PROCEEDINGS OF THE 3RD INTERNATIONAL CONFERENCE ON HYDROPOWER

TRONDHEIM/NORWAY130 JUNE - 2 JULY 1997

Hydropower '97
Edited by
E.BRdcH & D.K.LYSNE
The Norwegian University ofScience and Technology, Trondheim, Norway
N.FLATAB0
Norwegian Electric Power Research Institute, Trondheim, Norway
E.HELLAND-HANSEN
Norconsult International AS, Sandvika, Norway
A.A. BALKEMA/ROTTERDAMI BROOKFIELDI 1997
Hydropower'97, Broch, Lysne, FlatabfJ & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN9054108886
Table of contents
Preface Xli
Acknowledgements XN
Organization XV
1 Hydropower in the environmental context
Application and comparison of computermodelsfor quantifying impactsof riverregulation 3
on fish habitat
KAlfredsen, WMarchand, T.H.Bakken & A Harby
Dulyn/Eigiauwater transfer project- Integration of environmental issues 11
I V. Baxendale
Planning anddesignof desilting basins inHimalayas - Acasestudy 17
1.Chandrashekhar &A Rengaswamy
Environmental aspectsof theLowerKihansiHydropower Project, Tanzania 23
IH.Gerstle, S.L.Mhaville &I Lindemark .
..: TheEIAprocess: Amulti-dimensional perspective 33
E.Helland-Hansen
Economic aspectsof removalof sediment fromreservoirs 39
T.Jacobsen
Hydropower and environment: Decision makingin Norway 47
HiKaasa
Weirconstruction as environmental mitigation in Norwegian hydropower schemes 51
1.H.L'Abee-Lund & IE.Brittain
Aframework for a 3Dnumerical modelfor hydropower reservoir waterquality 55
N R

B Olsen

..

Fishbypass charmels: Desi .arameters, evaluation, discharge, costsof construction 61
, . ';'it'\
andoperation
B.Pelikan
v
Hydropower projects and environmental impact analysis
5. Rajani
. 67
The proposed controversial Upper Kotmale Hydro Power Project in Sri Lanka
and its environmental and technical aspects
NRupasinghe
73
Environmental issues block hydroelectric project: A case study of Baspa-I Hydroelectric
Project
R.CSharma, S.P.Bansal & Y.Attri
79
Austria's hydropower and its importance to the environment
WSteininger
85
Split & settle - A new concept for underground desanders
RStt/Jle
First world development in a third world environment: The challenges and solutions
to environmental impact mitigation during construction phases of hydropower projects
in Tanzania, East Africa
P.A.McCauley Terhell
95
105

. Hydropower development in harmony with environment
NVisvanathan & UBhat
111
Hydro power and environment problems in Lithuania
IVycius
119
. Neelum-Jhelum hydroelectric project - Environmentally sound hydropower
D.AWright & MAMalhi
125
Resettlement methods at Lianhua Hydropower Station of China
YongZhao
133
The Shi Sanling pumped storage power plant and its environment
ZhaoZheng, Liang Hai-Bo & WuXiao-Feng
137
Environmental issues of Three Gorges Project
DexiangZhu
141
2 Hydropower in mixedsystems
Coordinated operation of a hydrothermal power system: The case of Nepal
D.B.Basnyat & AD.Gupta
153
Game model for optimizing a river regulation plan
Qiguang Chen & Changming Wang
161
Temperature dependency of demand in mixed hydro-thermal systems
G.LDoorman &B.Mo
167
Norway: Europe's pumped-storage system -Necessary modifications of power plants
A Elstrom
173
VI
The value of hydropower import into a thermal system 181
P.B.Eriksen &1 Pedersen
Long to short termoperationplanningand modelling of hydrothermal power systems 187
B.A Flechner & H Wolter
Portfolio management in a deregulated hydropower based electricitymarket 197
S.-E.Fleten, WT.Ziemba & S.WWaliace
Model experiment of steel lining and reinforced concrete back penstock in the Three-Gorge 205
Hydropower Station
Xiong De-yan, Fu Yi-shu, Ma Shan-ding, Gong Guo-zhi, WuHan-ming, Yang Xue-tang
&YangYao
A case of hydro scheduling with a stochastic price model 211
A Gjelsvik, MB.Belsnes & MHaland
Neural network based simulationtool for improving the control of hydro cascade system 219
R.Golob, D'Grgic & T.Stokelj
Stochasticoptimization of weeklygeneration schedules: Solutionof the hydraulic 227
subproblemswith interior point methods
I-P.Goux, A Renaud, S.Brignol &l-CCulioli
Analysison selection of pumpedstorageplant in North China 235
Liang Hai-bo, Gu Zhao-qi, Ma Ji-ming &Zhang Ming
Benefitof capacity expansionin hydropower stations in viewof power exchange contracts 239
and transmissiongrid utilization
KS.Hornnes, O.S.Grande & T.G.Borg
The challengeof hydro-thermal schedulingin a deregulatedpower market regime 245
A Johannesen
Incorporationof thermal stochasticelements into a hydro-thermal model 251
CJfjJrgensen &HF.Ravn
An optimizationmodel for regional generation schedulingat Hydro-Quebec 259
Ll.afond
Tuningthe planning chain of hydroelectric systems 267
CL Correa de So, Jr & CLyra Filho
Evaluatinghydro expansionor refurbishment in a deregulatedelectricitymarket 271
A Haugstad, HMo & MBelsnes
Integratinglong- and short-termmodels for hydro scheduling 279
B.Mo, A Haugstad & Q.B.Fosso
Estimation of the economical and operational impacts of a HVDC-link between Norway 287
and a continental power system
T.1Larsen, S.Niefien & HIHaubrich
Dailygenerationplanning of a hydrodominated hydrothermal system 293
O'Nilsson & L.S6der
VII
Stochastic hydrothermal scheduling in a competitive environment
M V. R Pereira &N.M Campod6nico V.
301
Effects on thermal power systems in coordination with hydropower systems
SiSather
309
Advantages and disadvantagesin exchange of power between a hydro- and a wind-dominated
electricity supply system
P.Meibom, T.Svendsen & B.Srensen
317
Maximizing the profit of hydro generation when taking into account the extra costs
of co-generation with thermal power
LVinnogg
323
Experiences from the Norwegian deregulation experiment
LWangensteen & 0. Rismark
327
Integration of river water temperature constraints within real time operation of hydroplants
RWelt, S.Hachem & R.Kahawita
333
Dynamic models for real time management of hydroplants
S.Hachem, AG.Hammadia, RWelt & MBreton
341
3 Dam safety and risk analysis
Performance as an indicator of the safety of arch dams with special reference to the wide
spanned arch dam Sta. Maria
P.Beyeler, WHauenstein, P.Lier & B.Otto
349
A role for risk assessment in dam safety management
D.S.Bowles, LR.Anderson & T.RGlover
359
Experience of failure mode, effect and criticality analysis on UK hydropower schemes
CBeak, lW.Findlay &D.LAikman
369
Some problems discussed in design of the Three Gorges Project
Gu Zhao-Qi, Peng Shou-Zhuo, Cai Jun-Mei, Ma Ji-Ming, Zhang Ming, Liang Hai-Bo
& Guo Jian-Jun
377
Stability analysis of rock foundation of a plant dam section .
Zhang Ming, Peng Shou-Zhuo & GuZhao-Qi
383
Credibility and defensibilityof dam safety risk analyses
D.N.D.Hartford & G.MSalmon
387
Evaluating the probability of failure of an earth dam by seismically induced liquefaction
D.N.D.Hartford, K Y.Lum, M K Lee & R.A Stewart
395
Rehabilitationof the intake structures at the VerseDam, Germany
CHeitefuss &H-J.Kny
405
Incorporating risk analysis in dam emergency planning
LJenssen
413
VII'
Mohale CFRD, design considerations
P.Johannesson, CGratwick & S.Nthalw
419
Risk analyses of three Norwegianrockfill dams
P.MJohansen, s.GVick & CRikartsen
431
Dam safety legislation and guidelines - A UK. perspective
lP.Millmore & T.AJohnston
443
Seismic risk analysis of concretegravity dams - Problems and solutions
D.S. Kisliakov
451
Numerical modelling of2-dimensionaldam-break flow
1 P. Laasonen
459
Ice in spillways in connection with dam safety
LLia
467
Hydrodynamic forces from steep waves in rivers
A Levoll
473
Large scale model test on the hydraulic properties of differenttypes of inlets to the penstock
Ma Jiming & Liu Dechao
481
Hydraulic prototype observationof Geheyan Hydropower Station
Ning Tingjun, Cheng Yuanqing & Wang Shipeng
487
Dam safety and risk analysis- Experience of E. S.B. Ireland'
lD.O'Keeffe
493
A 3-dimensional numerical model for determination of spillwaycapacity
N.R.B.Olsen & HMKjellesvig
501
Visco-plastic analysis for the lock slope of the Three-Gorge Project
Peng Shou-Zhuo & Guo Jian-Jun
507
Meadowbank Dam spillway review- A case study in the use of risk analysis
and non-structural solutions
LPolglase
. 513
A new approach to probable maximumflood studies
lD.Cattanach, lv.Q..Chin & GMSalmon
521
Estimating the magnitude and probabilityof extreme floods
GM.Salmon, lv.Q.Chin & V.Plesa .
531
The dam safety business
N.P.Robins & GAWeller
539
The hydraulicproblems existing in Xiaolangdi hydraulic project
T.Xiang, B.Wu, lMCai, lMFen & lv.HYarig
545
Parameter uncertaintyin modellingdam breach and its flood
lX.'LYang
551
IX
4 Tunnelling and underground works
Development of tunnellingtechnology in Nepal by use of local resources
P. P.Adhikari
563
A new method for in situ determinationof the roughnesscoefficient of the hydropowerplant
tunnels
P.Boeriu & V.Doandes
575
Hydraulic jacking tests for unlined high pressure tunnels
E.Broch, T.S.Dahl & S.E.Hansen
581
Ertan hydroelectric project: Experiences during construction
QianYang, P.K.Edvardsen &K.ICarstens
589
Rehabilitationin the unlinedrock tunnels of NedreRessaga after 40 years of operation
T.Carstens, S. E. Hansen & B.Undrum
597
Shotcrete-linedhydropower tunnels
S.Elfman
605
Optimal design of hydropower plants
1 Eliasson, P.Jensson & G. Ludvigsson
611
Monitoringsurvey and feedback analysisof underground powerhouse ofMing Tombs
pumped storage plant
LiangHai-Bo, Gu Zhao-Qi, Zhang Ming & MaJi-Ming
619
TBM-tunnellingat Sauda Power Project
RMoe, RHolen, E.D.Johansen &B.Aspen
623
Rebuildingof the 70 years old Nore 1 Power Plant
1 Hope, APalmstrm &KFinnerud
631
Rock mechanical engineeringto the design of the underground tunnelling works of Bakun
River diversionproject in Sarawak, Malaysia
W.R.Jee & llChoi
639
Stabilitystudy of an underground power cavern in sandstone
WeichengJin, MLu & E.Broch
647
Modeling and back analysisfor a large scale undergroundpowerhouse complex
Zhong-Kui Li, Ai-MinWang & Xing-HuaMuo
653
Head losses due to airpockets in hydropower tunnels
E. Tesaker & S. Lunde
659
Prediction of rock support in Melamchi Tunnel, Nepal
P.Pradhan
667
New method for estimationof head loss in unlined water tunnels
P.-E.Rnn & MSlwg
675
Economic design of hydropower tunnels
P.-E.Rnn & MSkog
683
x
Floor paving in unlined hydropower tunnels
(Z).Solvik & E.Tesaker
691
Unlined invert impact on the free-flow tunnels drainage capacity
V.D.Tashev & K.T.Daskalov
697
Method of calculating pressure transferred by soft layer surrounding penstock
Yao Shuang-Xi, Gu Zhao-Qi &Liang Hai-Bo
703
Author index 707
XI
Hydropower'97, Broch, Lysne, Flatabe & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 54108886
Preface
These Proceedings contain the papers presented at the International Conference on Hydropower
Development in Trondheim, Norway, June 30 to July 2, 1997.
The first conference in this series, Hydropower'87 in Oslo, concentrated mainly on underground
hydropower plants, the second conference in Lillehammer in 1992 had a wider scope, covering
technical, enviromnental and economic issues. Hydropower'97 broadens the scope even further to
also cover safety and training.
In a world where the demand for electric energy is steadily increasing, hydropower holds a unique
position as the renewable energy source with the highest potential in a medium-range perspective.
The regions of the world where the need for energy is most pressing, all possess huge hydropower
resources. With a century of experience to draw on, the hydropower community has an extensive
basis of knowledge and skills in support of every aspect of hydropower development. This includes
how to deal with potentially negative effects of inadequate planning and design. Hydropower'97
does focus on issues that are vital in this respect, such as hydropower in an environmental context,
dam safety and risk analysis.
Planning of hydropower developments is still a great challenge covering a wide range of
technical, economic and enviromnental issues. The objective of the conference has been to address
these issues and highlight the ways in which hydropower can be developed in a flexible manner to
meet varying demands and changing conditions. These are important issues both for professionals
and for the general public.
The papers were selected on the basis.of a general invitation, except for a few specially invited
lectures.
The editors thank all contributors, who have made it possible to collect documentations on many
recent scientific and technicaladvancesinhydropower engineering. We hope that the proceedings
will form a valuable basis for further progress of hydropower development. .
The proceedings have been produced by the offset printing method. All papers are typed by the
authors in accordance with given instructions. The Editors are therefore not responsiblefor misprints
or errors in the text. The opinions expressed are those of the authors and not necessarily those of the
Editors. '
Trondheim, 2nd April 1997
E.Broch E. Helland-Hansen
N.Flatab0 D.K.Lysne
Editors
XIII
Hydropower'91, Brach, Lysne, Hetsbe & Helland-Hansen (eds) 1991 Belkeme, Rotterdam, ISBN 90 54108886
Planning and design of desilting basins in Himalayas - A case study
1. Chandrashekhar & A. Rengaswamy
Central Water Commission, New Delhi, India
ABSTRACT: The paper highlights the planning and design aspects of desilting basins in Himalayan rivers
with specific reference to Nathpa Jhakri underground hydroelectric project under execution. The project is a
run-of-the-river project on river Satluj which experiences severe sediment transport. The project comprises of
an underground desilting basin complex with four parallel basins, with hoppers and flushing conduits at the
bottom to control undesirable sediments from entering the turbines. The design is aimed at eliminating
sediments of particle size O.2mm and above in the basins. The hydraulic performance of the proposed basin
as studied on a physical model as well as simulated in a numerical model is highlighted in this paper.
1. INTRODUCTION
Himalayan rivers carry huge quantum of sediments
both during snowmelt season as well as during
monsoon. The planning of run-of-the-river
hydropower projects in Himalayan rivers call for
careful handling of the sediments. Undesirable
sediments in the water diverted for power generation
will cause significant wear and tear of the
electromechanical parts of the power station.
Diverting absolutely sediment free water for power
generation from such rivers is practically impossible
keeping in view the economic viability. However the
sediment content in the diverted water can be
controlled to permissible limits at the headworks
using settlingidesiltingjbasins.T'roper planning and
design is of utmost importance. Physical model
studies and numerical modelling of large settling
basins help in better understanding of the water and
sediment flow behaviour. This paper discusses in
brief the planning and design studies carried out for
the desilting basins of Nathpa Jhakri Hydroelectric
project:
2. THEPROJECT
The Nathpa Jhakri Hydroelectric project is an
ongoing run-of-the-river project on river Satluj . The
proposed installed capacity of the project is
1500MW, through six Francis units of250MW each,
utilising a discharge of 405cum/s. under a design
head of 425m. The project is an underground power
project and comprises of mainly:
- concrete gravity diversion dam 65.5m high.
- four desilting basins, each 525m long,
16.31m wide at centre,27.5m high
- lO.15m dia. 27300m long headrace tunnel
- 21.6m dia. 301m deep open surge shaft
- 4.9m dia., three steel lined pressure shafts
- powerhouse cavern 20m wide, 49m high, 216m
long
- transformer cavern 18m wide, 27.5m high,
196m long.
- 10.l5m dia., l012m long tail race tunnel.
The layout plan of the project is shown in Fig.l.
3. SEDIMENT CHARACTERISTICS
The river carries significant amount of bed load as
well as suspended sediment load. The particle size
distribution of the measured suspended sediments
indicates the presence of very high percentage of
fines. The average distribution of coarse (0.2 to
2mm), medium (0.075 to O.2mm)and fine (less than
17
TAIL RACE TUNNEL
10.15 M.rp, 1012 M.LONG
JHAKRI POWER HOUSE
COMPLEX
NAT HPA DAM,INTAKE
&DESILTING COMPLEX
HEAD RACE TUNNEL
10.15Mct>,27.3 KM. LONG
Fig. 1. Nathpa Jhakri H.E. Project - Layout Plan
0.075mm) sediments observed in this river and
averaged over 15 years is 17%, 25% and 58%
respectively. The bed material gradation measured
indicates that the bed load ranges from O.lmm to
200mm.
The analysis of suspended sediments for
mineral composition indicates a very high
percentage of angular quartz i.e. about 40%. Besides
these, other minerals with Mho's hardness more
than 7 viz. Zircon, Garnet etc. constitute about 8%.
These sediments could be very much damaging for
the turbines if not controlled.
4. DESILTING ARRANGEMENT
The desilting basins for this project has been planned
fully underground as topography doesn't permit a
surface one. Four independent intakes and inlet
tunnels feed four parallel desilting basins flowing
full under pressure. Various alternatives constituting
three to six basins were considered and four basins
were finally found to be technically and
economically sound. The layout plan of the desilting
basins is shown in Fig.2.
The desilting basins are Dufour type( hopper
type). The design criteria laid down by the turbine
manufacturer calls for excluding sediments above
0.2mm in size in the desilting basins with the
stipulation that the units will trip when the sediment
concentration exceeds 5000ppm. Accordingly the
basins have been designed and dimensioned keeping
the flow velocity around 0.3m/s. The proposed
basins are each 525m long, l6.31m wide at the
centre and 27.5m high. The inlet discharge into each
basin is 121.5cumls which includes 20.25cumls for
continuous flushing which is 20% of the outlet
discharge. The incoming flow into the basin expands
uniformly in all directions through a 50m long
transition (diffusor). The outlet tunnel at the end of
the basin is provided with a controlling gate to
isolate and empty any of the basins for maintenance.
The sediment controlled water is thereby led into the
27300m long headrace tunnel.
The efficient performance of settling basin
calls for ejection of the sediments as it settles down.
The continuous hopper 5m deep at the bottom of the
basin has a 3m wide settling trench with inlet holes
of varying sizes for the settling particles to gradually
travel into the flushing conduits. The basin is
divided into three sections of 175m each.. Three
flushing conduits are provided to sectionalise coarse,
medium and fine fractions of the sediments. One
conduit runs in full length of the basin from the
upstream end carrying coarse sediments while the
second and third conduit starts at 175m and 350m
18
from the upstream end carrying medium and fine
sediments respectively. Six gates for each basin i.e.
two for each flushing conduit at the end shall control
the flushing operation and lead the sediment laden
water into a free flowing flushing tunnel and finally
back into the river downstream of diversion dam.
The velocity in the flushing conduit gradually
increases along its length from 3m/s to 3.75m/s
which is of the same order of magnitude as in the
inlet tunnel. Thus all sediments entering the flushing
conduit shall be flushed out. The longitudinal
section and cross-sections of the desilting basins is
shown at Fig. 3 .
5. MODEL STUDIES
5.1 Physical modelling
Physical model studies of the desilting basin were
carried out (CWPRS, 1990) on a 1:30 scale model
covering the entire basin from inlet to outlet. The
particle size distribution of the suspended sediment
inflow had do = O.OOlmm, d
ss
= 0.075mm, d
S3
=
0.2mm and d
lOo
= 1.Omm . The physical model study
indicated that the 525m length of the basin is
adequate for 90% settlement of the sediments
coarser than O.2mm for an overall inflow
concentration of 5000ppm by volume. The overall
settling efficiency of the basin worked out to be
about 36% for the gradation of the particles
considered.
The size of the flushing tunnel is adequate
for continuous flushing of the settled sediments with
20% of the design discharge for flushing. The length
and slopes of bed and roof of the diffusor were
finalised based on the results of the model studies so
as to permit full expansion within the transition
without flow separation.
5.2 Numerical modelling
Numerical modelling simulating the entire desilting
basin from inlet tunnel to the outlet tunnel was
carried out for studying the hydraulics and
functional efficacy (Chandrashekhar, 1994). A three
dimensional model called "Sediment Simulation in
Intakes with Multiblock option" (SSIIM) (Olsen,
1994) was used to study the water and sediment flow
in the ehtire domain of the basin.
The velocity field in the basin was found to
be predominantly favourable except for the inlet
zone where recirculation was observed. All particles
above OAmm were seen to settle within the first half
of the basin. The concentration of sediments of
0.2mm size is very near to zero at the end of the
basin, but nevertheless some particles find their way
into the tunnel . All particles of size 0.05mm and
below enter the power tunnel . The particles that are
under suspension in the upper half of the basin
towards the outlet are getting carried away into the
tunnel by the high velocities and turbulence . As a
result, significant percentage of fines in the range
0.05mm to 0.2mm enter the headrace tunnel.
The study indicates that the desilting basin is
found to be adequate for 90-95% removal of
particles upto 0.2mm size for an overall inflow
concentration of 5000ppm. The overall settling
efficiency of the basin is predicted as 37%.
6. ROCK SUPPORT SYSTEM AND LINING
The basic rock support system designed after
characterising the rock mass comprises of pattern
rock bolting with steel fibre reinforced shotcrete .
The internal lining for the basins was
originally conceived as 30cm thick concrete lining
with welded mesh reinforcement on the inner side.
The welded mesh was proposed to be anchored to
the rock by 25 dia. anchors . Various other
alternatives have been studied for lining the basin .
The lining should be able to withstand the internal
water pressure during operation and the external
pressure head when one of the basins is emptied for
maintenance purposes.
It is now proposed to provide concrete lining
for hopper portion and the inlet transition reach
where the velocities are higher. The side walls and
roof of the basin is to be finished with 150mm thick
steel fibre reinforced shotcrete lining. The final
surface shall be smoothened to the extent possible .
Though the rugosity coefficient of shotcrete lining
is .higher than that of concrete, due to very low
velocity in the basin the increase in head loss is
negligible.
7. SUMMARY
Desilting basins form a major cost item in the
headworks of any hydroelectric project. Hence the
planning and design should aim at optimizing the
19
I 175 M I 17 5 M .. , 175 M I
150M ", 525M .,
'I " "GATES
\ j
FLUSHING TUN NEL
.
:I:

'" ,.;
SETTLING TRENCH
r- -_J__:
CHAMBER- 3
CHAMBER-2
CHAMBER- 4
r -
CHAMBER-l
:!:
'" ui
..
:
...

