10-18
310-
8
1980 tunnel on mica schist
Brief design principies
The design ofthe first unlined high pressure shafts was based on a simple equilibrium
state of stress. This critcrion ca lis for thc weight of the rock mass overburden to
exceed the water pressure in the shaft at any point, in order to counter hydraulic
splitting. A survey from 1972 of 45 unlined pressure conduits, most ofthem with
pressure heads above 100m, is plotted in the diagram Fig. 3.19, where also the design
criterion for rock cover is shown.
In 1972, a better too! was developed for the design of high pressure tunnels/shafts.
This method is based on tinite element analyses of two-dimensional models, and one
ofthe design criteria is that the interna! water pressure in the conduit shall not exceed
the mnimum principal rock stress.
Fig. 3.20 shows an example ofsuch a model where the criticalline Ho/H is 0.7. The
unlined pressure shaft is placed on the inside ofthis criticalline, with a safety factor of
1.4.
3.3.4, Lake taps
\Vhen the last ice age in Norway ca meto an end so me 10,000 years ago, theglacial
activity left behind landscapes of unweathered bedrock with little or no overburden,
anda large number of natural, deep mountain lakes, suitable as hydropower reservoirs.
By means ofthe principie called submerged tunnel piercing, or lake tapping, many
such lakes havc bccn cxploited using thc storage volume that is located below the
] !
1 (
48
natural (original) water leve l. If a similar storage volume should be provided abo ve the
natural water leve!, this would require construction of a dam, an alterna ti ve that is
generally the more expensive one. The principie is demonstrated in Fig. 3.21. In many
cases the optimal soiution appcars to be a Iow da manda lake tap reservo ir.
A piercing is effected by excavating a tunnel in rock under the lake bottom, up to a
preselected point, from where a controlled holc-through is made by a final round of
blasting. A control structurc in !he tunnel, gatc or bulkhead, mus! be installed prior to
the piercing.
Lake tap design
When planning a lake tap, it is wise to consider any sccondary effects ofthe future
drawdown, such as the risk ofearth- and rock slides, wave erosion ofthe new
shoreline, and ground water erosion.
Selection ofthe penetration point requires extensive geologic mapping, soundings,
seismic refraction measurements, and possibly exploratory drillings to find thc extent
and nature of overburden in the lake bottom. The penetration point should have as
little overburden as possible, and the topography should be such that no sliding of
material into the opening can take place in the future.
Determining the size ofthe charge for the final round is an essential part ofthe
submerged tunnel piercings. Overcharging is normally required to break through the
outer shell that is not drilled into, or the sediment !ayer on the outside, if any, but
moderation is al so imperative to preven! harmful effects from interna! pressure due to
overcharging. 3 to 5 kg of explosives per m3 is mostly used.
Two basic types of piercings are normally applied:
open system piercing, and
closed system piercing
The difference between the two types is demonstrated in Fig. 3.22.
In an open system piercing, thc gate or bulkhead is placcd on the downstream side of
!he gate shaft, leaving a direct communication between the tunnel face and the
atmosphere.
In order to preven! rock debris from reaching the gate, it is absolutely necessary to fill
the tunnel partly with water prior to the blasting. The degree of filling must be
weighed against thc upsurge in the shaft, which shallnot be allowed to reach the !loor
ofthe gate house (condition 2). This upsurge can be calculated quite accurately. When
filling the tunnel before piercing, an air pocket mus! be left against the tunnel faceto
preven! any harmful shock transmittecl to the gate. This will normally restrict the leve!
to which the tunnel m ay be fi llcd to avoid the a ir in the pocket being squeezed out
through the plug into the atmosphere (condition 1 ).
49
In a closed system piercing, the gate or val ve is placed so that the tunnel volume is
confined from the atmosphere. This system requires a relatively long stretch oftunnel
between the plug and the gate, to prevent damage to the closing structure from the
maximum pressure produced by the detonation. The maximum pressure from
inrushing water against the gate decreases with increasing tunnel length. Closed
piercings can be made with empty or partially filled tunnel.
3.3.5. Air cushion surge chambers
Principie and peformance
It was previously explained how the development of supply tunnels had resulted in
deep-lying, unlined pressure tunnels. This concept has necessitated new ways to ensure
hydraulic stability in thc system under operation, and the conventional surge shaft and
chamber has thercforc bcen replaced by a deep-lying chamber containing a volume of
compressed air which acts as a shock absorber.
Fig. 3.23 demonstrates how this new design influences the general layout of the plan t.
A steep pressure shaft is replaced by a modera te! y inclined tunnel, not steeper !han 1 :8.
The closed air cushion chamber, unlincd likc thc tunnel, is placed above the tunnel in
the vicinity of the powerhousc.
After having filled the tunnel system with water, air supplied from a compressor plan!
is pumped into the surge chamber. The compressed a ir acts as a cushion in reducing
the waterhammer effect in the waterways and the hydraulic machinery, ensuring
hydraulic stability.
The world's first high pressure air cushion surge chamber was pul into opera! ion in
1973 (Driva Power Plan!) and the second in 1974 (Jukla Power Plan!), both working
successfully. Eight more air cushion plants havc been constructed since then, and
today a total often Nonvcgian plants are cquipped with this type ofsurge chamber.
These plants are listed in Table 3.4.
50
Table 3.4 List of closed, unlined surge chambers with air cushions
N ame Year Excavation Air volume A ir Air loss Type of
volume pressure rock
(m3) (m3) (bar) (Nm3/min)
Driva 1973 6,700 3,000 42 non e Gneiss
Jukla 1974 6,200 4,000 24 0.01 Gneiss
Oksla 1980 17,000 13,000 45 none Gneiss
Sima 1980 6,200 4,000 50 0.1 Gneiss
Evilldal 1981 136,500 88,500 42 1-4 Gneiss
Nye Osa 1981 12,500 10,000 18
6-171)
Granite
Tafjord K5 1981 2,000 1,000 75 large 2) Gneiss
Brattset 1982 10,000 - 23 non e Mica schist
Ulset
Torpa
1985 4,900
-
25 0.4 Mica gneiss
1989 17,400 - 42 5 Meta silt-
stone
1) Before grouting
2) Possibly dueto hydraulic splitting
The performance of these plants ha ve in general been good. At Nye Osa sorne initial
problems related to leakage of a ir out of the pocket ha ve now been sol ved by grouting
the surrounding rock, while a similar problem at Tafjord K5 still remains to be solved.
Designfeatures
The air cushion chamber should be located as el ose to the powerhouse cavern as is
considered safe by the
rock mass quality
interna! pressure
topography and rock cover
Prior lo chamber excavation, core drilling with water pressure testing is normal! y
perfonned from the face of the adit into thc prospcctivc chamber area. Cernen!
grouting is often requircd to ensure the imperviousness ofthe si te.
51
The chamber cross section should be detennined with a view to the geological
conditions and the equipment available for rock excavation. The axis of the chamber
should be perpendicular to the jointing. The floor leve! of the chamber should be more
than 2m above the leve! ofthe tunnel ceiling, and the design nonnal operational water
leve! in the chambcr should be from 1 to 2 m above the floor leve!.
An example of an air cushion layout is shown in Fig. 3.24.
Technical and economical considerations
The air cushions presently in use rcquire Jonger stops in operation during revisions of
the supply tunnel systcm than do the conventional surge chamber anangements. This
problem is closely tied to the choice of compressor capacity, a factor that governs the
time lag between filling the system with water and stm1ing the operation.
A ir cushions al so involve a risk factor, as a blowout from the compressed air chamber
into the supply tunnel is possible, in case a malfunctioning ofthe compressor regulator
should occur. To ensure against such accidents, thc design must therefore include
instrumentation for gauging of air volume, air pressure, etc.
Conventional surge chambers are normally maintenance- free, while inspections and
maintenance are required to sorne degree for air cushion plants, pmicularly for thc
compressors and instrumentation. Power consumption for filling and refilling of air
into the cushions is normally quite moderate and does not represen! any significan!
expense.
3 ,3 .6. Unlined tunnel hydraulics
The most commonly used tunnel area pro file has vertical walls and a semicircular roof:
The width-height ratio will often be adapted to fit the contractor's equipment, such a
type of truck, ventilation anangement etc. The hydraulically preferable area shape is
obtained when the hydraulic radius has its maximum, conesponding to mnimum head
loss. This will be the case when the tunnel width is equal to the tunnel height, Fig.
3.25.
From Fig. 3.25 (area)
P = 1tR + (2n + 2) R (wetted parameter)
1
A -7t+2n
R" =- = 2 R (hydraulic radius)
P 7t+2n+2
For head loss calculations in unlined tunnels, the so-called Manning formula has been
commonly used. The formula rcads.
52
v
2
L
h
1
= M
2
R
413
(SI units)
h
where v =average velocity (m/s)
L = length of tunnel (m)
M= _!_ =Mannings roughness coeffisient (mlf3Js)
n
RJ= hydraulic radius (m)
For normal shaped tunnel cross sections we often put
Another more general formula is the Dareey- Weisbach fmmula:
L v
2
h=/--
4R, 2g
where f = friction coefficient
g = acceleration of gravity (mfs2)
The value off m ay be found by help of the so-called Moody-diagram.
The Manning formula has some rcstrictions regarding roughness range, and should be
used with care outside this interval.
The friction loss in unlined tunnels varies with many factors. Among them we consider
the major ones to be the rack quality, defined by the type ofrock, fault zones,
stratification, etc., the method used for excavation and the leve! oftraining ofthe
personnel. In Fig. 3.26 we have shown measured friction factors for tunnels excavated
in Norway and Sweden in the period 1950-1970 using rather light drilling equipment.
Recen!, not completed research shows a clear tendency of increased roughness, which
is assumed to be the result of heavy drilling equipment and longer drilling holes.
Very often the rouglmess will be different around the periphery. For instance the floor
of the tunnel may be smoother than the rest. In such cases we have to carry out a sub-
calculation first to find a resulting rouglmess factor.
A formula for such calculations can be developed by dividing the total area in subareas
each having its specific constan! reoughness. When assuming the same average
velocity and cncrgy grade line for all areas, it is casy to derive a formula for resulting
roughness factors, Fig. 3.27 Sol ved for the resulting roughness coefficient MR we
anive at the Einstein formula:
M"= (
53
In long head-race and tail-race tunncls the friction loss is predominating. This does not
mean that singular losses should be neglected. Ifa part ofthe tunnel needs to be lined,
for instance when crossing a ft1ult zone, this lining will change the head loss. In Fig.
3.28 are shown the formulasfor calculation of head loss at a sharp-edged inlet and at
the outlet of a lining.
As such linings generally do not reduce the tunnel cross section by more than 10-20%,
the linear friction loss in a lining will be smaller than in the unlined tunnel. Ifthe
lining is long enough, the total head loss will be smaller than if the same tunnel reach
could be left unlined. Short linings will increase the total loss.
In Fig. 3.29 the change in total head loss has been plotted versus relative tunnel reach
and lined area ratio. The relative tunnel length is defined as the ratio: tunnel length to
the square root ofthe tunnel arca. For example ifthe area reduction is 20%, the total
head loss will increasc ifthe relative length ofthe lined reach is less than 6.
Tunnel blasting will usually follow a specified minimum area. Actual blasted area less
than the theoretical will usually not be accepted. A certain overbreak (surplus area), is
therefore unavoidable but, provided that the minimum area is sufficient, much
overbreak implies a rough tunnel giving high head loss. We ha ve tried to correlate thc
overbreak area to the blasted area for tunnels excavated from 1950 to 1970 but with
doubtful results, Fig. 3.30. Some explanation for the vague correlation could be the
fact that m u eh of the spoil has been u sed for thc tunnel !loor and has not been removed
when the cross sectional arcas were measured.
During the construction period, spoil from the excavation serves as a roadway
foundation and sometimes also as a road surface. However, it may be neccssary to
bring additional material into the tunnel for maintcnance ofthe road either because the
rock quality is not adequate or beca use water leakage has removed material from the
road surface.
The finishing criteria for the tunnel !loor has been:
1) No treatment or remo val of tunnel spoil. The disadvantage of the method is that
sand transport from the spoil may cause severe damage to the turbines.
2) Thc tunnel spoil has been partly removed down to the rock peaks.
This mcthod has been prcfercd because it is cheaper to increase the area this
way than by blasting. The disadvantage is the sand transport problem
mentioned above. The increased roughness will very soon be leveled out by the
water flow. lftoo much ofthe spoil is removed, the rack peaks will cause a
permanent increased roughness.
54
3. The tunnel spol has been completely removed. The advantage is obvious. The
severe sand transp011 problem is eliminated. The disadvantages are:
the procedure is expensive,
the friction loss will increase,
access for inspection and possible repair or maintenance work will be
more complicated.
4. The tunnel spoil has been covered with asphalt lining. The method is new in
Norway and we have recently finished a study to find the dimensioning criteria
for the thickness ofthe asphalt lining. Sorne ofthe advantages are:
no sand transport problem,
no access problem during inspection or maintenance,
reduced head loss.
If spoil from the excava! ion has no! been removed complete! y from the tunnel floor,
there will be a sand transport problem when the tunnel comes into operation with
normal water velocity.
To reduce the damage to the turbine a sandtrap is recommended. Two types have been
commonly used in Norway. The open type is shown in Fig. 3.31. This type has no!
worked in satisfactorly manner as only coarse material is trapped. A major par! of the
fine fractions will pass the trap and enter the pressure shaft. Ifthe mineral is ofa hard
type e.g. quartz, the turbine may ha ve unacceptable damage. The efficiency of the
sandtrap can be considerably improved ifa system ofribs or beams is arranged at floor
leve! as shown in Fig. 3.32. This type ofsandtrap takes care ofmost ofthe bottom
transport, but can do nothing to stop suspended material.
lf spoil from the excavation is left on the tunnel !loor or sand may enter the tunnel
from the intake or from a secondary intake, e.g. a brook intake, we usually recommend
a sandtrap with beams to be built. The open type can only be accepted ifthe sand
transport problem is considered to be minor. lnclined pressme tunnels need special
care with respect to sand transport.
Head-race tunnels usually have a mild slope. In sorne cases, for instance ifthe power
plan! has an air cushion surge chamber, the slope may be steep, as muchas 1:1 O. In
such cases spoil from the excavation should not be left at the tunnel floor unprotected.
Ifthis is done, the spol will sooner or later be flushed down during a filling or
emptying operation regardless what the instruction may say.
We therefore recommend that steep tunnels be thoroughly cleaned before the power
plant is put into operation. Another possibility is to line the tunnel !loor with asphalt or
concrete.
1
1
55
3.3.7. Arrangement ofgates and steelworks in tunnels
In the planning and design process ofthe tunnel system for an underground power
plant close cooperation between the civil and the mechanical engineers in necessary. A
main goal is to create a safe and economical plant that can be operated and maintained
in a practica! way.
Norwegian power plants constructed today have often long tunnel systems given by
the geographical and topographical situation. The cost oftunnelling may represen! a
considerable part of the total costs. Hence it is necessary to adopt the tunnel lay-out
which is most favourable, both economically and technically. Such lay-outs may
require anangements for thc hydraulic steelworks which are more demanding to
design and to maintain than usual. Very high pressure on gates and difficult access to
trashracks and sandtraps are typical examples. However, good cooperation between
planners, contractors and operation staff has becn very useful, anda large variety of
practica! solutions has been found.
The structures treated in this section are bottom outlet gates, intake gates, lrashracks,
revision gates and bulkheads. Structural strength, scaling, operational function and
maintenance are the most importan! aspects to be considered.
Discharge gafes
In most underground power schemes bottom outlets from reservoirs are necessary.
Such gates are often working under very difficult condition. Because of large variation
in hydraulic head tunnel gates are most conunon. Typical problems are cavitation,
vibrations, aeration and energy dissipation. According to our experience slide gates of
rugged design have proved to be the best solution, but sometimes radial gates with top
sea! are used for larger cross sections while val ves are used for smaller discharge.
Fig. 3.33 shows an ordinary slide gate in a concrete plug in an unlined rock tunnel.
To maintain the discharge gate a revision gate can be set in the tunnel closer to the
reservoir. This gate is lowered from the top ofthe shaft and set at no-flow condition.
In the gate body a filling valve is installed which is operated by the hoisting wire.
For operational safety two discharge gates are sometimes used. With two discharge
gates the revision gate may be avoided to save the cost of an extra shaft, provided that
the chances of rock-fall in the short upstream tunnel are found to be negligible.
However, to be ablc to maintain and change seals on the upstream gate there must be a
practica! possibility ofhoisting ifabove the reservoir leve! when the downstream gate
is closed. Because of this the gate slots, bottom sil!, top of the frame and upstream
steellining is made from stainless steel and is considered to be maintenance free.
56
lntake gafes
Many of the intake tunncls to power plants are run into the full reservo ir by "lakc
piercing". Conscqucntly it is impossiblc to build an intakc structurc in the reservoir
itself. The intakc gate is thereforc placed in the tunnel a short distance away from the
reservo ir where it is possible to blast or dril! a vertical gate shaft frorn a suitable point
above the reservoir leve!.
A normal design is to arrange a revision gate and a gravity closing wheel gate in the
same shaft as shown in Fig. 3.34. The wheel gate acts asan erncrgency closing device
ofthc reservoir, while the revision gate is lowered in special guides from the top ofthe
shaft whcn the equipmenl in the shaft or the whcel gale shall be inspected or
maintained. The revision gatc has a built in filling val ve connected to the lifting wire
for filling the space between the two gates and the shaft. Filling of the downstream
headrace tunnel is done with the wheel gale when the revision gate is lifted away. An
aeration pipe is mounted in the shaft for ventilation of the tunnel during filling or
dewatering.
lfthe headrace tunnel has a pressurized air surge charnber instead ofa surge shaft there
might be a need for an extra evacua! ion shaft for air. A ir can escape into the tunnel
frorn the a ir charnber in case of uncontrolled operation of the intake gate and the
turbine. This situation has to be analyzed by special calculations as it can be a rnost
dangerous situation.
Sorne power schernes ha ve severa! intake reservoirs or smaller secondary intakes from
brooks. The lunnel systcrn often has a considerable length, and each reservoir has its
own intake gale, gales that sornelimes musl operate under back pressure, Fig. 3.35. In
such cases it can be inconvenient to empty the wholc tunnel system lo get access to the
prcssure shaft. lt can also be necessary to operate the tunnel systern to allow transfer of
water from onc reservoir into another in the llood season, while maintenance work has
to be done on for inslance the penstock or tha main turbine val ve. The solution has
been to install a separa te intake gate/valve at the top of the pressure shaft, e ven if this
is costly and no! needed for safety. The econorny is calculated frorn the risk of loosing
water or having an unwanted stop for emptying the whole tunnel systern.
An intake gate concrete plug is designed to give a rninirnum of head loss. To have
econornical gates !he gate cross-section is smaller than the tunnel cross-section. Hence
a diffuser is made downstream the gate to recover sorne of !he velocity energy in the
gate opening. The dirnensions are found from a cost-benefit analysis, i.e. minimizing
the sum of capitalized hcad losses plus the costs of the concrete with steel equipment.
The operating chamber for the gates is norrnally placed above the reservoir leve!. Thus
hoisting rod lengths of 100m is no! unusual, but in case of higher heads !he hydraulic
operating cylinder has bcen placed submerged sornewhere down in the shaft, A
concrete plug in the shaft anda stuffing box for the hoisting rod can then be practica!,
57
but it involves normally a pump drainage system unless there is access and self
draining from somewhere downstream the dam. Automatic aeration val ves are then
needed. The revision gate with hoisting rod can only be taken up for maintenance
when the reservoir leve] is below the stuffing box level.
Sometimes the design head of the revision gate can be higher than the corresponding
maximum reservo ir leve! because the pressure rise, caused by blasting the final rock
plug into the reservo ir (lake piercing). This has to be taken careo f. Under such
conditions higher stresses than normal working stresses may be allowed in the gate.
Trash racks
The purpose of the trashrack is to protect the turbine from debris and foreign matters
that can do damage or clog in the francis runner or in the nozzle of a pelton turbine.
Often two trashracks are installcd, one for a rough fltering in the headrace tunnel and
one for the final fltering near the intake ofthe stecllined conduit lcading to the
turbine. lt is necessary to have access to both through bulkheads in adits. When
necessary it may be practica! to build a sandtrap in connection with one of the
trashracks.
To detect unnormal headlosses across the racks a differential pressure measuring
equipment is usually installed. The manometcr/monitor is mounted outside the access
bulkhead.
To reduce the head loss across the rack a moderate design velocity, approximately 1
mis, is used.
A design pressure difference of about 1Om head has often been used. The supporting
frame and beams are normally designed a bit stronger than the racks.
Bulkheads
For the tunnel excavation a number of access tunnels (adits) are made to the main
tunnel. Concrete plugs with steel bulkheads for access are installed, and to be able to
drive into the tunnel with a of2,8 m x 2,8 mis frequently used.
It can be practica! to install the plug ata certain distance away from the main tunnel to
avoid that heaps of depositcd sand make difficulties when the bulkhead shall be
opened.
Depending on the design pressure the bulkhead can be designed as a pi ate with ribs, a
segment of a cylindrical shell ora spherical cap, Fig. 3.36.
The steel frame supporting the bulkhcad is cmbedded in the concrete plug, and the
load between steel and concrete must be thoroughly calculated to avoid cracking of the
concrete when the hydraulic hcad is high, i.e. 500 m of water. In extreme cases with
large support loads on the frame a part of the load can be transferred from the m a in
58
frame seat through the steellining into the neighbouring rib which is well stiffened.
Then both thc elasticity of steel and concrete must be taken into account, and the case
is analogue with the force distribution ofthe threds ofa screw.
The steellining downstream the bulkhead is normally made short. For safety it is
designed for the full water pressure betwcen lining and concrete. lt can be an
integrated part of the frame, only ment for supporting the concrete near the frame.
The upstream lining has mainly the purpose of sealing between lining and concrete,
and the length is limited to what is necessary to give room for a sufficient number of
sealing ribs, 2-3 ribs pr. 100m ofwater head. This lining is only designed for pressure
from concreting and grouting.
The length ofthe concrete plug is designed to limit the shear force between concrete
and rock and to eliminate the risk of leakage between the rock and the concrete.
Draji tu be gates
The draft tu be gate(s) in an underground power station does not differ from what is
found in other power plants. Thc gates are rcvision gates, set at no-flow conditions at
the end of the draft tu bes. The gate is lowered from a special gallery blasted
downstream the power station cavern, Fig. 3.37. The gatc shaft usually acts as a surge
chamber so the maximum oseillations has to be taken into account.
The gate itselfis an ordinary revision gate, but spccial attention has to be paid to the
seals. They havc to cnsurc good conlact wilh thc scats bccausc lhcre is no pressure
differcnce when the emptying ofthe draft tube sta11s.
The draft tu beis flled from the tailwater, and a filling val ve in the gate operated by
the hoisting wire is a practica! design.
3.4. Prcssure transicnts, surges and turbine goycrning
By "surges" and "pressure transients" we usually mean large amplitude transients,
caused by the largest and worst possible load variations.
In governor stability analysis we consider nearly constan! load operation: The time
variables (load, head, discharge, speed etc.) ha ve only small amplitude deviations from
their stationary mean values.
We deal with exactly the same physical system in the two cases. We also use the same
basic equations for conslructing theoreticalmodels of the system in the two cases. But
there is a great difference in the methods of analysis and calculation: Considering
small amplitude variations we linearize all equations (i.e. we use the tangent in the
working point ofa curve, in stead ofthe curve itselt). \Vhen investigating large
amplitude variations this is of course not permissible; it would lead to totally
erroneous results.
59
Let us consider full laod rejection of a turbine: The rotational speed n rises quickly and
the governor almos! immediately goes into "saturation". This means: the servomotor
closes the guide vanes with the maximum possible, constan! speed:
d ~ Xmax
=
di
Here x is servomotor stroke, or guide vane opening. Te, the closin time, normally is
5-l O sec. (Te may be as long as -30 sec. for Pelton turbines).
Correspondingly there is a maximum opening speed for load admittance, with opening
time T
0
of the same order of magnitude as Te.
Considering load rejection or admittance, the following responses are importan! fcr the
design ofthe hydraulic system and turbine.
max speed deviation
max pressurc rise at turbine
max pressure drop on suction si de of turbine
max surging of water levels in shafts
For turbines with long pressure conduits, Pelton- and high head Francis turbines, water
is by-passed the turbine runner during closure (deflector/reliefvalve) so that a
relatively long closure time can be used without having excessive speed rise.
By Pelton turbines the speed rise after load rejection has no influence at all on the
hydraulic transients in the head race water-system. These transients are dependen! of
needle movement only.
On the other hand, by full-flow turbines the hydraulic characteristics ofthe machine
are in general dependen! on the rotational speed. So, for these turbines both guide vane
movement !ill! speed deviation influence the hydraulic transients. And, it is necessary
to know the machine characteristics, al so outside the region of normal working
conditions, to be able to compute the transient functioning ofthe whole system.
3.4.1. Surges in shafts
By surges we mean water leve! variations in surge chambers, shafts, and tunnels
flowing partly fui l. (The latter is a water-wave phenomenon).
Surges are slow. Typical oscillation periods are a couple of minutes. We therefore
always use rigid water thcory to compute thcm.
60
For preliminary rough calculation of max surges in surge shafts the following simple
formula is useful:
z = L'.QJ'I,(l 1 a)
gA
Here Q is discharge reduction (or increase), the 'I,(I 1 a) accounts for the inertia of
the water masses which cause the surge, and A is the are a of the surging water surface.
The formula does not account for friction or secondary shafts. However, it will often
give a 1 0% conect result, e ven i f small secondary shafts are present. (The formula of
course is based on rigid water theory).
The formula also can give usa rough estmate ofpressure rise caused by upsurge in a
compressed a ir surge chamber. For the water surface area A we then ha veto use the
equivalen! shaft area Aequ in the formula. Dueto the nonlinearity of air-compression,
thc pressure rise will always be somewhat higher than one gets from the above
equation.
Therc cxist other, more complex formulas, but we willnot recommend them neither
for preliminar nor final dcsign use. In complcx systcms thc time history ofthe surges
should always be calculatcd. This is thc most cxact mcthod, and, what is not less
importan!: it gives thc dcsigner a good feeling of how !he waterway-system functions
during transient conditions. The time history is calculated numerically on a digital
computer.
3 .4.2. Pressure rise al the turbine
Accelleration or retardation ofthe water masses in the pressure shaft (or in the draft
tube) cause pressure variations at the turbine. These pressure transients are relatively
rapid. For instance by load rejection the turbine closing time may be -1 O sec. , and the
pressure peak usually comes at the end of the closing time. So, apart from low head
plants with short pressure shafts, we ha ve to use elastic water theory for the calculation
of these pressure transients.
A simple formula, based on elastic water theory, for pressure rise by fullload rejection
is the following:
Here Q
0
initial discharge, (/ 1 a) is takcn from the turbine up to the nearest free
water surface, and Te is turbinc closing time. By inspection it can be seen that:
61
is another version ofthe same formula. Here Tr' is the upstream (ofturbine) part ofthe
penstock time constan! T r given in the next part.
The formula above can be used for rough estimates of maximum pressure rise by
turbine load rejection (or valve closure) for both low- and high-head systems. The
accuracy m ay be of the order 1 O - 25%.
3.4,3, Regulation stability
In order to have some idea ofhow the turbine functions as part ofthe total dynamic
system, we write the familiar equation for turbine power output:
,;(x..jH}H
This means: We consider the turbine as a function with input variables x (= guide vane
opening) and H (= net head), and output variable E(= power output).
Non-stationary conditions in the conduits will cause the head H to vary. E.g. during an
increase ofthc load, H will decrease dueto thc inertia ofthe water. lt is then possible
that the relative reduction in H 3/2 is temporarily greater than the relative increase in x.
In that case the output E will decrease when the guide vane opening x increases. The
control system is then unstable and therefore unuseable.
The problem of governing stability can not be sol ved by adjustment of the governor
only. The stability aspect imposes certain minimum requirements on the dynamic
properties of the water conduit system. Two elements of the conduit system are
directly influenced: penstock and surge tank,
Fig. 3.38 schematically gives the pressure situation in penstock and draft tube when
the guide vane opening x increases. Part ofthe gross head H
0
is needed to accelerate
the water in the penstock and the draft tube, ha= haJ+ha2 Then the remaining head H
= H
0
-ha, must be large enough so that the output E does not decrease. Thc inertia of
the water column must therefore not be to large. The inertia of the water in thc
penstock and draft tube can be exprcssed by the penstock time constant:
T,= Q. 'l)lla)
gH,
The index "o" indicates steady state average values, normally taken at fullload
condition. In the tenn L:U 1 a), 1 is length anda is cross section for uniform parts of
the conduit.
T r represents the time required to accelerate the water in the penstock and the draft
tu be from zero up to thc actual dischargc Q
0
, under influence of the actual head H
0
.
62
The term (1/a) is accumulated from the nearest free water surface upstream, through
the turbine, lo the nearest free surface downstream ofthe turbine.
The requiremcnt for penstock time constan! will be nearly thc same foral! power
plants:
T, S !.Osee
lt is no! always sufficient to consider !he water as an incompressible liquid, or pipes
and tunnels as rigid. The elasticities mus! be taken into account either because the
penstock is long or beca use the tenn (1/a) of thc surge shaft makes up a large part of
the total L:Ut a). The requirement on Tr will then be more stringent, say Tr <0,6 ... 0,9
sec. Other conduit requirements, no! mentioned in this lecture, are al so possible.
The requirement Tr $ 1.0 sec. yields normal conditions with large and medium size
Norwegian power plants. However, a larger T r can be compensated by a larger time
constan! for the rotating masses. T a is called the acceleration time, and can be
interpreted as the time it takes to accelerate the generator from zero to normal speed. In
most cases T a = 5-6 sec. General! y the requirement for normal good governing
conditions is:
T,IT,, s0.2
rather !han T r $ l. O sec. The use of this requirement, with T r >> l. O sec. m ay be
relevan! for small, or otherwise special power plants. In order to obtain Ta >> 5 sec.,
extra inertia will have to be added to the rotating shaft, or coupled electrically to it.
In most cases the total water column between the upper and lower reservoars is far too
long to meet the requirement Tr S 1 sec. The distance between the upper and lower
free surfaces then has to be shortened with the help of a surge tank or shaft. This will,
however, cause new problems. The intake, the tunnel and the surge tank will create a
U-tube system in which transients will cause gravity/mass oscillations. The resonant
frequency of this oscillation system is:
/,, = J
A is the surface area of the water in the surge tank, (1/a) represents the inertia of
the water in the U-tubc.
These oscillations create a problem for the control ofthe turbine, because they cause
variations in the head and consequently also in turbine output. In order to have damped
63
mass-oscillations, and thus stable turbine governing, the practica! requirement is a
mnimum free water surface area in the surge shaft. In a simple system with reservo ir,
tunnel and one shaft the required area is given by
M
2 5/J
A""00125 a
, H
o
where a(m2) is tunne1 cross section area, H
0
(m) is net head and M is Mannings
roughness coefficient. This formula is derived from the so called Thoma-formula, and
gives ca. 1,5 x the Thoma-area.
An enclosed air chamber has a similar dynamic effect asan open shaft on the tunnel.
The air chamber is dynamically caracterized by its equivalen! shaft area, which is
approximately:
Y
0
(m3) is the air volume. h po (m water-column) is the absolute air pressure.
The design variable is primarily the volume Y
0
. It can be estimated by letting Aeq =
A.
3.5 Undcrground powerhousc layout
3.5.1 Generallayout
Planners and designers who are new lo the underground power house solution tend to
interpret this concepl by excavating an underground cavern and place a power house of
above ground design in the cavem. This is obviously the wrong approach and is also
costly. Under the modern underground structures concept a power house design,
developed for underground application has becn perfected, utilizing all the advantages
the underground solution may present.
In the case of the underground power house there is less environmental complications.
Once underground the restrictions are few, and with the exception of the geologica1
conditions, they are of a project design nature. An underground alternative is se1dom
contemplated ifthe geological conditions are not favourable. The main concem in this
rcspect is the general orientation of the power house cavern in order to avoid costly
support work. Otherwise great flcxibilily is possible when planning underground
layouts. It must, however, be kept in mind thal the working conditions and safety
aspects are extremely importan! in connection with underground inslallations. In case
ofaccidents thc escape routcs are lirnitcd and distancc to lhe oulside may be
considerable.
64
There are many alternatives and solutions in underground layouts; the flexibility is
great and the options are many. Thc hydropowcr planner, the engineering geologist
and thc underground construction engincer will prepare the main layout with input
from the mechanical and the electrical cngineers.
In the power house itselfthe electrical enginecr will have the main input with respect
to room programs and dimension rcquiremcnls. The mechanical engineer will give all
input with respect to turbines, cooling, drainagc, tire protection, ventilation, cranes,
gates and valves. However the whole planning process will be based on team work
coordinated by the hydropower planner.
Local ion, oriental ion and shape o.f caverns
Dueto topographic conditions it is frequently required to place underground
powerhouses under deep rock cover where the rock slresses may be subslanlial. This
trend has been accentuated with the introduction of unlined pressure shafts and
tunnels, which have necessitated increased distance from surface to powerhouse. To
counter any adverse conditions and preven! excessive supporting measures dueto high
rock stresses, it has become steadily more importan! to analyze the principal rock
stress conditions in advance for the purpose of tinding the most favourable orientation
of the cavern.
Equally importan! is of course a detailed geologic mapping of jointing and fault zones.
The final orientation ofthe cavern will sometimes become a compromise between the
optimal "stress-orientation" and thc oplimal "joint-orientation".
For Francis-type turbines which are prcscntly used for a wide rangc ofheads, betwecn
50 and 600 m, one way to decrease the width of the powerhouse cave m is to place the
pressure conduits approach into lhe cavern al an angle differcnt from 90 to the units
centerline. The purpose is lo give the closure val ves al the turbine inlet better
accessability for installation and disassembly. An angle of 600 has been found to be
near the optimal. Local recesses in the upstream rock wall will in mosl cases be
required to accommodate the valves, as shown in Fig. 3.39.
Almost all hydropower turbines/generators installed after 1955-60 have vertical shafts.
Exceptions are certain types of small hydro units. This vertical shaft concept has
strongly influenced the general layout of power stations, and governed the shape of
modern underground powerhouses; high and narrow caverns, in contras! to the wide
and shallow shapes ofthe past. Fig. 3.40 illustrates lhis.
65
Tailrace gafes
For Francis installations it is customary lo place the primary closure arrangement for
!he tailrace si de al !he cnd of the draft tu be, whcre the max. water velocity is
approximately 2 m/s. The distance from !he centerline of the unit to the gate may be
from 20 to 40 m.
As shown in Fig. 3 .41, the gate hoist chamber is placed al !he top of a gate shaft,
which mayal so be expanded lo actas a surge shaf1 if that should be required. This
arrangement has two obvious advantages:
The volume of water to be drained prior to revision work is very small.
The combined use of !he gate shaft as surge chamber and by that saving of
volume of rock excavation.
3.5.2 Powerhouse arrangements
Tramformer loca/ion
Severa! different solutions ha ve bcen used for placing !he transforrners as shown on
Fig. 3.42.
on the powerhouse !loor leve!, opposite the power unit, which requires increasing
the width of the cavcrn.
below !he powerhouse !loor leve!, between the units, which requires increased
spacing of units.
in a gallery along the access tunnel approach to the powerhouse, which may
require increasing the width of the access tunnel beyond the powerhouse width.
in a separate cavern, located near and parallel to the powerhouse.
Generator circuil breaker
In order to ensure quick disconnection between generator and transforrner in case of
faults occurring, it is now customary to install generator circuit breakers in alllarge or
significan! power stations. This breaker equipment is rather space-consuming and will
normally ha ve a certain bearing on the powerhouse layout.
Ventila/ion
The ventilation systcm in an underground powerhouse shall serve two purposes,
cooling and comfort.
66
One purpose is to convey the surplus energy radiated from equipment in the
powerhouse. This is encrgy loss which is not taken care ofby the dircct water cooling
system of generators and transformers.
The need for cooling ofthe air depends on the temperature distribution and heat
conductivity ofthe surrounding rock. It appears that evaporation from exposed rock
surfaces in some cases has a significan! cooling effect. Also accepted maximum
temperature in the powerhouse and the middle temperature in the arca affect the need
for cooling.
A number for Norwegianunderground powerhouses have been investigated recen ti y
with respect to cooling requircmcnt. A conclusion is that additional to the direct water
cooling ofthe equipment the ventilation system should have capacity to convey about
1 o/oo of maximum generating effect.
The air supply is provided in different ways depending on the tunnellayout.
In the case of free-surface tailrace tunnels the air is taken through the tailrace. This is
advantagcous because the air will always have a temperature above freezing point of
water (0C) when it reaches the powerhouse even during low temperature (-30-
-400C) periods in winter.
In the case of a pressurized tailrace tunnel which is often the case with variation in
downstream water leve!, ventilation air supply must be provided through a cable shaft
or by a separate a ir conduit in the main access tunnel.
To preven! exhaust gases from vehicles to penetrate the powerhouse the main access
tunnel is invariably used for air evacuation.
Condensation will inevitably take place on inlet valves and other steel parts on the
turbine floor during the cold season. By reducing ventilation toa mnimum and
installation local dehumidifying units on this floor, dry conditions for painting and
other maintenance is secured during part of the year.
Monitoring equipment and automatic control devices ensure that the ventilation
system is shut down momentarily in case of fire or other irregular events, to be started
again only after the problem has been identified.
The need for air supply for comfort will normal! y befar less than the need for cooling
provided that exhaust gases from vehicles are evacuated through the main access.
This means thc cooling may be providcd by a heat cxchangcr in a interna! air
circula! ion system in thc powerhousc. In cases whcre supply air from outside must be
preheatcd to prcvcnt icing problems such interna! systcms oftcn turn out to be an
economic solution.
67
In cases with air supply over a freesurface tailrace tunnel the preheating ofthe air is
provided by the water and involves no extra cost. Therefore in such cases an interna!
heat exchanger system in the powerhousc will not be of any saving.
Personal safety
The safety ofworking staffhas gained increasing attention in Norwegian underground
powerstations during thc last decades. This is part of general effo11s to make all work
as safe as possible through law ami regulations. In the case ofunderground
powerhouses the question has been accentuated because deep seated powerhouses will
ha ve long adits. Also there ha ve been a few accidents with casualtics after explosions
in underground powerhouses.
The hazards to be encountered are explosions, tire and tlood.
As a rule there shall be two altemative escape routes from any part of the powerhouse
out to the surface. These ro u tes will be arranged differently in di fferent cases
according to the total tunnel layout.
In case of a free surface tailrace an emergency escape route by a small boat along the
tailrace tunnel has been prearranged. In case of a separate power transmission shaft
this also will serve as alternative exit. In some cases the main access is divided in two
sections, one for transport, the other for power transmission cables. In such cases each
section is regarded as one possible escape route. The escape ro u tes shall be equipped
with emergency lighting to enable people to escape even during blackout of ordinary
power supply.
In the powerhouse one room shall be prepared asan emergency salvage room,
equipped with pressure resistan! doors, emergency oxygen supply, tirst aid kits etc.
The transformers and accessories ha ve turned out to be the greatest hazards with
respect to explosions. Therefore the transformer enclosures are designed to withstand
explosive loads. Furthermore explosive pressure and gases from an explosion should
be released through separa te ducts without damage or penetration to the machine hall.
The most difficult problem in case of explosion or tire will probably be to preven! the
smoke from penetrating the powerhouse and main access. Some stations are equipped
with a reversible ventilation in arder to keep the main access free from smoke.
Experience so far shows that working staff willneed access to emergency oxygen
supply shortly after an accident. Therefore in big powerhouses a distributed emergency
oxygen supply should be prepared.
Some years ago underground powerhouses were equipped with control rooms
separated from the machine hall by glass panel walls. Toda y this is regarded as a
special hazard to working staff in case of explosion. In new powerhouses this kind of
control room design has been left.
68
Most underground powerstations are today operated by remole control. Therefore there
is no longer a continuous supervision by operating staff in each powerhouse. Today
the control room is often replaced by control desks on the machine hall !loor next to
each unit. In new powerhouses with scparatc control rooms the former glass panel
walls are replaced by small reinforced windows, and dueto thc dcvelopment of
electronic equipment !he space requirement for the control room has been reduced
radically.
Tunnellayout
The tunnel layout wi 11 be adapted to two sets of rcquirements.
One is the need for transport, ventilation etc. to carry out thc construction and erection
work.
The other represents thc future functions of the power station after commissioning.
These needs are accesscs to different parts of the power station for operation, control
and maintenance, ventilation, emergency exits, power transmission, surge chambers
etc.
An importan! recognition is that excavating a tunnel sloping downwards means a few
inconveniences. The m a in one is the continuous need for pumping of water from the
working face. Therefore instead of a constan! moderate slope downwards a
consentrated steeper slope usually will be preferable. By Norwegian construction
practice a downward inclination 1 :9 is regarded asan optimum slope if a steeper slope
does not involve a saving in tunnellength. !fa steeper s1opc gives shorter tunnel a
maximum slope 1 :7 sometimes is used.
On the contrary any s1ope upwards between 2 o/oo and 1 :8 is used adjusted to the
circumstances. At least 2 o/oo should be chosen to have the tunnel drained by gravity
without problem.
To minimise the total cost multipurpose aspects of the tunnel layout should be kept in
mind. Every tunnel and shaft may serve severa! functions and different functions
during construction and after commissioning.
The tunnellayout adjacent to the powerhouse may greatly intluence the efficiency of
excavation construction and erection.
Some examples of multipurpose tmmellayouts for powerhouses of moderate
capacities are shown in Fig. 3.43 and Fig. 3.44. Similar layout will be applicable for
big capacity schemes.
69
3.5.3 Powerhouse structures
Crane beams bolted to rack wa/1
lt is very time-saving to have an overhead crane available in the powerhouse cavem at
an early time for the concrete work, the erection of spiral cases, etc. In order to achieve
this, two obstacles have to be overcome:
support for this crane must be provided without the aid for any powerhouse
concrete substructure, and
the support (assuming concrete girders) should be constructed economically, i.e.
without the use of high scaffolding.
Various solutions have been used in Norwegian powerhouse construction over the
years; the most recen! design is shown in Figs. 3.45 and 3.46.
After having excavated the top heading for the powerhouse cavern and installed the
rock support in the ceiling, long rock bolts of large size are placed and grouted in both
sidcwalls as anchoring for the rcinforccd concrete crane girders. Model tests have
confirmcd the feasibility of structurcs of this type, which ha ve then Jater been installed
and successfully u sed in Jarge powcrhouses with maximum crane wheel Joads of 73
ton.
Implemenlalion of concrete works
Where the construction schedule and other conditions permit, it is highly preferably to
ha ve the major part of the concrete work in the powerhouse cavern completed before
the start of machinery erection. This is beca use of the inconveniences brought about i f
both activities, construction and erection works, are to be perfonned in the same
location to the same time.
The conrete embedment for the spiral cases and the concrete support for the generators
will necessarily have to be placed after the spiral case installation. Even so, it is
normally no problem to plan the main concrete structures in such a way that they
pro vide the needed support for the floors, including the assembly area on the
powerhouse floor.
Utilizing of conslruction adits
The excavation of underground power plants will often require construction of adits as
temporary access or attach points. Such adits may in some cases be incorporated in the
pennanent plant. An adit from the access tunnel down to the tailrace may for instance
be converted into a tailrace surge chamber, andan adit from thc access tunnel up to the
top heading for the powcrhousc cavcrn may likcwise, in part, be used as a cooling
water reservo ir.
70
In order to reduce costs and save time it is impOitant to keep an eye on the possibilities
of such combined uses airead y at the design stage, while one is still free to choose
location and alignments for the construction adits.
71
4. ECONOMIC ANALYSIS IN HYDROPOWER PLANNING
4.1. Project appraisal
Hydropower projects are appraised at various levels of investigation and for various
purposes. Normally appraisals are madc using criteria which, although dealing with
different aspects, are entirely interdependent.
Appraisals will normally cover the following main aspects:
Technical
Environmental
Economic - Financia!.
Of these !he technical project appraisal is the most comprchensive. lt covers the
natural qualities ofthc project, the soundness ofthe project plans and the safety
aspects both during construction and the operation to follow the commissioning ofthe
project.
The technical appraisal is based on the presented project plans and therefore contains
as such an assessment of the performance of the planners as well. Both the planners'
ability to utilize the natural qualities of the project si te and the soundness and
practicability ofthe project plans.