-"
\ 'I.
I -,
\ \
\
......, "\ ,
' ............,
.....
\
,
'"

I
i
....
\ \'"3
, '7 'd.
\ Vl
\
. . \
I
'\
I
Fig.2 NathpaJhakri headworks - Layout Plan
I- t- .525 H ., I:"LI
LONGITUDINAL SECTION
c (FI u5hing tunnel not shown)
400 1600 I'
c
<
.. 600
=---0
SETTLING BASIN
'A

FLOW -
z:
,x
U'l
16.31 H Imax.J
II)
N
N
N
It: N
,'1
I\J
......
E
C! z:
TRENCH _L
U'l
'"
CEMENT CONCRETE LINING
-U- FLUSHING CONDUITS
A-A
{AT60M)

CEMENT CONCRETE
'"
1- I 0-0
INLET TUNNEL OUTLET TUNNEL
Fig.3
B-B
(AT 425M I
SET TLING BAS IN - CR0 SS- SEC T ION S
(-(
(AT 480M )
number and dimensions of the basin , at the same
time achieving the desired performance. For large
projects, the basic design should necessarily be
supplemented with physical/numerical model
studies.
The desilting basins of Nathpa Jhakri H.E.
project which is taken as a case study in this paper is
under excavation in the Himalayas. The proposed
arrangement is expected to function well with over
90% trapping efficiency in eliminating sediments of
size O.2mm and above _Central Water Commission
(CWC), a premier technical organisation of Ministry
of Water Resources, Govt. of India is the principal
consultant for civil works of this project. CWC has a
vast experience in planning, designing and
monitoring of hydroelectric projects and has
contributed in developing over 60% of the country's
installed capacity of hydropower. Several desilting
basins have been planned and designed in the
Himalayas which are operating satisfactorily.
ACKNOWLEDGEMENT
The authors express their sincere gratitude to
Chairman, Central Water Commission for granting
permission to submit this paper. The authors also
thank Nathpa Jhakri Power Corporation Ltd.,
Geological Survey of India and Central Water and
Power Research Station, Pune whose basic data have
been used in this paper.
REFERENCES
1. Chandrashekhar 1.,(1994) "Numerical Simulation
of sediment movement in desilting basins using
SSIIM" M.S.Thesis, Norwegian University of
Science and Technology, Trondheim .
2. CWPRS(1990),"Specific note on model studies
for desilting basins for Nathpa Jhakri Project"
3. Olsen, N.R.B.(1994) "SSIIM-A three dimensional
numerical model for simulation of water and
sediment flow" Hydraulic Engineering Software V,
Volume 2, Computational Mechanics Publications.
22
Hydropower'97, Broch, Lysne, Flatabo & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN90 5410888 6
Environmental aspects of the Lower Kihansi Hydropower Project, Tanzania
John H.Gerstle
Hydrosphere Resource Consultants, lnc., Boulder, Colo., USA
Simon L. Mhaville
Formerly: Tanzania Electric Supply Company Limited (TANESCO), Dar Es Salaam, Tanzania
Jan Lindemark
Norplan Al S, Ski, Norway
ABSTRACT: The Lower Kihansi Hydropower Project, a 180 MW (ultimately 300 MW) installed capacity
high-head underground facility with hourly storage, is presently under construction by the Tanzania Electric
Supply Company (TANESCO) in central Tanzania. The project is financed by TANESCO, World Bank,
European Investment Bank, NORAD (Norway), SIDA (Sweden) and KfW (Germany), many of which, in
addition to the Government of Tanzania, have requirements for environmental review and mitigation.. In the
course of its project cycle (identification, planning, design and construction phases) a variety of
environmental studies were undertaken. This paper discusses environmental studies process and the most
significant fmdings and considerations in the recommendations for mitigation. Interim observations of project
impacts observed at this point in the construction period are described. Lessons learned to date in the process
are discussed.
I. INTRODUCTION
This paper describes the process of environmental
studies carried out to date as part of the Lower
Kihansi Hydropower Project (LKHP), the impacts
predicted, mitigation selection process and impacts
noted to date. Although the project is at present
under construction, with commissioning still three
years in the future, it is of interest to review the
anticipated impacts of construction activities
described in the inipact assessments and to compare
them with actual developments which have been
observed to date.
The LKHP is located in central Tanzania on the
Kihansi River, a tributary of the Kilombero and
Rufiji Rivers, as shown in Figure 1. The project,
with an initial capacity of 180 MW and a planned
ultimate capacity of 300 MW, has- a small amount of
storage (sufficient for hourly flow regulation; with
mostly underground waterways and an underground
powerhouse. The water diverted through the
turbines will be returned to the Kihansi River about
5 km in channel distance below the diversion point,
with a gross head of 855 meters.
The LKHP is being constructed with financial
participation from TANESCO, World Bank,
European Investment Bank, NORAD (Norway),
SIDA (Sweden) and KfW (Germany).
Figure 1: Project Location Map
The main project components (shown in-Figure 2) in
the initial project formulation are:
A small darn (25 m high) and reservoir
(1,600,000 m- gross volume), which serve as
the diversion and storage facility; the
maximum area, inundated will be 26.1 hectares
at highest water level; approximately 8.5 km
of access and waterway shafts and tunnels, and
anunderground powerhouse;. .
A tailrace canal approximately 650 m long;
A surface switchyard and transmission lines
from the project site to Iringa and the Kidatu
Hydropower Station;
23
m
Hydropower'97, Broch, Lysne, Flatabe & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN905410 888 6
Economic aspects of removal of sediment from reservoirs
TomJacobsen
Department ofHydraulic and Environmental Engineering, The Norwegian University of Science and Technology
(NTNU), Trondheim, Norway
ABSTRACT: Deposition of sediment in reservoirs is a major obstacle to the development and operation of
reservoirs. Sites for construction of new reservoirs are a limited and decreasing resource. Removal of
sediment from existing reservoirs may therefore be the best, if not the only, way to preserve reservoir
capacity in a region. Economic aspects of removal of sediment from a hypothetical reservoir are studied. The
removal of sediment is based on two recently developed techniques, the Saxophone Sediment Sluicer and the
Slotted Pipe Sediment Sluicer. The techniques enable a stable suction of sediment and feeding of the
sediment water mixture into a pipe or a flume leading out of the reservoir. Present value of costs and benefits
is calculated for a hypothetical case. A number of factors affecting the economy of the system are identified
and discussed.
1. INTRODUCTION facility may be assessed differently for each one.
. Deposition of sediment in reservoirs is a major
Therefore, this study is simplified as follows:
1. Only the economic impacts caused by loss of
obstacle to the development and operation of
water storage capacity are considered.
reservoirs, and causes one per cent of the world's
2. The value of water is assumed to be related
total water storage capacity to be lost each year
only to generation of hydropower.
(Mahmood, 1987). Sites for construction of new
3. It is assumed that all sediment is removed from
reservoirs are a limited and decreasing recourse.
the live storage part of the reservoir.
Removal of sediment from old as well as existing
reservoirs may therefore be the best, if not the only
way to preserve or increase reservoir storage
2. METHODS FOR REMOVAL OF SEDIMENT
capacity within a region.
There are several ways to remove sediment from
There can be several advantages to operating a
reservoirs. Reservoirs that are relatively small
reservoir so that storage capacity is preserved, apart
compared to the annual inflow (Ratio of capacity to
from the value of the storage volume. Increased bed
annual discharge, typically less than 3 %) (Lysne
level in the upstream reaches of the reservoir as well
1995) may be flushed. However, flushing requires
as in the river can cause increased flood levels
drawdown of the reservoir and subsequent
(NIWA 1996). Downstream of a reservoir that traps
interruption of water supply. Large amounts of
incoming sediment scouring of the riverbed is likely,
sediment may be released over a short period. Other
perhaps causing failure of riverbanks and lowered
methods for sediment removal include excavation,
waterlevels. Altered conditions in the river are likely
dredging and sluicing through pipelines.
to affect ecology (ICOLD 1985). Beaches and deltas
Sedimentation may also be controlled with
will also be affected by reduced feeding of sediment.
bypassing techniques (Ando 1994).
Intake works can be affected long before the
Two new techniques which enable controlled
reservoir is completely filled.
suction of sediment into a pipeline have been
Water supplied from reservoirs can have many
developed by the author since 1993. (Jacobsen,
uses such as domestic and industrial supply,
1995,96,97) The purpose is to sluice sediment out
irrigation, flood control navigation, and recreation,
of the reservoir through a pipeline. This work is part
and the value of the water and the water storage
of a Ph.D. study undertaken at the Department of
39
Hydraulic and Environmental Engineering at
NTNU. (The Norwegian University of Science and
Technology). The Saxophone Sediment Sluicer is a
saxophone shaped suction head mounted to a
pipeline. It is operated from e.g. a raft and sluices
sediments from the surface of the deposits. The
Slotted Pipe Sediment Sluicer is pennanentIy fixed
near the reservoir bed, and sediments are allowed to
deposit over it. During sluicing all sediments
covering the Slotted Pipe Sediment Sluicer will be
removed. Both techniques are characterised by their
simplicity, except for the valves they have no
movable parts. The head of water between the
reservoir surface and the outlet level is the driving
force. Due to their special design clogging of the
pipeline is avoided, and a high efficiency with
respect to water consumption is obtained.
Laboratory and field experiments have been
performed, and both techniques have proved their
ability to function under realistic conditions
(Jacobsen 1995, 1996 and 1997).
Figure 1. Sluicingof sediment withthe Saxophone
Sediment Sluicer. Figureof suctionhead is inserted.
Figure 2. Sluicing of sediments from a reservoir with the
SlottedPipe Sediment Sluicer.
3. CALCULATION OF SEDIMENT
TRANSPORT CAPAClTY IN A PIPELINE
Two methods for computing headloss for solid
water mixtures in pipelines and two methods for
computing the minimum deposit velocity in a
pipeline are considered. The methods are compared
with results obtained from laboratory and field
experiments.
3. J The two layer method
A complete review of this method is provided by
Shook & Roco (1993), only a brief discussion is
given here. The slurry flowing in a pipe is visualised
as forming two layers separated by a hypothetical
interface. Within each layer, variations of solids
concentration and velocity are neglected when
computing boundary stresses and stresses at the
interface. The mixture in the upper layer behaves
essentially as a liquid as far as the wall shear stress
is concerned. The lower layer is assumed to have a
high total solids concentration, (C ) which is a
lim
specified quantity. The increment C (see figure 3) is
2
assumed to consist of particles whose irrunersed
weight is transmitted to the pipe wall by interparticle
contact.
A:
Figure3.
A: Pipe Crosssection. as idealisedinthe model.
B: Concentration variation with elevation.
The volumetric flowrate of the mixture is:
A . V =Al . V; +A ,V
(1)
2 2
V: Velocity in pipeline
VI: Velocity in the upper layer
V
2
: Velocity in the lower layer
The local slip velocity for particles relati ve to the
fluid is neglected so the volumetric flowrate of
solids is:
(2)
Volumetric concentration of particles contributing to
Coulombic friction:
(4)
40
The two-layer method provides an equation for C, 3.4 Comparing theorywith results from laboratory
and equations for interfacial stresses written in terms and field experiments
of momentum equations.
3.2 The Durand - Condiolis equation
One of the most frequently used equation for
headloss of water-sediment mixtures in pipelines is
the Durand Condiolis equation:
(5)
. . V
2
rc-
Where <1> == z.. - Z and 'P == "I/'-'D
CV i g. D.(S, - 1)
1: Energy gradient of water (m/m)
1
m
: Energy gradient of slurry (m/m)
C
y
: Sediment concentration by volume
g: Acceleration due to gravity
D: Pipeline diameter
V: Velocity in pipeline
Co: Drag coefficient of sediment particles.
S5: P'/Pw
For normal sediment with a density of 2650 kg/m'
the equation can be written as:
3.3 Minimum deposit velocity
A number of equations for (and definitions ot)
minimum deposit velocity have been proposed. The
deposit, velocity may be expressed in terms of the
factor F, first used by Durand and Condiolis:
(7)
The factor F may be obtained from a chart (Vanoni,
1975) or by Gillies' correlation (Shook, 1993).
Gillies correlation gives a conservative estimate of
deposit velocity compared to Durands and Condiolis
chart for non-uniform sediment. It is worth notice
that Gillies' correlation does not account for the
variation of minimum deposit velocity as a function
of concentration in the way that as the Durand and
Condiolis chart, nor does it account for broadness of
grain size distribution. (The effect of fines < 74 uis
however included) Gillies correlation gives a
conservative estimate compared to Durands Chart
for sediments with broad. grain size distribution.
41
The results from some experiments are summarised
below in Table 1. The observed minimum deposit
velocity is compared with values predicted from
Durands' chart and Gillies' correlation. The
measured headloss is compared with values
predicted from the Two layer method and the
Durand and Condiolis equation.
Table I. Comparing measured and predicted values for
deposition velocityand headloss.
LABI LAB2 FIELD
D(mm) 44 60 125
d., (mm) 0.6 1.,2 0.12
C
y
(%) 4.0 2.8 10
CRITICAL VELOCITY (mls)
Observed 1.2 - 1.4 1.6 <1.8
Predicted, Durand 1,07 1.25 1.20
Predicted, Gillies 1.32 1.43 1.54
ENERGY GRADIENT, t (%)
Measured 10.0 7.5 2,7 - 2.9
Predicted, Durand 7.1 5.9 2.2
Predicted, Two-layer 7.3 5.6 3.1
3.5 Selection ofmethod
The Two-layer method is developed from
experiments with fairly narrow size distributions,
which do not always reflect the real situation. The
model is however preferable to empirical
correlations (Shook 1993) and therefore selected for
this study. The deposition velocity is calculated
from Gillies' Correlation. A maximum
concentration of 20 % by volume is selected.
The extra head obtained because of the increased
unit weight of the slurry (because of the sediment) is
not included in the calculations, as pipeline is
modelled as horizontal.
The calculations performed in this study are
therefore believed to be conservative in that the
transporting capacity in the real pipeline is likely to
be higher than predicted. On the other hand sluicing
can not be expected to be fully effective at all times.
3.6 Chart showing sediment transport capacity
computed with Two-layer method
A chart has Been produced to show transport
capacity (as tonnes per hour) in a 500 mrn pipeline..
The transport capacity depends on energy gradient
and average grain size for sediment. Minimum
deposit velocity IS computed by Gillies correlation.
Table 2 show common properties for the
computations:
Table 2. Data for computationof headloss in pipeline.
Water temp, T 200C
Pipe roughness 20 I.l
Grain friction factor 0.5
Sediment density 2650 kg/m'
Pipe inclination 0 %
Concentration in bottom layer, C"m 0.6 mJ/m
1
Maximum concentration, C, 0.2 rn'zm'
0.100
0.090
0.080
C
Q) 0.070
'5 0.060

OJ 0.050
0.040
0.030
w 0.020
0.010
0.000
./
!
V
...
..

.... ...
.

.........
;:4
'/
/'
.. #'
/'
..
-I'" " .
,
..
,..'
.....
. .
.. ,
.. .........
.........
0"
500 lIh
-- .. _-
1000 lIh
-- - -2000 tJh
--3000tJh
.. ":
"1'"
o 0.2 0.4 0.6 0.8
Average grain size, in mm
Figure 4. Sediment transport capacity in a 500 nun
pipeline, computed with the Two-layer method.
4. STUDY OF A HYPOTHETICAL RESERVOIR
'4.1 Features ofthe hypothetical reservoir studied
Table 3. Reservoir propertiescommonfor all cases
CATCHMENT:
Catchment area: 473 km
2
Erosion (pr. km'zyear): 5000 tonnes
Runoff: 1000 mm/year
Average discharge, Qm:
15 ml/s
Annual discharge, Q.: 473*10" m'
Annual sediment load, Q,,: 2.365.000 ton
SEDIMENTS:
A hypothetical reservoir has been studied. The
reservoir is given properties typical of reservoirs
subject to a monsoon climate in the foothills of the
Himalayas such as for example in Nepal. It has thus
a wet and a dry season with most of the rain falling
in the three months of July, August and September.
The reservoir is operated so that the whole live
storage is used for electricity production once every
dry season. Essential for these calculations is that
the electricity price is assumed higher in the dry
season, due to scarcity of water. Table 3 provides
data that are constant for all cases.
4.2 Calculation costs and benefits for a basic case:
The economics of sediment removal is computed
step by step for a basic case. The calculations are
based on values given in tables 3. and 4.
An overall efficiency of the powerplant of 0,85 is
assumed, thus the amount of electricity produced
from each m' is:
1m
3
432m 0.85 3600s/h 9.8I m/s == 1.0kWh/m
3
0.001m
3
/kglOOO W/kW
Annual deposition of sediment is:
0.93 . == 1,640,000m3
1.33 tonnes]m
It is further assumed that 91.5 % of the incoming
sediment, which equals 1.5 mill. m' (or 2 mill
tonnes) is removed from the live storage of the
reservoir annually. (It is assumed that all sediment is
removed from live storage) The extra production
obtained in each dry season because of the increased
reservoir volume is:
1,500,OOOm
J
.1.0kWh/m
3
= 1.5.10
6
kWh == 1.5GW}z
It is assumed that 50 % of the water stored for the
dry season could have been used for electricity
production in the wet season. it is further assumed
an electricity price of 4 cents/kWh in the dry season.
The value of the extra production the dry season is
therefore:
1.5.10
6
kWh (4 - (2 0.5)) cents/kWh = $45,000
The net present value of the removal of the sediment
can be calculated by multiplying the annual
reoccurring benefit with the inverse annuity discount
factor, dh, which is given as:
Dry density of sediment deposits: 1333 kg/m'
Density of sediment: 2650 kg/m'
STORAGE RESERVOIR:
Reservoir volume: 100*10
6
m
Head for sediment. transport: 150m
Capacity inflow ratio (CIR): 0.21
Trap efficiency: 93 %
OTHER VALUES:
Lifetime of removal system: 20 yr.
Lifetime of cleared reservoir volume: 45 yr.
Electricity price, wet season: 2 cents/kWh
42
l-(l+rr
n
(World Bank, 1997) The cost of the other equipment
df = -'---'-- (8)
is set to $500,000 and thus the cost of the removal
A r
system is:
If the volume is used for 45 years and the discount
rate is 7 % the inverse annuity discount factor df,
= 13.6 and the obtained reservoir volume has a
present value equal to:
$45,000 13.6 = $612,000
4.3 The net present value ofthe sediment removal
system
The amount of sediment removed annually is 2.0
million tonnes and d., =0,12 nun. The length of the
pipeline through which the sediment is transported is
assumed 5000 meter. The available head is 150
meter, and thus the available energy gradient in the
pipeline is 3.0 %. Computations with the Two-layer
method show that a 460 mm pipeline can transport
1314 tonnes/hour at this gradient. Thus 1522 hours
is required to remove the sediment at a discharge of
water in the pipeline of 0,55 ml/s. The amount of
water used annually to transport sediment out of the
reservoir is:
0.551m
3
[s- 3600s/h 1522 h/year = 3.019.10
6
m
3
(Which is 0,6% of total annual discharge.)
It is assumed that 50 % of the water used for
transport of sediment would otherwise have been
discharged past the reservoir during floods. The
value of the water used for sediment transport is
therefore calculated as:
3.01910
6
m
3
-Zcentsjm' 0.5=$30,190
It is further estimated that the sediment removal
system has annual operation and maintenance costs
of $300,000. The gross present value of the
sediment removal system as described above is
calculated by using the inverse annuity discount
factor, di. A lifetime of 20 years and a discount rate
of 7 % gives di. = 10.6. Thus the gross present
value is:
(612,000 - 300,000 - 30,190) 10.6 = $2,988,000
The cost of a removal system is difficult to asses
correctly. A simple way of assessing the cost is
therefore used. Steel pipe with wall thickness =2.5
% of pipe diameter is assumed, and the price is
taken as 5.5 times a steel price of $500/tonnes.
(5,000m * $370/m) + $500,000 := $2.350,000
The net present value of the sediment removal
system is:
$(2,988,000 - 2,350,000) = $638,000
5. SENSITIVITY TO VARIATION OF INPUT
DATA
the sensitivity of the net present value of the
sediment removal system to variation of different
factors is considered. For each case only one set of
data is changed while the others are kept constant at
the values given in table 3 and table 4. The range of
variation is also given in table 4.
Table 4. Values that can be varied. Values used for the
basic case are given. Values in brackets are ranges of
data in the sensitivity analysis.
VARIABLE VALUES
Lengthof pipeline 5000m (1500 - 10000)
d,", sediments: 0,12 mm (0,04 - 0,5)
Head for powergeneration: 432 m (300 - 1000)
Electricityprice, dry season: 4 c./kWh(3 - 7)
Discountrate: 7 % (3 - 10)
PRICES FOR REMOVAL SYSTEM:
Pipeline: (D/460mm)2*$370/m
Other equipment: (D/460mm)*$500,000
Operation and maintenance: (D/460mm)*$300,000/yr.
10000.,...------------....,
ID
8000
::J
" i i j ~
6000
> ~
... (J)
4000
Basic case
ID
O
2000
C:::)
810
'-0
0+----......;....-.....00::::------4
a. .....
Q j ~ -2000
Z -4000
-6000 +---t---\---t----.I---+---'
1500 3000 4500 6000 7500 9000
Length of pipeline (m)
Figure 4. The net present value of a sediment removal
system is calculated assuming different length of the
pipeline. A shorter pipeline will give higher energy
gradient. and a smallerpipeline is needed, The amount of
water used is also reduced.
43
_________---'--- 0. _,_"__ ~ . . .
10
0.44
Basic case
0.14 0.24 0.34
Grain size, d50 (mm)
10000
8000
6000
4000
2000
a
-2000
-4000
-6000 +---+---+----1----1-----'
0.04
Figure 5. The net present value of a sediment removal
system is calculated assuming different grain size, d '
so
The grain size will influence both flow resistance and
size of pipeline as well as water used for sluicing.
10000 -----
8000
@ 6000 Basic case
C 4000
8l s 2000

O-j-"':?'_I------------""""!
a; -2000
Z -4000
-6000 +----!------1I----+----I
300 475 650 825 1000
Head available for energy production (m)
Figure 6. The net present value of a sediment removal
system is calculated assuming different heads available
for power generation.
10000 ,
8000 i
CD
::J 6000

.:: 4000 Basic case
c::::l 2000
810
Olo O+----::I::o"""'=-----------i
.... 0
a. - -2000

Z -4000
-6000 +----+-----,f-----1----;
0.03 0.04 0.05 0.06 0.07
Electricity price in dry season ($/kWh)
Figure 7. The net present value of a sediment removal
system is calculated assuming varying electricity price in
the dry season.
44
10000 y-------- -----,
lD 8000
::J
@ 6000
C 4000
Basic case
CD 0 2000
lllo
0t--------'-=-t<::::------j
a; -2000
Z -4000
-6000 +--+--+--+--+--;---+---I
3 4 5 6 7 8 9
Discount rate (%)
Figure 8. The net present value of a sediment removal
system is calculated assuming varying discount rate. A
low discount rate increases the value of costs and
benefits obtained in the future.
6. DISCUSSlON
it is important to note that several simplifications
were made to make this study feasible. In particular
the costs associated with a sediment removal system
were assessed on a very crude basis. The study is
therefore intended to provide a survey of factors
influencing the economy of sediment removal,
rather than predicting exact values for specific cases.
6.1 Conditionsfor sediment transport in a pipeline
The length of the pipeline (i.e, the energy gradient)
and the grain size determine both how much water is
needed for transport of sediment and the investments
in pipeline and other equipment. For long pipelines
andlor for large sediment sizes a larger diameter
pipeline and thus a much more costly sediment
removal system is necessary.
6.2 The value ofwater stored in the reservoir
The value of the storage volume varies linearly with
the head available for energy production and the
price for electricity in the dry season, and therefore
has a major influence on the economics. The value
of the water used in this study is bases on use of the
stored water once a year. In a real case the water can
be used several times a year but it is also possible
that there are years where the storage volume is not
fully exploited.
6.3 The discount rate
The discount rate is seen to have a mitior influence
on the economics. The standard discount rate used in
this study is equal to the Norwegian discount rate of
7 % set by the Norwegian Government in 1978. This
is well above the real rate of interest in Norway
from 1946 - 1992 which was 1.4 %. It is therefore
argued that a discount rate of 7 % is too high
(Myhre 1995). Discounting may also be criticised
for environmental reasons, the most important of
them being (Myhre 1995):
I. Depletion of natural resources.
2. Obstacle for environmental investments.
3. Welfare of future generations.
4. Environmental risk.
5. Irreversibility.
One example of where normal discounting is not
used is planting of trees in Norway. In an ordinary
economic assessment this is not profitable at all
since the discounted value of the trees 60 - 80 years
from now is practically zero. Hence, "normal"
economic considerations are not sufficient for these
applications.
6.4 Non-economical costs and benefits
The non economical costs or benefits from removing
sediment from a reservoir have not been considered
in this study. These costs and benefits are likely to
add weight to the argument for removal of sediment
from reservoirs, provided the sediment released does
not alter conditions in the river too much.
6.5 Further improvement ofcalculations
Factors which could have affected the outcome of
the calculations but have been ignored in this study
(Apart from the non-economical costs and benefits)
are:
1. Operation costs are likely to depend on time
needed for removal of sediment.
2. The size of the reservoir and the amount of
sediment removed annually is likely to affect the
economics.
3. It is assumed in the study that all sediment in
the live storage. In a new reservoir the percentage of
sediment which deposits in the live storage will
increase with time and reach 100 %.
4. The benefits from avoiding rebuilding of intake
works and other structures are not taken into
account.
5. Annual sedimentation rates will always vary
and rates varying from 100,000 to over 4,000,00?
tonnes/year have been reported for a reservoir
(Ando, 1994). The uncertainty with regard. to
sedimentation rates is likely to affect the economics.
7. CONCLUSION
It is concluded that the benefits from increased dry
season power production can justify removal of
sediment from a medium sized reservoir. However
of more importance is that the economics of such an
undertaking relies strongly on several technical and
economical conditions some of which have been
identified and discussed. Several additional benefits
apart from the pure economics are likely to occur,
adding to arguments for the implementation of a
sediment removal system.
REFERENCES
Ando, N., Terazono K. and Kitazume R.: Sediment
removal project at Miwa dam. 18th Congress on
Large Dams, Durban (1994)
Jacobsen, Tom 1995. Slotted pipe sediment
sluicing. ICOLD symposium: Reservoirs in river
basin development. Oslo.
Jacobsen, Tom 1996. Removal of sediments from
reservoirs. Proc. Int. Conference on reservoir
sedimentation, Fort Collins, 9. - 13. Sept. 1996
Jacobsen, Tom 1997. Removal of sediments from a
reservoir with the Saxophone Sediment Sluicer.
19. ICaLD congress, Florence 1997.
Lysne, D. K. L. Olsen, N. R. B. Stale, H.
Jacobsen, T. 1995. Sediment control: recent
developmentfor headworks. Hydropower and
Dams, March 1995.
Mahmood, K 1987. Reservoir sedimentation:
Impact, Extent and Mitigation. World Bank
Technical Paper no. 71. Washington DC.
Myhre, Lars 1995. Some environmental and
economic aspects of energy saving measures in
houses. Ph.D. Thesis The Norwegian University
of Science and Technology (NTNU), Trondheim,
Norway
National Institute for water and Atmospheric
research (NIWA) and WORKS Consultancy 1996.
Lake Roxburgh: Sediment redistribution. Effects
of 1995floods.
Shook, C. A. & Roco M. C. 1991. Slurry flow
Principles and Practice. Buttenworth-Heineman,
Boston
Vanomi, Vito A. (ed.) 1975. Sedimentation
engineering. ASCE Manuals and Reports on
Engineering practice No. 54, New York.
World Bank 1997. The Pink sheet.
http://www.worldbank.org/htmIJieccp/psjan.html.
45
.", .. ,
d
Wi
'.
Hydropower'97, Brach, Lysne, Flatabo & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 5410 888 6
Hydropower and environment: Decision making in Norway
Halvard Kaasa
Statkraft Engineering, Hevik, Norway
ABSTRACT: A major change in the Norwegian planning process was carried out in 1990. A model for plan
ning involving good multidisciplinary contact and co-operation between the involved parties in early phases
of the decision making process is compared to a conflict model where much energy was spent on visual
izing the parties' different interests and demands instead of focusing on end results.
1 INTRODUCTION
Norway does have more than 100 years of experi
ence in producing electricity from hydropower, and
environmental issues have been on the public agenda
in Norway for quite a number of years. A major
change in the Norwegian legal system inter alia
introducing public and open processes from the ini
tial phase of the planning process was carried out in
1990. This has recently given us experience in dif
. ferent ways of handling hydropower development
and to a certain stage we feel that we are able to
draw some vital conclusions about the best courses
of action to foresee and solve potential environ
mental conflicts in relation to hydropower schemes.
In the early sixties, environmental issues were of
relatively minor importance for hydropower deve
lopers and for the society in general, and the de
veloper's arguments usually carried most weight. We
were still in the process of building up the Scandi
navian model for the welfare state and economic
growth had priority over environmental issues.
From that time and up to the eighties, the normal
procedure for development of a hydropower site
was, for the hydropower company, to carry out the
planning and feasibility studies without specific
contact with other organisations. Only slight atten
tion was paid to environmental issues. The hydro
power company was in practise responsible for the
technical and economic plan, while the central ad
ministration commented on the effects of the project
as a whole, its social impact and the environmental
and cultural aspects.
It was normally when the application was sent to the
appropriate governmental institution that the envi
ronmental conflicts would start hotting up. This led
to reactions from various interest groups, and not
least from the environmental concern groups, which
in that period were becoming increasingly important.
2 VISmLE CONFLlcrS
In disputes over hydropower developments in Nor
way, as in many other countries, the environmental
issues ate most focused on and appear as. '-risible
public conflicts. Pecuniar discussions atwutprofit
ability, tax, duties, economic compensation to the
local authorities and land owners are more con
cealed. The same goes for non-economic compensa
tion to the local community such as building of wa
ter supply systems, sewage treatment, setting up
investment funds et cetera. These discussions make
relatively little noise because they involve individual
legal subjects who accept forms of negotiation and
ways of reaching agreement, for example the judicial
system. The parties involved seldom feel that they
have much to gain by publicity.
The greatest problems therefore arise concerning
public access and utilization of the environment.
Being a scarcely populated. country, these rights are
fundamental legal privileges in Norway.
Increasing interest in the environmental impact of
hydropower developments seems to go hand in hand
with the increase in prosperity. Today many coun
tries potentially face this development but I should
47
1
Hydropower'97, Broch, Lysne, FlatabfiJ & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN90 54108886
Split & settle - Anewconcept for underground desanders
H.St01e
Sediment Systems, Dr.ing. H Stele AS, Trondheim, Norway
ABSTRACT: It is often difficult to locate surface settling basins at the intake of high head run of the river
hydropower projects. Conventional underground settling basins requires large caverns. It is not required to
reduce the transit velocity of the entire flow in order to facilitate settling in an underground split & settle
sediment excluder. The split & settle concept takes advantage of the difference in'sediment concentration over
the depth in a water flow. The basic principles of the split & settle concept is presented in this paper. The
present status of the development programme for the split & settle technology is given together with the
results from preliminary case studies which indicates that the cost of underground sediment excluders can
be reduced to 60-80% if the split & settle concept is applied instead off conventional underground basins.
INTRODUCTION
The split & settle concept is a new approach to
exclusion of suspended sediments in water
withdrawn from rivers with high sediment loads.
Exclusion of suspended sediments is required at
many hydro projects in order to obtain an acceptable
quality of the withdrawn water. The main objective
with the sediment handling facilities at run of the
river hydropower projects is to reduce the sediment
induced wear and abrasion of the turbines as well as
uncontrolled accumulation of sediments in the
waterways which may reduce their transport
capacities.
Settling .basins are normally applied for
exclusion of suspended sediments at hydro projects.
The velocity of the flow is reduced in order to
facilitate settling of the coarser fractions of the
suspended sediment load due to gravity. The
exclusion of suspended sediments is guided by the
fall velocity of the suspended particles and. the .
. turbulence level of the water flow which keeps the
particles in suspension despite the gravity forces.
The cross section area of the flow must therefore be
expanded in order to reduce the turbulence level and
thus facilitate settling.
The settling facilities shall reduce the
. concentration of suspended sediments in the water
according to the design criteria for the project,
which normally are given as trap efficiency criteria
for one or more particle sizes. Depending on the
design criteria, the transit velocity in the settling
basins is normally in the range of 0.1 to 0.4 rn/s.
Settling basins are therefore a major cost item at the
headworks of run of the river hydropower projects.
The required surface area for settling basins
are often not available at the desired location for the
headworks structures at high head run of the river
projects if the water is drawn from a steep river
running in a narrow valley. The area required for
surface settling basins is an important site location
parameter for the intake structures.
The cost of underground caverns are largely
dependent on the rock quality and the span of the
rock caverns required for conventional settling basin
design. Several caverns are therefore often built in
parallel in order to Obtained the required transit
velocity and maintain acceptable spans of the rock
caverns from an engineering geological point of
view.
New technology has been developed over the
last ten years which facilitates removal of deposits
from free surface as well as pressurized settling
basins while these basins remains in operation
(Aspen and Stele, 1992), (Stele, 1993), (Jacobsen,
Lysne, Olsen and Stele, 1995). Fuelled by the
95
SEDIMENT SYSTEMS - Dr.lng. H. Stale AS
'> (,
1........."'... ...::;.1
;::;:;:::;;:=:;:;;::;:;:;:;;;:;::;:::;::.-,
FLUSHING OUTlET (CONSTRUCllON ADn)
SPLIT & SETTLE - BASIC ARRANGEMENT
Basic Split & Settle Arrangement
o
:i!
i
m
~
:t
m
i
:D
~
~
UPPER FLOW
... ----- LOWER FLOW
....... _ - - - ~
FLUSHING FLOW
Figur 1
~ . ~ ~ . ~ , , ~ ~ = . = ~ ,. "". .c.. . ..... . .c.. ", .........,_ . ....... . ~ " , " _ ~ . _ " .. ' ... "....... ..'=" -."'cd'
opportunities provided by the new sediment removal
technology and the theories and knowledge
developed by our "fathers" and "grandfathers" on
the behaviour of sediments suspended in a water
flow, Dr. Haakon Stele has invented a new concept
for sediment exclusion, labelled split & settle.
2 THE SPLIT & SETTLE CONCEPT
2.1 Basic Principles
The concentration of suspended sediment is not
uniform over the cross-section of a water conduit.
The concentration is higher close to the bottom than
higher up in the water column in the flow in an open
channel or a pressurized tunnel flow. The split &
settle concept takes advantage of this difference in
sediment concentration over the depth. In the
following text, it will be assumed that we have a
pressurized tunnel flow situation, but the concept
may also be applied in water conduits with free
surface flow.
The basic elements of an underground split &
settle arrangement are shown in Figure 1. The flow
in the tunnel upstream of the settling facilities (the
approach flow) is split horizontally at the first tunnel
cross. The bottom water contains relatively more
sediments than the water higher up. The bottom
water (say 20% to 40% of the. total flow) is
therefore diverted to the upstream settling tunnels
running parallel to the main tunnel. The settling
tunnels are processing the "dirtiest" part of the water
flow. The transit velocity is reduced in order to
facilitate settling of a major part of the suspended
load in relatively small caverns. The "cleanest"
water flows in the main tunnel where the transit
velocity has been reduced somewhat (60% to 80%
of the velocity in the approach tunnel). Suspended
sediments will therefore continue to accumulate in
the lower segments of the flow. The "dirtiest" water
in the main tunnel may therefore be diverted once
more in the second tunnel cross just upstream of the
section where the "cleaned" water from the upstream
settling tunnels are returned to the main tunnel. This
water is then processed in the downstream settling
tunnels before the water in these basins are returned
to the main tunnel in the third tunnel cross.
The split & settle concept facilitates exclusion
of the suspended sediments without reducing the
transit velocity of the entire flow to a settling level.
The settling basins are located in a serial pattern
rather than the conventional parallel pattern in a split
& settle sediment excluder system. The settling
basins (tunnels) are always processing only the
"dirtiest" part of the water flow. The split & settle
basins are therefore able to exclude more suspended
sediments per m' excavated rock than conventional
settling basins.
The split & settle process can be repeated
several times if necessary until the total
concentration of suspended sediments in the water
satisfy the design criteria with respect to exclusion
of suspended sediments. Settling tunnels may then be
constructed along the main tunnel at any adit along
the headrace tunnel if required. The same tunnelling
and rock support technology can therefore be applied
in the settling tunnels and the headrace tunnel.
Exclusion of suspended sediments underground by
use of the split & settle technology does not require
large caverns, it only requires some additional
meters of tunnels of the same type (span and support
works) as applied in the headrace tunnel.
The split & settle concept requires a flushing
arrangement which can remove the deposited
sediments from the settling tunnels (and the
downstream main tunnel if required) while the
basins are in operation. It is assumed that all four
settling tunnels will be furnished with "Serpent
Sediment Sluicing System" (S4) for this purpose.
The upstream settling tunnels are flushed from their
downstream end, while the downstream settling
tunnels are flushed from their upstream end. The
flushing outlets are located next to the second tunnel
cross. The flushing tunnel will serve as an adit
tunnel during construction of the headrace tunnel.
2.2 Theoretical Basis
The distribution of suspended sediment concentration
over the depth in turbulent and steady flow is
described by the Rouse equitation given in (1). The
diagram in Figure 2 shows the suspended
concentration distribution for several values of z
which is labelled the Rouse number (2).
w
(2)
~ . k . U.
where:
d: Total depth
y: Level above bed
C: Concentration of sediments with fall velocity
97
w at level y
a: Fixed level equal to 0.05 d
Ca: Concentration of sediments with fall velocity
w at level y=a
w: The fall velocity of the suspended particles

--=-_ 1.0
0.9
0.8
07
"I" 0.6 , I
"'"
'0 0.5


;;;
:> 0.4
0.3
0.2
O.

a 0.1 0.2 0.3 0.4 0.5 0.6 0.7 08 09
<,
1'--1
--
f\ 1\
\
\
t-
"\
1\
i
I i\ \

\ 1\ \
\

0

1\ \
v
.\
\, \ \
\
1\
\
\
"':' \ \ \
-,
\
\ \
I\. \ 1\
<,
r-, "-
1\ 1\ \
r-..

r---
r-- \'-L..............
r-- --
r-
<,
r.........'
'""
{3: The turbulent Schmidt number w 1.0 for fine
particles
k: Von Karman's constant = 0.4 for clear fluids
D.: The shear velocity
For low values of z, the concentration tends towards
becoming uniform over the depth, and for large z
values, the concentration is small near the surface
and relatively higher near the bottom. The z value is
proportional to the fall velocity, wand proportional
to the inverse of the shear velocity D., which again
is mainly dependent on the mean velocity, D in
mean
the flow.
The Prandtl-von Karman's universal velocity
distribution law applied on a rough and wide channel
with steady flow and the Nikuradse sand roughness
parameter, k representing the flow resistance, is
given in (3). The Strickler formula, given in (4), is
applied to compute k, assumed equal to d
90
by use of
the Manning number, M (or lin).
U = 5.75 . U . loge30 . Y) (3)
k
LO
. >.. Bottom ('
Relallve concentrancn, c: 1 26
:::
M
(4)
n d
1
/
6
Figur 2 The Rouse diagram 90
VERTICAL FLOW AND SEDIMENT DISTRIBUTIONS
Flaw em3/s)' 60.0 - Appr-oec h velocity em/s): 0.80 - Tunnel W-H (m): 7.07' 1061
REL CONCENTRATION (CICa) AND VELOCITY (rnIS)
o 0.2 04 0.6 ctr 1
- 1 __-------r------,------..,...------,--.....
I
f
a.
W
o
w
>
f
<(
-l
W
IT
100 80 60 40 20
REL TOTAL FLUX BELOW LEVEL (%)
-II- cepo\nt)
____ V( po I nt) ---6- V(ca I I)
SED-FLUX(ce\ I)
-e- TOT. WATER-FLUX BELOW TOT. SED FLUX BELOW
SPL IT & SETTLE
SEDIMENT 515TEMS
Figur 3 Q = 60 m
3/s
and d= 0.2 mm. Vertical distribution of concentration, flow and fluxes
98
where:
U: The mean velocity at level y above the bed
k: Nikuradse sand roughness parameter
M: The Manning number (M = lin)
d
90
: Particle size with 90% by weight smaller than
d90 l d
90
"'" k
By use of these formulas it is possible to compute
the distribution of sediment concentration and
velocity over the depth in a wide open channel with
steady flow. The product of these gives the sediment
flux over the depth.
The flow and sediment concentration
distribution in a pressurized tunnel will be different
from the distribution in an open wide channel. These
one-uimensional distributions may l however, be
applied to produce the first estimate of the
distribution of the sediment flux over the depth in a
rectangular shaped tunnel. The estimated sediment
flux over the depth in a concrete lined tunnel
(Manning number M = lin = 60) with a flow of 60
m
3/s
and a rectangular shape where W = 7.07 meter
and H = 10.61 meter, will be as shown in Figure 3
for particles with fall diameter of 0.2 nun in water
of 10 deg C.
2.3 Areas of Applications
The split & settle concept is expected to be
favourable at projects where the settling facilities
must be located underground or at projects where a
headrace canal is running along a narrow valley
where there are very limited space available. The
two main areas of application of the split & settle
technology are expected to be: a) Sediment exclusion
at new projects, and b) Add sediment exclusion
capacity to existing hydropower plants with severe
sediment induced wear.
3 RESEARCH AND DEVELOPMENT
A series of studies have been initiated in order to
develop the split & settle technology and provide a
basis for optimum design of sediment excluders
based on the split & settle concept. The main
questions which are approached are:
a) Means required to facilitate hydraulic
control of the flow so optimum flow diversion ratios
can be maintained.
b) The actual flow and sediment distribution in
the approach tunnel, and the variation in these based
on the geometry (including length), approach
velocity and wall roughness. This is the basis for
computation of actual relation between flow
diversion ratio and sediment diversion ratio (i. e. the
actual variation in sediment flux over the depth) and
the overall trap efficiency of a split & settle
arrangement.
3.1 Physical Hydraulic Modelling
The main hydraulic aspects of the split & settle
concept has been studied in the hydraulic laboratory
at NTNU/SINTEF. The model comprises 50% of a
complete split & settle arrangement, i.e. settling
basins of one side and half width of the main centre
tunnel. The hydraulic challenge has been to obtain
an even head loss through the various water ways of
the system when the flow distribution between centre
tunnel and the settling basins is as desired. De-Silva
found that it is possible to adjust the distribution of
flow between the centre tunnel and the settling
tunnels, i.e. to obtain the required flow diversion
ratio, by introducing an adjustable head loss in the
centre tunnel between the inlet and outlet to the
settling basins. The flow control structure is located
at the second tunnel cross as shown in Figure 1, (de
Silva, 1996). The laboratory study is not completed
yet. The geometry of the diversion tunnels and the
upstream transition arrangement in the settling basins
with the objective of obtaining an optimum inlet
geometry is currently the focal point of the
laboratory work. This study is an integral part or'
one thesis at the MSc programme in hydropower
development at NTNU in 1997.
3.2 Numerical Simulations
Our generation has not contributed as much to the
sediment transport theory in turbulent flow as the
two former generations. One of the important
contributions to sediment engineering by the
researchers of today is the ability to make better use
of the established theory by use of computers to
simulate the flow field and the sediment fluxes in
complicated geometries without normal and/or
steady flow conditions. Two MSc candidates at
NTNU are currently involved in 3-D simulations of
the flow and sediment distribution in a split & settle
system by use of the SSIIM programs. This is
expected to produce a better representation of the
distribution of sediment and water fluxes over .the
99
FLOW AND SEDIMENT DIVERSION RATIOS
Flow (m3/s): 60.0 - Approach velocity (mls): 0.80 - Tunnel W*H (m): 7.07 * 10.61
o
100
rv
IR
80
'-'
0
-
f
er
[[
z
60
0
-
\Il
[[
w
>
-
40
0
f-
Z
W

0
20
w
\Il
o 20 40 60 80 100
FLOW DIVHISION RATIO (96)
_____ d
_____ dO. 2S mm
O. 20 mm .:..,....... d 0 18 mm
0.16 mm
--e- d
014 mm
--7E- d
0 12 mm
SPLIT & SETTLE
SEDIMENT SYSTEMS
Figur 4 Q = 60 m
3/s.
Computed flow and sediment diversion ratios
COMPUTED TRAP EFFICIENCIES
SPLIT & sETTLE ARRANGEMENT AT HYDROELECTRIC
r-;
IR
\...J
>
U
Z
W
u
LL
LL
W
Q.

a
f
-6- c) IN HEADRACE _____ b) SETHI NG TUNNEL
--e- a) + b)
FALL DIAMETER (mm)
SILT SAND
fRAVEL
0.02 0.05 0.1
o 5
MEDI.jJM I COARSE I FINE
.:0
V