The environmental appraisal of the project plans is el ose! y interwoven with the
technical appraisal. The environmcntal disturbance and impact to be evaluated is an
anticipated result of the intention to implement the project and the environmental
soundness of the project plans.
Ifimplementation ofthc project plans is found to incur unacceptable environmental
disturbance and impact, the project will be judged as technically infeasible because of
the detrimental effects on the environment. The effects may be of a physical nature,
such as inundation dueto a rcgulation dam, or more of a sociological nature, such as
displacement ofhabitants resulting from the regulation.
Theoretically the total environmental effects, resulting from the project, should be
included in the appraisal, the positivc as well as the negative sides. lt should, however,
be realized that impartiality is difficult to achieve in these matters. The consideration
of various aspects, cnvironmental issues and thcir relative importance in particular, are
easily swayed by the views of the appraisor.
72
Compared to the technical and environmental appraisals, the economic and financia!
appraisals are less exposed to the views of the appraisers. They are, however, al so
influenced by the project plans as the economic and financia! performance ofprojects
is interrelated to:
Project income (sales of generated power)
Project costs
Implementation time
Operation and maintenance costs
Financia! project performance is also very much influenced by interest rates and
financing conditions.
The economic-financial appraisal is basecl on thc cash flows generated by the project,
ovcr its lifetime. 1-!ydropowcr projccts, likc othcr infrastructurc projccts, will have to
compete for financing, as investment capital is normally in short supply.
In order to compare hydropower projects mutual! y and to compare hydropower
projects with other infrastructure projects competing for financing, a measuring system
for economic ancl financia! performance has been developed.
Thc economic performance of a project reflects the project's economic impact on the
whole economy (society). Financia! performance, however, concerns the owners alone.
1t illustrates the effect of the projcct on the flow of funds to and from the owner
organization.
Economic and financia! appraisals are based on the same project accounts. There is,
however, one big difference. The cash flow tables to be used for economic analysis
will not include taxes and duties, nor financia! costs, etc., while subsidies and similar
are added to the accounts. The financia! cash flow tables include al! real costs to the
developer/owner. Financia! costs, interests in particular, and financing conditions will
influence the financia! performance of a project. This means that projects which show
good economic performance may perform differently in financia! context.
Preliminary economic and financia! tests can be carried out on projects for the purpose
of assessing their performance in these fields. The result of such tests will indicate the
economic and financia! performance lo be expected and provide a basis for comparison
of projects competing for the same resourccs and funds available for capital
investment.
73
4. 1.1. Discounting factors
Single-paymenf factors
In applying discounting to convert cash flows toa single number suitable for use in
comparing altematives, the basic objective is to conve11 a valuc at one date toan
equivalen! value at another date.
The single-payment compound-amount factor indicates the number of dollars which
will have accumulated after N ycars for cvery do llar initially invcsted ata rate of
return ofi perccnt. Thc functional notation is (F/1', i%, N) where F implies a future and
P a prcscnt amount. Ifonc wcrc to dcposit P dollars initially, after one year
F = P (1 + i)
Each year the amount must again be multiplied by (1 + i) to account for that years's
interest; therefore after N years
F= P(l+i)N
The desired factor becomes
F =(l+i)N
p
The single-payment present-worth factor indicatcs the number of dollars one must
initially invest at i percent to ha ve $1 after N years. The factor is the in verse of the
previous factor, i.e.
p
=--"'"
F (l+i)N
Uniform-annual-series factors
All discounting problems can be soled by applying the two single-payment factors.
However, additional factors can be dcveloped to greatly reduce the required work. As
an example, one may take a hydro power plant having an equal power value each year
for say 40 years. Forty separate single-payment present-worth factors would have to be
applied to find the present worth of this uniform annua1 cash flow. The task is made
much shorter by developing unifonn-annual-series factors.
Uniform-annual-series factors indicate equivalence between the value atan earlier
date, P, and equal amounts A at thc end of each of the N years, or between the N equal
values of A andan accumulated amount F, Fig. 4.2.
74
Sinking-fund Factor. The sinking-fund factor indicates the number of dollars one must
invest in uniform amounts at i percent interest at the end of each ofN years to
accumulate $1. The functional notation is (A/F, i%, N). lf one were to apply the
single-payment compound-amount factor individually to each of the N values of A in
Fig. 4.2 and sum the rcsults to obtain F, the result would be
F= A[l+(l+i)+(l+i)' ++(l+i)NI]
where the last value of A accumulatcs no intcrcst because it is withdrawn immediately
u pon deposit and thc first value of 11 accumulatcs interest for N - 1 years. Multiplying
both sides by 1 + i gives
( 1 + i)F = A[ (1 + i) + ( 1 + i)' + ( 1 + i)
3
+ +( 1 + i) N l
The relationship may now be converted from a series toan explicit expression through
term-by-term subtraction to give
iF = A[(l +i)N -1]
The desired factor becomes
A i
=
F (l+i)N-1
Capital-recovery Factor. The capital-recovery factor indicates the number of dollars
one can withdraw in equal amounts at the end ofeach ofN ycars if$1 is initially
deposited at i percent interest. The functional notation is (A/P, i%, N). Because
A AF
~ : : : : : - -
P FP
then by substitution we get
A i(l+i)N
= .......0......,--;c'---
p (l+i)N -1
Series Compound-amount Factor. The series compound-amount factor indicates the
number of dollars which will accumulatc if cxactly $1 is invcsted at i percent interest
at the cnd of each ofN years. The functionalnotation is (F/A, i%, N). The factor is the
inverse of the sinking-fund factor, or
F (1 + i)N -1
=
A
75
Series Present-worth Factor. The series present-worth factor indicates the number of
dollars one must initially invcst at i percent interest to withdraw $1 at the end of each
ofN ycars. Thc factor (P/A, i%, N) is thc invcrsc ofthc capital-recovery factor or
4.1.2. Discounting methods
The procedure in wich discounting factors may be systematically applied to compare
alternatives (either different projects or different sizes ofthe same projcct) is called a
discounting method. The threc conceptually corree! discounting methods are ( 1) the
prcsent-worth method, (2) the rate-of-return method and (3) the benefit-cost ratio
method. Each method, ifuscd corrcctly, leads to thc same evaluation ofthe relativc
merit. However, each has advantagcs and disadvantages.
Present-worth method
The present-worth method selects the project with the Jargest present worth PW ofthe
discounted algebraic sum ofbenefits minus costs over its Ji fe.
11 p
PW= L;(-,i%,t)(B,-C,)
t=l F
where C
1
is the cost and B thc benefit in the subscripted year, n is the period of
analysis in years, and i is discount ratc. Whcn the annual nct benefits B = B - C are
constan! o ver the project lile except for thc initial cost K, the formula may be
simplified to
PW=-K+B(p i% n)
A' '
Calculation of present worth from a cash flow diagram is purely a mechanical process.
However, certain rules must be followed in comparing the calculated present worths to
make corree! choices.
Rate-ofreturn method
The rate or return is the discount rate at which the present worth equals zero as found
by tria! and error. Sorne decision rules apply when comparing alternatives by the rate-
of-return method.
The rate-of-return method willnot Jead to the same dicisions as the present-lvorth
method unless an incremental analysis is u sed in place of selecting the mutually
exclusive alterna ti ve with the highest rate of return. The rate-of-return method must be
applied with caution beca use more !han one rate of return exists when annual costs
exceed annual bencfits in years aftcr annual benefits first exceed annual costs. The
76
water resources planner needs to be ale11 to this problem in comparing stage
construction or non-structural alternatives by the rate-of-return method.
Benefit-cost ratio method
The benefit-cost ratio PWb/PWc is the present worth ofthe benefits PWb divided by
the present worth of the costs PW e Annual values can alternatively be u sed without
affecting the ratio. The present worth PWb of annual benefits Bt is
11 p
PW, = 'L,(-,i%,t)B
1
,,, F
The present worth PW e of the costs Ct is
u p
PW,. = 'L,(-,i%,t)C
1
t=l F
The decision on whether particular cash flows should be considered costs or negative
benefits is sometimes arbitrary and affects the benefit-cost ratio. It is importan! to
recognize that the best project has the grcatcst net benefits, not the largest bencfit-cost
ratio. Severa! authors havc suggcsted that the benetit-cost ratio method leads to
different decisions than the othcr tcchniques do. Howcver, this conflict only occurs
when the incremental-cost principie is neglected.
4.2. Optimization of project clemcnts
For assessing thc rcntability of hydropowcr projccts, data on total costs and total
incomes are needed. Total costs include development costs as well as the cost of
running the project, i.e. operation and maintenance costs.
Rentability analysis will, however, not reveal whether the presented project is the best
economic solution, whether it is well dcsigned or whether the size and dimensions
represen! the optimum solution.
To secure optimum solutions techno-economic analysis are performed during planning
and design ofprojects and project elements. Such analysis are based on marginal cost
and marginal income considerations.
4.2.1. Marginal cost and income analysis
In hydropower engineering, as pm1 ofthe planning and design process, marginal cost
and income considerations are used quite extensively. They are used for determining
the cconomic size of projects and the cconomic dimensions of project elements and
structures. Economic in this context means optimum, the optimum size, dimensions,
installations, etc.
77
Under the marginal cost and income consideration concept, optimum is achieved when
the cost ofan increment is equalized by the utilitarian value ofthe same increment.
The data on cost and income mentioned above reflect an established size or dimension
of the project. Based on this the rentability of the project can be assessed. The quality
ofthe project is, however, still undecided. A changed layout ora different size may
improve the rentability and increase earnings.
The normal goal of a developer is to maximize the net return on the investment, i.e. to
make the difference between total income and total costas large as possible.
lnformation about this optimum situation can be gained through computing the
diffcrcnce al various steps and thus idcntifying thc maximum diffcrence. A better way
is, however, to utilizc the marginal considera! ion concept to search for the optimum
solution.
As airead y defined, optimum occurs when the marginal cost of an increment matches
the marginal income (or marginal value) ofthe increment. Marginal cost and marginal
income are obtained by derivation of the total cost and income functions. Total costs
and incomes are developed as functions of size, see Fig. 4.1, where they are arranged
as curves in a diagram.
The corresponding marginal cost and income curves, obtained by derivation of the
total cost and income curves, are also displayed in the diagram in Fig. 4.3. The
requirements to optimum size are met where these two curves intersect. The optimum
size also corresponds to where the maximum diffcrcnce betwecn the total income and
cost curves occurs, al the point on the curves where their tangcnts become parallel.
4.2.2, The optimization process
Optimization of hydropower projects and project elements is an importan! part of the
planning, design and implementation process. lt is an integral part of planning and
embraces all development phases, at various levels of accuracy.
Optimization is used in connection with sizing of project elements, such as:
Reservoirs and Dams
Generation Installation, Unit Size
Waterways and Structures, etc.
The optimization process is al so used for refinements of project forrnulation, for
comparison of alternatives and establishment of least cost alternative.
As there is a strong dependency between the various elements it is easy to realize that
one element cannot be dimensioned independently of the other elements. Design is in
principie a gradual, stepwise, approximation towards the optimal dimension. Simple
methods are used initially to identify the ureas of interest. Such methods are followed
78
by more advanced methods as planning work develops, e.g. computerized simulation,
used to establish exact dimensions.
Optimization is a continua! iterative process. Having designed the reservoir, the power
station and waterways are re-examined. The storage volurne is then re-checked using
!he computed values for generation installations and waterways.
In such a planning proccss it is logical to start with available water, the run-off
volumes and how thesc may be adapted to the system demand and demand patterns
o ver the years.
4.2.3, Optirnization of reservo ir volumes
lt is assumed that the hydrological basis is established for ofthe drainage area and that
it has been investigated in respect to possible reservoir and dam sites. The situation is
then that one or severa! actual reservoirs mus! be investigated in respect to size and
eventual distribution of storage between the identified reservo ir altematives. This
investigation is discussed in the following:
The rationale in starting optimization of a hydropower project with the regulation
works is that this componen! will govern !he dimensions of other project components.
This derives from the fact that the regula! ion works decide available run-off and its
distribution. As mcntioncd befare a certain interdcpendcnce exists so that the size of
the generation installation and watcrways will infiucncc optimal storage volume. This
infiuence, howcvcr, is far lcss significan! than thc infiucncc thc storage volume will
ha ve on these parameters, !he sections of tunnel waterways in particular.
The need for reservo ir volume for storing water results from the fact that the run-off
usually has a different distribution over the year compared to the demand for
electricity. In Norway, for example, the demand is largest during the winter months,
considerably smaller in the summer. Fig. 4.4 shows the variation over the year in
production of electric energy (GWh/week) in Norway. The figure al so shows variation
in run-off and storage o ver the year.
lt is interesting to note tha large storage volumes, in a normal year coiTesponding to
some 80% of the annual production of energy. The large storage is a necessity
resulting from the prevalen! climatic conditions.
In other countries, under different climatic conditions and other composition of
industry and public consumption, !he distribution of demand will be different, as will
!he need for storage.
In Norway !he run-offis at its lowest during wintcr, considerably larger during spring
and summcr when accumulatcd snow melts. 1 f electricity production was to keep pace
with the infiow it would be completely out of stcp with demand and large volumes of
energy would ha veto be stored for use during the winter months. Storage of large
vol u mes of clcctric cncrgy is not possiblc undcr prescnt technology. An acceptable
79
solution to the problem is to store the energy as water in reservoirs at a certain leve!
abo ve sea leve!, thus maintaining the potential energy intact.
To measure the energy stored in this manner, i.e. how much water is stored in
reservoirs and at which elevation, area and storage volume curves are used.
The are a curve shows the reservo ir surface are a as a function of the surface elevation,
the arca usually expressed in km2, see Fig. 4.5.
I fin addition to damming, storage is provided through lake tapping, !he arca curve has
to start as far down as tapping may be of interest. The natural water leve! will in this
case appear a way up on the curve.
The storage volume curve is obtained by integrating the arca curve. lt shows the
storage vol u me as a function of the regulation levels. The volume curve thus starts at
!he same leve! as the arca curve.
To construct arca and volumc curves ofrcasonable accuracy, topographical maps in
scale 1:10,000 or bettcr, are necdcd, with 5 metres con tour intervals.
In case lake tapping is involved in the provision of storage volumc, the topography
below natural water leve! needs to be surveyed and maps constructed of the lake
bottom.
Storage Cosls
When providing storage by means of dams, the main storage costs are related to
construction of the storage dam. Other costs are acquisition of land and compensation
for damages resulting from inundations, etc. In some cases there also are costs in
connection with protection of the reservo ir, avoidance of slides, erosion control, etc.
In the case of lake tapping the actuallake piercing and tapping arrangement figure as
the main storage costs. However, costs similar to those experienced in connection with
dam reservoirs may al so be relevan!.
All dams need freeboards, i.e. they need to be higher !han the maximum flood water
leve l. Freeboard size depends on type of dam. Knowing the actual dam type the dam
height for eacb high water leve!, HWL, can be cstablished.
Having sited the dam and knowing thc topography of thc dam si te, the main dam
volumes can be determincd. Bascd on <tvailable cost records from the actual dam type
the dam costs for each rcgulation step can then be computed. Reservoirs formed by
tapping are treated in the same manner.
To the dam and tapping arrangement costs the various other costs are added and a total
storage cost is obtaincd as a function ol'thc various regulation levels. The storage costs
are often presented in a diagramas a storngc cost curve.
80
For some cases two different dam types may be suitable for the site at hand, e.g.
concrete and fill dams. The storagc cost is then prcsented in the same diagram, see Fig.
4.6.
Based on the total storage costs the marginal cost can be computed. The marginal costs
may be computed for an increment ofthe regulation leve!, for example a regulation
increment of one metre or, if expcdient, the marginal cost of a storage increment of
one m3 can be calculated by using the storage volume curve.
The marginal costs can al so be represented as "present values" oras annual cost
(annuities). Care must be taken that identical units are used when comparison is made
and optimal dimensions established.
Storage Value
So far the cost ofthe storage reservoir as a function ofthe storage volume has been
discussed. To develop the economic analysis the value of the storage space must al so
be established, i.e. the income it can providc. For hydropower projects the storage
value is tied to the production of electric power and energy. The relation between the
storage volume and production of electricity must thercfore be established so that the
amount ofenergy can be computed. With knowledge ofunit prices for electricity the
value of the stored water can then be computed.
lt is there assumed that the inOuence a storage reservo ir has on unregulated run-off is
known and that regulation curves, their uses and how they are established is also
known.
Regulation curves are no longer used directly in hydropower planning after computer
simulations became available. The use of regulation curves will, however, be referred
toas they in a simple manner illustrate how the storage volume inOuences energy
production. The regulation curves are useful in converting storage volume to storage
values.
Normal! y the reliability requirements for supply of firrn power are that rationing
should occur only one year in ten as a maximum, i.e. power shall be supplied in 90%
of the number of years.
A regulation curve established under this criterium means that the regulated Oow must
be rnaintained for nine years out often. Such a curve is usual! y established for Oows
corresponding to the demando ver the year. Manual preparation of such regulation
curves is quite work intcnsive. Such a regulation curve is shown in Fig. 4.7.
Based on the regulation curve, the amount of finn power and secondary power which
the various storage volumes will provide is computed. A storage volurne of70% of
mean annual inOow will in this case givc a regulated Oow corresponding to
approxirnately 80% of the annual inOow. Thcse 80% can be sold as firm power while
81
the rest is considered secondary powcr. Some of the 20% unregulated water may,
however, be lost as spill in so me yars.
lt the storage percentage is increased to 90% the corresponding regulated flow will
attain approximately 87%, i.e. the finn power increases while the secondary power
decreases correspondingly.
1t instead ofthe regulation curve, computer simulation is used, the total amount of
energy and the distribution between finn energy and secondary energy will resultas a
function ofthe size ofthe storage volumes. The simulation program will in addition
compute flood losses.
Using simulation, the procedure is to stepwise increase the storage volume while other
parameters are kept constan!. The result is the total and firm power as a function of
storage volume for the parameters used.
The next step in the procedure is to repeat the simulation with other parameters, e.g.
genera! ion installation size, etc. to see if thc energy increases when a new set of
parameters is used. This way the maximum production with different storage volumes
is obtained. Using one or the other method the amount of energy, finn and total, is
established as a function of storage volume.
The next step is to determine thc value ofthe produced energy. With known price per
kWh for finn ancl secondary energy, the total production value per year can be
computed as a function of storage volumes.
Oprima/ Storage Volume
Knowing thc annual production value for various volumes, the optimal storage can be
found, i.e. !he storage which givcs the maximum net profit.
The criterium for optimality is that the marginal production value equals the marginal
cost.
The marginal storage costas a function of regulation leve! is established, and the
marginal production values also need to be determined, i.e. the marginal production
values must be expressed as a function of the same variable, the regulation leve!, see
Pig. 4.8.
The two marginal cost curves intersect where the marginal costs equal the marginal
production value and the optimal size ofthe storage reservoir is established.
So far only the costs related to the storage reservo ir ha ve been considered. When the
storage volume increases it will be possible to supply more finn energy. To
accomplish this the generation installation might lmvc to be increascd. leading to
incrcascd powcr housc, watcrways. etc. In addition to incrcased cost in the storage
arca, thcrc will be incrcascd costs in othcr pm1s ofthc powcr projcct. Thcsc incrcases
82
in total marginal costs must be taken into account as well. They are found when these
project components are optimized.
In Fig. 4.8 the total marginal cost is shown as a broken line. Where this curve
intersects the curve for the marginal production value, the corresponding optimum
regulation leve! is found by drawing a horizontal line from the intersection point to the
ordinate axis.
As can be seen, the optimal regulation leve! will be somewhat reduced when the
additional cost from other projcct components is includcd.
4.2.4, Turbine and generator capacities
We need to know how the power production should be distributed throughout the year.
The load is nonnally highcr during the day than during the night. In Norway the load
is higher during the winter time than during the summer time. In tropical countries the
load probably wi 11 be higher during the hot sea son than during the temperated season
dueto airconditioning etc.
To get a complete view of how the load vares during seasons, weeks and nights/days
it is necessary to make use of statistical records from the electricity distribution.
lfwe from these records pick the highest peak load for each year and the total power
production during the same years, we may find 2 very common parameters:
First the "utilization time" for the peak load. This parametre we find by dividing the
armual power production (kWh) by the maximum peak load (kW). This parametre tells
us how many hours the peak load must have been kept in full operation to produce the
total quantity of annual cnergy.
One year consists of 8760 hours, and ifwe take the ratio between the utilization time
and 8760 hours we find the other parametre, the "load factor".
Ifthe utilization time is 6000 hours, the load factor is 6000/8760 = 0.68. This means
that the average load is 68% of the maximum load.
lt should be stressed that we hardly find any other electric generating altemative that
givcs cheaper peak load capacity !han hydro power plants.
We must have in mind that the maximum peak load should be provided even in the
future. Thcrefore it is importan! to ha vean idea of how the system will be composed in
thc future. lfwc through an analysis ofthc load statistics have found that the load
factor for thc wholc intcgratcd systcm is 0.68. it might be rcasonable to assume that
this will be near thc truth evcn in thc future.
83
If we al so ha ve an idea that our system during the next 1 0-15 years will be composed
ofsay 75% ofhydro power and 25% ofthennal power, we may find the necessary load
factor for the hydro system separately: (We here operate with relative values, with the
total power production like 100 kW).
For the whole system we need a capacity of:
e

'"' 8760 o. 68
The thermal system needs (basic load): e""" =

The hydro power have to provide the difference:
e 100-17
hyd. - 8760 O. 68 8760 - 8760x0. 68
83
8760x0.68
I f the load factor for the hydro system is x, we ha ve:
e = _22_ _1_ = 83
h>" 8760 x 8760x0.68
x = 75x0.68 =
0
.
61
83
This load factor will just give a guideline for deciding the turbine capacities in the
hydro plants.
There are, however, a number of complicating factors that should be taken into
consideration, for example:
a. Power plan! location relative to the consumption centres, i.e. transmission
costs.
b. Cost of installed capacity relative to other hydro power plants.
c. Capacity of transmission system, as a whole, or through weak links
(bottlenecks).
d. Reserve, in case some transmission lines or power stations should happen to
fail.
There is no mathcmatical procedurc that lead to the solution ofthe problem.-Generally,
low costs indicatc higher capacity than high costs. Thercfore a plant with a high head
and short headracc and tailrace tunncls (i.c. low marginal costs for installed capacity)
locatcd close to consumption centres (i.e. low transmission costs) should be given
so me ovcrcapacity relative to other more expensivc plants. Limitcd capacity of the
1
84
transmission system may make it necessary to consider limited areas separately to
ensure that each area gets enough peak load capacity (bottleneck problems). The
reserve problem depends on the number and capacities of plants operating on the
transmission system, and it depends on the transmission system itself.
Consequently, there is not exact measurements to apply in our case study. Our
computed load factor, 0.61, should at least be givcn a "reserve" adjustment. Putting thc
10