j
'I

Ie
1/
/
II
V
t
l
II
1/

b



Vi
......
_____ a) EX IST ING BAS INS
--*- a) +, b) + c)
BUTWAL POWER COMPANY
SEDIMENT SYSTEMS
120
100
80
60
40
20
0
Figur 5 Sediment Exclusion at Jhirnruk with the Split & Settle Arrangement Installed
100
Table 1 Kali Gandaki, computed civil costs of underground settling arrangements
UNDERGROUND CONVENTIONAL SPLIT & SETTLE
ARRANGEMENT:
Approach Central Settling
Nos. of basins 6 2 4 8
Net width (m) 14.0 8.0 8.0 8.0
Net height (rn) 18.2 11.5 11.5 13.2
Net length (m) 176.7 114.5 164.4 164.4
Costs (1000 US$) 81 144 52435
Table 2: Jhirnruk, computed trap efficiency with the split & settle arrangement
Fall diameter (mm) 0.10 0.15 0.20
Fall velocity '(cm/s) 0.648 0.150 1.949
a) existing basins 29.5 % 55.7 % 79.1 %
a) existing basins
b) split & settle tunnel
55.8 % 84.2 % 96.0 %
a) existing basins
b) split & settle tunnel
c) deepened headrace tunnel
63.4 % 90.5 % 98.5 %
depth in a tunnel flow than the one presented in
Figure 4.
3.3 Case Studies
Several of the MSc candidates at the hydropower
development programme at NTNU has studied the
possibilities of applying the split & settle concept for
sediment exclusion at various projects. The study of
the Kali Gandaki project in Nepal (140 m
3/s)
was
completed in 1996 (Bajaracharya, 1996). The
Melamchi Diversion Scheme in Nepal (8 m
3/s)
and
the Sankosh hydropower project in Bhutan (260
m
3/s)
are currently approached by two MSc
candidates. Finally, the author has produced a
concept design for a split & settle arrangement for
Jhimruk hydropower plant in Nepal (7 m
3/s)
for
Butwal Power Company with the objective of adding
sediment exclusion capacity to the existing
arrangement. BPC Hydroconsult is currently
carrying out a feasibility study based on this concept
design.
3.3.1 Kali Gandaki
The contract for the construction of the Kali
Gandaki hydropower project in Nepal was signed in
January 1997. It was decided to "remove a
mountain" in order to provide space for surface
settling basins. The framework of the study carried
out by Bajaracharya was to compare two alternative
arrangements, i.e. an underground pressurized
conventional basins, and an underground pressurized
arrangement with the split & settle concept.
Both arrangements should meet the design
criteria for the surface arrangement with respect to
trap efficiency. The split and settle arrangement is
shown in Figure 6. The main dimensions of the two
arrangements and the estimated costs are given in
Table 1. The cost of the split & settle arrangement
in this study is found to be 65 % of the cost of a '
conventional underground arrangement
(Bajaracharya, 1996).
3.3.2 Jhimruk
The sediment transport observed in Jhimruk Khola
during the first years of operation has ben far more
severe than expected during the planning and design
process of Jhimruk hydropower plant. This includes
the content of hard minerals (quartz) and the
c-oncentrationof suspended sediments which both are
higher than expected. Butwal Power Company has
experienced unexpected high rates of sediment
induced wear of the hydraulic machinery (Basnyat,
1996). The sediment induced wear is so high that an
overhaul frequency of one year'! is not sufficient in
101
<;
I
I
..
~ - I
",. IJ
X.. lllY:'i3U1
Figur 6
Split & settle arrangement for Kali Gandaki a = 140 m
3/s
(Bajaracharya, S. 1996)
102
--
-, -1'1'
~ ~
8
l\
;
!
"
~
i.
~
"'/
\ l ~ i
,
Q)
j
(g
c'i5
(I)
E
r-
II
o
iii
..
...
o
61
If II ..
-
,.l:.
c::::
Q)
-
-_. d-, E
'
Q)
io ..
!
~
III
0)
U ~
c::::
IU
1
...
...
II
IU
41
-.:;
~
(I)
oCl
.t:
Q.
en
103
order to avoid unrepairable damages if the plant is
operated at full load throughout the monsoon season.
There are two settling basins at the headworks
of Jhimruk hydropower plant. A split and settle
arrangement will provide additional settling capacity
to the plant. It is therefore not considered feasible
nor necessary to build a complete split & settle
arrangement with four settling basins at Jhimruk as
described in Chapter 2.
The split & settle arrangement at Jhimruk will
make use of the accumulation of suspended sediment
load in the water flowing close to the floor in the
headrace tunnel. This bottom flow will be diverted
to a settling tunnel running parallel to the headrace
tunnel at its downstream end. The settling tunnel is
ending up in the existing access tunnel just upstream
of the surge tank:. The new settling tunnel can be
constructed while the project remains in operation.
There are two bends in the headrace tunnel
upstream of the surge tank: and the inclined shaft.
These bends are introducing secondary currents
which cause mixing of the flow. Sediments carried
along the floor are to some extent brought back to
the upper layers downstream of these bends. The,
best location for the split point is therefore just
upstream of the first of these two bends. There are
some 860 m straight reach of the headrace tunnel
upstream of this point and the accumulation of
suspended load' in the lower water segments has
reached a maximum at this point, considering the
entire tunnel system.
The uniform length of the settling tunnel is 98
meter. It is possible to divert about 2.1 m
3/s
(30%
of the flow) to the settling tunnel when the span of
the settling tunnel is 3.5 m. This arrangement is
shown in Figure 7.
A small headloss must be introduced in order
to obtain the most favourable split ratio. The split
ratio is hydraulically controlled by the throttling
structure in the main tunnel just upstream of the
access tunnel. This will be obtained by a stop log
structure or a "throttling gate" which will be tuned
in when the plant will start to operate.
The trap efficiency of the existing situation
with the plant operating at full load is shown in
Figure 5 and marked with label a). The computed
trap efficiency for the settling tunnel is shown with
label b). Some sediments will also settle out in the
main tunnel downstream of the split point. The trap
efficiency of this tunnel may be increased if the
depth is increased in the tunnel by 1.6 meter
(including the 0.6 meter deep hopper) as shown on
the graph labelled c). The computed overall trap
efficiency combining the exclusion of sediments in
the existing basins, the settling tunnel and the
headrace tunnel downstream of the split point is
computed for particle sizes 0.10, 0.15 and 0.20 rum
a) + b) + c). If the main tunnel is not enlarged and
no flushing arrangement is installed, the overall trap
efficiency of the project will be as shown with label
a) + b). A summary of these results are shown in
Table 2.
4 REFERENCES
Aspen, B.V. and Stale, H, (1992): "Serpent sediment sluicing
systems: A milestone in sediment handling techniques", Small hydro
92, New Delhi.
Bajaracharya, S.M. (1996): "Sediment exclusion at ror projects, the
split and settle concept. Case study: Kali Gandaki 'A' hydroelectric
project, Nepal", Trondheim.
Basnyat, S. (1996): "Monitoring of sediment load and it's abrasion
effects in Jhimruk power plant", BPC Kathmandu.
de Silva, A.W.C,J. (1996): "Sediment exclusion at ror projects, the
split and settle concept, hydraulic model study", Trondheim.
Jacobsen, T., Lysne, O.K . Olsen, N.R.B. and Stale, H. (1995):
"Sediment control: recent developments in headworks", Hydropower
& Dams March 1995.
Stale, H. (1993): Withdrawal of water from Himalayan rivers
sediment control at intakes, Trondheim.
104
Hydropower'97, Broch, Lysne, Flatab0& Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN90 5410 BBB 6
First world development in a third world environment: The challenges
and solutions to environmental impact mitigation during construction
phases of hydropower projects in Tanzania, East Africa
P.A. McCauley Terhell
WEGS Consultants, Arusha, Tanzania
ABSTRACT: Integration of the Environmental impact assessment (EIA) in the project cycle is the accepted
method of ensuring environmentallysound projects. The EIA and required mitigation are often perceived by
engineers and contractors as a barrier, rather than an aid, to project development. Third world infrastructure
and support are limited, making project and mitigation implementation difficult. If perceptions are not
changed, and mitigation is not pro-active, the ErA slowly becomes separated from the project cycle and
avoidable negative impacts occur. This paper discusses the reasons that EIA separation occurs and how the
environmental specialist, as a partner in the project cycle, shares the responsibility of project development
and construction impact mitigation. The environmental specialist interprets the first world environmental
concepts and provides mitigation specifications and criteria to assist in overcoming third world challenges
encountered by the engineer and contractor. Experiences of Pangani Falls and Lower Kihansi Hydropower
Projects in Tanzania illustrates the benefits of EIA integration.
1. INTRODUCTION
become a source of dissension among the impactor
and mitigation enforcer. The solution is pro-active
Third world countries can successfully manage and mitigation of construction impacts integrated early
develop their water resources for hydropower on in the project cycle, avoiding delays, serious
energy generation. Economic and industrial growth impacts and expensive reactive mitigation
are stimulated as the national energy infrastructure
is expanded. International engineers, contractors,
1.1. TheProfiles ofthe Project Cycle andEIA
donors and funding institutions are called upon to be
partners to the development of a third world nation.
The project cycle proceeds with a demand for the
Donors and funding institutions focus on funding
development action, feasibility, design, tendering,
sustainable and environmentally sound projects. EIA
construction, commissioning, and operation and
is a prerequisite to project funding and development,
maintenance. the environmental
and expected to be successfully integrated in the
Prior to EIA,
screening and preliminary assessment take place,
project cycle. This integration is a familiar theme in
reviewing the proposed project demand, feasibility
policies of the World Bank, UN and many
and pre-design criteria. When this preliminary phase
international donor agencies. The project country
recognizes significant impacts, and EIA is
and implementors are expected to participate in the
undertaken.
success of EIA integration, and consequently impact
TheEIA profile consists of impact; identification,
mitigation.
prediction, evaluation, mitigation and documen
Separation of the EIA from the project cycle
tation. The EIA gains pertinent knowledge of the
creates potential for serious impacts to occur.
natural, social, and economic conditions.
Reactive mitigation to these often avoidable impacts
can be more expensive, harder to mitigate and can
105
Hydropower'97, Breen, Lysne, FlatabfJ & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 5410 888 6
Numerical modelling of 2-dimensional dam-break flow
Juha P. Laasonen
Oy Yesirakentaja, Helsinki, Finland
ABSTRACT: The propagation ofthe dam-break wave in the river is usually modelled by l-dimensional
hydrodynamical model. The model assumes constant water level over the cross-section. This model might not
be applicaple in the near-field modelling. The partial breach might occur and the dam-break wave may
endanger human life or property. The velocity in the cross-section is unevenly distributed and there are local
changes in the water level. Therefore 2-dimensional model will be more suitable for simulating the water levels
in the near-field.
The dam-break is dynamic phenomenon. The flow in the breach section is in most cases supercritical. Also
vertical velocities and the differences in the water level might be considerable. The applicability of a 2
dimensional finite-difference scheme is tested. The equations, which are in conservative form, are solved
implicitly. The alternating direction implicit method (ADI) is employed.
The model was tested by comparing the results ofthe physical model. Numerical calculations were in good
agreement with the scale model results. In the case study the calculations were made in the occurence ofthe
partial breach ofthe dam.
Keywords: hydraulics, dam-break, numerical modelling
1. INTRODUCTION differences in the water levels can be remarkable.
In this case one-dimensional dam-break simulation
Over 100 years have hydraulic researchers studied is not sufficient, ifit is necessary to have some
. the dam-break flow. Already in year 1892 Ritter information on the water levels behind the dam.
introduced the analytical solution of dam-break One-dimensional calculation assumes that the water
wave. The solution was based on the St Venantin level will be constant over the cross-section. More
(1871) equations for unsteady flow. The resistance reliable results could be achieved by using two
term was not included. In the end of the Second dimensional model.
World War the Allied Powers studied dam-break
In this paper some results of two-dimensional
flow to be used as a military weapon and the
hydrodynamical model is presented. The model is
graphical calculation methods were used to
tested in order to simulate dam-break wave in the
determine the water levels (Chow, 1959). The
vicinity of a dam. The subject is treated from the
calculation were transfered into the computers
hydrodynamical point ofview. The condition ofthe
during 1950's and 1960's and during that time also
breach is notconsidered. First some physical
the numerical methods were developed. First 2
properties ofthe dam-break flow are described. The
dimensional calculations were made in the end of
present numerical model and a review of two
the 1970's and it became widely used in the 1980's.
dimensional dam-break flow modelling are briefly
The water will spread widely during the partial
presented. Finally, some published experiments
.,breach of a dam. Only part of the cross-sectional
have been used to verify the validity ofthe present
area is active while the rest is used for storage. The
numerical model and a case study is described.
459
2. THE PHYSICAL PROPERTIES OF DAM
BREAK FLOW
The river behind the dam can be narrow or wide.
The complete failure ofthe dam can be assumed,
when dam-break flow in the narrow river is
simulated. This is not unrealistic assumption which
was observed in the failures of Teton and Malpasset
dam (Cunge et al, 1980). The complete failure of a
dam is not possible in the wide river.
The flow through the breach section is 3
dimensional and vertical velocities might be
considerable.
At the beginning of a dam failure a negative
wave is created and it will propagate upstream. The
flow in the reservoir is usually subcritical, until the
wave reaches the upper end of the reservoir. After
that the flow condition will be determined by the
reservoir's topography and the discharge which
enters into the reservoir.
Positive wave propagates downstream of the
dam. Initially the river bed can be dry or there
exists some water depth. In dry bed the wave front
has very strong curvature near its tip, where the roll
waves are. The celerity ofthe wave front is equal to
the flow velocity behind the front. When the wave
propagates in the water, its front is like hydraulic
bore. The wave front has sharp discontinuity (there
are two water levels and discharges in the same
point). The flow conditions depends upon the
topography and the initial downstream water depth.
For a rectangular frictionless cross-section, if the
ratio of initial downstream depth to the reservoir
water depth is less than about 0.14, the flow
condition downstream ofthe dam will be
supercritical. Otherwise it will be subcritical (Cunge
et al, 1980).
3. NUMERICAL MODELLING OF DAM
BREAK FLOW
The propagation of the dam-break wave in the river
is usually modelled by I-dimensional ,
hydrodynamical model. The flow is like a rapid
flood wave. These models are based usually, on the
St Venant equations for unsteady flow. The
assumptions ofthe validity of the equations willbe
violated. The dam-break flow is not one
dimensional, the vertical accelerations are
considerable and there may be large variations in
the water levels across the river. The errors will be
mnurrnzed by using full equations (e. g. convective
terms are included).
The change in the flow condition (subcritical /
supercrtical) will make the calculation more
difficult, if it will occur simultaneously in different
places or at the same location at different time. This
will cause stability problems and usually some
numerical diffusion is added into the model.
The modelling of dam-break flow in dry bed is
very difficult task. The water depth in front ofthe
wave will approach zero. The resistance laws are
usually inversely proportional to water depth and
the resistance term will approach infinity.
Although the assumptions are violated and
above described problems are difficult, the results
ofthe numerical simulations are in most cases in
good agreement with the reality.
, Detailed area in the near field can b'e modelled
by two-dimensional model. This can be the area
downstream ofthe breach site or the river curve,
where the water levels and the velocities are
different in the inner and outer curve. The other
parts of the river can be modelled by one
dimensional model. The results ofthe one model
can be used as boundary conditions to the other
model. The detailed modelling is not necessary to
perform, ifthere is no danger to the human being or
property.
4. TWO-DIMENSIONAL NUMERICAL MODEL
The accuracy ofthe numerical calculation can be
divided into the accuracy ofthe model and the
initial data. Ifthe initial data e.g. the topography or
boundaryconditions are insufficient, the results can
not considered reliable even the model is accurate.
On the other hand the weak accuracy ofthe model
can reduce the reliability ofthe results. Therefore
the reliability ofthe numerical calculation should be
based on the accuracy ofthe model and on the
knowledge ofthe modelled area. '
4.1 The equations ofthe flow and the numerical
solution ofthe equations
The partial differential equations of the nearly
horizontal flow can be presented in the Euler form
or in conservative form. The velocities and the
water depth are the variables in the Euler form, In '
conservative form the velocities are multiplied by
460
.. -
IIII
l
'j'
~ - - - - - - - - - - - - - - - - - - - - - - - < ~
the water depth. The present numerical model is
based on the conservative form equations. Two
dimensional nearlyhorizontal flowcan be presented
by two momentum and continuity equations. The
momentum equations in x- and y-directions are
o( ud) a(u
2
d) a(uvd)
+ + ....-:.....,.....--:.... +
at ax oy
(1 )
a(vd) a(v
2
d) a(uvd)
+ + +
at ay ox
2
oh n 2 v VU 2 + v )
+ gd - + o (2)
(
d
413
ev
and continuityequation
a(ud)
a(vd) == 0
+ + (3 )
ax
ay
in where u, v = velocities in x- and y-direction,
respectively, t = time, h =water level, d =water
depth, g =gravity=9,81 m/s
2
and n =Manning
coefficient. .
The validity ofthese equations are based on
following assumptions:
(i) The water level is nearly horizontal, the vertical
accelerationsare small and hydrostatic pressure can
be assumed.
(ii) The bed resistance can be defined by steady
flow.
The present numerical model is based on finite
difference integration. The equations are solved
fully implicitly in staggered grid. The alternating
direction implicit method (ADI) is employed. The
initial and boundaryconditions are specified inthe
beginning ofthe calculation
This model has been used for determining
hydraulicconditions e.g. at the entrance of the
fishway (Laasonen, 1994) and in the fishway
(Laasonen, 1995).
5. A REVIEW OF TWO-DIMENSIONAL DAM
BREAK FLOW MODELLING
Two-dimensional models have same numerical
problemsthan one-dimensional ones. Numerical 2
dimensional dam-breakflowsimulations have made
for instance Fennema et al (1989), Elliot et al
(1992), Bellos et al (1992), Yang et al (1993) and
Fraccarollo et al (1995).
Fennemaet al, 1989, used Beamand Warming
implicit finite-difference schemeto calculatethe
partial breach. This dissipative schemeis second
order accurate in space and in time. The equations
are in conservativeform and switchingtechniques
are used to allowthe analysis of both subcritical
and supercritical flows. They calculated the dam
break wave in horizontal and frictionless channel.
They found out that the model becomes unstable
when the ratio ofthe downstreamwater depth to
the reservoir water depth is less than 0,001. They
compared this results with MacCormack and
Gabutti schemes, which are unstable when the
above ratio is 0,25 and 0,2, respectively.
Elliot et ai, 1992, used the method of
characteristicto calculatethe dam-breakwave in
the river curvature. In curved channelsthe waves
are reflected from the river bends and they will
interact with other waves. This may cause
nonlinearities and the model might become
unstable. In Godunov schemethe interaction ofthe
waves will be eliminated, when the Courant
number (= u L\t / L\x) is less than 0,5. LeVeque
generalizedapproximately this procedure by
allowing the waves pass through each other with no
changes in speed or height. Elliot et al used this
LeVeque principle in their model.
They calculatedthe dam-breakwave inthe
curved channel. Two values for frictionfactor (n =
O,0165,which is a typical value for lined channel
and n = 0,04, which is typical value for natural
channel) were used. They compared the numerical
results with the experimental studies. The
simulation in the initial dry channel succeeded
satisfactorily. The water depths in the inner and
outer curves as well the arrival times of the waves
were in same order of magnitude. For initial non
dry channels, there was time error in the inner curve
and modelled water depths were greater. The
Courant numberwas varied between 0,5 - 5,0, with
essentially no difference in results.
461
-------------------------------------
--------------------------------------------------------------
-- -- --
-- --
i l ~
5.0 m 3,5 m 11.5 m
4,7 m
f r 1
numericol model T
I;
-- --
J
lD
csi
I
I
:fl
0 2 ~ L
]
]
~
L
physicol model
- - ~
8,5 m
12,7 m
1
T
J
Figure 1.
The dimensions of the flume (Bellos et al, 1992). The calculation area of the numerical model is presented by
dashed line.
The upstream end of the flume (x =-8,5 m)
0,16 -,---- .,
0,15 .--..-.-.-._.._ ~ _
.c 0,14
Q.
~ 0,13
-+- phys.model
S 0,12
-num.model
~ 0,11
0,1 - - - - - - - - - - - - - - - - - - - - - - _ - _
0,09 +---I--+--+--+---I---+--+--+--+---+--+-_ _I_-+---+---l
o 2 3 4 5 6 7 8 9 10 11 12 13 14 15
Time [sl
Figure 2.
The comparison ofnumerical results and water level measurements. The water levels at the upstream end of the
flume (x = -8,5 m). The results ofthe physical model tests are measured from the figure (Bellos et aI, 1992)
The breach section (x =0,0 m)
0,16,--------------------------------,
0.15
oS 0,14
Co
~ 0.13 -+- phys.model
_num.model
S
..
0,12
~ 0,11
0,1
0,09 .J---I----I---_I_-_I_--I----I----I---I----I---I----I----I----+--_+_----I
o 2 3 4 5 6 7 8 9
Time [sl
Figure 3.
The comparison of numerical results and water level measurements. The water levels at the breach section (at
the location of the gate, x =0,0 m). The results of the physical model tests are measured from the figure
(Bellos et al, 1992)
462
6. COMPARISON WITH EXPERlJ\ffiNTAL
RESULTS
Bellas et al, 1992, have studied dam-break flow in
converging-diverging flume (21,2 x 1,4 m'). The
walls ofthe flume were vertical. A gate was located
in the narrowest part ofthe flume. The gate was
opened completely and instantaneously (time < 0,1
s). The upstream end ofthe flume was closed and in
the other end there was overflow weir. They
studied several test cases in the flume. The results
are documented and presented in a article. One of
those breach tests was used to compare the present
numerical model.
The dimensions ofthe flume, the locations ofthe
water level measurement and the calculation area of
the numerical model is presented in figure 1. The
gate is located in the point x = 0,0.
The calculation area of the numerical model is
only part of the area of physical model. The
calculation area covers 100 x 11 grid points. The
distance between the points is 150 rom. The friction
factor (n) is 0,013, which corresponds the friction
ofthe concrete flume. The initial water depth in the
reservoir was 150 rom and downstream of the gate
100 rom. The flow downstream will be subcritical
according the water depth ratio (> 0,14).
In figures 2 and 3 are presented some ofthe
results. The ratios between the calculated and
measured water depths are determined at four
points (figure 1). In the reservoir the water depth
ratio is 1,011 (at the upstream end of the flume,
figure 2) and 1,017 (at the point x = -4,0 m). The
calculated water levels are on the average 1.. 1,5 %
greater than the measured ones. At the breach
section (the location of the gate) the ratio is 1,000
(figure 3). The greatest difference was at the
moment ofbreach (t = 0 s). The water level inlhe'
-experiments was already 15 rom lower than initially.
, The water depth ratio downstream of the gate(x=
5,0 m) was on the average 0,916. The reason for
this difference is the downstream boundary
condition. The downstream boundary in the
numerical model is closer to the gate. The water
levels in both models are approximately same up to
6 seconds, then the downstream boundary in
numerical model will start toinfluence the water
level and the water level start to sink:.
It can be concluded that the numerical results
and physical scale model measurements are in good
agreement.
7. CASE STUDY
Dam-break flow simulation involves the
determination of the outflow hydrograph from the
reservoir and routing the dam-break wave
downstream through the river. The estimation of
the outflow hydrograph contains the simulation of
the breach and the flow from the collapsed opening.
The dimensions of the breach opening and the
development ofthe breach with time will specify
the outflow hydrograph. There are lot of
uncertainties in the determination of the outflow
hydrograph.
A failure of the dam can occur for instance due
the overtopping or due the piping failure. The
erosion downstream the dam can be considerable.
In this calculation the breach mechanism or the
erosion were not taken into account.
Partial breach of an earth dam was chosen to be
modelled. The calculation area covers 1800 x 1500
m
2
(36 x 30 points). The area behind the dam is dry.
The calculation problems in dry bed were
eliminated by placing initial water depth of one
meter downstream the dam. The water depth in the
reservoir is 7,9 meters. The bed topography of the
calculation area is presented in figure 4.
It was assumed that the partial breach of the dam
is instantaneous. This case is critical and all the
others are not so severe. The breach opening was
100 meters. At the beginning of the calculation the
difference in the water levels was 6,9 meters at the
breach opening. The inflow from the upstream
boundary was 1,5 m
2/s
x m, which was kept
constant during the calculation. The water level at
the downstream boundary was 1,00 meter. The
friction factor (n) was 0,07 and the time step was
30 seconds.
The water levels after two hours are presented in
figure 5. The bed topography is not included. The
flow from the breach opening was 1600 - 2400
mJ/s. The water level in the reservoir was 0,6 meter
lower than at the beginning. At the breach opening
the differences in water level were considerable.
The water level at the opening was about 4,9
meters and immediately downstream it was 1,2
meters lower. The water level in the field
downstream was 1,5 - 2,3 meters higher than at the
beginning ofthe simulation. It was assumed that the
water level at the downstream boundary will be
constant. Therefore the water level difference
between the boundary and the adjacent calculation
point is 0,8 meters. The calculation will be more
accurate if the downstream boundary conditions are
463
5
4
3
9
118-9
8
1iiJ7-8
7
116-7
6
E 115-6
=
..
.4-5
Co
-e 1ilII3-4
..
.2l 02-3
ca
3: 111-2
110-1
Figure 4.
CASE STUDY. The bed topography of the modelled area. The distance between the points is 50 meters and
the width of the breach opening is 100 meters.
8
6
7
117-8
116-7
115-6
114-5
1113-4
02-3
111-2
110-1
Figure 5.
CASE STUDY. Modelling of the dam-break flow. The water depths, 2 hours after the failure. Time step 30 s
and friction factor n= 0,07
464
IJI.. _
specified by one-dimensional model.
The model was stable during the calculation.
The reason for that was high value in the friction
factor. In the future turbulence model will be added
into the model.
REFERENCES
Bellos, c.v., J.V.Soulis & lG.Sakkas, 1992,
Experimental investigations oftwo-dimensional
dam-break inducedflows, Journal of Hydraulic
Research, Vol. 30, No 1, ss. 47-63
Chow, V.T., 1959, Open-channel hydraulics, Me
Graw Hill, Tokyo
Cunge, lA, F.M. Holly Jr & A Verwey, 1980,
Practical Aspects Computational River
Hydraulics, Pitman, Boston
Elliot,RC. & M.H.Chaudry, 1992, A wave
propagation model for two-dimensional dam-break
flOWS, Journal of Hydraulic Research, Vol. 30, No
4, ss. 467-483
Fennema, R.I. & M.H.Chaudry, 1989, Implicit
methodsfor two-dimensional unsteadyfree-surface
flows, Journal ofHydraulic-Research, Vol. 27, No
3, ss. 321-332
Fraccarollo, L. & E.F.Toro, 1995, Experimental
and numerical assessment ofthe shallow water
model for two-dimensional dam-break type
problems, Journal ofHydraulic Research, Vol. 33,
No 6, ss. 843-864
Laasonen, J., 1994, Designing ofhydraulic
structures by using two-dimensional numerical
model, Conference paper, Modelling, Testing &
Monitoring for Hydro Powerplants, Budapest,
-Hungary, pp. 107-111
( Laasonen, L, 1995, Physical andnumerical model
-tests of the pool type fishway, Proceedings of the
_;International Symposium on Fishways '95 in Gifu
'Japan, pp. 121-126
Wurbs, RA, 1986, Military hydrology: Report 13;
Comparative Evaluation ofDam-Breach Flood
Forecasting Methods, Miscellaneous Paper EL-79
6, US Army Engineer Waterways Experiment
Station, Vicksburg, Miss.
lY. & C.AHsu & S.H.Chang, 1993,
Computations offree surface flows, Part 2: Two
dimensional unsteady bore diffraction, Journal of
Hydraulic Research, Vol. 31, No 3, ss. 403-414
465
Hydropower'97, Broch, Lysne, Flatabe & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN 90 54108886
'Ice in spillways in connection with dam safety
L.Lia
!,!orwegian University ofScience and Technology, Trondheim, Norway
.BSTRACT: Spillways for rock fill dams located in cold climate areas have problems connected to
now and ice. In tunnel spillways there are observed ice build-up and plugs of compacted snow. Gated
. illways have other cold climate problems. Reduced capacity in the spillway will influence the dam
ety, and the topic is conveniently handled by risk analysis.
lpillways in connection with rock fill dams need
\gh operating safety, because overtopping of the
am may result in a dam failure. In general, no
orwegian rock fill dams should have gated
pillways, but some exceptions exist. A tunnel
. illway, Figure 1, with a shaft/tunnel downstream
f the spillway crest, is a low cost solution often
sed at rock fill dams. Several problems as.
fpcking by debris, blocking by snow and ice, rock
llrsts in the spillway tunnel, and floods higher than
. e design flood have to be taken into
nsiderations, Lysne (1992). Most of these
oblems are well investigated, but we lack
.perience about the problems with blocking by
ow and ice. The goal of this research is to answer
.Wthe risk of a dam failure is influenced by snow
dice in the spillway. In Figure 1 the rock fill
am is located to the right and the spillway crest in
e middle. Flood water will flow from the side
hannel down the inclined shaft, and out of the
orizontal tunnel.
ig.l Tunnel spillway without gates connected to a
ock fill dam
2 FREE OVERFLOW VERSUS GATED
SPILLWAY
The design criteria for a spillway are related to both
topography and common guidelines. Also the height
of the dam and the design flood will influence the
design of the spillway. Very often, the main
difference is whether there are gates or not. In some
reservoirs the spillways are seldom used, but in less
regulated reservoirs water is flowing through the
spillway frequently. The Franklin Falls Dam in
USA, constructed with a very long open channel
spillway, has not more than 76% of the storage
utilized since the construction in 1943, Kollgaard
and Chadwick (1988). Some places the required
minimum discharge to the river, is diverted through
the outlet of the spillway.
The system with a specified highest regulated
water level, HRW, implemented in countries as
Canada, CDSA (1995), and Norway, NVE (1981),
gives an operating requirement which is easy to
keep. It is possible to operate the reservoir in a
legal way, even with a spillway without gates. "The
regulations for planning, construction and operation
of dams", NVE (1981), recommends solutions
without gates. The requirement is formulated as
follows: "Gated spillways shall only be used when
possible malfunctioning of the mechanical
components will not cause unacceptable
consequences with respect to over all dam safety".
That is not the case for a rock fill dam. Because of
the requirements, solutions with an overflow
spillway, often combined with a shaft/tunnel
downstream of the crest, are commonly used. The
467
Hydropower'97, Brach, Lysne, Ftetebe & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN9054108886
Development of tunnelling technology in Nepal by use of local resources
P.P.Adhikari
Butwal Power Company, Kathmandu, Nepal
'I BACKGROUND
Nepal is a mountainous country, There are three
., istinct geographical regions: the lofty Himalayas
ith many highest peaks in the world, the middle
ills, and the low Terai Plains. Big river systems,
igh plateaus and river basins, beautiful birds and
arieties of vegetation, many different tribes and
thnic groups each with its own distinct cultural
ake-up are some of Nepal's natural endowments,
iving in Nepal, however, is not without its
hallenge.
. epal's population is around 20 millions. The high
titude range in the northern parts of the country
ave sparse population. The highest population
ensity is in the middle hills where some sixty
rcent of the population live. Agriculture is the
'nly means of subsistence.
croachment into the forest lands for agricultural
oses and cutting down of trees for firewood
'pplies . by the growing population is causing
vironmental deterioration in the hills. Most of
ounger generation are, moving out in search of
, bs creating pressure in the urban areas.
e steep mountain ranges and the deep river
orges make many places in the country
ccessible for easy transport and communication.
ccess to most land is by foot and the motorable
ads are sparse making the logistics difficult.
eavy rain during monsoon often creates havoc
ith high floods and landslides, causing damage to
. ads and bridges in many places, disrupting
,".' mmunication, supplies and not the least, the loss
fthe human lives.
Development and sustaining development has been
a real challenge.
2 RESOURCES AND CONSTRAINTS FOR
DEVELOPMENT
Fossil fuels and big mines are not found in Nepal
so far. The topographic configuration with a
perennial source of water however, offers
enormous potential for small as well as big scale
hydropower development. The mountain people
are loyal, hard working, willing and easily
trainable.
In order to enhance economic development, His
Majesty's Govt of Nepal has initiated the economic
liberalisation policy. Start has been made on
necessary reforms in the existing legal systems.
Privatisation policy, decentralisation policy and the
several new legislations have been inacted to
facilitate and expedite economic development
through mobilisation of necessary resources, both
financial and technical, locally and internationally.
3 TUNNELLING AS VIABtE TECHNOLOGY
OPTION
Important projects presently being planned for
implementation, namely, Kathmandu-Hetauda
Highway, the Melamchi Diversion Scheme for
Drinking Water Supply to Kathmandu City and the
many hydropower projects, small and large sizes,
involve tunnelling as major components of the
project civil works. Many more potential sites
which have been identified for hydropower
563
development, have tunnelling as integral part of the
design plans.
Development of Nepal basically is the develop
ment of its hill areas where most people live and
where the potential exist. As mentioned earlier, at
present, there are very few motorable roads.
However, sooner or later access will have to be
developed. Surface roads are often seen to create
environmental problems and are costly to maintain.
Similar is the case with surface irrigation canals.
In the context of the above background and the
general situations tunnels aspire to be the most
favourable technology option for the development
of infrastructure schemes in Nepal, such as
highways and railways, water conveyance systems
for hydropower, irrigation and drinking water
supplies.
In order to cope with the increased development
need Nepal must make increasing use of tunnelling
in future and develop its local capabilities as fast as
possible in survey, design and construction of
tunnels.
4 PAST EXPERIENCES OF TUNNELLING IN
NEPAL
Despite the obvious need in the mountainous
terrain not much of tunnelling and .underground
works have been undertaken. In fact, for highways
no tunnels have been driven so far. Adoption of
tunnelling technology has. been slow. and the
experiences in the use oftunnelling are varied.
Some hydropower projects have been built by the.
Government undertakings. These were planned,
designed and constructed with international con
sultants and contractors with limited knowledge
about local situations. This resulted in delays and
high costs of tunnelling. The rate of progress of
tunnel excavation was not much different than
those by the local contractors in comparison to
overall time taken from commencement to
commissioning of the project. The high cost of
tunnelling technology which is not that familiar to
Nepal created dampening effects in the mind of
local planners and decision makers towards
tunnelling. Apart from this the following short
comings were also observed with the use of ',
international consultants and contractors:
- :he local technicians, although involved in
varIOUS phases of works, were mostly attached to
the consultants and the contractors. Their involve_
ments were thus time framed. They could follow
up and participate only in certain aspects of the
works and were not fully exposed to overall
aspects of tunnelling technology and so did not
become fully familiar with various techniques
involved in survey, design and construction of
tunnels.
- The consultants and the contractors were from
different countries, for example the Japanese and
the Koreans in Kulekhani and Germans, Chinese
and Indians in Marsyandi. As such different
technologies were used. This on the one hand
enriched the possibility of knowledge. but on the
other hand complicated the process. Nepalese
technicians were not able to sufficiently learn and
digest various aspects within the given imple
mentation time frame of the project.
- Equipments and skills acquired in the process of
project implementation by foreign contractors
often leave the country on completion of works.
For example, on the two larger existing power
schemes built through public sector, Kulekhani I
(60mW), II (32mW) and Marsyandi (69mW),
tunnelling works were carried out by Japanese,
Chinese and Indian contractors who no longer
operate in the country.
- The local technicians, due to lack of continuity of
similar works could not get opportunity to gain
further experience.
In contrast to the International approach, on the
other hand pioneering works have been done in
this field by Nepali private sector organisations.
Butwal Power Company (BPC) a Nepali Company
established in 1 965 under Nepal Company Act
and jointly owned by His Majesty's Government of
Nepal (HMGN) and United Mission Nepal (UMN)
have been engaged constantly for over 25 years in
Nepal in the field of hydropower development.
It started its activities in a modest way by develop
564
r
ling 1 MW capacity, in stages, in Tinau Khola. In
the process of project implementation emphasis
if was given to human resource development and
1 ~
institution building through training and techno-
j logy transfer.
Beginning with 1 MW Tinau project, manpower
1: and institutional capabilities were gradually raised
'I
j'
through implementation of 5 MW Andhikhola and
12 MW Jhimruk projects.
.:;.
~ , The technologies adopted for these developments
~ ! l have tremendous prospects for further use in the
future. The size and type of the projects selected
for implementation included small size tunnels,
underground and semi-underground works. They
were found appropriate to Nepalese terrain and in
general, are environmentally friendly, socially
fields
civil
The
acceptable and appropriate for use of local
resources.
Following the above philosophy for development
and the technology option, over time, some useful
experiences have been accumulated. The
experiences so gained were consolidated in the
form of institutions in needed trades in various
such as survey, design, construction,
operation and maintenance of hydropower projects.
They are incorporated as limited Companies such
as; Himal Hydro and General Construction Co. as
contractor specialising in tunnelling and
.underground powerhouse works; Nepal Hydro and
Electric for repair and maintenance of hydro
mechanical and electrical equipments, Hydro
consult in survey, design and project management.
manpower in these institutions have now
begun to demonstrate their capability for handling
larger size of similar works. For example, presently
PC together with foreign partners (Statkraft,
BB and Kvaerner) have promoted a company
amed Himal Power Limited in the private sector
implement 60 MW Khimti I Hydropower
, roject which involves tunnelling and underground
owerhouse as major works. At present, all these
local institutions are very well engaged in Khimti
plementation through various contractual
angements.
e relevant details of the tunnelling and under
ound works of these projects implemented by
local institutions independently and in partnership
with foreign group are shown in Annexes 1, 2, 3,
with figures attached.
5 THE METHODOLOGY
The methodology for implementation is simple.
Almost all of the works carried out to date
predominantly has been by drill and blast method.
For excavation, the full face method was used as
the tunnels sizes were small. The operations
involved drilling, charging and blasting, and
mucking. Allied operations such as scaling, trim
ming, ventilation, dewatering, explosives handling
were done in planned sequence. In poor ground
areas roof andlor sides were supported.
As might be expected, the geology in the country
likely to be encountered on most tunnelling routes
are complex and tunnelling conditions are often be
poor, the smaller size tunnels of semi-arch type of
around ten-squire meter in cross-sectional areas
were adopted. The supports were of various types:
viz. timber ribs, steel ribs, rockbolts, masonry lined
at sides and precast concrete arch plates on the
roof, shotcrete lined or reinforced concrete lining,
in combination as per the conditions of ground.
Portals were invariably of reinforced concrete at
the faces. The various types of lining and the
supports generally used are shown in the figures
attached with Annexes 1, 2, 3.
The approach of tunnelling construction, however,
has been different for foreign contractors and the
local contractors. The foreign contractors have
been employing imported equipments and skills.
The local contractors, on the other hand, have been
carrying out works in more remote areas as
compared to the outside contractors. Most
materials are carried in by porters and .by building
short- ropeways within the project areas. Heavy
equipments are dismantled in smaller component
parts to be lifted by helicopter or portered to sites
and then reassembled. Maximum use is made of
local labour force, and local materials for
construction. Private sector companies 'in Nepal ate
taking leading role in this field and have been
increasingly making use of such tunnelling
technology in their programs.
565
This approach has resulted in less environmental
disturbance and much greater involvement of local
workforce which has helped to build up skills
within the country. In this connection it is
worthwhile to mention that the private sector
success has been possible due to consistent support
from the Government, expatriate personnel and
professionals from UMN and financial support
from NORAD. Teaming up UMN expatriates with
Nepalese skills have worked very well.
The drill and blast method may have to continue
for some time in future as the logistics for use of
TBM are not adequate as yet.
6 CONCLUSION
Although adopting for tunnelling teclmology have
been slow, the need for use of tunnelling for infra
structure development has been rapidly increasing.
Indigenous approach and the use of local resources
has shown encouraging results.
The local institutions involved in this field have
since demonstrated technical and managerial
capability for building small tunnels of the size of
about ten-squaremetre in cross-sectional areas and
up to 10 km in length.
The cost of tunnelling by use of local contractors
are much less and the overall time of completion is
not much different. With local approach the
schedule of construction may be little longer but it
would still be better than use of international
contractors in economic terms, as the use of the
local contractors will be a much bigger gain for
future projects as the accumulated experiences
remain in the country.
For augmenting the capability and skills develop
ment, planning and programming has to be such as
to provide continuity for on-the-job and other
advanced training for personnels in needed areas
along with expatriate input and financial assistance
in future for some time.
Adoption of tunnelling teclmology and maximising
the use of 'local capability will obviously benefit
the country in the long run.
Nepal must therefore increasingly use tunnelling.
Technology as preferred options by use of local
resources as much as possible in its effort for
infrastructure development.
References:
Related project documents and publications.
566
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ANNEX - I
ANDHIKHOLA HYDEL & RURAL ELECTRIFICATION
Main features
Location
Client
Consultant
Project cost
Construction
Intake river
Dam
Tunnels
Powerhouse
Transmission line
PROJECT 5.1 MW
Galyang Bhanjyang. Syangja district. Central Nepal
Bural Power Company
BPe Hydroconsult. Kathmadu
USS; 5 mill.
1982-1990
Andhikhola
Ogee 60m x 6111, 3200 111' concrete
Headrace 1:284m x 4m diam
Tailrace 1080 111 " 7m:
Weak phyllite. Fully lined.
6.6111 x37111 x 10m, shotcreting/rock-bolting
50km 33kV spans up to 860 I1l
~ ~ " d " ;
2000 2500
SITE LAYOUT AND PROFiLE'
DAM
2 DESILTING BASIN
3 HEADRACE TUNNEL
4 SHAFT
5 POWERHOUSE
6 TAILRACE TUNNEL
7 TRANSMISSION LINE 33 KY
568
-
All dimensions in millimetres.
EllP9sed rockfaceof portal to be shortcretedto a minimum depthof 50 mm, Prior to shotcretingwire meshto be firmlyfilled to rockface.
Wiremeshto be 6 mm diameter bars on a 100150 mm gridin highyield steel. Anchor bars for securingmeshto be 16mm mild steel
bars extending600 mm in to the rock at 1000mm centres,
Shoteretemix.
Maximumsize of aggregate 12 mm, Watercementratioof mix.0.45. Requiredstrengthof mix. 27 N/mm
2
(7 day cubesshould crush at
an averageof25 N/mm
2
and 28 day cubes at 35 N/mm
2
.)
Where fullshotcrete lining is used the minimum thickness of shotereteto be 40mm. The averagethickness to be 70 mm which will be the
basis for payment.The minimumdistancebetweenthe rock face& the steel reinforcingmeshto be 20 mm,
Weep holesto be providedin walls of masonrylinedsection.
Concreteto slab to be grade21 (20).
Reinforcement mesh to shotcrete to be either 4 mm hard drawnor cold worked bars on a 100100 grid to BS 4482 or 446J. or if not
available: 6mm mildsteel bars on 150150 grid to be usedor equivalentapproved.
o
o
(\J
o
o
(\J
2200
ANDHIKHOLA PROJECT
TUNNEL SECTIONS
GROUTED ROCK 80 T 20 mm
DIA. L=1500 mm LOCATIO N
Sa SPACING AS DIRECTED
ROCKBOLTrNG TO ARCH

I
NOMINALLY UNLINED
569
-- ....
... '"
"
\':'".:,..--
r I
I :
o
o
N
STONE MASONRY
50mm THICK PRECAST
ARCH PLATE
=--"" -
. 2100 I
'---- ...
MASONRY LINED
SHOTCRETE 1I NE D
CLEARANCE LI NE
SHOTCRETE
,i
~ 7 . 0 0
-"---
~ ~ O
, SHOTCRETE
/
AIR DUCT
1SHAFT
<t
P/H
1
34650
ANDHIKHOLA POWERHOUSE PLAN a CROSS SECTION
Figure 2
570
-
ANNEX- 2
JIMRUK HYDRO-ELECTRIC & RURAL
ELECTRIFICATION PROJECT
12MW
Main features
Location Pyuthan district, CentrallWest Nepal
Client Butwal Power Company
Consultant BPC Hydroconsult, Kathmandu.
Cost civil Works US$ 5.7 mill.
Construction 1989-1994
Intake river Jhimruk khola
River training 2km canal, gabion mattresses
Dam 3Cem curvilinear wit.: cesilting basin and intake, 1O.OOGm' concrete.
Tunnels Headracel100m x 8.5m:, fully lined.Inclined shaft(45 degrees)
280m x 9/3.5m:, fully lined (steel, concrete).
Powerhouse Semi-underground, steel trusses, Srn x 20m x 18m
.. Transmission
i Ropeway/Cableway
180 km 33/132kV
1.8kml350 m
o
e o o o 6 6
o
o
o 8 ~ r ,. i' i ~ o
o o o o
CD
~ !:
N Q
2
... 2
N
PROFILE
1. Rl\fER TRAINING S. SURGE SHAFT
2. DA.."v1 6. INCLINED SHAFT
3. CESILTfNG BASrN 7. POWRERHOUSE
4. HEADRACE TUNNEL
571
J
i'l
!
J
i
I".
.'."11..
:
i
//
,
i
I
i
e
i
CO
N
r.'" ".,J. .4".6 ". 4 ..
50 mm. THICK PRECAST i
ARCH PLATE
S TONE MASONRY
350m
WEEP HOLE
2.3m CONCRETE FLOOR
..
HEADRACE TUNNEL
SHOTCRETE
CONCRETE
e
O'l 200 mm MINIMUM
N
CONCRETE
I
2.1 m
.,
PENSTOCK 45
0
SECTION PENSTOCK I: 12 SECTION
5
JHIMRUK PROJECT
Figure I
TUNNELS ECTlo.NS
572
_
--
ANNEX-3
KHIMTI HYDROPOWER PROJECT
Main features
Location
Client
Consultant
Cost civil Works
Construction
Intake river
Dam
IntakeiDesilting
Tunnels
Powerhouse
Access Roads
Ropeway/Cableway
Transmission

(60MW)
RamechhaplDolakha district, Central Nepal
HimaJ Power Ltd.
BPC Hydroconsult.
Approx. US$ 30 mill.
1993-1997
Khimti khola
Gravity concrete.
Excavation
10/.
.... 0
.1. , Conl..
__
Ci.
...
....
,c
"vum
r.r> :-.
.1""\..p J,"\.ap
c. "00
_ ..... c: '<oJ. _0, v. __ _,v m
j
Excavation 25,OOOm
J
, concrete 5,500m
3
Headrace 10.5m
2
x 8 km.
Inclined 4.5/6m
2
x 937m
Access 24m
2
x 890m
Tailrace 15.5m
2x
1,400m
Cavern 120m
2
x 75
Rock Support by bolting and shotcrete
Concrete 1,800m
3
Approx. 45km
3 tons, I.5km
15km 33kV
180km 132kV
o 1000 4000 5000 6000 7000 8000 9000 10000 ..
I.ONGITIJOINAL SECTION
PLAN
PROFILE
1. INTAKE 5. POWERHOUSE
2. ADITS 6. TAILRACE TUNNEL
3. HEADRACE TUNNEL 7. ACCESS TUNNEL
4. SURGE SHAFT
............................ ...
573
----------------_..................
COOLING WATER BASIN
-
I-r---+-=-_"""T'il. --- --- <,
I' i : r
L __ ;': r
! f 592.20

r
.:e
DESIGN LEVEL 590.6 AT W.L
U---__-flr...fTAMA KOSHI 589.6 MAX. TUNNEL
:r DISCHARGE 10.6 m
3/s
DRAINAGE
... .1 F
4
5
----.. ----.
69750
.-_........ ---'--- r
I
KHIMTI POWERHOUSE PLAN a CROSS SECTION
Figure I
574
Hydropower'97, Brach, Lysne, Flatab9& Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN 90 5410 8886
Anewmethodfor in situdetermination of the roughness coefficient
of the hydropowerplant tunnels
.Boeriu
HE Delft, Netherlands
.Doandes
'echnical University of Timisoara, Romania
STRACT. During the designing process of hydropower plant tunnels, the designer has to select the value of
he roughness coefficient of the tunnel taking into account the values of similar works or empirical relations. The
ight choice depends on his experience and knowledge and on the lining technologies available, but the estimated
oughness should be realized on the prototype tunnel with an acceptable degree of approximation. However, many
"easurements made during the last ten years in the United States, Switzerland, Sweden, etc., on the hydraulic
. rinels using classical measurement methods have shown big differences between the proposed value of the
ghness coefficient "n" and the "in vivo" measured value of the tunnel. These differences lead to long discussions
etween designers, building companies and operation managers because a correct evaluation of the energy
..roduction for example, relies on the reaJization in practice of the proposed roughness coefficient. At the same
ime a critical point ofview about the use of the pipe flow theory based on Darcy or Manning coefficient has been
xpressed in several papers. Consequently, the determination of the real roughness coefficient of the tunnel
nstitutes an important objective of the organizations involved in designing, building and operating tunnels for
eater supply or energy production purposes. A method based on the use of stereo photogrammetry to determine
e magnitude of roughness coefficient will be described subsequently.
turbulent flow from the rough surface, but also by the
local acceleration of the flow. The exact contribution
. rom a literature survey emphasising the mentioned' of these two factors on the energy loss is unknown.
".pic, the following remarks would justify and create The magnitude of relative roughness of conventional
'e ground to initiate this study: excavated tunnels by blasting is much higher than the
roughness magnitude used on pipe experiences. Even
The hydrauliccomputation of the tunnels is based on the roughness indicated by Morris induces turbulent
e pipe theory. The application without restrictions of flows, which cannot be described by the Colebrook
istheory is not always correct. For example Prandtl - equation or by the Moody diagrams.
.arman formula: - All experimental measurements confirm that the flow
in hydroelectric power plant tunnels is fully turbulent
D
log - + 1.1
and the friction head loss is direct proportio'nal with
k
the square of the medium velocity, and does not
I; rough pipes, and:
depend on the water viscosity. Most experiments
showed a certain relation between the variation ofthe
J:.... = 2 log Re fA - 0.8 cross section along the area and the equivalent
. .p:.
roughness. Ifthe cross section area of the tunnel varies
with tunnel length, one can chose the cross section
r smooth pipes, impliesthat the velocity distribution
area that is representative for the roughness
ong the pipe is constant. In the tunnel Case this
coefficient.
riction is rarely applicable because there are
- The shape of the proposed formulae varies from one
.. uent variations of cross section area,' and hence
author to another. The most frequently used formulae
riations of the cross section medium velocity. The
are those proposed by Rahm and Colebrook
ergy loss is caused not only by the separation of the
575
expressing a relation between the geometrical
characteristics and the tunnel roughness. Several other
formulae' are known, each one depending on the
tunnel's execution technologies and geological
conditions.
- The most frequently used formula in the design of the
tunnels is the Manning formula. This formula was
established for the free channel flow, but is also used
for closed pipes. Because the Manning number is
characteristic for a certain pipe and independent of the
Re number, one can apply it only in full turbulent flow
or hydraulic rough pipes when head losses are direct
proportional with v'. Also, Manning number is not a
dimensionless number /4/.
In conclusion, taking into consideration al1 the remarks
presented above one can state that although the design
process of the tunnel is wel1 known and does not
constitute currently a problem, direct measurements to
determine the tunnel roughness are ful1y justified.
2. MODELLING STUDY.
The laboratory study has been initiated to define a
model to be used in measuring the magnitude of the
irregularities created on the concrete surfaces by using
the stereo photogrammetry method. For this purpose,
the first step taken was to determine, by classical
hydraulic measurements, the correct value of the
roughness coefficient for different kind of concrete
surfaces that are mostly used to protect the walls of
the hydraulical tunnels. The measurements were done
on a steel rectangular cross. section channel of 18 m
length, 0.40 m width and 0.20 m depth with a variable
slope. A maximum discharge of 50 lis, was used. The
discharge and the water depth were measured by using
a rectangular weir without side contraction, and two
point cases, respectively. The bottom of the channel
was covered with different concrete surfaces (neat
cement, cement mortar, concrete in situ, cement ruble)
that are most usual for lined tunnels. For each type of
concrete surface hydraulic measurements and stereo
photogrammetric pictures were made using two
cameras. and a frame specially designed for this
purpose. Hydraulic computations were done based on
the Chezyformula. Using the Bresse equation:
h
3
h h h 1
L = 2 ~ 1 - -;. ( 3 or) {B (n2) - B (n 1
~ ~ h
o
and using the values of hi, h
2
, L determined
experimentally, the roughness coefficient "n" has been
determined for each kind of the concrete surfaces
mentioned above. The results ofthe measurements and
a comparison with the values recommended In
literature "n ~ I " are presented in table 1.
Table 1
Surface of the
channel
n
l
. "
n ~ l
Neat cement 0.0107 0.010 - 0.013
Cement mortar 0.0121 0.011 - 0.015
Concrete in situ 0.0145 0.012 - 0.018
Concrete ruble 0.02018 0.017 - 0.030
The second step taken during laboratory studies was to
analyse the pictures of each concrete surface and try to
define a relation between the surface roughness and a
characteristic parameter determined form the pictures.
The pictures were obtained by using two cameras
located at the same elevation and at a certain distance
B, between them. The first problem to solve was to
define the measuring grid, thus to establish the
maximum distance between two consecutive points in
such a way to result in a precision of the measurement
of at least 0.1 mm. By using a rectangular system of
reference as shown in figure 1, the quantities X;, ~ , Pi>
can be determined. The fol1owing relations can be
written:
B x . B z.
X == __, y = b f 1
z. =
1
1 P:
P
1
z
By using the well-known theory of the least squares
the deviation from a straight line y = az+ b, will be:
v
j
= az + b - y
By minimizing:
a v ~
__1 = 0
aa
==
and solving the following system of equations the
values of a and b could be obtained, and thus the
values of deviations Vi
a L Z 2+ b L Z = L YZ
aLz +b =LY
The values of normal standard deviation and the mean
deviation would then be calculated by using the
expressions:
576
standard deviation; E
1
= L v}
n - 1
E vJ
mean deviation; E =
2
n (n - 1)
For one of the surfaces considered in our study the
results of these computations are given in table 2 .
2
37
28
53
4.2
8.5
16.9
12.7
0.429
0.444
0.469
0.411
0.081
0.043
0.077
0.055
u
.."
10.
.,
10,
y
...
u
__
X
\' i u
.
/.
/
f-'
,no III
"7
".
ri..
Figure 1
Considering the standard normal distribution for a
probability of90%:
F(Ct)=!nOd(O

1 -
f(U =--e 2
{in
the following values can be obtained:
IX =0 1.645
P = 0.1
E
2
=0 0.06
showing that, for 2 = 0.06 and a precision of
measurements of 0.1mrn, the maximum distance of 8
mm between two points must be selected. This
conclusion would apply for all the other surfaces
analysed in this study.
The sameprocedure canbe usedfor 3 D analyse of the
stereograms if the deviations are defined against the
mean plane of the surface defined by:
z = ax + by + C
and
v
j
= ax + by + c - z
With:

1
o
1
ac
the following system of equations may be written and
solved:
aE xy+cE x=E xz
aL xy+bL: y2+ cL: y=L: yz
aE x+bE y+cm=E z
In conclusion, usingthe measured quantities fromthe
photograms, X;, Yj, Pi' and solving the system of
equations written above, we can obtain the valuesof a,
b. C, Vi, and E.. E
2
, for each kind of concrete surface
used in our study. The results obtained for each
surface analysed are given in the table 3.
To determine a parameter to characterize the
roughness of a certain surface, several alternatives
were analysed. Finally it was concluded that one of the
statistical parameterEi or 2 must characteristisethe
roughness of the surface.
577
i
Table 3
Surface No. of
points
E, E, B
(mm)
n
Neat
cement
1040 0.41 0.21 509 0.0107
Cement
mortar
848 0.9 0 537 0.0121
Concrete
in situ
915 1.07 0 459 0.0145
Concrete
Ruble
870 1.4 0.1 486 0.0202
Accordingly, by selecting as a characteristic parameter
of the surface the values of E
l
, a curve representing
the variation of the roughness coefficient with respect
to E[> figure 2, has been obtained. The analytical
expression of this curve is:
where n is the roughness coefficient.
nCj01l
t
9
/
/
s
!
/
7
I
6
j
S
, !'
V;

.1'
f
I
V
V
--
....... ..
1-1-
_.

11
-
.-
I

00\
I
0,01

0,01
qo

O,S q6 q7 0,8.0,9 \0 1,1 \7
El
Figure 2
3. APPLICATION OF THE STUDY TO THE
HYDRAULICAL TUNNELS.
The procedure described above is restricted by the
shape of the tunnel cross section that is often rather
complicated. Calibration and testing of this method
have been done for two most used shapes for, tunnels;
horse shoe and circular cross section. Because of space
constraints, only the calibration for circular cross
'.
."Tl..
J
i
;1
j
\'I
j
Zi
__x
y
i
_7"

F
1
--,,/
-.::::.
---
/'
P
i
1 /'
-
..-
---
I
,,/
/'
/'
.....--1
"""

Yi,
11
c
f i
Xi
Figure 3
yj
x
section tunnels will be sub sequently presented in
detail.
a) Tunnels witha circular crosssection. This type of
cross section is mostly used in the tunnelling practice,
figure 3. From this figure the following relations can
be derived:
, B
.
-=-: a=X.coscp-Z .s i.n
a P.. 1 1
Y
B . )
X
i
= - (X1COScp-Z I Sl n cp
Pi'
B
Y.=-y.
1 P;- 1
(X.sincp+Z .coso )
1 1 p".
Y
Considering the genera) equation of the circle and by
assuming Yi = const., thecoordinates of the cross
section points i(XpZ;), can be determined. By selecting
three points with coordinates x, 2i (i = 1, 2, 3 ) the
following system of equations can be written:
578
..
c
2-X;+Z;-z;
2 (x
1-x3
) Xc +2 (Zl-Z3) zc=X
1
=X
2_X 2+Z 2_Z 2
2 (x -x 1x +2 (x -z ) Z
23c 23e2 323
By solving this system, the coordinates of the centre
and the radius of the most probable circle passing
through these points may be determined:
(X12_X32+Z12-zt) (Z2- Z3) - (Zl-Z3)
X x=_2
o
(X
1-X3)
(Z2-Z3)-(Zl-Z3) (x
2
(X (x;-X;+
Z22_
Z;) -(x
2-x)
(X
2 Z
1-X3)
_
2 (X
1-X3)
(Z2-Z)-(Zl-Z) (x
2
RX=./(x.-x
X)
2+ (Z .-z X) 2
V C 1 C
The values of the deviations from this circle are given
by:
The values X/ , Zc' ,and R, are valid only for three
selected points. The most probable values are:
Using these relationships the previous equation
becomes:
avo avo
v.=.I(X.-XX)2+(Z.-ZX)2_R+( + "
aZ V 1 e c
_
ax
_ __
x
c 1=
where:

axc
-
'-;:::============ =
!(x.-X
X)
+(z.-ZX)
V 1 C 1. C
x .-X
X
c
aVi - ( z i - Z eX)
(Z .-Z X)
1 C
aZe/(x.-xX)2+(Z-ZX)2
R,.
V 1. C .1 C
aV
i
=-1
aR
Using the following notations:
C.=-l
1
1.=/ (x.-x X) 2+ (Z .-Z X) 2-R
V 1 1 C 1 C
'we can write:
vi=a C +biC
y
i
x
+C
iCR+1
C2+b2C2+C2c2+12
1 x ly lR 1
where i = 1,2,...n. With:
the following equation can be written:
C.,L a,Ci+C:L biCi+CRL CRCi=-L ci ,
and finally the system of equations:
x x x
" Z -z Z -z Z <z
+C L.- _c) +C L (-;_c) =0
R R;" R R" R" 1
x-XX z-ZX
CooL ( +C"L ( iR:,c) +nCR-Ll;=O
Solving this system, the values of C
x
, C; C
R
, thus X,
Zc, R can be determined. The values of the deviations
are:
and the position of the point on the circle is:
p=Ra
Z .-Z
a = arctg (_"__C)
x.-x
1 e
A similar procedure has been developed for tunnels
with horse shoe cross section shape.
4. VALIDATION PROCEDURE. CONCLUSIONS.
To validate the method proposed in this paper,
measurements on some existing tunnels from Rumania,
with different shapes, diameters and different lining
technologies were organized during a period of several
years.
579
Table 4.
No. Plant Type Length,
m
DfBxH,
m
Q,
m
3/s
n
d
, n
h
n
s
I Sebes P.T. 8489 3.7 40 0.013 0.014
2 Tismana P.T. 8580 3.6 37 0.0135 0.021 0.02
3 Tismana T.T. 4150 4.3x4.8 56 0.014 0.016 0.02
4 Tismana P.T. 8580 3.6 37 0.013 0.017
5 Tismana T.T. 4150 4.3x4.8 56 0.014 0.017 0.02
6 Sugag P.T. 8061 4 50 0.013 0.017
7 Nedeia T.T. 5456 4.3x4.3 50 0.014 0.015 0.01
8 Lotru T.T. 13300 5.9x5.9 100 0.014 0.022 0.02
Legend: D.D.(denvatlOn tunnel), P.T. (pressunzed tunnel), T.T. (tat I race tunnel)
The first goal ofthese measurements was to determine
the value ofthe roughness coefficient of the tunnel and
to compare it with the selected value during the design
process. A classical hydraulic procedure was used for'
measuring the discharge and the total friction loss
along the tunnel.
By using the Manning - Strikler equation the
roughness coefficient "n," was obtained. At the same
time, by using stereo photogrammetry according to the
procedure described in this paper, the value of the
roughness coefficient "n,", Due to the fact that most of
the tunnels considered have been in operation during
our measurements, it was only possible for' some of
these tunnels to determine the value of "n," by
applying the new method. The results are given in table
4. The value of roughness selected during the design
process, "n," is given as well.
An analysis of the results presented in table 4 and of
some similar measurements presented in literature as
well, allows us to draw the following conclusions:
1. In most cases, the difference between the
values of the roughness coefficient used in the
designing process and the real values is higher than
20%. Due to the fact that the head loss is proportional
with Y-, this difference implies an increase of friction
losses with n
2
and consequently an decrease of the
energy production It is easy to derive then, the
importance of determination of the real value of the
tunnel roughness coefficient.
2. The method elaborated and presented in this paper
gives the possibility to determine the roughness
coefficient during tunnelling without using hydraulical
measurements. The method can be also used for lined
channels.
3. An advantage of the method is that the
roughness coefficient can be determined during
processing, and therefore a better control of the
execution is possible. Corrections in the lining
technology are possible during execution of the tunnel,
if needed.
4. Due to the fact that the quality of lining
varies with the length of the tunnel, the determined
value ofthe roughness coefficient is a characteristic of
a certain tunnel. This value should be taken in
consideration for a correct evaluation of the energy
production of a hydropower plant system.
REFERENCES
I. Boeriu,P.: Contribution on I'hydraulique des conduites
lonques en regime biphasique air-eau. Scientific and
Technical Bulletinof TechnicalUniversityof Timisoara.
2.Boeriu, P.: Determination of the roughness coefficient of
existing tunnels. Scientific and Technical Bulletin of
Technical University of Timisoara
3.Boeriu, P. : On some experimental researchon two phase
flow in large pipes. Hidrotechnica, 17(1), 1972.
4.Czarnota Z.: Friction losses in rock tunnels. Stockholm
1980
5.Huval C.l.: Hydraulic design of unlined rock tunnels.
Journal of the HydraulicDivisionASCE, 1969
6.Morris N.M.: Methods for Flow in Rough Conduits.
Journal of the HydraulicDivision, ASCE, 1959.
580
Hydrapower'97, Brach, Lysne, F/atabo & Hel/and-Hansen (eds) 1997 Ba/kema, Rotterdam, /SBN 90 54108886
i;:Hydraulic jacking tests for unlined high pressure tunnels
li,-
"Einar Brach
"Norwegian University ofScience and Technology, Trondheim, Norway
:,d
ToreS.Dah10 & SteinErik Hansen
SINTEF Civil and Environmental Engineering, Trondheim, Norway
: ABSTRACT: The pressure head for unlined pressure tunnels and shafts in Norway has increased from less
than 200 meters by the end of the 1950's, to nearly 1000 meters at present (Nyset Steggje). As a consequence,
'site investigations to ensure a safe solution in terms of confinement has become of great importance. Rock
stress measurements have become perhaps the most important tool to ensure cost efficient solutions. From the
'mid 1960's, 3-D rock stress measurements by overcoring using the Leeman-Nf'H method was the standard test
ethod, but in the recent years hydraulic fracturing and jacking tests play the dominant role. This paper
'resents some aspects of this development, with focus on rock stress measurements by 'hydraulic fracturing and
"acking tests.
, 1 UNLINED HIGH PRESSURE TUNNELS IN
1000r-r---------;----r----r.:-....,..""..,..,.----,
UNLINED PRESSURE SHAFTS
.NORWAY . AND TUNNELS IN NORWAY
Topographical and geological conditions in Norway
e especially favourable for the development of
..
:hydroelectric energy. Of the world's 400 - 500
..
. underground powerhouses, almost one-half are
located in Norway. Since 1960, an average of 100
km of tunnels has been excavated every year.
YEAR 1990
Through the design, construction, and operation
f all these tunnels and underground powerhouses,
aluable experience has been gained. Also, special
echniques and design concepts have been developed
ver the years. One such Norwegian speciality is the
nlined, high-pressure tunnels and shafts. The oldest tunnels and shafts is described in several
_nes have been in operation for 75 years. Another publications (Selmer-Olsen, 1970, Broch, 1982,
speciality is the so-called air cushion surge chamber, 1984, 1987, Brekke and Ripley, 1987, Marulanda et
hich replaces the conventional vented surge al., 1992), and the interested reader is referred to
chamber. these. This paper gives only a brief summary as a
- When the new unlined shaft with a water head of background for the discussion of the water injection
"q m was successfully put into operation at Tafjord tests.
3 in 1958, this gave the industry renewed All unlined pressurised waterways are sources of
onfidence in unlined shafts. Today more than 80 leakage. Shotcrete, plain concrete, and reinforced
nlined high-pressure shafts or tunnels with water concrete linings should be treated as unlined with
eads above 150 m are successfully operating in respect to leakage, since they crack due to drying
orway, the highest head being 964m (Nyset- shrinkage and internal water pressure, and are
teggje). The development over the last 35 years is therefore permeable. Locations within an unlined
Iustrated in Figure 1. high pressure tunnel that may be particularly leaky
include areas without adequate confinement, areas of
., -
local instability, and intersections with high
'DESIGN AND CONSTRUCTION OF UNLlNED permeability leakage paths such as: open joints,
RESSURETUNNELS
broken dikes, crushed rock in shear zones or adjacent
to faults, and permeable beds.
of unlined high pressure Adequate confinement refers to the ability of a
581
Figure 1. The development of unlined pressure
shafts and tunnels in Norway.
rock mass to withstand the internal pressure from an
unlined waterway. If the confinement is inadequate,
hydraulic jacking may occur. Hydraulic jacking
develops when the hydraulic pressure within a
jacking surface, such as a joint or bedding plane,
exceeds the total normal stress acting across the
jacking surface. As a result, the aperture of the
jacking surface increases, yielding an increased
hydraulic conductivity, and therefore increased
leakage rates and spreading. Hence, the basic design
criterion has been that along no point of the
pressurised waterway should the internal water
pressure exceed the minimal principal stress at that
point.
Since the late 1960s, mathematical modelling of
the stress situation in the rock masses in the unlined
tunnel area has been a useful tool in the planning of
high pressure tunnels. The most commonly used
models are the Finite Element Models (FEM).
From FEM models, simple design charts have
been developed for design. However, one basic
assumption for these charts is that the rock mass is
homogeneous and continuous; an assumption that
cannot be absolutely correct even for crystalline
rocks like granites and gneisses. Still, observations
and investigations of stress-induced stability
problems such as rock bursts in a large number of
tunnels in valley sides clearly indicate that the
natural jointing for rock masses has only minor
influence on the distribution of the virgin stresses.
More important for the stress distribution are faults
and weakness zones, as they may cause local
redistribution of the stresses.
In rock masses with alternating layers or beds of
rocks with different stiffness, the stress situation may
be very different from what the idealised FEM
models will show. In such cases new models should
be established in which the input data for the
different types of rock are carefully selected. It is
important to keep in mind that in a situation where
there is a combination of rocks with varying
stiffness, the softer rocks will take less stress than the
stiffer. When a high pressure tunnel passes through
such zones of low stress rock masses, they can
locally be overstressed, which may result in the
opening of joints and severe leakage.
As the permeability of rock normally is negligible,
it is the jointing and the faulting of the rock mass,
and in particular the type and amount of joint
infilling material, that is of importance when an area
is being evaluated. Calcite is easily dissolved by
cold, acid water, and gouge material like silt and
swelling clay are easily eroded. Crossing crushed
zones or faults containing these materials should
preferably be avoided. If this is not possible, a
careful sealing and grouting should be carried out.
The grouting is the more importantthe closer leaking
joints are to the powerhouse and access tunnels and
the more their directions point towards these. The
same is also valid for zones or layers of porous rock
or rock that is heavily jointed or broken.
For pressure shafts in valIey sides, one should be
warned against clay-filled, crushed zones, as they
may have an unfavourable influence on the stress
distribution. If they have a strike nearly paralIel to
the valIey side with a steep or medium-steep dip
towards the valley, they are especially dangerous.
Not only may they change the stress conditions; they
may also often cause leakage during construction as
well as during operation. High leakage caused by
such unfavourably oriented joints and faults is
illustrated by the Askora and Bjerka projects
(Bergh-Christensen 1974). A careful mapping of all
types of discontinuities in the rock mass is therefore
an important part of the planning and design of
unlined pressure shafts and tunnels.
3 ROCK STRESS MEASUREMENTS
Stress measurement by overcoring has been applied
for Norwegian hydopower project since the end of
the 1960's. The 3D overcoring stress measurements
are based on a CSIR-type celI developed by the
Norwegian University of Science and Technology.
The cell consists of a body containing three strain
gauge rosettes giving 9 strains in three directions.
The test procedure is given in Figure 2.
Hydraulic fracturing tests as known today was first
carried out in Norway at the Tjodan hydropower
project in the late 1970's. However, with the
introduction of the air cushion surge chambers
(Driva 1973), a simple type of hydraulic jacking tests
had already been used. This early test concept was to
pressurise long boreholes with water pressure about
50% higher than the static head to check if
unacceptable leakage developed (Rathe 1975).
Water injection tests as carried out by hydraulic
fracturing and jacking are shown schematically in
Figure 3. Such tests can
~
F=:=:3*a
be performed during
1. A diamond driU hole Is drilled
to wanted depth. A concen
tric hole with a smaller dia
meterIs drilledapproximately
30 emfurther.
2. A measuring cell containing
three strain rosettes Is Inser
ted, and the rosettasare glU
ed to the walls 011he smaJI
hole.
3. The small hole Is lMIroored
by the larger diameter bit,
i
thusstressrellevlng 1he core.
The conespondlng IIb'aIns
are recorded by the rosettes.
When the elastic constants
I
are knQwn, 1he lJtaldaI IIat8
I.
l
01...ClU1 be computed. )
Figure 2. Basic principles of 3D rock stress ~
measurements by overcoring (from' Myrvang).
I
I
582
!
I
l
I.
I
J
---------
WATER INJECTION TEST FROM SURFACE'
QRlENTADONOFFRACWBE'
DRILLHOLEi
DI.lm. &1715 mm.
DEPTH MAX.300 m
I
STRADDLE i_") FRACTURE
PACKER ..." ,
-: .,,;.,. c ...... _ SECnON - _'' : ' PACJ(ER
d
.1 '''If... COMPASS
WATER IWECDON TEST FROM TUNNEL:
DRILJ.HOLE.
DIam "6176nwn, \
LHGmMAX.1fiQ m
\
.-------
'\ \ \ \