1
1 1 d r b
0

61
O 55 TI '1' . . h
reserve to ;o, t 1c oa ,actor ecomes: -- = . . 1e ut1 1zat1on tune t en
1.1
becomes: 0.55 x 8760 = 4818 hours.
4.2.5, Optimization of headracc/tailrucc tunncls
Thc water is lead from the intake to the power station through the headrace tunnel, and
preasure shaft, and away from the power station through the tailrace tunnel.
The headloss during this transport is found from the Manning formula:
( g_ )'. L
h = 1
413
where:
M R
q is the waterflow (m3fsec)
A is the cross section of the tunnel (m2)
( q) is the average water velocity (m/sec)
A
L is !he total !Uimel length (m)
M is the Manning coefficient (for unlined tunnels, 30<M<40)
R is the hydraulic radius (m)
The headloss represents a loss in capacity (kW), which may be expressed:
9.81r L ' 3
= A' . M' . R
413
q = constan! q
for q max we get:
Cmax = constant q3max
e max
constan! = -., --
({ max
q'
e = e max. ' - - - - -
q3 max
85
During one ycar thc load, and conscqucntly thc magnitudc of q, will vary.
Mathematically wc may find thc total annual cncrgy loss as the integral of thc capacity
loss o ver one year:
the year
E=
J Cdt =
the year
Cmax (
3
q' di
jq max
To solve this problem we have to go back to thc load statistics for finding thc load
variations during the year. The load variation curve is most practically processed as a
duration curve, with the load in relative units. We need the load values in third power,
Fig. 5.0.
the year-
The integral ( (q)
3
)di, equals the arca under the curve, Fig. 5.0. The annual energy
'Jqmax
loss, is found by multiplying this arca with the maximum capacity loss, Cmax.
When knowing the value ofthe energy, V per. kWh, we may find the total economic
loss:
the year
Economic loss =V .emaxrc__iq_L' )di ( per. year)
')\max
This equation consists of2 parametrcs which are independent, and one parametre
which depends on the tunnel cross section.
(-q-)
3
di is independent ofthe tunnel cross section, the same with the energy value,
qmax
The maximum capacity loss, Cmax, depends directly on the cross section. The next
step is therefore to examine Cmax for different cross sections ofthe tunnel. Parallel to
this examination, we have to estmate the construction costs for the same cross
sections. We are now faced toa problem where we shall find a tunnel cross section
which minimizes the sum ofthc cconomic loss and the construction costs. For this
purpose we do not need thc total tunncl costs. lt is sufficient to know the incremental
costs for each incremental increasc of the cross section.
In Fig. 5.1 the principies ofthe analysis is shown. The cost curve, Cr ofthe tunnel and
the capitalized value of the head loss Cg are now to be considered. As long as the
marginal cost of the tunnel, representcd by the derivative of the cost curve, is smaller
than the marginal benefi, represcnted by the derivative of the benefit curve, the tunnel
86
cross section should be increased. Thc economic optimum has been attained when
both derivatives are cqual in magnitude, i.e. b.C
7
= b.C
11
This means that the economic
optimum cross section is at thc minimum point ofthe curve showing the sum oftunnel
cost and benefit.
87
5. THE PLANNING PROCESS
5.1. The hydropower development cycle
The hydropower development cycle consists ofthree main parts, each covering one of
the three periods in the life ofhydropower projects:
Preconstruction
lmplementation
Operation
Devclopment of hydropower follows well defined stages. Each stage takes the project
a step forward in the development cycle, based on the findings from the actual and
previous stages.
The majar part of investigations, planning and design takes place in the first phase.
Normally, the investigation and planning ofhydropower projects pass severa]
milestones befare projects are accepted for implementation.
There may be many projcct possibilities anda large numbcr of alternatives to be
investigated. Each project has different physical properties and conditions which have
to be considered in arder to obtain a good basis for planning and design.
Project investigation, planning and design are normally organized in severa]
consecutive studies which are listed here in increasing arder of detail, importance and
reliability:
Reconnaissance Studies
Prefeasibility Studies
Feasibility Studies
Planning and design of hydropower projects involve so many different sciences and
technical, environmental, social and economic expertise that investigations have to be
organized in a rational and structured manner. However, thc result ofproject
investigations may prove negative and investigations are therefore arranged in
selfcontained steps or phases.
In each development phase, the projects are investigated to the depth necessary for
reaching a conclusion on their capability and suitability for the stated purpose. In each
subsequent invcstigation phase, the depth and detail of investigation is increased. The
projects pass a new suitability criterium and are either included in the catalogue of
possible projects or passed on to the next phase of investigation.
This gradual dcvelopment ofthe plans will ensure that all probabilities have-been
investigated and examincd. 1t will also, when conducted in a rationalmanner, ensure
that unsuitable projects are not pursucd longer than necessary. Unsuitable projects or
project alternatives should be discardcd befo re reaching the conclusion of the planning
phasc, thus avoiding unnecessary expenditures.
88
The stepwise and sequential development of hydropower project planning is, whi le
being technically sound and economically prudent, very time consuming. Ifprojects
are urgently ncedcd the time elcment must be given priority. Reduction ofplanning
time is often achieved through reduction ofplanning steps. However, some reliability
may be lost in the process.
Planning time may be saved by joining reconnaissance and prefeasibility studies. The
definite plans may likcwise be included in the feasibility study to gain time. The
feasibility study itself is, however, always kept intact and organized as a selfcontained
independent study. This is necessary as decision on implementation is based on the
feasibility study.
The sequential screening and sclection process described is illustrated in Fig .5.1.
This procedure is the normal one when severa! options are available. In cases where
options are few, or limited to one project, the process can be shortened considerably.
With sufficient data and information available, the whole planning phase can then be
carried out in one operation.
The second phase, Implementation, covers engineering and construction ofthe project.
The main activities of the second phase are:
- Design and Procurement consisting of:
Definite Plan Study
Final Design
Tender/Contrae! Documents
Tendering and Contracting
- Detailed Design and Work Drawings consisting of:
Detail Design and Preparation of Work Drawings for Civil, Structural and
Transmission Works
Detail Design and Preparation of Shop Drawings for Electro-Mechanical and
Hydro-Mechanical Equipment and Works
- Construction of Civil, Structural and Transmission Works
-Manufacture and Erection ofEiectro-Mechanical and Hydro-Mechanical Equipment
- Commissioning and Start-up of lnstallations
The last phase in the life ofhydropower projects, and by far the longest phase, is
Operation. lt conunences when projects are completed or, in case of staged
development, when the first stage is operational.
89
The whole hydropower development cycle is arranged in consecutive order as
illustrated in Pig .5.2, showing the main clcments ofthc cycle.
5.2. Rcconnaisance studics
The first stage of hydropower investigations is the identification of projects. l f this has
not been done as part ofthe resource inventories, it must be carried out as part ofthe
reconnaissance study.
Reconaissance studies are normally the llrst stcp of project oriented planning. Such
studies are of a preliminary nature as their purpose is not to investigate projccts in
detail, but like basic hydropower investigations, to identify and investigate the
available hydropower resources.
Unlike basic investigations carried out in conncction with hydropower inventaries,
reconnaissance studies are carried out for speci tic purposes and ha ve dellned terms of
reference. Their degree of details and data rcquirements is, however, littlc more than
provided by basic investigations, ifsuch are available.
Reconnaissance studics are organizcd along thc same lines as the planning studies to
follow, prcfeasibility, feasibility, cte., but with much lesser dctail and accuracy
requirements. I-laving all planning studies similarly organized will facilitate
investigations as well as reporting.
lfthc result ofbasic invcstigations is availablc for the arca ofinterest this is a great
advantage for the planning opcration as a lot of information, knowledge of the area and
data on the hydropowcr resourccs airead y cxists. l f this is not thc case, basic
investigations are carried out as pmi of the reconnaissance study.
At this early stage of planning it is necessary to rely on very experienced hydropower
planners in order to formulate well balanced projects. The investigations are normally
headed by engineers with extensive expcrience from planning, design and construction
ofhydropower projects. Contractor experience is valuable as it provides background in
costing and scheduling. lt also pro vides knowledge of and experience in the execution
of civil works. This will help the planners to arrive at practical engineering solutions,
well balanced layouts etc.
As a first screening attempt, river courses are scrutinized, by dividing them into
stretches ofvarious hydropowcr capacity, e.g. MW per unit Jength ofthe river. Such
screening will give indication ofwhere to concentrate the investigations.
Projects studied in the course ofthe reconnaissance study, including altematives are
"kept on the books" ifnot excluded by thc selected project. Thcy are included in the
study reportas part of the resource invcntory for future use. lt mayal so be useful to
ha ve such projects documentcd to veril)' if contcmplatcd project changes will infringe
on or exclude identified project possibilities.
90
The m a in objectives of reconnaissance studies m ay be Iisted as follows:
to identi fy suitable power projccts for thc stated purpose
to investigate and study thc various projects and project altcrnatives to the
confidence leve! required
to compare the candidatc projccts and formulate the project best suited for the
stated purposc
to record lower ranked projects and project alternatives for future referrence
to provide preliminary cost figures and implcmentation schedulcs for the selected
project
The main activities involved in the performance of reconnaissance studies are
explained in the following:
5.2. l. Personnel
Top expertise is needed to carry out a reconnaissance study in a rational manner. This
applies to al! main sectors ofthe study. Top quality personnel is necessary as basic
data may be lacking or inadequate for the purpose. Many decisions have to be based
on short-cut methods backed by strong personal experience and sound judgement on
the part of the planners. However, only a few experts are fui! y engaged in the
performance of rcconnaissance studies of hydropower projects. A large part of the
expertise needcd is covered by specialist consultations.
The normal project team would include the following experts as a minimum:
Hydropower Planncr/Tcam Leadcr
Hydrologist/Enginecring Hydrologist
Geotechnical Expert/Engineering Geologist
Experts covering various fields and specialists
Support Personnel
The hydropower planner would, based on planning data and input from other team
members, fonnulatc a project, suitable for the stated purpose. He would also be
responsible for providing project description and the necessary drawings to illustrate
project lay-out and project components. Based on this material, preliminary cost
estimates and implementation schedules are prepared as are estima tes of power and
energy production.
The hydropowcr planncr/team leader is normally rcsponsible for reporting. He will get
inputs from other team members and outside cxperts consulted but will himself
structure the study repmi, coordinate and control the text and do the final editing.
91
5.2.2. The study
The study will start with collecting all relevan! data and infonnation. Such data and
information are grouped under the following subjects:
Data col/ection
General data and information
Power market
Hydrology
Topography
Geology and Geotechnical Engineering
Environment
Socio-Economy
Desk study
The next step is a desk study. Based on thc available data and information the planners
define the main projcct clements and prepare a tcntativc layout ofthc project.
Appropriate maps are needed for the desk study. The minimum requirement is
topographical maps ofthe area ofinterest, at the scale 1:50,000 (or better) with 5 meter
con tour intervals. A erial photographs are al so of great val u e for the general study,
geological assessment and project formulation and layout.
The first concern of the planners is, by means of the available data and infonnation, to
establish the main planning elements or parameters for the project. The main elements
are:
Power demand
Flow
Head
Regulation needs
Environmental constraints
lfplanning parameters were to be ranked in order to importance, hydrology would
probably come out on top. 1-lydrology deals with the occurrence and availability of
water and in hydropower terms aims to answer three importan! questions:
where
how much
when
All planning involving hyclrology is basccl on the assumption that past history will be
i" ... i m ca in !he futurc. Hydrology data are thcrcforc based on long term now rccorcls.
lfsuch data are availablc, thc hydrologist's work is rclatively easy.
92
In many instances, however, planning and development of hydropower cannot be
delayed for long periods of obscrvation and record accumulation. In the absence of
flow records the hydrologist must resort to other means, making his own flow
estimatcs.
1-laving cstablishcd tentative planning paramcters and elements, basic planning ofthe
project can start. In reality these activities go hand-in-hand because ofelement
interdependence.
During planning the project elements are sorted out. Some project elements are
conunon to all hydropower projects, such as:
Dams and intakcs
Waterways
Power Station
Other project elements are project particular, such as:
Regulation works
Water transfer
Multipurpose elements, etc.
The actual project planning starts with a tentative project layout. Severa! alternative
layouts are usually testee! until onc is found which fits si te conditions and makes
provisions for the various planning elements. Attention must be given to the
practicability of the layout with respect to construction and supply, acccss, transport,
environmental disturbance, etc.
Ifregulation ofriver flow is idcntified as a projcct clement, data on dam and reservoir
sites are needed, including rcservoir arca/volumc curves. Tentative storage levels, dam
heights, reservoir volumes, spillway sizc and layout, etc. are established during the
desk study.
Field work and design
The desk study plans need verification in the field and the desk study is normally
followed by field trips. The proposed project layout and structures are then visualised
in their natural surroundings. Alternative solutions are checked, compared and
generally so11ed out.
Particular attention is paid to "care of thc river" problcms in connection with
construction of dams. Divcrsion of water during construction, including arrangement
of cofferdams, should be well substantiated ata relatively early stage.
In thc case oftunnel waterways and underground works, special attention is paid to
engineering geology aspects as well as access to work si tes, adits, etc.
93
Importan! environmental and socio-economic aspects are al so addressed, as are
multipurpose uses ofthe land and water resources. These aspects are importan! and
may beco me decisive in judging project suitability.
Estimates and schedu/es
As pmi ofthe study a preliminary cost estimate is prepared. The objective ofthe
estimate is not only the construction cost but to make a survey of the total cost
involved in developing and implementing the project under study.
The cost estimate should in addition lo construction costs al so include all
preconstruction costs, field invcstigations, cnginccring, acquisition ofwater rights,
land and rights of way, management, owner's costs, etc.
At this leve! of investigation only the main project components are known. Allowance
for physical contingcncies mus! therefore be made. At reconnaissance investigation
leve! 25% on civil works and similar is considered a normal budget allowance. On
shop manufacturcd goods, engineering and other items, 10% is the accepted
contingency allowance.
An implementation schedule is al so part of the study. lt should give an overview of the
total time requirements involved in dcveloping and implementing the project. An
cxample of such a schedule is shown in Fig. 5.3.
Economic assessmenl
For reconnaissance purposes only, simple economic parameters are produced to rate
the economic capability ofthe project. Normally power unit cost (cost per kW
installeld) and/or unit cost ofannual generation capability (cost per kWh ofannual
generation) are provided. These are used for ranking of projects and comparison with
other similar purpose projects.
In the following a checklist for reconnaissance leve! studies is provided.
5,2,3, Check list for Reconnaissance studies
l. Data and il(ormation
Work starts with gathering and evaluation of all pertinent data and information
on the projeet and its environs. Data collection and processing are followed by:
2. Desk study
Planning clements and parameters
The main project planning elements and parameters are detcnnined after
appraisal of:
power demand
water resources
storage needs and possibilities
power potentials
94
Project Layouts, Elements and Structures
Tcntative project layouts and project elemcnts based on thc established
planning paramctcrs are preparcd and tcsted. The desk study plans need
vcrification in the field. The clesk study is followccl by:
3. Field inspections
Proposed project layouts are visualised in their natural surroundings.
Alternatives are checkecl ancl comparcd. Ncw ideas on layout arrangements,
location of facilities, installation and structure are studied in si tu and evaluated,
covering:
infrastructures, existing and project related
regulation, diversion and transfer ofwater
intake, permanent dams and cofferdams
waterways, surge arrangements and outlet works
power station, type, location and equipment
transmission works
Attention must be given to access, transport, construction methods and
materials, si te arrangements and facilities, communications, etc. Supplementary
field data should be obtained cluring field visits.
4. Reconnaissance study report
The report often starts with an Executivc Summary or Synopsis. The stated
purpose of the project is rcferrccl and documentcd. All main project data and
information are also referrecl and clocumentation provided on the elements and
parameters used in the planning process.
The chosen layout and the main project features and elements should be
described and illustrated by drawings, including discarded solutions and
al terna ti ves.
The project report should also cover and substantiate implementation cost and
time aspects.
The main purpose of the project is generation of electricity. lts suitability and
practicability for this purpose must be assessed, taking into account its
performance in adapting to environmental constraints.
The report concludes with finn statement on:
The technical, economic and environmental feasibility of the project.
95
5.3. Prefeasibility studics
The second organised stcp in hydropowcr investigation and planning is called
Prefeasibility study. In this phase onc or more iclentifed projccts are brought one step
further in the plmming process.
The purpose ofprefeasibility investigations is to:
Establish the need and justifcation for thc project
Formulatc a plan for devcloping the project
Determine the tecbnical, economical and environmental practicability of the
project
Define the limits of the project
Ascertain local interest in and tbe dcsire for the project
Make recommcndations for fmiher action
Having selected identifed projects for further study means that they are found
interesting in hydropower tenns and may become dcvelopment material. lt also means
that further invcstigations and proccssing are neecled. When severa! projects are
involved it al so means they are part of a selection process in order to find the best
project for the purpose.
Identified projects normally have alternative solutions, layouts and structures which
were not properly investigated in the frst pbasc. In thc second phase, during
prefeasibility investigations, such alternative solutions, evcn concepts, will be studied
and tcstcd in arder to improve thc projcct plans. Various layouts, features and
structures will be identifed, adapted to site conditions, analyzed and tested to arrive at
plans and designs which are suffciently fnn io merit detailed field investigations.
During the prefeasibility study, identified proj.ects may change considerably both in
respect to siting, layout and structures. This is a natural development, a result ofthe
planners getting familiar with the projcct area and doing their job, continuously trying
to improve their product. There is thercfore little sense in doing in-depth field
investigations at this stage. Costly feld investigations, such as core drilling and
similar, sbould be postponed until firm knowledge is obtained in respect to where the
various project structures will be situated.
The prefeasibility investigation will proceeclmuch along the same lines as the frst
phase investigation, except that in the second phase the projects have already been
located, identifed and given names.
lt may be an advantage ifthe frst phase team or persons continue on the prefeasibility
investigation to provide continuity. IIowcvcr. ncw pcople with differcnt backgrounds
and cxpericnce mayal so prcscnt an aclvantagc in introducing new ideas and concepts,
being less bound by previous rcsults.
96
The purpose of prefeasibility investigations is to select and appraise possible projects
wotihy of further consideration. These investigations provide the basis for formulating
overall plans for basin development. llowcver, reconnaissance investigations will
often be m a de of individual projects to determine their worthiness of further study, to
define their physical possibilities and limits orto rank thcm with other comparable
projeets.
The basic studies engaged in formulation ofhydropower installations are shown in
Fig. 5.4.
Prefeasibility investigations are usually bascd on available infonnation and data, often
of varicd quality, supplementcd, where needed, by a mnimum of rcconnaissance grade
field survcys. Thc investigations should, however, be made in sufficient detail and the
data presented should be of sufficient accuracy to pro vide adequate support of the
conclusion reached.
lf a preliminary appraisal shows no data or if sufficient data are not availablc, the
prefeasibility investigations must await the accumulation ofthe mnimum of data
required.
Mnimum in the case ofhydropower projeets means an overall idea ofthe demand for
electric power and cnergy and available water .Topographic maps of suitable scale and
basic knowledge of the geology are al so required.
5.3, 1, Water studies
Water supply studies as part ofprefeasibility investigations are concerned with the
souree, amount, occurrence, variability and quality ofwater for use in connection with
the project. 1 n these studies the planner is dependen! on hydrology data.
The ideal source of information on surface water is a long term record ofthe run-off of
the stream under study at the location of thc contemplated projeet. Beca use this ideal
condition is seldom found, it is frequcntly necessary to estima te the run-off at the
desired location.
For prefeasibility investigations the run-offrecords should, ifpossible, show monthly
flows. The period of record m ay be short; it should, however, pro vide adequate
information to establish maximum, minimum, average and critica! conditions. If there
is no sufficicnt record covering a pcriod which may be critica! in relation to utilisation,
it may be necessary to synthesise such a record.
In planning for new or increased utilisation of water, proper allowances should be
madc for cxisting uses. Established rights to the use of water should be recognised and
protectcd or lcgally subordinatcd to ncw uses with a higher order of preference.
The cost of acquiring the right to utilize the water for hydropower purposes should be
estimated and includcd in the project costs.
97
5.3.2. Various studies
F/ood control
Reconnaissance investigations are concerned with:
The rnagnitude, stage and frequency of anticipated floods for use in
deterrnining the desirability of including flood control as a project purpose.
The design flood to be considered in thc design ofhydraulic structures
The rnaximurn probable flood to be expected during construction ofthe project
Estirnates of flood flows for these studies may be based u pon envelope curves of
recorded floods in the general region wilh the application ofadequale safety faclors. In
the absence of recorded floods, othcr rccngnised melhnds of eslimaling flood flows
may be uscd.
Sediment studies
Where rccords are nol available, estimatcs of thc sedimenl load lransported by strearns
may be bascd on drainage arca or average annual discharge using data from similar
streams.lfthe strcam under study is an unusually heavy carrier ofsedimenl a limited
sampling program m ay be needed.
Changes in river regime resulting from construction of dams or other works may crea te
silting or erosion problems which will require special attention.
In some cases comprehensive sediment traps and facilities are needed to reduce
sediment content to an acceptable leve!.
Operar ion studies
Water operation studics are carried out in order to make it possible to visualize the
manner in which the project or basin plan will work. In operation studies, various
assumptions as to water supply and water requircments are compared under anticipated
operating conditions. Basically, the study is a system of accounting for the water
income and expenditures which presents a picture ofthe project in action based on
run-off conditions experienced in the past.
The operation study should be based on monthly flows, ifsuffcient data are available.
The length of thc period of study m ay partly depend on avai Jable stream flow records
and olher data, butlhe study should include a period of crilically low flows and extend
through a period prior and subsequent to thc low flow period suffciently long to
represen! a realistic cycle of operations.
98
5.3.3. Engineering
Surveying and Mapping
Modern topographic mnps ata scale of 1 :50,000, with 1 O meter con tour intervals are
now available in many countries. In arcas covered by such maps, the surveying needed
for reconnaissance investigations will be greatly reduced. Vertical aerial photography
with stereoscopic coverage is helpful, in particular if adequate topographic maps are
unavailable.
Reservo ir arcas and capicities (volumes) can be estimated from the abo ve mentioned
topographic maps. Whcrc maps are not availablc a limited number of cross sections
will provide information for estimating capacities.
Reconnaissance estimates of dam volumes may be based on a pro file ofthe dam axis.
1 f the topography of the da m si te is unusually irregular, rough topographic surveys
may be needed.
Satisfactory "on paper" locations of canals and waterways can be made from the
available topographic maps. The location on paper should be supplemented by field
inspections and observation of cross slopes and cross drainage requirements.
General geology
General geologicalmapping ofthe arca undcr investiga! ion will be ofvaluable
assistance in interpreting land classification data, groundwater information and many
other factors which influence the physical plans.
Foundation geology
The suitability of foundation conditions for dams or other majar structures should be
determined from field examination by a competen! engineering geologist. Test pits or
bore boles may be necdcd if qucstionable conditions are encountered. Seismic
refraction measurements are used in this investigation phase, bu! seldom core drilling.
Construction malerials
The location and size of suitablc deposits of construction materials; earth, rock,
concrete aggregate, etc., should be macle by competen! engineers and geologists during
a field examination.
Projec/ plan
A comprehensive project plan will be described and illustrated with adequate drawings
from which quantities and vol u mes are picked for use in estimating costs.
Cost esimates
Construction costs, can usually be estimated from a consideration of majar
construction items such as excavation. embankmcnt, concrete, number of size of
generating units etc. Thc total cost of a. comparable recently built existing facility can
be expressed in terms of majar construction itcms thereby providing a unit cost for use
in estimating !he proposed structure.
99
The estmate will be modified to reflect unusual construction problems such as
accessibility to shipping points, climatic conditions affecting construction time or
method, altitude which may affcct cfficicncy of cquipment and manpowcr, availability
oflabour and suppliers, cquipmcnt rcpair facilities and location and quality of
construction materials.
The cost of establishing construction camps, land acquisition and the resettlement of
displaced people should be estimated and included in the project costs.
Annual operation, maintenance and replaccment costs can be estimated from
experience with similar projccts in the arca. Otherwise a percentage figure ofthe
construction cost is used, 1-2% is an acccpted figure.
lt is sometimes necessary to divide costs in local and foreign currencies, either for item
by item or as percentages of the total.
5.3.4. Check list for prefeasibility studies
Col/ection and evaluation ()( existing data on:
Existing infrastructure
Power market (existing demand- future demand)
Topographicalmaps
A erial photos and other pilotos
Hydrology rccords
Evaporation rccords
Meteorology rccords
Geology records
Gelogicalmaps, general geological description ofthe arcas, soil maps, previous
field investigation rccords (for instancc in connection with prospection, mining.
road building, etc.)
Sedimentation and erosion records
Seismicity records
Existing plans for hydropower developments in the area
Environmcntal aspects
Present and future multipurpose considerations:
Flood Control, Irrigation, Water Supply, Navigation and Transport, Fisheries
Field Investigations
Field investigations needed to complete the data bank for reconnaissance grade
planning.
1
1 1
100
The above data and information should be compiled and a pended the Prefeasibility
Report, which shall cover:

River Basin Plan:
A development plan for the whole basin, based on a river basin survey, wherc
al! idcntificd projccts investigated ha ve been includcd. Thc purpose is to rank
thc projccts aJl(l lo establish the effect implemcntation of one project will ha ve
on the others and thc basin as a whole.
Plan Formulation of thc individual projects, based on:
Evaluation ofwater rcsources, storage possibilitics, powcr output,
reconnaissancc lcvel survey and basic design of power plant(s), divcrsion,
intake ami watcrways, surge arrangcmcnts, pennanent dams, cofferdams,
access facilities, transmission systcm etc. Cost estmate, implementation
program.
Economic and financia! evaluation.
Alternatives:
Alternative solutions to individual projects and basin plan are forrnulated and
discussed. Alternative supply in the case ofhydropower projects should also be
covered.
Enviroimlental Aspects:
The environmental aspects, usual! y the object of separa te investigations should
be considered and a program for ecology studies should be made.
Further lnvcstigations:
Field Investigation programs for the next phase, the feasibility study, should be
made, including cost estmate. Tcnns of Refcrcnce for the feasibility study and
cost estmate is also included.
The prefeasibility study report should close with firm statements on the suitability of
the project in development context and its practicability for the stated purpose. A
concise recommendation on the project's further development role is al so required.
Once the Prefeasibility Study has been concluded and the project is found to be
attractive for further considcration, thc ncxt step in thc investigations of thc project is
the Feasibility Study.
1 o 1
5.4. Fcasibility studics
5.4.1. Introduction
The next stage, or feasibility investigation, is a comprehensive analysis and detailed
study of the contemplated project, directed towards its ultimate authorization,
financing, design and construction.
Thc purpose ofthe investigation is to establish and define the specific engineering and
operation plan and to determine whether the potential devclopment has technical,
economic and environmental feasibility and justification under anticipated economic
conditions. Feasibility investigations include analyses of resources:
Esimates ofnet economic values to be produced
Estima tes of cost of development and construction
Estimation of cost of operation, maintenance and replacement
Assessment ofthe impact implementation ofthe project will have on the
environment and the cost ofmitigating the effects.
Analysis ofthe practicability ofthe plan and appraisal ofthe revenue from which
reimburscmcnt of construction costs and paymcnt of annual operation, maintenance
and replacement costs will be derived are also included.
The feasibility investigation should provide firrn, detailed and reliable information
u pon which the Government or Owners can base authorization of the project for
devclopmcnt and from which lending agencies can determine thc desirability of
financing the cost of devclopment.
The data upon which the investigation is based must be of such quality and quantity as
will assure the ability ofthe project to produce at Jeast the values estimated and to
ensure that it can be constructed, operated and maintained at no more than the
estimated costs.
The feasibility study plans must be sufficiently firm to ensure that no major alteration
or modification which would significantly increase costs or otherwise impair the
feasibility of the projcct will be found necessary during the course of final planning
and construction; hence, so far as practicable, plan formulation studies should reduce
altemative plans, facilities or materials toa mnimum.
5.4.2. General considerations
The physical feasibility and the cost of the works necessary for control and use of
water and Jand rcsourccs are critica! factors in dctennining the practicability ofa
proposed projcct. The extent and dctail of enginecring surveys, geological
explorations, dcsigns and estima tes of costs unde11aken in connection with feasibility
investigations should be sufticient to assure the reliability ofthe project plan anda
guarantee that thc project can be built at the estimatcd cost. The actual design is
call'icd out toan accuracy Jcvcl usually tcrmcd "preliminary".
102
The m a in physical data input needed for planning of hydropower development are
listed in Fig. 5.5.
In hydropower terms, as mentioned earlier, the two most importan! characteristics of a
water resource are head (H) and flow (Q) as shown by the equation for electric power:
P=EHQ(kW)
H is ned head in meters.
Q is flow in m3Jsec.
The factor E (approximately 8) includes the gravitational constan! g (9,81
m/sec.2) and generation equipmcnt efticiency.
Data on topography consist ofmaps and similar. and include information on access,
infrastructure and communication. Data on flow is obtained through hydrological
investigations.
The first step ofthe feasibility investigations is to make a thorough review and
analysis ofthe prefeasibility study report followcd by compilation ofnew information
and data relevan! to the project. The new data are assessed and controlled before
incorporation in the project "data bank".
Power Markel Survey
In connection with feasibility studies for hydropower projects the power demand
which can be supplied by the project under investigation must be established atan
early stage.
There may airead y exist an overall power market survey and power demand forecast,
in which case the task is easy, as many ofthe necessary data and much ofthe
information will be known and available.
The following aspects have to be addressed in a power market survey carried out for
the purpose of demand forecasting:
Existing studies, collection and evaluation
Hist01y and condition of the market
Classification of load into consumer groups (households, industri, etc.)
As much information as possible on:
Historical trends and growth rates of the various consumer groups
Population growth projects
Anticipated future level of economic development
Tariff, tariff policy
Substitution loads (if competitive price of new supply)
Demand forecast with anticipated variation in load
Load distribution by geographical arcas
Other supply alternatives and their price
103
5 .4.3. Project plans
Simultaneously with ficld investigations the work on the project plans will start. Thc
prefeasibility study plans will form the basis, be improved on and optimized.
Alternative solutions will be analyscd, adapted and tested. Selection by comparison
will be made. In respect to the main project features choice of type, shape, fonn and
size must be made and the adapted solution presented. For example, ifthe damsite is
suitable for severa! types of dams the choice must be made which dam to include in
the project plans.
Any new alternatives and solutions which may come up during the work on the plans
will al so be investigated and included if they represen! improvements lo the project,
lhe object being to arrive al the oplimallayout.
Desk studies combined with si te visits will be used lo compare alternative solutions
and to ensure that they functon in the field as well as on paper.
The work on the project plans, field verification and field work go hand in hand .The
work on one will be adapted to the result of the other.
A lot ofwork goes into finding the best layout for the project. The criteria being to
establish a project which will be safe and easy to operate and maintain and which can
be constructed at the estimaled cost within lhe time allowed. To achieve this,
considerable thought and insight go inlo preparing a layout that is uncomplicated and
conducive to the use of rational and flexible construction methods and processes.
The design leve! for feasibility studies is norrnally termed "preliminary design". It
should be sufficiently detailed to ensure realistic and practica! solutions and reliable
cost estimales.
The main parts of hydropower projects are:
Regulation Works
lntake and Waterways
Power House and Switchyard
Transmission Works
The main pm1s are made up of various components, such as:
Regula/ion works
Division works (cofferdam, diversion tunnels, canals, etc.). Permanent dams wilh
spillways, bottom outlets, gates, log floating facilities, navigation facilities (locks), fish
bypasses, etc
104
lntake and waterways
Headrace consists of intake with trash racks, stop logs, gates, spillways, sedirnent
traps, etc. and waterways consisting of canals, culverts, tunnels, surge or forebay
anangements, rock and sand traps, pressure shafts or penstocks, val ves, etc.
Tailrace consists of draft or turbine pits, back water gates, surge anangements, tailrace
tunnels, culverts or canals, outlet works, etc.
Power sta/ion
The power house constains: Mechanical equiprnent, such as tmbines, regulators,
cooling systern, ventilation, drainage, cranes etc.
Elcctrical equiprnent, such as generators, witchgear, transforrners, auxiliary power
supply, power cables and control cables, conununication, protection and control
equipornent, switchyard, etc.
Transmission works
Transmission works consist of transmission lines, including communication facilities,
substations, dispatch centers, etc.
Parts and componenls of an auxiliary nature are:
Access to project si tes (roads, bridges, rail, ship, air), telecommunication, etc. Also
offices, workshops, housing, utilities, recreation areas, etc.
Further, and of a more provisional character; construction camps and mobilisation
arcas, dcposits for cxcavatcd material, borrow arcas for construction material,
contractors plants, cte.
5.4.4. Estimates and schedules
Construction schedule and construction cost estirnates will be rnade based on rnain
construction and equipment items and miscellaneous costs. The cost of the rnain civil
works are based on cornputed volumes and intemational unit prices adapted to the
actuallocation. Miscellaneous costs cover all the costs not included in the main iterns.
These will be defined as percentages ofthe rnain iterns.
The cost ofthe perrnanent equipment will be adjusted pre-bids based on prelirninary
equipment descriptions and performance speciftcations, obtained frorn approved
manufacturers and suppliers. Comparison with the planner's own cost figures of
similar equipment will be rnade and adjustments made if necessary.
Construction Cost Elements:
General costs and infrastructure
Civil works
Equipment (manufacture, transpo11 and erection)
Taxes and import duties
Engineering fees ancl supervision costs
105
Administration and Legal costs
Insurance
Land acquisition, rights ofway, resettlement
Surveys and investigations
lnterest during construction (for financia! evaluation)
Both construction schedules and cost estimates will be cxpanded to include all work
and costs involvcd in the investigation, planning, design, purchasing (tendering) and
construction of the work as these figures will be used in the economic analysis.
The cost figures should be prescnted in the cost estmate uncluttered by contingent
costs. Contingency allowances should be made at cost summary leve!, preferably
included in the implemcntation cost estmate only.
Inflation is not accounted for when establishing the price basis for cost estimates. lt is
therefore importan! to date such estima tes so that they can be tied to their validity date.
Sometimes, when foreign currency is in short supply, it is necessary to distinguish
between outlays in local and forcign currency. The foreign currency portion of cost
items is therefore assesscd and shown in the estmate.
Operation, maintenance and replacement costs of hydropower projects are cost items
which must be included in thc economic analysis of projects. lt would, however, serve
no purpose to make a detai Jcd estmate of such costs as there is sufficient experience
figures to re! y on. For the purposc of feasibility investigation these costs per year are
set at 1% of the construction costs.
Gross power revenues represen! the income from the sale of energy and peaking
capacity. Power and energy should be sold at the Jowest possible rates consisten! with
sound business principies. Ratcs should be establishcd which will pay all annual costs
and permit repayment ofinvestment costs in a reasonable period oftime. Ifrequired,
and other conditions warrant it, power revenues may be used to pay part ofthe costs of
other project purposes. The rates established should not be greater than the rate
schedules for commercial electric power in the market area.
A higher and a Jower ratc is often used in the economic analyses to investigate how
sensitive the rentability of a project is to variation in rates.
Feasibility
Economic feasibility is defincd as positive when project benefits exceed costs over the
Ji fe of the project.
Financia! feasibility is considered proven when the project is able to secure the
financing needed for implementation. It must al so be clemonstrated that the revenue
receipt pattern will provicle clebt service ata reasonable rate ofreturn on Joans incurrecl
and on equity capital investecl in the projcct.
106
Precise! y defined projects are acts of investment, combined with other actions to
realise certain development objectives. Economic analysis play a role in clarifying the
economic worth of hydropower projects but the decision to go ahead with a project can
not be based on this alone. A well-chosen project usually passes a number oftests
which are not necessarily quantitative, e.g. how the project fits in to the national
economic plan. Public utilities, however, should avoid deep involvement in projects
unless there is strong indication that they will do well in an econornic analysis, i.e. the
econornic analysis can be considered as a final test.
Cashjlow
The basis for cconornic and financia! tests is cash now tables, they show the cost and
income streams ovcr the life time ofthc projcct. The economic tests are not concemed
with the source of the moncy invested, nor with interests or rcpaymcnt. Only thc
disbursemcnt schedule is of interest, and it forms the main cost strcam.
In the case of financia! analysis, the debt service, the service of the investcd capital,
and loans will be included in the cash flow table, not the investment itself.
lt should be noted that compounded interests on loans and quity accumulated during
construction period are added to the principal.
The principies for developing cash flow tables are illustrated in the following two
figures: Fig. 5.6 and Fig. 5.7.
Opportunily cost of capital (OCC)
1t is not possible to attach significance to the results of economic analysis without a
standard. The standard is the opportunity cost of capital. The OCC is thc lowest
acceptable retum which capital should be expected to earn in a given country, as
represcnted by the earning power of capital in the marginal, or last-included project in
a country's optimum investment program. In practice, the OCC is nota precise figure,
it depends, for example, on risk.
In most countries the OCC will fall within a range of 8-15%. When projects can shown
interna! economic returns of say 12% or higher, it is not necessary to estmate the OCC
for comparison purposes. At rates below 12% specific reference to the OCC would
normally be made. Therc may occasionally be countries whose OCC falls outside the
range cited.
Leas/ Cost Alternatives
In accepting projects for financing authorizing agencies prefer "least cost" alternatives.
Feasibility investigations will therefore include least cost comparison studies when
appropriate. The process is illustrated in Fig. 5.8.
Finding the least-cost project consists of calculating the present worth ofthe.
investment value and the system operating cost streams associated with possible
projects such as hydro and thermal schemes for a range of discount rates. The possible
107
projects will have had feasibility studics. The preference changes (the equalising
discount rate) are comparcd with the opportunity cost for capital to identify the Jeast-
cost alternativc.
lt should be noted that the Jeas! cost supply may be a combination ofhydro and
thermal, or supply by extension oftransmission systems. Only power supply
alternatives having identical supply capacity can be directly compared.
5.4.5. Remarks on feasibility studies
From the foregoing text it is understood that feasibility studies play an imp01iant role
in investigation of projects. Their importance for decision makers are also undisputed.
A great deal of expertise has been involved in preparing the feasibility study, and since
hydropower planning involves so many fields of expertise. as many as 20-30 different
experts have taken part.
The implementation ofthe project, !he first step ofwhich is the Definite plan study,
requires fewer experts with wide allround experience background than the Feasibility
study. For implementation the expertise needed is more concentrated on design,
construction and manufacture.
The major components of any hydropower project are from the fields of heavy
construction and electro-mechanical equipment manufacture. Specialists in these fields
are required for the further development of !he project.
A comprehensive and well prepared feasibility study gives the Owner the foundation
he needs on which to base his decision. The properly prepared feasibility study will
prove the project's technical capacity and its economic viability. The economic and
financia! feasibility analysis should be done in such a way asto prove the economic
capability ofthe project as well as provide easy comparison with similar and other
projects which are competing for financing.
lfthe investigated project can be constructed and equipped, operated and maintained
over the Ji fe ofthe project and no! in any way represents any danger or risks (except
calculated risks) to the environment, the people concerned and the public in general,-
such a project is stated to be: "Technically Feasible".
The second main criterium for feasibility studies concerns the economic and financia!
viability ofthe project.
To be judged economically and financially sound, a project must be able to "earn its
own way". This means that the project must be sufficiently attractive economically to
raise investment funds.
108
5.4.6. Reports
In the feld ofwater resources investigations, repo1is provide a permanent record of
work accomplished. These reports are frequcntly presented for the considcration by
governmental and other bodies responsible for long range development.
As these repmis from the basis for authorising further action, including the
construction of projects, they must be predicated on a sound foundation. A basic
principie of reporting is that reports are of no greater value or reliability than the
underlaying investigation and, converse! y, that the fndings of the investigation are of
little worth unless presented in a clear, readable and understandable manner.
Hydropower planning reports may conveniently be classifed into three general
categories:
Basin reports, which cover the needs, resources and potential development of an en tire
river basin or sub-basin.
Project reports, which are concerned with the development of specific projects. They
may be ofa reconnaissance nature covering only a preliminary analysis ofthe project,
or they may be full scale feasibility reports supporting recommendations for
construction and development.
On completing the feasibility study a major part of project planning is brought to its
conclusion. However if the project is authorized for implementation, the following
planning and design work is needed to prepare the project for construction:
Definite plan study, a complete study ofthe authorized project, presenting detailed
information to guide the design, construction and operation ofthe project. Final
designs and specifications from which construction contracts can be awarded are
included, as are the basic principies from which operating and repayment agreements
can be negotiated.
5.4,7, Summary and check list for feasibility studies
J. Mobilization
mobilize study team
establish liaison and cooperation with Owner
establish study organisation and liaison with Authorities
2. Data and il(ormation
collect relevan! studies, data and information
review prefeasibility study data
screen and control new data and establish project data bank on:
power market
existing infrastructure
109
hydrology and meteorology
topography and maps
geology, soil and materials
multipurpose aspects
environment disturbance and constraints
socio-economic conditions
3. Project formula/ion
review prefeasibility study plans
revised and update prcfeasibility study plans ancl prepare preliminary project
formulation based on all relevan! data and information, employing upgraded
planning parameters and critcria.
verify the project fonnulation in thc field and adjust it to physical field conditions,
new information, restrictions and requirements.
4. Fie/d invesligations
review and adapt existing investigation program
approve contrae! documents for investigation works
assist Owner in engaging contractors for field work
start, monitor and supervise field work
arrange for laboratory testing of samples
interpret results and adapt the field investigation program
5. Projecl /ayol/1
update and revise planning parameters
prepare desk project layouts
reconnaitre in the field for alternative layouts
establish layout and main project componcnts, verify in field
obtain Owner's approval for project fonnulation, layout and main components and
facilities
adjust field investigation to accepted layout
6. Engineering design
Preparation preliminary design ofthe project and optimize layout and the main project
components, such as:
river transfer and diversion
regulation works
intake and waterways
power house and appurtenant facilities
transmission lines and substations
permanent si te installations
11 o
Estab1ish dimensions and describe main and auxiliary project equipment and prepare
performance specifications for the complete outfitting ofthe power plant; hydro-
mechanical as well as electro-mechanical and auxiliary equipment:
turbine and valvcs
generators and swi tchgear
transformers, power cables, switchyard and substations
auxiliary equipment for monitoring, protection, control, etc,
7. Scheduling {1/Jd estima/es
prepare construction plans and implemcntation schedules
prepare cost and price study;
establish main item volumes
establish unit prices for main items
establish percentual (%) additions needcd for supplementing main
items/elements to complete the estimate
estimate the "general cost" components
establish estimate confidence leve!, volumes, prices, etc. and establish
contingency factor levels.
make equipment cost enquiries to suppliers of electro-mechanical and other
equipment
prepare cost estimates for project implementation, including:
civil works
hydro mechanical works
electro mechanical works
transmission works
environmental and resettlement costs
land acquisitionlrights ofway
investigations
engineering and management
contingencies
The above estimates are compiled into an implementation cost estimate or budget:
arrange disbursement schedules, based on the cost estimates and implementation
schedules.
establish cost figures for annual operation, maintenance, rehabilitation and
administration costs
establish market value of electricity at places where changes in ownership occur.
establish annual income streams from sales after correcting for losses and pick-up
rate, etc.
111
8. Economic andjinancial analysis
Prepare cash flow tables showing project costs and income streams over the lifetime of
the project:
cash flow for economic analysis
analysis of financia! terms and equity and debt service
cash flow for financia! analysis
carry out economic and financia! tests and establish EIRR and FIRR for the project
base case.
carry out sensitivity analysis to register the effects of changes in primary
parametcrs
Jeast cost project considerations
formulate statement on economic and financia! feasibility
9. Addilional and opera/ional works
To complete the feasibility investigations all or some ofthe following items should be
covered:
preparation of investigation program for definite plan study, including cost
estima te
financing study ( optional)
tariff study ( optional)
report on geo-investigations and other investigations carried out during project
investigation.
1 O. Repor/s
The Owner/executing agency is periodically informed through progress reports.
Changes and similar and their approval are documented with intennediate reports.
The feasibility study report shall comprehensively document the feasibility study
investigations, the findings and the infonnation they are based on and shall attest
firmly to the quality ofthe study. The report shall contain firm statements on teclmical,
economiclfinancial and environmental feasibility and recommendations on project
suitability and outlook.
Feasibility study reports are quite comprehensive documents andan executive
summary is often prepared to make them more accessible to the public.
A feasibility study flow chart has been prepared and is displayed in Fig. 5.9,
Feasibility study flow chart.
112
6. LIST OF REFERENCES
The material contained in these Jecture notes are mainly refened to the following
publications:
Hydropower Development Series; Norwegian lnstitute ofTechnology (NTH):
-No. 1:
-No. 2:
-No. 5:
-No. 9:
-No. JO:
Hydropower Development in Norway;
Vidkunn Hveding
Investigation of Hydropower Resources;
Jarle Ravn, Erik Tndevold (to be published)
Planning and Implementation of Hydropower Projects;
Jarle Ravn
Rock Engineering; Bji:irn Nilsen, AlfThidemann
Rockfill Dams; Bji:irn Kjrernsli, Tore Valstad, Kare Hi:iegh
Lecture notes, N ORAD course in Hydropower Development at NTH:
Turbine Governing and Transient Flow; Torbji:irn Teble
Technical-/Economic Analysis in Hydropower Planning; Ola Gunnes
Powerhouse Design; Sverre Edvardsson
Arrangements of Gates and Trashracks in Tunnels, Leif Vinnogg
Other publications:
Norwegian Soil and Rock Engineering Assosiation:
Publication No. 3: Norwegian Hydropower Tunnelling (Tapir NTH 1985)
Publication No. 5: Norwegian Tunnelling Today (Tapir NTH 1988)
Hard Rock Underground Engineering;
Seminar Chengdu, China, 1985, lectures prepared by FHS-group ofNorway.
Technicai-Economic Considerations in Planning ofHydropower Plants;
Odd Guttonnsen (in Norwegian).
Hydropower Engineering Handbook;
John S. Gulliver, Roger E.A. Grundt, editors;
McGraw-Hill, 1991.
Fig. 1.1.
11
Non-divcrsion" Ocvclopment
"In rivcr" Layout
Divcrsion Dcvclopmcnt
Layout Conccpts
Above ground developments
\, Penstock 1 surge tank.
2. Pressure shaft 1 surge shaft
Underground developments
3. Pressure and surge shafts.
1 13
Plan
----
4. Pressure tunnel and a ir cushion surge chamber.
Hydropowcr layout options
Fig. 1.2.
Fig. 2.1
114
lhun Htstrroir
l.akc Rt.wrvoir. T : ~ p p i n g
Da m
Dammtng
Tapptng
Lakc Htsrrvnir, Comllincd Damming and T:tppinl.!
Storage options
Corc drillhole
f
Sand5lOnf' f
1 Qt,. o
f
f
u
{surge
u
u
H
189.0
1 km
Engincering gcological profile based on detailcd surface investigations
Fig. 2.2
a)
b)
Annual hydrograph
Time
Annual hydrograph
One flood season
A:::._::::::::::::
n----------------
r - ~ : . ; - - - - - - - - - - - - -
/ \-------------
/ ,-----------
/ "'-------
Time
115
Flow-duraton curve
Annual hydrograph
Two flood seasons
Establishment of a flow-duration curve
Frequency graph
Res u 1 t ing flow-
duration curve
~
"-...
'
"'
"--..
a)
b) Two different hydrographs producing equivalen! duration cuncs
Fig. 2.3
Curv a
1\
'
!....
Curve b
Per cent of time
Average duration cmves.
~
1
Fig. 2.4