::>EcnON
-,
. ""
'igure 3: Water injection tests from surface (during
he pre-investigations) and from a tunnel (at the
onstruction stage).
ACCESS IUNNEL
PLAN AN HYDROPOWER
WIIN UNLINED WAIERWAY
CEiOSS SECTION lKROUGtf 'tfE WAlERWAY
UNLINED
LINING
SIEEl' CONCREIE
'lire 4: Plan and cross section ofan underground
ropower plant with unlined waterways.
o loration or construction as a check for adequate
finement.
4 WATER INJECTION TESTS
Various types of water injection tests have been
applied by SINTEF over the last ten years. In a study
of the Norwegian air cushion chambers, rock
permeability and natural groundwater pressure at the
various sites were of special interest. Rock
permeability and gradients in addition to rock stress
are the most important parameters that govern the
feasibility of these underground structures in terms
of confinement. However, for unlined pressure
tunnels in hard rock, the minimum principal rock
stress is a more important design parameter.
Hydraulic fracturing or jacking tests have therefore
in recent years become a standard procedure for
unlined high-pressure shafts and tunnels in recent
years. During construction, the test are done from the
access tunnel to the powerhouse before the tunnel is
planned to branch off to other parts of the plant, like
for instance the tailwater tunnel or the tunnel to the
bottom part of the pressure shaft
In this paper, hydraulic fracturing is defined as the
process of creating new fractures in the rock by
means of injecting water at a high pressure. Testing
of artificial fractures with several cycles of fracture
reopening (by injection) and cutting the flow to
measure the pressure decay is called a hydraulic
fracturing test. A reopening and closing of artificial
fractures and natural joints by stepwise increasing
hydraulic pressure is called a hydraulic jacking test.
Thus, a hydraulic jacking test is almost similar to the
"Modified Lugeon Test", with the exception that the
jacking test is repeated in several cycles, and with a
pressure and flow rate that is sufficiently high to
identify the pressure level at which the conductivity
of the fracture increases due to deformation of the
rock.
4.1 Test equipment
The test equipment is constructed by SINTEF, and
emphasis has been made to make the equipment
light, flexible and robust. It is sized for transportation
by airplanes an small helicopters.
The main part of the downhole hydraulic
fracturing equipment is the straddle packer system. It
consists of two 1.0 m long inflatable rubber packer
elements rigidly connected so as to straddle a 0.8
1,0 m interval. Different diameters are available
I depending on hole diameters and conditions at site.
o For use in difficult rock formations a new packer
system is developed. The packers have small
diameter, suitable for lowering the test equipment
inside the NQ (76 mm) wireline drill rods. The NQ
drill rods normally serve as casing. A special tool is
lowered with the packers to locate the accurate
position of the drill rod collar, which makes it
possible to expose only the packers to the weak rock.
583
A high pressure pump is used for packer inflation
and test interval pressurisation. The standard pump
has a capacity of 30 l/min at 350 bar. Pressure
transducers are used for measurement of the pressure
within the test interval as well as for the packer
system. An in-line turbine flow meter is used for test
flow measurements, and a laptop computer is used
for data acquisition, i.e., recording packer pressure,
interval pressure and flow rate. Other parts of the
equipment include winches, hose reels and power
units. The equipment can readily be adapted to
special needs, like utilising the hydraulic power of a
drill rig or other hydraulic machinery.
4.2 Hydraulic fracturing
Choice of hole diameter and size of hydraulic
fracturing equipment is based on the equipment
available. Final choice of test zone length and depth
is based on the fracture characteristics of recovered
cores.
After inspection of rock cores from the borehole,
hydraulic fracturing (also called splitting) is done by
positioning the packer system in a section of the
borehole that has been found to be intact (containing
no visible'fractures). The packer assembly is inserted
to the prederermined depth, and the packers are
inflated to a pressure sufficient to seal against
applied fluid pressure. After inflating the packers, the
test section (between the packers) is tested with low
water pressure to check for existing joints. Then the
water pressure is rapidly increased at an
approximately constant flow rate until a critical
(breakdown or fracture initiation pressure) pressure
Pr is reached, showing that an artificial fracture is
made. The flow is then cut off, and the pressure is
allowed to decay. The shut-in pressure is later picked
out from this portion of the pressure record. The test
is repeated by several water injection and shut-in
sequences, to identify at which pressure the fracture
closes .(P; the instantanious shut-in pressure,
normally representing the minimum principal rock
stress) and reopens (P
r
, reopening pressure, which
should be comparable with P
s
) . One criterion to
judge the quality of the test is that P, and P, from
subsequent cycles should be almost identical.
At the completion of the pressurisation cycles, the
packers are deflated and moved to the next test
position. The procedure outlined above is repeated
for each test location.
Knowledge of hydraulic fracture orientation is
crucial to establishing the directions of the principal
stresses. For this purpose an impression packer with
orienting tool is used to obtain an oriented trace of
the induced hydraulic fracture on the test-hole wall.
The impression packers consist of aIm long
inflatable packer element covered with a thin layer of
semi-cured rubber (impression sleeve), which can
100
90
80
70
i
60
:>
e
'E
50
"

40 iI:

30
20
10
o
20 15 10
Time (minutes)
._----- ---_.__.....-- _. _.
.... _-._-

1',
... 1',
1',
"'
.loI
-,
Ps
Ps


..
\.......,

<;
_..-
-
-_._---
, ,
.
.'
,
,


.
.

.

,
o
20
180
200
160
140
60
40
i 120
e
100
"
i! 80
Q.
o 25
-Water pressure Flow
Figure 5: Hydraulic fracturing record
120
110
'l:' 100
l
i
l!
90
Q.
S
80
70
\
\
"'
'-..
-
60
o 0.2 0.4 0.6 0.8
Time relative to ahut In (mlnutea)
Figure 6: Shut-in plot.
easily be dented permanently by a sharp protrusion or
gap in the hole wall. A magnetic orienting tool,
consisting of. a camera, angle unit and magnetic
compass is rigidly attached to the impression packer.
The impression packer is lowered into the test hole
to the precise depth of a previously hydraulic
fractured interval. The packer is pressurised, and a
photograph of the angle unit and compass is taken.
After deflating, the packer is taken to surface and is
examined for fracture traces.
Figure 5 shows a typical data record with
breakdown pressure (P
r),
the locations of reopening
pressures (Pr) and the locations of instantaneous
shut-in pressures (Ps) for a complete hydraulic
fracturing test. The .breakdown pressure Pr is the
peak pressure reached in the first pressurisation
cycle. The secondary breakdown or. fracture
reopening pressure P, is the pressure at which the
induced hydraulic fracture reopens in subsequent
140 50
45
120
40
100
.
.:
,.}
. 35
s
30 g
80
E
25 'i:

60
20
...
15
40
.
.
, .
10
r!
....
I
"-.: :
20
..,
..-
-r
\,,:
'-
' 5
'";
.:
.
0 0
0 10 20 30 40 50 60
Tim" (minutes)
Watar ---Flow
.-
f
.;
,able
i
Figure 7: Hydraulic Jacking test (in this case carried
out for an artificial fracture made by hydraulic
"fracturing, see Figure 5 and 6).
cycles. Detailed plots from the' shut-in sequences,
when the induced hydraulic fracture closes back, are
used to calculate the shut-in value P; As shown in
Figure 6 (which represents the second cycle from
Figure 5), the exact shut-in value is not easily
identified. Several approaches may be found in the
. literature about how to quantify the shut-in value (see
'Gou, Morgenstern and Scott 1993).
4.3 Hydraulic jacking
"'For hydropower project, it is not the rock stresses of
'intact rock that is the most important, but rather the
tress acting nonnal' to existing rock joints.
ydraulic jacking is therefor often the preferred test
iethod because this may be regarded as a direct test
the capacity of the rock mass (with
':discontinuities) to withstand high internal water
::ptessures.
To make sure that all possible joint sets are tested,
'holes are often drilled in three different directions.
:The crucial question is whether or not the water
'pressure in the unlined part of the shaft or tunnel is
to open or jack the already existing joints.
Hence the importance for making sure that all
possible joint sets are tested.
The test equipment is basically the same as for
.hydraulic fracturing .. However, if the rock mass is
highly permeable, higher pump capacity is needed..
The test is carried out almost similar to a Lugeon
tests (Modified Lugeon Test), i.e., injection of water
into a defined test interval with increasing and
decreasing water pressures, with the attempt to
.measure the flow at various pressure steps as shown
in Figure 7.
25
20
_ 15
l:


ii: 10
5
o
50 70 90 110 150 130
! , ,
.. ._-
.'- .- ... --- -- .-- --- --
-_. ._-
J

.- .- --. --. .. _.-

.-
/;

V
/
--.--. --
-_.
V
j
:1

V./
j
" -._--- -. --. .-
-.-
;}
"

V
,
/,

"

--:' "
.-


--.--. -. _.-

W

;;.-
Presaure (bar)
Figure 8: Lugeon plot from hydraulic jacking test
... ... 2
'HWL' /:
,0'
;.,...,.,..r _
.",'1.0. .
..... ..... : . . .
..
..... ..
... ..
...
...
Figure 9: The summary of test results from the
Skjerka hydropower project.
During the jacking test, the flow is measured at
apparent steady state conditions at the various
pressure levels, and the results are presented and
analysed by a Lugeon plot as shown in Figure 8. In
this case, the jacking pressure (that should represent
the minimum principal stress) is reached at about
100 bar. .
5 DISCUSSION
Over the ten last years, SINTEF has carried out these
tests for about 30 different projects, including 12
Norwegian hydropower projects. Other types of
projects include Gas Storage, Mining, Groundwater
exploration, one Nuclear Waste Depository, and
several research projects. Exotic hydropower sites
include the Arctic (Spitzbergen and Greenland), Asia
and Africa, Important experience and knowledge
have been gathered from. these different projects,
.,.,.1'
..... '" f"' .,j... i - . .
,TIlEORETlCAL VERTlCAL STl\E5$
585
Minor Principal Stress IMPe)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
o
\'.
1't,
\' TAFJORD K1
2 OSA :=n .. KUKULE GANGA
3
4
5
Ii
ll.
!.
"tI
II
Ql
6
J:
S
3 7
8
\
\ '
\ '
\
\ ,
\ '
\
\
\
\
- F =1.5
___ F=1.25
-- F=1.O
\'.
\'.
'" \', ORMSETFOSS
KVILLDAL \',
\ ;.. VINSTRA
\, " LANG-SIMA
\ '
\ o '. SILDVIK
,
,
,
,
",'rJODAN
9
\ NYSET-STEGGJE
10
\
\
11 \ '
,
'" ,
\
,
12 L- ----l...__--'-__
; (] Overcorlng '" Hydraulic Fracturing I
Figure 10: Results from overcoring and water
injection tests. F denotes the factor of safety, that is,
minimum principal stress to static head ratio.
which has been of great value in improving both
equipment and methodology
Important information' has been collected
concerning the influence of geological conditions
including groundwater pressure and weakness zones
on the applicability and interpretation of results. This
is illustrated by the results from the Skjerka
hydropower project in Norway, where water
injection tests were carried out both from a surface
borehole down to the transition zone prior to
construction, and from the access tunnel during
construction. A summary of these results is presented
in Figure 9. Apparently, a weakness zone has
significant influence on test results.
Very often both 3D overcoring and water injection
tests are carried out for the same hydropower project.
However, the locations and thus the geological
conditions are normally not identical and' hence a
direct comparison is not possible. Still, some of these
results are put together in Figure 10,' and as can be
seen there are variations that can be explained by the
reasons mentioned. However, the results from
Kvilldal, Vigdal and, Tafjord K5 show that the
methods are comparable.
6 CONCLUSION
Rock stress measurements, or rather tests to measure
the water flow conditions within rock joint systems,
play an important role in the design of unlined
pressure tunnels and shafts. Traditionally, this has
been done by 3D overcoring measurements, but
water injection tests as hydraulic fracturing and
jacking are now becoming the preferred method.
This development reflects the following benefits
from using injection tests;
Injection tests can be done at depth prior to
construction.
The tests are relatively simple and cost efficient in
comparison with 3D measurements.
Large rock volumes are tested compared to
standard 3D measurements.
The jacking test is a direct test of confinement.
The industry has confidence in hydraulic jacking
tests.
The bottom line is that hydraulic jacking is the
preferred test method for hydropower projects as this
is regarded as a direct test of the capacity of the rock
mass (with discontinuities) to withstand high internal
water pressures.
The reason for testing is to check if the rock
conditions is favourable in terms of avoiding
hydraulic jacking of rock joints at the actual water
head. If the results show that this is not the case, the
unlined part of the waterway will have to be put
further into the rock. This will normally mean that
the whole powerhouse complex is moved further in,
which has been experienced from several
hydropower projects. A flexible contract that allows
for such changes is therefore of vital importance
when unlined high pressure shafts and tunnels are
planned. Putting the powerhouse complex deeper
into the rock adds length to the access tunnel, but not
to the waterway.
REFERENCES
Bergh-Christensen, J. (1974). Failure of the unlined pressure
tunnel at the Askora - (in Norwegian). Fjellsprengnings
teknikk-Bergmekanikk 1974. Trondheim, Norway: Tapir,
pp. 15.1 - 15.8.
Broch, E. (1982). The development of unlined pressure shafts
and tunnels in Norway. Rock mechanics: Caverns and
pressure shafts (Wittke, editor). Rotterdam, The
Netherlands, A.A. Balkema, pp. 545 - 554. Also in
586
_________d
Underground Space No.3, 1984.
Broch, E. (1984). Design of unlined or concrete lined high
pressure tunnels in topographical complicated areas. Water
Power and Dam Construction 36:11.
Broch, E. (1987). Unlined high pressure tunnels and air cushion
, surge chambers. Int. symp. Tunnelling for Water Resources
and Power Projects. New Dehli, 19-23 Jan. 1988.
Dah!l'l, T.S., Bergh-Christensen, J. & Broch, E. (1992). A
review of Norwegian high pressure plugs. Proceedings of
the Second Int. Con! Hydropower '92, (Brocn and Lysne,
editors), Lillehammer, pp.61-68.
Gou, F., Morgenstern, N.R., Scott, J. D. (1993). Interpretation
of Hydraulic Fracture Pressure: A Comparison of Eight
Method Used to Identify Shut-in Pressure. Int. J. Rock
Mech. Min. Sci. & Geomech. Abst. Vol. 30, No.6, pp. 627
- 631.
Hansen, S.E., & Hanssen, T.R. (1988). Hydraulic Fracturing.
(in Norwegian). Fjellsprengningsteknikk -Bergmekanikk
1988. Trondheim, Norway; Tapir, pp. 26.1 - 26.15.
Kjorholt, H. (1991). Gas tightness of unlined hard rock caverns.
Dr.ing thesis, Norwegian Inst. Of Technology, Univ. of
Trondheim.
'Marulanda, A., Eslava, L.F. and Broch, E. (1987). Design of
high pressure tunnels for the Guavio hydroelectric project in
Colombia. Underground Hydropower Plants (Brocli and
Lysne, editors), Trondheim, Tapir, pp. 101- 111.
, Myrvang, A. (1993). Rock Stress and Rock stress problems in
Norway. Comprehensive Rock Engineering: Principles,
Practice & Projects, Vol 3, Rock Testing and Site
Characterization (Hudson, Brown, Fairhurst & Hoek,
editors), Pergamon Press, pp. 461-471.
Rathe, L. (1975). An innovation in Surge-Chamber Design.
Water Power and Dam Construction, June/July 1975, pp.
244-248.
Ruistuen, H. (1993). Scale Effects in Hydraulic Jacking? (in
Norwegian). Fjellsprengningsteknikk -Bergmekanikk 1993.
, Trondheim, Norway; Tapir, pp. 27.1 - 27.9.
Selmer-Olsen, R. (1970). Ex.perience with unlined pressure
shafts in Norway. Large permanent underground openings
(Brekke and Ierstad, editors). Oslo, Norway; Universitets
forlaget, pp. 327 - 332.
587
Hydrapowe"97, Brach, Lysne, Flatabo & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN 90 54108886
Ertan hydroelectric project: Experiences during construction
Qian Yang
ErtanEngineering Corporation, People'sRepublic ofChina
P. KEdvardsen & KJ.Carstens
AdvisoryGroupofNorway, Ertan, People'sRepublic of China
ABSTRACT: This paper presents the experience gained during the excavation of the Powerhouse Complex at
Ertan Hydroelectric Project. During the construction high stress concentrations, large deformations, stability
problems, spalling and rockbursts were experienced. The paper describes which measures which were taken to
stabilize the situation and keep the project on track. At the time of the paper the project is progressing on
schedule.
I:
i)
1 INTRODUCTION
, 1.1 Ertan project
f1,
t Sichuan Province in West China has rich water
~ ' resources. Large rivers are crossing the province
providing the possibility for hydropower which will
benefit both the economy and the environment of
Sichuan where most of the electricity today is
produced by coal fired power plants.
The 1500 km Yalong is one of these rivers with a
hydropower potential ofmore than 20.000 MW.
Ertan Hydroelectric Project which this paper deals
with is the first project under construction out of 10
589
planned power projects on the Yalong River.
Yalong is a tributary to Jin Sha Jiang (Yangtze) and
Ertan Project is situated 30 kIDabove the confluence
of the two rivers, some 40 kID from the city of
Panzhihua. The project, when completed, will be
one of the largest power station i China with 6
generating units each with a capacity of 550 MW.
The total installed capacity totals 3,300 MW with an
annual output of 17,000 GWh.
The civil works on the main contracts started late in
1991 and at the time when this paper is written, the
project is on schedule. The first generating unit will
go into commercial service in October 1998, and the
whole project will be in operation by September
2000.
1.2 Organization
The design and site investigations has been carried
out by CHIDI (Chengdu Hydroelectric Investigation
and Design Institute).
The Owner is EHDC (Ertan Hydropower Develop
ment Company Ltd.). Project Management is carried
out by EEC (Ertan Engineering Corporation).
Engineers from an American-Norwegian Joint
Venture consisting of Harza Engineers and Advisory
Group of Norway (AGN) are advisors to EHDC/
EEe.
Following international competitive bidding the
contract for the dam (Lot Ijwas awarded to EVJ, an
Italian, French, Chinese IN consisting of Impregilo,
Dumez, Torno, GMT and Engineering Bureau No.8,
while the contract for the underground works
(Lot II) was awarded to SGEN (Sino German Ertan
Joint Venture) a IN consisting of Philipp Holzmann,
Hochtief and Gezhouba Engineering Bureau.
Impregilo is the sponsor company of the Lot I IN
and Holzmann is the sponsor of the Lot II IN.
1.3 The dam and the reservoir
The dam is a parabolic double curvature arch dam
with a height of 240 m. The width is 55 m in the
bottom and II m at the crest. Length of dam at crest
is 800 m. The crest elevation of the dam is 1,205 m
and normal pool level is 1,200 m. Maximum head of
water is 189,2 m. The total concrete volume
Funding of the project includes both local and
foreign currencies. Foreign funds have been obtained
through loans from the World Bank and through
World Bank Guarantee Program: The local funding
is jointly provided by the State Investment Corp., the
Sichuan Provincial investment Corp. and Sichuan
Power Company. The cost of the project is
estimated to an equivalent of 2,500 mill. USD.
Ertan is the first large scale hydroelectric project
in China to totally adopt international contract and
management procedures. The main civil contracts.'
are based upon the FIOIC Codes. Another first in'
China is the establishment of a Dispute Review
Board (DRB). Both the Lot I And the Lot II
contracts includes provisions for resolutions of
disputes by means of a three member panel. The
Dispute Review Board make visits and/or held
hearings on Site two or three times per year.
including the 300 m long plunge pool and 35 m high
plunge pool dam is 5 mill, m'.
The catchment area at dam site is 116,400 sq.km and
the average annual river flow is 1,640 cu.m.zs. The
recorded maximum flow of the river is 11,100
eu.mls. Recorded minimum flow is 353 cu.m.zs.
The design flood discharge is 20,600 cu.m.zs, The
total storage capacity of the reservoir is 5,8 km",
The live storage capacity is 3,4 mill. km'. The
reservoir will stretch 150 km upstream.
1.4 The underground works
The underground works consists of the construction
of three major caverns, the Powerhouse, the
Transformer Chamber and the Surge Chamber, 2
diversion tunnels, 2 spillway tunnels, 6 pressure
shafts, 6 draft tubes, 2 tailrace tunnels, 6 busducts,
access- and ventilation tunnels as well as drainage
galleries, adits, several shafts for ventilation and
exhaust, a sloping 500 kV cableshaft, an elevator
~ - - d
590
shaft and a number of different connecting tunnels
and adits. To accommodate the passing of an yearly
volume of I, I00,000 m
3
of timber a logpassing
facility will be constructed to allow for passage of
timber from the reservoir to the river downstream of
the project. The facilities include an intake
arrangement, tunnel, concrete bridges and a
discharge arrangement.
Some dimensions of the underground powerhouse
complex and the major tunnels are given below:
Length Width Height
in m. inm. inm.
Powerhouse Chamber 285 25 - 30 65
Transformer Chamber 215 18.3 25
Surge Chamber 203 19.8 60 -70
The Surge Chamber is divided into two chambers by a rock
pillar. The rock pillar does not extend to the roofto allow for
the draft tube gate hoist to travel the entire length of the
chamber and for the air to escape during surges.
Length Width Height
in m. in m. inm
Tunnels:
Tailrace I 884 17 18
Tailrace II 567 17 18
Spillway I 848 14 15
Spillway II 1,179 18 15
Diversion Left Bank 1,090 18 24
Diversion Right Bank 1,167 18 24
Log Passing tunnel 1,819 17 7
Penstock, concrete and steel lined. Diameter 9.0 m
Draft tubes, steel and concrete lined. Diameter 8
14m.
Total volume of underground excavation is in the
range 00.5 mill. m3.
Genera11ayout
2. DESIGN ASSUMPTIONS
2.1 Topography and geology
The project is located approximately 1,000 meter
above sea-level in a steep, narrow river valley with
mountains on either side rising up to 1,000 m or
more above the bottom of the valley. The area is
subject to frequent seismic activity.
Distance between the chambers
The powerhouse complex and all tunnels, with the
exception ofone diversion and the spillway tunnels
are all located in the mountain on the left bank.
The average rock cover of the powerhouse complex
is approximately 250 - 300 meters. The rock is
mainly comprised of granodiorite (also called
"syenite" in some of the site reports), gabbro and
meta-basalt. The basalt is in the western half of the
southern end of the Powerhouse Crown. Most of the
crown in the Powerhouse is in the granodiorite, with
a 50 km long section of gabbro in the central part.
The crown of the Surge Chamber is mostly in gabbro
except for 40 m in the southern end which is in
granodiorite. The crown of the Transformer
Chamber is located in gabbro except for 80 m in the
northern end and 10 m in the southern end which
consist of grandiorite. The rock strength is high and
the rockmass is fresh and intact. The exploratory
adits did not reveal any major faultzones in the
rockmass, only some less developed fracture-zones.
The major principal virgin stress was estimated to be
in the magnitude of 20 to 40 MPa and dipping
approximately 30 degrees in direction S20 - 30 W.
Extensive model tests and FEM analysis tests
. were used to decide the orientation and shape of and
the distance between the three chambers.
These analysis were described in a paper by
Mr. Li Wo-Zhao presented at Hydropower 92.
Statistical material ofrock column thicknesses from
32 large and medium sized power house chamber,
both domestic and abroad, was also evaluated and
591
2.3 Deformation monitoring
3. SOME EXPERlENCES DURING
EXCAVATION
Installation of the rockanchors in this initial phase
turned out to take longer time than expected. The
workers were inexperienced and installation was time
consuming. This affected directly the progress of the
excavation of the Powerhouse Cavern which was on
the critical path.
After new consultations with SBC and engineering
geologists from Norway and Austria, the latter
engaged by the Contractor, CHIDI and the Engineer
3.1 Excavation and stabilityproblems
Extensometers to be installed in the three caverns as
decided by the Engineer.
This part of the paper will deal with excavation of the
lager caverns of the Powerhouse Complex. During
excavation of the diversions tunnels spalling and
stress related events occurred. It became necessary
to apply shoterete as quick as possible after blasting
to seal the rocksurface before installing the rockbolts.
However, when the top heading of the powerhouse
arch was completed in April 1994, the impression
was rock of good quality and the SBC (Special
Board of Consultants of the World Bank) proposed
to cancel the installation of rockanchors, - unless
unexpected geological conditions were encountered
during the benching operations. This
recommendation was not followed.
The object ofthe rockanchors was to stabilize the
surrounding rock, avoid possible wedge outfall
related to the high stress situation and together with
the normal rockbolts and shotcrete provide safe
working conditions.
3) Shotcrete min. 7 em in Surge Chamber +
Transformer Chamber. In Powerhouse Chamber
minimum thickness is 10 em. Wiremesh as
decided by the Engineer.
.
Lengths l-S m and
fully grouteg;.;;, ", _
592
1) Rockanchors.
. 20 m long upstream wall powerhouse
18m long downstream wall powerhouse
20 m long upstream surge chamber
18 m long downstream surge chamber
Total 3,200 Rockanchors
The tender documents considered the following
types as the main rocksupport.
Layout of Powerhouse Complex
2.2 Rocksupport
The analysis as well as the results from core
borings and stress measurements indicated high in
situ stresses - and that deformations would most
probably occur in the upstream springline of the
walls and the lower parts of the downstream walls,
The tender documents therefore indicated the
possibility of high stresses and rock bursts int he
powerhouse chamber area that could affect the
stability of the high walls, the crane ledges and the
rock piers between the generating units.
The designer CHIDI had to consider different
parameters when deciding the rocksupport
- safe operation during the construction
- short construction time
- keep the costs down
- consider the unusual large dimensions of the
caverns and the high stresses
- earthquake intensity
decided to reduce 50% of the rockanchors in the
Powerhouse and 60% of the rockbolts in the Surge
Chamber. The excavation could now progress at a
faster rate and the Contractor managed to recoup the
delay and bring the progress back on schedule.
However, later in 1994, from June onwards,
rockbursts and stress related problems start to occur
in the Powerhouse Complex with increasing
frequency. The most serious event happened in
December causing some damage in the Powerhouse
and in Busducts 1 and 2. Prior to the rockburst an
earthquake had taken place in the area.
The deformation in the upstream wall of the
Powerhouse indicated a deformation at station
0+110 of 90 mm or more. In other locations the
recorded deformation was far less. Two of the 175
ton anchors below the crane beam failed during the
rock burst. Deformations were also recorded in the
upstream wall of the Transformer Chamber and the
pillar between Busducts 1 and 2 appeared to be
heavily fractured. In the Surge Chamber, some rock
bursting activities had taken place in the upper parts
of the upstream wall and in the roof near the
springline. Rock spalling had also occurred in the
downstream walls particularly in Powerhouse Cavern
and the Surge Chamber.
Excavation of the Transformer Chamber was
completed as was Busducts 1 and 2, excavation of
the other Busducts had started. In the top of the
Surge Chamber excavation of bench 2 out of 11 was
under way. In the bottom of the Surge Chamber a
tunnel which served as an access for excavation of
the draft tubes was almost completed. The
rockbursts occurred primarily in the areas of highly
" competent granodiorite.
Following these rockbursts experts were called in
by both the Contractor and the Engineer. It was
concluded to increase rock support in the area where
the two anchors had failed and to tension the anchors
a lower load. Rockbursts and fracturing could be
"expected in Busducts and draft tubes. Steelfibre
shotcrete and longer end anchored bolts with plates
were recommended.
Though the first half of 1995 minor rockburst and
spalling continued, resulting cracks, minor outfalls
mainly near the springline in upstreams walls, as
predicted in the tender documents.
In the summer of 1995 the caverns had reached the
eight of46 m in Powerhouse, 30 m in Surge
. Chamber and 20 m in Transformer Chamber. The
connecting tunnels between the Transformer
Chamber and the Powerhouse had been opened up
and concrete lining had commenced. Excavation in
the 6 draft-tubes was in progress. Extensometer
readings showed high stresses in the walls and big
cracks occurred in the lower part of the downstream
wall of the Powerhouse. During the same period
deformations took place in the springline of upstream
walls and roof in the Powerhouse and the Surge
Chamber. The rocksupport had followed the
excavation, but on the last 12 - 15 m in the
downstream walls no anchors were installed in
accordance with the previous decision.
In September 1995 a major rockburst event took
place, the most severe so far. The event was possibly
triggered off by an earthquake which took place a
couple ofdays earlier. The area most affected was
the rockpillars between the Transformer Chambers
and Powerhouse. A big rockfall caused great
damage to already installed formwork and
reinforcement, but fortunately no workers were
harmed. For a period of nine hours there were
number of rockbursts, starting in the Transformer
Chamber upstream wall and in two of the Busducts
and continued in downstream wall of the
Powerhouse before it fmally came to an end with
rockburst in two of the Draft tubes where serious
outfalls took place.
The Engineer and the Contractor took immediate
action trying to minimize the delay which seemed to
be unavoidable. Following discussions with experts
called in by both the Contractor and the Engineer it
was decided to install additional rockanchors in the
lower portion of the downstream side wall in the
Powerhouse and in the upstream wall of the
Transformer Chamber and through the pillars
between the affected Busducts. In the Draft tubes
steel fibre shotcrete was applied and 8 m long cable
bolts installed in walls and roof.
During the summer and autumn of 1995 there was
also a progressive development of cracks in a portion
of the Powerhouse crown. Although the
Powerhouse has a suspended ceiling below the arch,
there was always a risk that a fallout could penetrate
the ceiling and create large damage to the equipment
and people below. The engineer therefore decided
to carry out additional support measures to stabilize
the roof. The measures were:
install chainlink mesh from upstream springline
to downstream springline.
install 11 m long cablebolts with a grouted
section of 3 m at the end in a pattern of
593
22,2 x 3 m and pretensioned to 15 tons. It was
important that the cablebolts were anchored
beyond the stiff support provided by the already
installed fully grouted rockbolt
- fastening and tensioning of continuous galvanized
steel rope with a diam. of 18,5 mm, to the end
plates of the cable bolts in a zig zag pattern.
The additional support measures were carried out
from the suspended ceiling and therefore did not
affect the progress of the works below.
In April and November 1996 two severe rockburst
occurred in the Powerhouse invert causing damage
to the Turbine Pits and the downstream wall.
Additional anchors were again installed in the
downstream wall and in the invert. The anchors in
the invert served a dual purpose as they also served
as counter weight for the full scale testing and of the
Powerhouse Cranes and the crane ledge. Testing of
the crane legde had been recommended by SBC.
The reason for this was that during excavation it was
not possible to create a ledge as designed. The crane
ledge was at the request ofthe Designer
reestablished by concrete. The restitution concrete
was fixed to the rock by bolts and rockanchors.
When two of the anchors as described above failed in
December 1994, the integrity of the crane beam and
the ledge was questioned.
3.2 Monitoring ofdeformations
Deformation measurements have been carried out
using multiple point 20 - 28 m long extensometers.
Monitoring of the deformations has until recently
been carried out by the Contractor. A lot of data is
available. The measurements shown a wide spread
of movements from almost zero to 185 rom.
The recorded deformations are briefly as shown
below:
In the Powerhouse Cavern:
- In the crown normally less than 5 mm, maximum
deformation 13 rom.
- In the upstream wall the largest deformations were
recorded at elevation 1027 where the deformations
were between 40 - 122 mm. In the remaining part
ofthe wall the deformation varies from 1 to 60
mm.
- In the downstream wall the largest deformations
occurred at elevation 1010 where the deformations
were in the range of20 - 127 mm. At elevation
1027 the deformations were in the range of
594
15 - 70 mm. At elevation 1037 only small
deformations were recorded.
In the Transformer Chamber:
Only small deformations < 3 mm are recorded in
the crown.
In the upstream wall deformations of 5 - 185 nun
have been recorded at elevation 1039. Visual
observations of locally concentrated block
movements of 450 mm were observed follOWing
the rockburst in September 1995.
In the downstream wall it was recorded
deformations in the range of 6 - 35 mm. Two of
the extensometers indicated cracks in the pillar
between the Transformer Chamber an the Surge
Chamber of 40 to 150 rom. At elevation 1027
the deformation has been recorded to 40 - 45
mm with the cracks in the pillar recorded to
75 - 95 mm.
In the Surge Chamber
In the crown only small deformations have been
recorded.
In the upstream wall the records show
deformations in the range of 4 - 195 mm at
elevation 1045. At elevation the deformations
range from 55 - 114 mm. At elevation 1019 the
deformation are in the range of37 - 92 mm.
In the downstream wall the deformations are in
the range from 5 - 27 mm.
3.3 Stress measurements and analysis
During the initial investigations stress measurements
were carried out in exploratory adits and boreholes.
FEM analysis were also carried out by the Designer
in cooperation with technical institutes to examine
how the stress pattern could change as the
excavation progressed. The sketch below explain
how stress concentrations will increase with
increased depth ofthe excavation
Stress distribution around the Powerhouse Complex
nci
Following the rockbursts in September 1995 three
dimensional stress measurements were carried out by
CHIDI in the Powerhouse, the Transformer Chamber
, and the Surge Chamber. The stress measurements
; carried out during the winter 1996 showed a wide
variation of direction an stress magnitudes both with
variation of the depth in each hole, and form one
chamber to the other. Only the measurements in the
bottom of the down magnitude as proposed in the
tender documents. All the measurements were
, obviously strongly influenced by the excavations and
partly by the rock support and in particular the
reinforcing pretensioned rock anchors. However, the
measurements support the impression that the
excavation and local joints and shear zones influence
on the stressfields, and that high stress
concentrations may occur at different locations.
4 LESSON LEARNED
- The use of steelfibre shotcrete contra installing
wiremesh applied with shotcrete gave safe
workingcondition and saved time for the
contractor.
- Using prestressed cablebolts which are able to
elongate inside the rock combined with fully
grouted rockbolts to achieve a flexible rocksupport
was an improvement of the rockstability and
should have been implemented from the start.
"'. - The installation of rockanchors in lower sidewall
and invert of the Powerhouse increased the
stability in the critical areas of the main chambers
and the adjacent structures.
'- The installation ofrockanchors through the pillar
between the Powerhouse and the Transformer
Chamber and through the Transformer Chamber
and the Surge Chamber took care of some possible
wedges and shearzones.
- The contractor was unexperienced in hard rock
tunnel- and underground excavation. Time past by
learning and practising.
595
Hydropower'97, Brach, Lysne, Flatabe & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 5410 888 6
l,t'Rehabilitation in the unlinedrock tunnelsof Nedre Ressaga after 40 years
fof operation
T; Carstens & S.E. Hansen
1NTEF Civil and Environmental Engineering, Trondheim, Norway
.Undrum
tatkraft Engineering, Oslo, Norway
STRACT: In 1996 the Head Race Tunnel at Nedre Ressaga Hydro Power Plant was de-watered, inspected
d rehabilitated for the first time after more than 40 years of operation. Damage caused by geological
rosion, rock fall and corrosion on steel installations was expected, but the condition was remarkably good.
GENERAL
ower Ressaga Hydro Power Plant is an under
ound power station situated in Korgen, close to
,0 i Rana in Northern Norway. Upstream, utilising
e same water, another plant, 0vre Ressaga is
cated. The reservoir, Ressvatn, contains 2.6 km' of
ater at elevation 383.
In the river between the plants, only minor
ssibilities for storing water exist. Stopping one of
e plants also involves stopping the other one. The
ants have an average annual production of 2.400
h. The plants are operated all the year, therefore
watering of the head race tunnel has been
. tponed up to 1996.
3/sec.,
Rated discharge is 120 m head 240 m
. the output is 250 MW from 6 units. A minimum
w requirement of at least 15 mJ/s,representing
, fOX. 40 000 MWh, had to be released during the
abilitation works. The time available for perform-
all the works was limited to 8 weeks. The time
luded de-watering, investigations, execution of all
rehabilitation works as well as civil and
logical works, control, tests and water filling.
Facing this kind of rehabilitation works,
prehensive preparation has to be carried out. To
p the water loss down, it is extremely important
.elect the right time of the year for the works. In
case the limited water reservoir between the two
ts had to be lowered to the minimum level, and
ironmental authorities had to be involved.
Based on the estimated condition of all the
ations, technical specifications for the
abilitation works, selection of contractors and
.ing of contracts had to be carried out. Needed
information had to be collected from drawings, if
available, and in reports and recordings.
2 MECHANICAL INSTALLATIONS
Nedre Ressaga Hydro Power Plant was constructed
in the middle of the fifties and the tunnel was water
filled in 1955.
In the 7.5 km. long tunnel, the following
mechanical equipment are installed:
- 4 Trash Racks, w x h =5 x 6 m.
- 2 Radial Gates, W x h =7 x 4 m.
- 3 Adit Gates, w x h =1,9 x 1,9 m.
- 6 Sliding Gates, w x h =1.6 x 4.0 m
Another radial gate, in the dam spillway, w x h =10
x 5.4 m, also was rehabilitated, but is not included in
.this summary. All the gates, except for theadit gates,
are riveted, and so are the drive beams.
Further downstream, mechanical installations
are inspected yearly and were not subject to rehabili
tation.
2.1 Trash Racks
In front of each of the trash racks, guides for
stoplogs were available. New beams made of
aluminium were provided and put into the guides,
supported by diver. The embedded carbon steel
beams, the guides, were extensively corroded but
still useful. Some water leakage was taken care of by
using small pumps.
597
--------
-------
---
48to logs
4 Trash racks
I
6 Maintenance ates
1-Trash
3 Butterfly valves
2" Intake gates
Arlit gate I
Arlit gate II
Arlit gate III
Arlit gate IV/
-3-Pensto'cks
Fig 1. Nedre head race tunnel
__L Elevation
Sur e Chamber
Gates
Butterfl Valves
\ AditGate
Powerhouse
Tunnel 7500m .. I
"Transformers
65m
2
l
r Lower
.-::=c -; / surge
Trash racks-
Chamber
Access Tunnel
Tail Race I
Tunnel
2700m
Fig 2. Outline of the power plant
59B
The racks were extensively corroded allover,
and the lower part was almost filled with rust and
small stones. The spacing between the bars was
esigned to 30 mm. The trash rack cleaner did not
operate properly at the lowest part. Caused by rough
ork carried out to remove ice at an early stage, the
ars were damaged in some places. No bar failures
ad occurred so far, but it was just in time for
eplacement.
New trash racks with 60 mm spacing were
rovided and erected, and the head loss was reduced.
new cleaner was provided as well.
Intake Gates
he two radial gates had never been moved since
ater filling. The bearings are submerged and equip
ed with local lubricating points. For operating
asons, the water level never was lowered under the
arings and therefore the bearings never were re
.eased. The bolts were made in carbon steel and the
ushings in bronze. Because of lack of maintenance
. e staff did not allow moving the gates more than
me centimetres to ensure operating of the drives.
ter de-watering of the area a motion test was
rformed without detecting any problems.
The gates were corroded allover to a degree of
a 8 to Ra 10. The installations once were painted
ith miniurn (red lead), but after 40 years the paint
otection was completely gone. The gates were
signed with wooden sealings at the bottom. Those
ere replaced by rubber seals. The sealing guides,
- and top seatings were made of carbon steel.
ose were coated by stainless steel and rubber
, kets replaced. Before the sealings were re
ounted, all the gates were blast cleaned to grade
21/2 and painted with Inertol 100 G to a thick
ss of 500 J!. The paint protection is guaranted for .5
ars. For one gate there was a consumption of
out 8.500 kg sand and 800 kg of paint.
This kind of riveted gates may have small
acings between the different types of beams. The
acing may be impossible to give a sufficient
rface treatment. This fact should be taken into
, nsideration, even regarding the guarantee.
Adit Gates
. e adit gates are situated along the tunnel at a
: : ~ s t a n c e of some 50 m to 250 m from daylight and
about 10m to 40 m from the headrace tunnel. One
of the gates was even submerged from outside. In
general they were extensive corroded, but the pits
were less 1,5 mm. At one of the aditgates, at the
roof in the embedded part, comprehensive micro
biologic activity, as fungus, was detected. All paint
protection was gone, even on surfaces exposed to air.
The adit gates were given the same surface
treatment as all other mechanical installations.
Next to the adit gates there were located a
DN600 valve and pipeline for de-watering. Even
though the valves never had been operated for 40
years is was still possible to open them slightly. The
old de-watering system was removed and new
ND400 valves and pipelines in stainless steel were
installed. The spacing between the pipes were filled
by concrete.
2.4 Sliding Gates
Downstream the tunnel six sliding gates, w x h =1.6
x 4 m, are located in two separate surge chambers.
Approx. 40 m above the gates the electromechanical
drives are situated. The gates are designed as
maintenance gates and are never operated in flowing
water.
Before anybody was allowed to enter the
tunnel or gates, the shafts had to be investigated and
cleaned for loose rocks. This work was comprehen
sive and one week was spent.
It was decided to investigate the situation after
de-watering and use the same design further if
possible. The gates were designed with metallic
(brass) sealing which were not operating properly.
Hopefully the leakage should be reduced after re
habilitation.
The corrosion was serious on the steel. Pits of
2 mmdepth were detected. Some red led was still
remaining on the front plates. The brass bars how
ever, were as new. It was decided to re-use the brass,
but renew the screws allover.
The condition of the gates in general is reduced. The
surface treatment has stopped further material reduc
tion, but after a while the corrosion will go further.
Next time the tunnel will be emptied, the sliding
gates will be considered replaced by solid steel
plates and rubber seals.
Even this kind of gates may have small spac
ings between the different types of beams and bars.
The difficulties should be taken into consideration at
an early stage.
599
\'
'I
il
1
2.5 Wasted blast sand poisoned direction NE, i.e. approx. 45
0
with the strike of the
rock.
All sand used for blast cleaning of installations once
painted with red lead (minium) is, as far as the
authorities are concerned, to be considered as
poisoned. Therefore all used sand has to be collected
and brought to destruction. In this case almost 60
tons of sand were treated.
2.6 Conclusion
From a mechanical point of view 40 years intervals
in between the rehabilitation works are considered
too much. The corrosion has for a long time reduced
the steel thickness and so the margin of safety.
To perform the works within a minimum of
time, detailed planning is needed. It is to the benefit
of having one major contractor which is responsible
for the subcontractors, should be taken into con
sideration Doing works on several sites, as here 9
separate places, includes risk of conflicts, waiting
time and extra cost.
3 GEOLOGY AND ROCK ENGINEERING OF
THE TUNNELS
3.1 Tunnel Systems
The tunnel systems inspected concists of a 7.5 km
long headrace tunnel and a 2.7 km tailrace tunnel, a
total of 10 km. The width x height of the headrace
and tailrace tunnel is 8.5 x 9.2 m which gives a cross
section of approx. 65 m'. The tunnels are visually
inspected with respect to rock stability conditions. In
the headrace tunnel the inspection team went partly
by boat and partly by walking through the tunnel
system from the inlet cross cut to the top of the
pressure shafts. The tailrace tunnel was inspected by
using a boat.
3.2 Geological Conditions
The headrace tunnel is situated in mainly
Precambrian and Cambro-Silurian rocks, and the
tunnel runs through different rock types ranging
from mica schist containing quartz and feldspar,
impure calcite marble and quartzite. The rock
foliation is striking N-NW and the dip varies
between 10 - 40
0W.
The direction of the headrace
tunnel is N-NW giving a tunnel axis nearly paral1ell
to the rock foliation. The tailrace tunnel has a
3.3 Tunnel observations
The typical rock reinforcement methods used at the
time of construction of these tunnels were mainly
scaling, rock bolting and concrete lining. The
inspection revealed that the major parts of the tunnel
systems were unsupported. It seems that at the time
of construction a very good cross section layout has
been chosen. The tunnel cross section, shown in
Figure 3, is typical for the headrace and tailrace
tunnel. The section fits very well with the rock
formations, giving a kind of self supporting arch,
even in schistose rock.
Major parts of the headrace tunnel is located in
banded calcite marble, other parts in foliated mica
schist.
In tunnel stretches containing marble a
dissolution of calcite is observed, and approximately
5 cm of the rock surface has disappeared. In this part
of the tunnel only one large rock fall was observed.
In connection with a concrete lining several large,
loose blocks were observed. A weakness zone is
probably crossing the tunnel axis at this location,
andthe block fall occurred close to the end of the
lining.
This indicates that the length of lining initially
has been made too short. Use of rock bolts for
Headrace tunnel - 64.4 m
2
\ (Tailrace tunnel - 65.7 rn')
2.5
12,5 1
8.5 18.71
Fig 3 Typical cross section of headrace and tailrace
tunnel.
600
-
inforcement were rarely seen, and only a short
nnelsection was reinforced with bolts (approx. 20
pes), Because of the height of the tunnel it was
possible to study the condition of the bolts, but it
uld be observed that the face plates were heavily
rroded.
In the sections of the tunnel containing mica
hist the tunnel direction is nearly parallel with the
'. e direction. This, combined with unfavourable
ints crossing the tunnel axis has caused 5 - 6 major
ck falls. The volume of rock falls varies from 3
5 m', andthe largest rock pile covered about 1/3 of
e tunnel cross section.
The unfavourable joint direction and bedding
anes gives rock falls mostly from the western wall
,: the headrace tunnel, and the fragments are always
, rmes as rock slabs. All major rock falls observed
in connection with concrete lining in weakness
nes, and in unsupported zones. A slightly longer
ing would probably have avoided most of these
ck falls.
In the 2.7 km tailrace tunnel a rock in connec
on with concrete lining fall was also detected.
The actual time period from the tunnel was put
to operation until the failures occurred is not
t own, but visual inspection of the blocks revealed
:,at these instabilities are old. Only a few fresh rock
WIs were observed, probably in connection with de
of the tunnel.
;i' The tunnel inspections have confirmed that the
,:'Ost important stability problems are related to local
zones. The predominant part of the
tunnel length is stable if minor rock falls
'.ie excluded. Stability problems are mostly observed
weakness zones, especially in parts of the tunnel
concrete lining have been used. In most cases
!, 'is obvious that the concrete lining initially has
,'en made too short, and stability problems have
in the transition zone between unsupported
t d supported part of the tunnel. The rock falls,
'Tactically all old ones, could have been avoided by
of more rock bolts and a sligthtly more generous
se of concrete linings.