u.
u.
o
'
5
a.
o
Ul
\


Fig. 2.5
!16
1
1
1
1
1
'
1
'
1
1
1
\\
\\
kUnreguloted
\
\
'
:, "-

\
Reguloted#,
t":>-..- - - -
!
--


20 40 60 80 lOO
Per cent of time
Unregulated and rcgulated flow-duration curves
1
REGULATION YEARS
/
1
"'
:1'1 1 3\'
:r
'
l
'
'
'
,,
-:;
""'
' ... _J._ 1 l /
v
'
'
LJ T 1 ..'M',
0
.y
'
'
'
1
=:! // i
'
'
-
:
{;"' '9 . -
'

' V
'
/:, P 1-
'
'
'
'
: 1

V
'
-
f-
1
!.t

--
'
-
-
A,. 1 .
TIME SCALE, OAYS(f)
Threc successive water rcgulation years
Fig. 2.6
Fig. 2.7
117
'\nax -
Storage (S)

Low water period
----
Tapping period
qmin- - - - - - - -
Time
Sketch showing sorne basic terms
:>
"
o
00
.-<
""'
"
" rl
"
<l)
00"
"'
1-<
<l)
10

il
....
..
o
"
"'
"'
"
rl ..
,.
w
rl
"
(J
g_ JO
"'
"
(J
H lO
,..
o "
;.
10
1
.56159
: 1
,',S1JSI
11
j J
:'1
:: : :MS6
"1'
,: :: ..
/ J/
,' ' IU
//:l ,'
, ., '
,:- : :'
1 "
/: '{S9160
'. .
, 1
. . .
.. ' '
....... ' :
....
"'

10 lO )O "O SO liO 70 t() 90 100 1\0 lliJ IJO
Reg, discharge in % of average runoff
Annual rcgulation cuncs for a NonYcgian hydrological station for
the pcriod 1951-64
,
o
~
"'
"
-<

"'
"
k
,
"
"' o
"'
"
,.,
"'
u
,.,
u
" o.
"
u
k
'"
o
,
k



"'
Fig. 2.8
Fig. 3.1.
118
140
r --
120
100
80
1
Least favourable
60
j Hedan curve
1
i
40
40 60 80 100
Reg, discharge in 7. of average runoff
Regulation curves
(a) Homogeneous
{e) Homogeneous
and toe drain
(e} Central core
a
(b) Homogenoous and
hoflzontal dra1n
{ti) Homogencous
and chimney dra1n
- - ~ - - - -
Earthfill dams; idealizcd cross scctions.
'
Fig. 3.2.
Fig. 3.3.
119
~
/
'%'
~ ~ -
(a) Cen1ral coro
{b) Sloping sor e
(C) Oiaphragm
Rockfill dams; idcalizcd cross scctions.
Type
Gravity
Arch
Buttress
Material of
Construction
Concrete,
rubble ntasonry
Concrete
Concrete
falso timber
and steel
Concrete dams
Typical cross section
..... ... B ............ ..
Slab-...
Buttres!'.
Plan view
1 1
Fig. 3.4.
1 1
Fig. 3.5.
120
R
Frcc-body diagram of thc cross scction of a gravity da m.
formed vertical
1 rT--, . ,_,_,

'-----jdownstrcam
face
facc
200 mm dia drain
200 mm dia bitumcnfillcd hole
addiliona_l grouc rctemion watenrop
\ frtled rf joint\ are j!fllUI<'d. J\ IHl ;lffh d.1rn\
Keyways and waterstops for dams.
Fig. 3.6
Fig. 3.7
(a) Series of horizontal
arches
121
ibi Series of vertical
cantilevers
Structural elcments of an arch da m
Constan! center
arch dam
Vanable center
arch da m
r- oo ---1 ___ "" 580 __ r'Woo ----1
-- Elev. 560 ---
- Elev. 540 --
-- Elev. 520 ----
-- Etev.500
~ 6 0 ' ~
Ushaped canyon
1 1 1
8 o o
.., .X ~
Plan view
Crown section
Types of arch dams
V-shaped canyon
1
1
1 1 1
ll
o
o
t
;,
;
580
' . t ~
1"0
~ ~
Plan view
1L
Crown section
1
o
~
~
Fig. 3.8
Fig. 3.9.
122
y
1
8/2 8/2
~ B ~
R R
Frcc-body diagram of an arch rib
Slab assumed to be a series of
horizontal beams ex lending A Portian of this componen!
1
may be
between the buttresses translerred lo the bullress
Buttress assumed to be
a series of curved columns
" ' ~ - Be a m load
componenr
Cross section of a typical flat-slab buttress da m.
Fig. 3.10.
Fig. 3.11
123
[
Freeboard
Max. water leve l. 421 _L_
Top ot dam, 424+6h (camber)
L Foundation (rock)
CD Core
@
Rip-rap
@
Filler zona Crown cap
@
Transition zone
(J)
Dam toe
@
Supporting fill
Explanation of terms rclating to embankmcnt dams. Cross-scction
of a typical rockfill da m with a central corc of morainc.
--''------./oo''.' ",
fi:}'}{; '
ROCKFILL
wlth central core of moraine
ROCKFILL
with upstream lace of
concrete or asphalt
ROCKFILL
with central core of asphatt
Typical cross-scction design of rockfill dams
Fig. 3.12.
Gate
Fig. 3.13
124
A
Max. Wl51.9
,,
8
Ma:o:. WL 704.5
~ ~ - - - - - - - - - - - - - - - - - - - - - ~ ~ ~ 6
e
.-3 Max. WL 494 ~ 9 S S
4 76 S
E
IS
'\,)1
D
"
l O
Examplcs ofNonvcgian cmbankmcnt dams with impcrvious
matcrials other !han moraine:
Winch
. '
'
.:
.
.
....
.
.s-Concrete bridge
between piers
_r-Con.crete
.. ~ .
.. .
-.-_.
'
prer
Trunnion


" . - ~

._-- Hollow
- drum
.-seal
'
Hinge and seal
. ' ..
Gate installations on a concrete spillway.
Fig. 3.14
Fig. 3.15
Grooved
pier
'
.,

' ,,
.,
"
.,
" "
'
125
Rubber strip
Plan v1ew
Stop log
,

- ~
"-sp111way eres!
'
ttevation
Flash board installations on a concrete spillway.
o
o
o
o
Hydraulic considcrations, thc circular scction givcs
thc smallest circumfcrance for a givcn arca, and the
smallcst hcad loss,
Excavation, a high rectangle will accomodate thc
transport and equ ipmcnt bes t.
Slability, a high elliptical section will funclion well
for most rock conditions.
A modified "horsc shoe" section will pcrmit a work-
able compro mise and is ofren adopted for water
tunnels.
Tunnel Waterways, Sections
126
The Ulla Ferre scheme: Profile
1200
ELEVATION (m)
1000
800
600
400
200
o ~ r r - - = " , I<VIl.LDIIL POWEA STATION 1240 MW
POWER STATION 160 MW
HJORTELAND PUMP
STATION 4.4 MW
Fig. 3.16
Tunnclling system for largc hydropowcr plant
SURGE SHAFT
RESERVOIR
H
NOT TO SCALE
Fig. 3.17
Layout for powcr plan! with hcadracc tunnel and pressurc shaft
' 1
1
1
1
1
1
127
RESERVOIR
AIR CUSHION
SURGE CHAMBER
Fig. 3.18
Fig. 3.19
HWL
Layout for a powcr plant with prcssurc tunnel
1,0
e o,g
e o,e
2
3l 0,7
0,6

0,4
0,3
0,2
0,1 o
o-
10
o
o
o
o
1l
o

20

A
o
V A
""

-
110

lO
"'
o
/
.....

d 1
. , '--
lo< 18

/e'
A
ft'
r-BIO i.EAKAOE
t -NO LfAKAOE
h 40-100
o h. 100-200
6 A h 200300
V h 300-500
o h 500-700
CCESS TUNNEL
Performance of unlined tunnels/shafts, with the ovcrburden dcsign
critcrion
1,1
1.l -
H/H,
' 1,5
128
1,0
...... 0,9 ----
-- - - --
--,

l!._!JQ
'0,1
1--, '' f::-..-_
H - 600
' '
-
'
'
'
'

'-.,
'
' ' '
'
' '.1'

'-

'

'
' '
'
'
'
'
'
'

--
1':-- '
' '

-
-
__ ,._._
-"'" - o l
'
'
'
','
' ' '
' '
' '
--
'
'
' '
'
,'--; ,_ ...... ' .... ,
'
'
'
'
' '
'
' ' ' '

,"-/,., - "---<.-
'
' ' ' '
'
' -
'......... ..... .......... -.:--:;;
'
'
'
.... '-... ..... ___ ---
-
'
--
.. - .
- -- ---
--
-,----_ -- --=- ""=-
'
'
'
... ---
L
100
-
-'

?_'!L....;
OOm -.
----
---
---
H '
600
Ho=
430m

---
---
;;--
---
---
---
-=
--
- -- --
-- - ---
- - - - -
Fig. 3.20 Leirdola Hydropowcr Plan! (Norway). Model bascd on finitc
clcment mcthod.
AM
GATE
SUBMERGEO PIERCING
NATURAL LAKE CJJTLET
Fig. 3.21 Rcscrvoir bclow or abovc naturallake waterlcvcl
m
Fig. 3.22
Fig. 3.23
129
OPEN SYSHH
NWL
LWL
.f::
_ ' ~ , - - - - ~ ~ ~ ~ ~ ~ - J!Hi__J_H
ALT
TEHPORARY SULKHEAO
H
CONOJTION 1. H < H1 TO PREYENT SOUEEZING OUT OF AIR CUSHION
COIIOJTION , H
4
> H TO PREYENT SURGE TO REACH TH[ GATE HOUSE 1(,0.7-0.9)
CLOSED SY> TEH
Thc two typcs of submerged tunncl picrcings
Headrace tunnel
Surge chamber
Application of comprcssed a ir cushion surge chambcr, as comparcd
with convcntional surge chambcr dcsign
1 1
1
1
1
Fig. 3.24
Fig. 3.25
}JO
no
130

f TUB[S FOR MONITORING Of
/.__. ._____, \riAT{R ANO AIR PRESSUR{
B- B DETAll
110
100 ;
A-A
NORMA.t 1
-!)
Air cushion chambcr. Example of layout
R
2R 1
Standard tunnel cross section
4 o
:L 3
Vl
L:l
z
z 3
z
<
:L
2
5
o
r
J
o
Fig. 3.26
Fig. 3.27
131
- ---.-l
_./
., . . .
: ..
,-

-- t-o
y:
. ..
- - - ~ -._
- - - - - ~
..... .._>
,;:;-
o
....
,
1,
'
u
o
25 50 75 100 125 150 175 200
A m
Meas u red fl'iction coefficicnts M= _!_as a function of mean tunnel
n
area Am
P,
As
Ms
We assume v
1
=v
2
=----Ys
S, = Sz = -- -- Ss
Compositc cross scction and rcsulting Manning cocfficicnt
132
A1 )A,
V, Al
\., ....
,"- . ... .
SHARP EDGE
INLET LOSS:
OUTLET LOSS :

1 . Al 2g
Fig. 3.28
0,5
Fig. 3.29
Hcad loss in sharp edgcd inlct and outlct
L
,.-..
. . <1
A' . A
0
1
[:,.._;___. , . ,.1 '
+ = Reduced heod loss
O
A o_ 1 med oreo
1 --
' A unlmed oreo
0,9
0,8
;. = lncreosed heod loss
kt. vol = heod loss m unl1ned stretch-
2
9 heod loss 1n l1ned stre tch
Hcad loss changc in a lincd strctch
Fig. 3.30
133
f 1 5 ~ - - - - ~ - - ~ - - - - ~
6A( m
2
)

~ - + - - - - - + - - - - - - - - r - - - - - ~
o 50 100
Measured ovcrbrcak in tunnels 1950-1970
COARSE
MATERIAL
Fig. 3.31 Sandttap, open typc (low cfficicncy)
0.5 .fA
.
134
Fig. 3.32 Sandtrap with bcams, opening 50% (high cfficicncy)
FLOW
-
DUA!L 8
AL TERNA TIVE
ACCESS TO
,., . ,.._GA TE HOIST.
BY PASS TUNNEL
WITH POWER STAliON
8UILT LA TER.
--lntl.,.-- DET AIL 8
DISCHARGE
GATE.
AIR VENT.
---1
----... .
DEl AIL A AL TERNA TIVE ARRANGEHENl WllH lWO
REV!SION GA TE. OISCHARGE GA TES.
Fig. 3.33 Bottom outlet tunncl with gates
135
RESERVO/R
, Al TERNA TIVE
...
---- ' / ACCESS ANO ORAINAGE
l.l. , ( 00\o/NSTRAH OAH.
__ i'
'
'
Fig. 3.34 Intake gafe arrangement
---
T All RACE.
POWER STA TI ON
Fig. 3.35 Intakes from severa! reservoirs and brooks
HOUSE ABOV[
RESERYOIR LEVEL.
AIR VENT.
Fig. 3.36
DRAFT TUBE
136
AL TERNA TIYE, STRUCTURES:
SEGMENT OF CYLINDER SHELL
Bulkhead in adit
MAXIMUM
OCCILLATION
LEVE L.
FREE SURFACE SHAFT.
Fig. 3.37 Draft tube gatc
VERTICAL SECTION.
PLANE.
S TUFFING BOX.
CLOSEO SHAFT.
137
Fig. 3.38 Prcssurc conditions by water acceleration.
Fig. 3.39 Position of prcssure conduit and turbine valvcs
Fig, 3.40
Fig. 3.41
138
PELTON
HORIZONTAL
PELTON
VERTICAL
Developrnent in shape of caverns
---
HWL
~
Draft tu be gate Iocation. Example
FRANCIS
VERTICAL
139
Fig. 3.42 Location of transformers
t-1ain access.
Power transmission.
Air evacuation.
Signal and remote control.
Construction adit to top
heading and embedded
penstock.
Sealing and drainage gallery.
Power transmission.
Store capacity.
Construction adit to
tailrace.
Emergency exit.
Tailrace tunnel.
Ventilation air supply.
Emergency exit.
Transformer enclosure.
Fig. 3.43 Tunncllayout for 50 MW Pelton unit
l>lain access.
Air evacuation.
Signal and remate control.
Construction adit to top
heading and cable shaft.
Gate chamber.
construction adit to
tailrace.
Surge chamber.
Tailrace.
Power transmission.
Ventilation air supply.
Emergency exit.
Transformer enclosures.
140
Fig. 3.44 Tunnellayout for 2 x 50 MW Francis units
Fig. 3.45 Top hcading with eran e beams
r
(
Fig. 3.46
Fig. 4.1.
141
GROUTED ROCK BOLTS
PERMISSIBLE OVERBREAK
Anchoring of cranc beam
Ji
/
1
i' discoun1 rote
p
k---- N yeors
Single-paymcnt factors
' l
1' 1- \
1 'J \
F
Singlc-payment compound-amount factor= F/P
Single-payment prcscnt-worth factor= PIF
/
"
/ 1
1
1 1
1 1
Fig. 4.2.
Fig. 4.3
p
142
i' discount rote
N yeors - - - - - - - - - - - ~
Uniform series factors. Sinking-fund factor= AIF;
compound-amount factor= F/A; capital- recovery
factor= AIP; present-worth factor= P/A.
MAX.
NET
RETlJRN
Cost and income curves
SIZE
F
A
Fig. 4.4
Fig. 4.5
143
Water inflow and production of electricity in Norway during a
normal ycar, in GWh/week
1
1
/
/
1
1
/
//
AREA (km
2
)
\t

L'RV
RESERVOIR VOLUME (mill. m
3
)
Rcservoir arca and volumc curves
Fig. 4.6
Fig. 4.7
144
t
;:
-vii'
"

~ " ~ - " ' " '
e
~
""""-
,,e?. "e'!--.-
e ~ - -
-- --
-
NARURAL WATER LEVEL
rl
"

e
~
\
\
~ TAPPING
-.
~ L - - - - - - - - - - - - - - - - - - - ~
TOTAL RESERVOIR COST ~
Storage cost curves
REGULATED FLOW (%) ~
Regulation curve for dctennining year and uncvcn draw off
Fig. 4.8
Fig. 4.9
145
MARGINAL COST RESERVOIR
TOTAL MARGINAL COST
MARGINAL PROD. VALUE
MARGINAL COST AND PROD. VALUE
Marginal production val u es and marginal storage costs as a
function of regulation leve!
Load,
relative uni ts
l. O
0.68
0.25x0.68=0.l7
o
l.
Hydro
75
Therma l
25
l year
Load variation in a mixed system
l. O
0.61
o
'1
146
oh - t i m e ~
Fig. 5.0 Load duration curve in third power
cost
1
Cr +Ca
1
:--.6 C
8
( benefi t)
A orea
Fig. 5,1. Cost and benefit curves for headrace/tailrace tunnels
147
Projects ldentified and rl D
lnvestigated L.:...J
Selected for Prefeasibility
lnvestigation
Feasibility lnvestigation
Defi ni te Study 1
lmplementation
Fig. 5.1.
Hydropower resources investigation and sclection of projects
Project Planning
i
i
Projcd lmplemcntation
!
1
Project
Operatlon
1
DEFINITEPLAN DETAILDESIGN 1
1
S11JDY / .....
1
WORK DRAWINGS
1 i
1 FEASIBILTY STUDY 1 CONSlRUCTION MANAGE- l
l 1 MENT SUPER VIS ION OP
PREFEASJBlLITY
ILSTUDffiS
RECONNAISSANCE
STUDffiS
3. 4 years
1
WORKS 1
1 1 1 -1 ----1
1 1 DESJGN ANO OPERATIONOF
1 PROCUREMENT / j ANDSUPPLY // OFWORKS / L\:STALLATIOJ'\S
1 1
1 1
1 1
1 4 6 ycars 1 40 60 ycars
1 1
Fig. 5.2. Hydropowcr devclopment cyclc
148
v ....
1 l 3 ~ S 6
ReconnaiJUlOCe Study
-
PrefeasibiUty Study
Feasiblty Stduy
Definite Plan Study
Definte Plans ~
Final Design
Tender Document.s
Teodering & Contract.lng
--
Corutruction
Equipm. Deslgn & Manufacture
Er:tion & Conunhsiooing
-
Preooruln!ctioo T lmplemeotation
Fig. 5.3.
Hydropower implemcntation schedule (normal progrcss)
Fig. 5.4.
MBTEOROLOOY
HYDROLOOY
SEDIMBNT
MARKBT
SURVBYS
DE.MAND
PORBCASTS
ALTP.RNATIVB
SUPPLY
Project formulation
POWUR&
ENHROY
BALANCE
7 8
-
ation
Fig. S.S.
cosr ESTL\iATE
a>NSTRilCllON
.SCIIE:PIJl.E
WATER sruon:.s
rownR sruoms
rowrn surrtY
S Y S T E ~ {
PROJECT SUf'f'L Y
ROLE
Fig. S.6.
GENERAL DATA
SOCIO ECONOMY
POWER MARKIIT
(Demooo)
TARIFFS
149
HYDROLOOY
(Q)
TOPOGRAPlfY
O lo)
OEOLOGY
(Soils, Matcri.ils)
L_E_NYIR __ o_NME_NT _ _.JI LI_INFRA __ srn_v_= __ E_
Main data for hydropowcr planning and dcsign
DISDURSI!MENT
SCIII:DULE
ANh'UAL OPERA TION &
MAIN'TENANCE COST,
f'R01t;CT OJ:NE
RATIO};' CAPACrrY
POWER SYSHM
J\'Etf)
cosr srnEAMS
SYSTTIM EI\'I:RGY
ln>.TI f'RICE
E/\'CRGY urrAKr:
CSALES f'ORCCAS'I
Economic analysis, construction of cash flow
lt'COMf:
STRE!AMS
cosr ESnMATE

SCIIEI>VLE
WATUR SlUDI!!."i
f'OWER STUDIES
f'OWERSUPPLY
SYSlCM
PROlECf SUPPLY
ROLE
Fig. S. 7.
Fig. 5.8.
DIS!lURSEMI!l\T
SOl r:DlJLI!
PROlCCf e;:-,-:.
RATION CI\PI\CrrY
150
SYS'TIM I!NI:ROY
t/!--Tf PRICE
11'\COME
SI'RI:I\MS
I'OWI:R
NI!Er>
Financia! analysis, construction of cash flows
"ffiANSMISSION
SCHEMES
H SELECmDSUPPLY

TilERMAL
r (BEST COMBINATJON)
SUPPLY
1 POWERMARKET f--
LEASTCOST
1--
DEMAND f{)RECASTS
CALCULATION
ANDCOMPARJSON
1
POTENTJAL
0
1

H
SEl..ECTED
1
POTENTIAL
POTENT!AL
POTENTJAL
,_
Selection of supply, leas! cost comparison
COST
STl<EIIMS
PROPOSEO
PROJECf
)RMLA110N PROJECTLAYOUT
3'
H
11

T_ ... Swilchyatd and
<O
""'""
...........
,.
'
1
"''"""""" 1
,_.,.....,
"'"""" P\c:k-up ralo ol-or
&vltcnmonlal Olslutbance.
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ORDEN DE
PROCEDER
Definicin y mbito de
aplicacin de la
evaluacin ambiental
Definicin y mbito de
aplicacin de la
investigacin de campo
Implementacin del
Programa de
Investigacin
Investigacin del mercado de
energa
Curva de demanda
Factor de carga
Previsiones de demanda
Duracin del flujo. Estudio de
agua y electricidad.
Parmetros de planeacin
Necesidades reglamentarias
Posibilidades de
almacenamiento
Simulaciones de Operacin
Caudales turbinable y de
avenida
Criterio de diseo y
optimizacin.
Factores de seguridad
Condiciones fsicas del sitio y
de los accesos
Existencia de infraestructura
y de facilidades
Condiciones de las
fundaciones, sismicidad.
Aspectos de Sedimentacin
Disponibilidad de materiales
de construccin, tcnicas y
recursos
FORMULACIN
DEL
PROYECTO
Capacidad de
generacin. Tamao
de las unidades
Contenido de los
sedimentos y las
medidas de control
Proyecto de diseo y
optimizacin
Definir las
perturbaciones del
medio ambiente
Predimensionamiento
hidrulico
Ruta de la lnea de
transmisin
Red de distribucin
Nmero de equipos
auxiliares
Tratamiento del agua
Acomodo de los
edificios y estructuras
Incluir medidas de
mitigacin en el diseo
del proyecto
Dimensionamiento y
pre-diseo del equipo
hidromecnico
Patio de distribucin y
subestaciones
Balance potencia -
energa. Energa
entregada a red
DEFINICIN
DEL
PROYECTO
DE DISEO
Diseo de las obras
de regulacin Toma y
separador de
sedimentos
Diseo de la cada,
desfogue y arreglos
para la oscilacin
Diseo de casa de
mquinas e
instalaciones
auxiliares
Diseo de las
instalaciones de
construccin y las
permanentes
Dimensionamiento y
realizacin de las
especificaciones del
equipo mecnico
Dimensionamiento y
realizacin de las
especificaciones del
equipo elctrico
Diseo preliminar del
equipo hidromecnico
Estudio de costos y
precios unitarios
Costo de equipos.
Investigaciones y
estimaciones
Planeamiento de la
construccin y
programacin
Desglose de
cantidades de los
items ms
importantes
Estimacin de costos
de inversin,
contingencias, etc.
Estimacin de los
costos de operacin,
mantenimiento y de
administracin
Programa de
desembolsos
ESTABLECER LOS
PARMETROS
ECONMICOS DEL
PROYECTO
COSTO / INGRESO
REPORTE DE LAS
INVESTIGACIONES DE
CAMPO
VALUACIN DEL
IMPACTO SOCIAL Y
MEDIOAMBIENTAL
Presupuesto del
proyecto en base
anual
Ingresos del proyecto
anualmente
Proyecciones
financieras
Precios sombra
ltimas
consideraciones del
costo y soluciones
Comparaciones del
beneficio (Anlisis de
Sensibilidad)
FLUJ O DE CAJ A
Anlisis
Financiero
FLUJ O DE CAJ A
Anlisis
Econmico
REPORTE DE
INVESTIGACIN
DE LA
FACTIBILIDAD
INVESTIGACIONES DE CAMPO: Datos e informacin Hidrolgica, Metodologa, Sedimentos, Levantamientos Topogrficos,
Mapeos, Rutas de Acceso, Lnea de Transmisin, Levantamiento de Infraestructura, Levantamiento Geolgico y Mapeo.
Investigaciones Geotcnicas, Suelos y Materiales, perforaciones, pruebas en fosos, trincheras, Anlisis de Laboratorio.
FORMULACIN DEL PROYECTO DISEO DEL PROYECTO
DISEOS DE
INGENIERA
PRESUPUESTACIN REPORTE / ANLISIS ECONMICO - FINANCIERO
ESTUDIO AMBIENTAL: Alteracin del Medio Ambiente, Estudio de
Impacto Ambiental, Definicin de las medidas de mitigacin y Costos.
DEFINICIN DEL
OBJ ETIVO DEL
ESTUDIO
Estudio del Impacto socio -
econmico, costos de
reasentamiento y medidas de
mitigacin.
ESTUDIO DE
IMPACTO
SOCIAL