'!
HEAD LOSS AND SEDIMENT PROBLEMS
IN THE TUNNELS
Hydraulic conditions
:"e friction in the unlined rock tunnel has been
alysed twice, in 1960 and '1982 (Nielsen and
preng, 1983), in connection with operational
to obtain optimal production. Taking into
account the uncertainties in the estimates of head
loss coefficients and turbine efficiency, both
investigations concluded that the Manning friction
factor for the main tunnel was 33.5, which is quite
normal for the rock types encountered. The
measurements in the tailrace tunnel suggested a
somewhat higher friction, M=32, or another energy
sink such as the singular loss due to a slide.The
normal monitoring of input (head) and output
(power) would have revealed any severe new
blockage causing significant extra head losses. Since
no loss of efficiency was observed, conceivable big
slides or block outfalls would be early ones and
more likely to be found in the tailrace than in the
headrace tunnel.
4.2 Losses due to blockage
The method we have chosen, is to estimate the drag,
or flow resistance, for the observed outfalls. The
individual drag forces multiplied by the velocity of
the flow hitting the obstacle yield directly the power
loss. The sum of these local power losses for ob
served outfalls do not add up to the total loss due to
all outfalls, since we must assume that there were
unobserved outfalls submerged in the pools. The best
we can do, is to assume the same incidence of
blockage in the pools as in the dewatered tunnel and
extrapolate our results linearly to cover the entire
tunnel.
The formula for the drag force F on an
obstacle with an exposed area A normal to the flow
is
F =CdAp V(y)2
2
Cd - drag coefficient (or pressure distribution
coefficient)
p - density of water
v(y) - flow velocity, here put as a function of the
distance y above the tunnel floor (not valid near
walls). The velocity v is well described by the power
formula
1
v= ky"
with n = 7. Assuming that the maximum velocity
occurs at y = 4 m and that the mean below 4 m
equals the average velocity V = 2 mis in the tunnel,
we obtain
Vh 24
k=
n+l = -:---7 8 = 1.88
n -
--h n -4
7
n+l 8
The power loss is
601
Table I.Drag coefficients (after Hoerner)
obstacle value of Cd
single block 1.0
several blocks 0.8
many blocks 0.6
P =Fv
The set of drag cefficients we use are based on
Hoerner (1965) and presumes y = a, where a is the
height of the obstacle. Accordingly,
P = CdAp v(a)3
2
For single blocks there is pressure on the
upstream face and suction on the downstream face,
and the drag coefficient is high. In a fallout of
several blocks the upstream and downstream side
will communicate, so the pressure is evened out
somewhat. For randomly oriented blocks we assume
the following drag coefficients of Table 1.
The blocking area A was estimated in situ. As
P varies with the third power of the velocity v and v
is small near the floor, the energy loss for low blocks
is insignificant. We therefore ignore blocks lower
than the displacement thickness given by
0/ h = J(1- V / v)dy = 1-7/8 = 1/8
1
which for h = 4 m gives 0 =0.5 m.
The largest 8 obstacles observed between
1800m and 4400 m from the intake together
dissipate 114 kW as seen in Table 2. Assuming the
same power loss per metre throughout the full length
of the headrace tunnel, 7467 m, our estimate of the
total power loss due to block outfall becomes
P = 114*7467/2591 = 329 kW
which is 4 % of the head loss in the tunnel.
The two observed slides in the tailrace tunnel
together dissipate 70 kW, or 1.2 % of the full losses
Table 2. Power loss for observed block falls.
Time Height Volum Exp. Velo- Drag Power
hm Vm
3
area A city coeffi loss
m' mis cient kW
1100 0.8 1.5 1.2 1.82 1.0 3.6
1135 1.8 20 14 2.04 0.6 35.7
1145 1.5 15 10 1.99 0.6 23.6
1215 0.6 I 0.9 1.75 1.0 2.4
1220 0.6 1 0.9 1.75 1.0 2.4
1245 1.8 20 14 2,09 0.6 38.3
1255 1.0 2 1.5 1.88 0.8 4.0
1305 1.0 2 1.5 1.88 0.8 4.0
114.0
in the tailrace. They do not explain the difference'
M referred to above, which amounts to a ratio
friction head loss equal to (M
head
) 2 = == 1.1
: 315
between the two tunnels. Although submerged and
therefore blocks will increase the loss, it
seems unlikely that blockage is the cause of the
difference, and we conclude that the tailrace tunnel
is hydraulically rougher and has a higher friction
than the headrace tunnel.
4.3 Removal of outfall
The flow in corners is slow and contributes little to
the total flow. Without loss of capacity comers can
be filled in to about 1/10 of the width on either side.
Rather than hauling the blocks out of the tunnel, they
could be moved to the side and deposited within a
I
triangle extending 1 m out on the floor and 1 m up
I
)
the wall.
4.4 Sediments in the tunnel
The tunnel floor looked very much like a natural
river bed, with bars of gravel and sand distributed
according to the local flow: Any little recess in the
wall displayed an accumulation of sand. At the
closed end of adits, silt was deposited. The gravel
bars had a natural armour of 4-8 em coarse gravel,
covering layers of fmer gravel and coarse sand.
Several thousand m' og sediments were on a very
slow move downstream in these quasi-stable bars.
In the trifurcation a sediment trap was blasted
into the floor. Most of the 3 m vertical upstream wall
of the trap was exposed, and the trap was less than
half filled, Apparently the horizontal vortex forming
at the upstream end of the trap offered the sediments
a ride to the downstream end. Here they were
temporarily deposited in several large bars with an
armour coat that became progressively coarser as the
bars moved past the trap towards the head gates. 8
10 em stones were scattered over a distance of about
20 m downstream of the last bar.
It seemed obvious that some sediments had
moved past the gate, although no such transport has
been reported. The intensity of this process must
therefore be low, but the deposits downstream of the
sediment trap looked threatening. An accelerated
transport seemedimminent, but the removal of all
sediments in and downstream of the trap has post
poned the threat, probably for decades.
602
4.5 Refilling the tunnel
. The refilling of the tunnel may rip off the protective
. armour and cause renewed transport of the sediments
now deposited in bars. The open channel flow during
filling must satisfy the shear criterion't/Wlne/ = 'tchannel'
or
RS/WIne/ =hSchanne/
-, where R = 1.8 m is the hydraulic radius, h is the
normal depth in the channel, and S is the energy
. gradient. For the tunnel S is 1 m/km, while the
steepest channel gradient is 7.4 m/km (just upstream
of adit III). Here h should not exceed
2.1 0.001
.h = 0.0074 = 0.28m.
The armour has a maximum size of 8 em,
corresponding to M=37 and a normal velocity of 1.4
s, giving a limiting discharge Q = vhB =
1.4*0.28*B = O.4B, where the width B of the
channel is a fraction of the tunnel width. Erosion is
voided in the channel if the tunnel downstream is
illed with Q less than the limiting value. Assuming
= 4 m (Q = 1.6 m
3/s)
and the refilled volume that
ould drown the steepest channel equal to 250 000
3, we obtain a filling time of 1.9 days. The rest of
e tunnel can be filled faster. (The actual refilling
sed a higher discharge than we advised. We expect
orne destabilisation of sediments to have occurred,
. ith a stepped up transport occurring now and
.ontinuing for some years.)
ielsen, T. and K. Noreng 1983. Nedre Ressaga
Kraftverk. Tilstandsregistrering - forprosjekt,
SINTEF Report S1F60 F82046.
.oerner, S.P. 1965. Fluid-dynamic drag. Publ. by
the author.
603
, . , ~
. _ - ~

1

ti
'i Hydropower'97, Brach, Lysne, Flatabe & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 54108886
i Shotcrete-lined hydropower tunnels
'i Sten Elfman
:\ Department ofHydraulic Engineering, Royal Institute of Technology, Stockholm, Sweden
ii:'
'I:
This paper describes how shotcrete-liningcan reduce the head loss in a hydropower tunnel. The
limeasurements of the head losses have been done in a model tunnel and in a blasted tunnel before and after
:shotcrete-lining. Systematisation of the measuring results has been made. The economic values of head loss
additional energy production, the investment cost of lining and the optimum tunnel area are calculated. It is
to make a calculation of a shotcrete-lined tunnel when one projects the replacement of old
urbines and generators by new ones in a station with hydropower tunnel.
INTRODUCTION
, hotcrete has been used for the support of tunnels
during some decades. Today it can also be used to
reduce the head loss in a hydropower tunnel. Such a
eduction increases the energy production of a hydro
ower station connected to the tunnel. This paper
escribes how the head loss is reduced and how the
.nergy production is increased for the varying
hickness of shotcrete layer on the walls and roof of
tunnel.
MEASUREMENTS
. At Hydraulic Engineering, Royal Institute of
echnology, Stockholm, Zbigniew Czamota has
ported in his thesis for the doctorate on the tests of
odel tunnels with different thickness of shotcrete
yers (Czarnota 1986). The prototype was the
ater-supply tunnel Bolmen, completed in 1985. See
ig. 1.
Models were made in the geometric scale 1:10.
orne of them are described in Table 1.
In Table 1 the head loss factor A is taken at Rey
olds number = 1,3' 10
6

2. At Vattenfall Utveckling AB, Alvkarleby, Swe
en, Lars Hammar, Senior research engineer, has
ported on measurements of head losses in the
dropower tunnel Sillre, completed in 1932
ammar 1988--89). See Fig. 2.
The head loss was measured first in a 400 m long
ach of the unlined tunnel and then in the same reach
ter shotcrete-lining. The results are given in
able 2.
Table 1
No. Walls and roof
3 Cross-sectional
variation like in
prototype, surface
roughness of
crushed rock
7 Modell no.3 +
cement layers,
thicker in cavities
9 Formcast cement,
constant cross-
section
Table 2
No. Bottom, walls and roof
Bottom Tunnel Head
area loss
A factor
m
2 }..
Crushed 0,0861 0,0755
rock
Crushed 0,0803 0,0327
rock
Crushed 0,0741 0,0292
rock
Tunnel Head
area loss
A factor
2 }..
m
1 Rough rock 6,605 0,110
2 Shotcrete-lined 5,904 0,055
3 SYSTEMATIZATION OF THE MEASURING
RESULTS
The relation between the lined cross-sectional tunnel
area A and the unlined areaAo has been chosen as a
605
Hydropower'97, Breen, Lysne, FlatabfiJ& Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 5410 888 6
Optimal design of hydropower plants
Jonas Eliasson& PallJensson
University ofIceland, Faculty ofEngineering, Reykjavik, Iceland
GudmundurLudvigsson
Iceconsult, Ltd, Reykjavik, Iceland
ABSTRACT: The principle of economically optimal design of hydropower plants by optimising power
losses and construction costs has been known for a long time. However it has been difficult to make full use
of it, due to the great complexity of the optimisation model. Up to now it has only been possible to obtain
local optima, the best known example is optimisation of tunnel diameters by minimising the sum of
construction costs and power losses.
The weakness of local optimisation is the substantial risk of missing the true optimum. In recent years
evolutionary methods have proved their worth in optimisation problems, where the methods of mathematical
analysis are not applicable due to system complexity, and they offer a new approach in optimising
i hydropower schemes globally. A new computer model is presented thatuses an evolutionary method called
I Genetic Algorithm to find the global optimal arrangement of design and layout of projects by maximising the
i net profit of the investment.
Ii It is theoretically shown that the principle of net profit will result in the same design as conventional
I: methods using the marginal cost principle, if the allowed marginal cost per kWh is used on the income side of
~ , the profit formula instead of the actual energy price. The model is calibrated against a theoretical example
with an optimum that can be obtained by conventional mathematical methods. A case study is performed by
comparing the design of an actual project planning report with the optimal results of the model. The most
interesting result is that while the model solution produces the same size of power plant, the waterways are
different, resulting in an overall economical improvement. This shows clearly the importance of using global
optimisation for the economy of tunnels in hydropower schemes.
.I'
~ . 1 SYSTEM DEFINmON and project planning stage. In the feasibility stage, an
assessment is made of all feasible power project sites
Fourmajorhydropower projects have been planned and their capacity and power cost estimated. In the
and constructed in Iceland since the sixties. later project planning stage the actual timing of each
Alongside this, considerable work has been done by project is fixed, the final capacity selected and
the developers and their consultants on the expected power production estimated. In this final
ii optimisation problem. The result is known as the step, complicated computer simulations of the power
t Power Planning Model of the Icelandic Energy system with fixed fmn power demand are performed
~ Authority (l>orsteinsson 1985) called vas. Included in order to estimate expected values of finn power
1:' in this is a set of formulas, which are designed for capacity of the total system and expected secondary
calculating the approximate cost of hydropower power production.
; projects in the feasibility stage. These formulas are In this paper the design of hydropower schemes is
.t.' exclusively used as technical basis in this work. For divided into three system stages, in order to have a
complete reference see Eliasson & Ludvigsson relationship with conventional design levels. These
(1996) and I>orsteinsson (1993). stages are defined as:
Today, planning of extensions to the power system Plant stage (feasibility level)
is usually divided into two main stages, feasibility
Allocation stage (feasibility - project planning
level)
611
Global system stage (project planning level)
For complete description of these different levels
see Eliasson & Ludvigsson (1996). This paper will
concentrate on the plant stage, comparable with the
conventional feasibility level. The other stages are
subject for future improvements and therefore only
introduced here.
In the plant stage, calculations have the following
variables (Eliasson & Ludvigsson 1996):
E, The annual energy demand (finn power), or the
area under the duration curve:
t=lyear
E = fN(t) dt [kWh/a] (1)
o
Ti, Annual load duration time, and the plant's load
factor Ap:
E
T
k
=--[hours]; (2)
N
rnax
Now, a reservoir with a storage capacity, V, and an
inflow series, Qi, can deliver a maximum average
discharge Qa < Average(Qi), to the plant for energy
production. V and Qa are calculated from the inflow
series and reservoir site data as functions of water
level in the reservoir.
The plant is, however, not designed for a constant
average discharge, Qa, over the whole year. To
satisfy the market it is instead designed for the
discharge:
(3)
where the discharge load factor Ap is introduced
because the power N is not a totally linear function
of Qd due to headlosses in the waterways (third
degree function of Qd).
p, the cubic average of flow, is used to estimate
average head losses:
13=!.J(Q(t))3dt
(4)
T 0 Q
d
Junge's load duration curve J(t) is used (Eliasson
& Ludvigsson 1996):
J (t ) =1- (1- A/ ) .!'". = N(t ) I Nmax os 1
(5)
The flow duration curve, Bit), may be derived from
the load duration curve, using:
1 - B(t)2!!.L]
J(t) B(t) 1 _ (6)
[
where Bit) = Q(t)IQd; hi = head loss at designs
discharge, Qd; H
b
= brutto head.
B(t) is now obtained from (6):
-2
B(t) = I cos
,,3h
f
I n,
[ (l h, I I H.) + ; ]
(7)
Now we have:
(8)
= ! r(Q(t))dt = f,ear B(t)dt
(9)
T 0 Q 0
d
The time average of (6) gives:
(10)
d{1 i'h: ]
After taking the time average, may be found from
(10).
2 OBJECfIVE FUNCTION
The logic of optimisation is the samefor all kind of
problems. The goal is to find the minimum or
maximum of a defined objective function, where the
variables can be subject to some constraints.
Mathematically put (maximisation problem):
maxftxl, X2, ... x
n
)
a, Xi b, for j = 1 to n (11)
gixl, X2, ... x
n
) Cj for 'i/ j
In this chapter the principle of optimal profit is
introduced as our objective. This leads to a method
that in fact includes many of the conventional local
optimisation methods used so far. and can yield the
same results.
To be able to calculate the revenue of a
hydropower plant with a energy capacity E the
612
energy demand of the market is needed (Eliasson &
Ludvigsson 1996). Firm power is sold according to
many different tariffs, and secondary power prices
vary even more. Besides the market, sales of
secondary power also depend on the river flow.
Nevertheless, the average unit-price of energy is not
very variable. To take an example, the average price
of energy from NPCI varied between 1,7 and 1,83
IKR/kwh in the last 6 years. It is therefore
reasonable to assume power sales to be at a fixed
price, at least while no market limitations beside the
load factor are taken into account (Eliasson &
Ludvigsson 1996).
By assuming an infinite energy demand and a
fixed energy price, k
e
, the present value of the
revenue of energy sale becomes:
l - (1+ r )- NJ
NPV =keE. r
(
(12)
l - (1+ r )- NJ
-Cv -C
(
r
where:
r is the interest rate for discounting
N is the lifetime of the investment
C is the project investment
v is proportional operation and maintenance cost
k
e
is the unit price of energy
E is the annual energy capacity of the scheme
As all costs, as well as revenues, are included in the
objective function, the optimisation can be
. considered global. The optimisation is performed by
finding the maximum profit, NPV, with respect to all
design variables. Consider the case where there are n
mutually independent design variables (i.e. each one
; can be changed without affecting the others), that
are to be optimised. Mathematically put, this means:
n aNPV
d NPV =(;; a Xi d Xi =0
(13)
condition for global maximum of
,.a NPV =0 for all i = 1 to n
(14)
, aX
Differentiating (12) with respect to E results in:
N
d ) dC [1 -(l + rr
:1 dE (k . E - C) r = 0 => k, = dE
(15)
Eq. (15), shows that for the optimum of the objective
function, k is equal to the marginal cost of energy
e
dC/dE. Due to this fact, k can be used as a pre
e
selected marginal cost control parameter in the
optimisation procedure.
It still has to be kept in mind that the optimal
solution found will not optimise the profit of the
power production unless k is the actual sales price.
e
Other k values will give solutions optimal in some
e
other respect.
The optimisation procedures of Mosonyi (1991)
and later publications may be deduced from (14).
Take a design variable such as a tunnel diameter D
and put Xi equal to D in (14). The result is:
aNPV aE sc
(16)
-a-D =0 => k, -aD- =-aD-
Often this cost, i.e. variable costs of other project
items than the conduit itself, are not taken into
account, which results in a larger tunnel diameter
than necessary.
3 CALCULATION OF THE NPV
The basic method for the calculation of the system's
NPV is quite simple. The first characteristic of this
method is the division of the parameters into three
main groups; main parameters, local parameters, and
coordinates.
These main parameters are mutual for all types of
structures included in the scheme. From now on the
vector MP indicates these parameters, and they are
listed in Table 1.
The user can define local parameters and
coordinates of the nodes, Pi-I and Pi' (i = 0 to N),
that locate the connection points of the structures
and are used to calculate sizes such as length of
Table 1. Main parameters
Description Symbol Unit
Design discharge
Average discharge
Head at design discharge m
Averagehead m
Brutto head m
. Number
I
Length L m
Scheduled cost C currency
Power N MW
Energy E GWh/a
613
i
conduits. The nodes can be both fixed or free for
optimisation.
The scheme is calculated by starting at the highest
point upstream (i = 0) and 'send' the main
parameters through each structure U=I to M) on the
way downstream to the lowest point (i = N). This is
shown schematically in Figure 1. The values of the
main parameters after structure M include:
Scheduled construction cost
Power gained
Energy gained
These parameters, along with the basic
assumptions for the project, give the project
investment cost, and the revenue of the power sale,
and so, the net profit of the investment NPV (value
of the objective function).
For further explanation, the simple example in
Figure 2 is introduced. _
The dam U= I) is furthest upstream, so MP 0 = 0 is
the array entering it. Associated with the dam is
some inflow data and a reservoir curve that
according to a maximum reservoir level, H, gives the
discharge, QI. The height of the dam is a function of
the reservoir level, H, and the cost of the dam, CI,
calculated according to it. The coordinate of the
outlet, P" is known, so the head produced by the
dam is HI = H - ZI. This gives:
MP1.Q=QI; MP1.H=HI; MP.C=C
I
The next structure downstream from the dam is
the pressure conduit U= 2). It has a diameter, d, and
roughness ks. For the discharge MP I.Q there is a
headloss, hi, in the conduit so the total head
produced by the shaft is:
H2 = MP .H + ~ - ZI - hi
The discharge in and out is naturally unchanged,
and the cost C2 is a function of the diameter, lining,
tunnelling method, and H
2
Thus:
I Structure.
---t-Z-II-Z ---.
P
2
P
3
~
Direction of flow
Figure 1. Schematic picture of a model
Tailrace Tunnel
Dam Pr. Shaft Powerhouse
Tailrace Tunnel
Figure 2. Example of calculation method
MP 2.Q = MP I.Q; MP 2.H = H
2
MP
2.C
= MP I.C + C
2
Next is the powerhouse U = 3). It's main
properties are the type and power output of the
turbines. Based on MP 2.Q and MP 2.H the power
N
3
and the energy E
3
is calculated. The cost C
3
, is a
function of the number of turbines, power capacity,
and design head. Discharge is unchanged and the
pressure head is reduced to zero by the turbines. This
gives:
MP
3.Q
= MP2.Q; MP
3.HEEO
MP 3.e = MP 2.e + C3; MP 3.N =N3; MP 3.E = 3
A similar procedure is applied for the tailrace. No
more structures are in this scheme so MP 4.e,
MP 4.N and MP 4.E are used to calculate the net
profit of the investment.
4 OPTIMISAnON PROCEDURE
The method used to find the global optimum is
called Genetic Algorithm, (see, e.g., Goldberg 1989;
Pirlot 1994), but the following main parameters
control the process:
Population size
Mutation probability
Number of generations
Each variable in the objective function is subject.
to the following constraints:
Each variable p must have an upper and lower
bound, Pmin::; P ::; Pmax. If these bounds are not
specified by the user, the program must do so.
Coordinates that are to be optimised are only
allowed to move along a line, not in a three
dimensional region.
614
__~ d
I
- The resolution of each variable must be
defined, i.e, the smallest allowed increment of a
variable op. For instance a diameter of a tunnel only
needs to be optimised with an accuracy of say 10 em,
a coordinate with accuracy 5 m, and so on.
For further explanation, the reader is referred to
Eliasson & Ludvigsson (1996).
5 THE PROGRAM
The program 'Hydra' is a 32 bit Windows 95
application, written in Visual Basic 4.0. It includes a
.. SQL connection to the database Access 7.0, where
all project data, unit prices, and results, are stored.
Also included is a OLE connection to other
. Windows applications, such as Excel and Word, so
results and other data can easily be moved between
programs.
When using the computational model, the input
;'process consists of the following steps:
, - Define Project
- Assign main assumptions
- Define Structures
- Assign Structure Properties
- Define Points
- Connect Structures
- Edit Unit Prices
. When the input phase is finished, the model is
[eady for calculation. The user can get one detailed
solution by using the default variables, see how
varying one variable affects the result, or perform a
global optimisation. The optimisation procedure
the following steps:
. - Select the variables that should be optimised
- Select the points that should be optimised
. - Decide the size of population and number of
enerations for the Genetic Algorithm .
,' - Run Optimisation
, When the program has finished the optimisation
. ccess, it presents the graphical evolution of best
ult in each generation. If the development of best
lution is satisfying, the user can perforin different
eries on the [size of population] . [number of
nerations] size solution set. Following queries are
eluded:
:, - Get all the results listed, sorted by profit,
vestment, power capacity, energy capacity, break
yen price or the ratio; profit divided by investment.
Select any listed solution and get a detailed
scription of it, including cost summary and
, ificant data.
- Get a graphical presentation of the distribution
of solutions less than N percent below best solution,
as function of project investment, energy, load or
break-even price. This is used to check if the
objective 'hill' is flat or steep around it's maximum
(used in sensitivity analysis) and if there are other
slightly smaller 'hills' in the region.
Besides performing direct optimisation the
application can, for example, be used for sensitivity
and what-if analysis, i.e. check how adjustment of
one or more input parameters (including adding or
removing structures) affects the optimal design and
as a training tool to get a feeling for the importance
of different structures and parameters.
6 CALIBRATION
A 'simple' example, shown in Figure 3, for which
the results can be mathematically derived, is used to
test the validity of the model, and calibrate the
parameters of the Genetic Algorithm.
The mathematics are too long to show here, the
results are shown in Table 2.
When the results of the optimisation are compared
with the mathematical solution, it is obvious that the
runs where the GA parameters are optimally tuned,
reach results very close to the true optimum, see
Figure 4. Experience shows that running times lie in
the vicinity of 2-4 minutes, depending on the size of
population and number of generations.
The result of the conventional local optimisation
method is also calculated and it gives a optimum
diameter, D, of 4.5 m, which is a 0.5 m difference in
the diameter between methods. This shows clearly
how inaccurate the conventional method can be,
ignoring the fact that a change in the diameter not
only affects the cost of the conduit but also the cost
of, for instance, E & M Equipment and powerhouse.
o
3. Powerboose 4. ThDDet
Figure 3. Calibration example
H,
615
--
Table 2. Mathematical solution (bold) compared to
optimisation results, NPV, for different number of
individuals P, generations G and mutation
probability IJ,.
P
G
11
D 4,0
HI 543,0
Hz 48,2
H] 44,9

100 100 100 100
0.001 0.005 0.Ql 0.025
4.0 4.0 4.0 3.9
543 543 543 543
44 49 49 48
39 46 46 45
W W
100 200 200
0.05 0.025 0.05
4.0 4.0 3.9
543 543 543
42 50 44
37 46 39
NPV 28594 28580 28594 28594 28590 28569 28593 28576
dNPV -14 0 0 -4 -25 -1 -18
29.00l
"U'''''
".eoo
j
V
.. .,
, :
",
"
'.
. ..
"
"
t.iJ:
..
... :.,....
,.,.""
",,"=
128.00l
l
Z ZlJJCIJ
21.eoo
21."""
21.2fXJ
27.00J

-
:: \!! ;;; til :;
:;;
ill 10 III
lloeIopment of BestSolution
...... .......
.'
_0,

SQ'O,0i5
.......... _"'"
_. _. &rQ,OOl
-100,01
l!! 10 III ;;; III
FIgure 4. Development of solution for different
number of individuals / mutation probability
A more detailed description of the difference
between the global optimisation and the
conventional method is given in Eliasson &
Ludvigsson (1996).
7 CASE STUDY: FUOTSDALUR PROJECT
In cooperation with the National Power Company of
Iceland, NPCI, and their engineering consultants, the
model was used to perform a case study on the
Flj6tsdalur Hydroelectric Project. The resulting
design variables of the GA optimisation are then
compared with the project planning report, PPR,
from April 1991 (Eliasson & Ludvigsson 1996).
Two runs are made, firstly, a Plant Stage run, and
secondly, an Allocation Stage run. This is done in
order to find out, by comparing the results, if the
Allocation Stage could be simulated with the model.
The project is located in eastern Iceland .on the
river Jokulsa i Flj6tsdal, which runs from
Vatnajokull glacier to .the north-east. The
powerhouse location, in the Flj6tsdalur valley, is
about 40 Ian south-west from the town Egilsstaoir..
i

F1,j6tsdaI"" Hydroelectric
Figure 5. Schematic layout of Flj6tsdalur Hydro.
electric Project
The project area extends from the powerhouse site
some 35 Ian to the south-west on the Flj6tsdalshei6i
plateau and onwards to the Eyjabakkar and Hraun
area, and includes diversions of smaller rivers on
both sides of the Jokulsa, The total drainage area is
estimated 478 Ian
2
including diversions (Flj6tsdalur
Engineering Joint Venture 1991). A schematic
layout of the project is shown in Figure 5.
In a plant stage optimisation, the cost of all
optimised structures are calculated according to
'Virkjanalikan Orkustofnunar', VOS, (lJorsteinsson
1993) by using unit-prices from December 1992.
Four runs are performed on the Flj6tsdalur
Hydroelectric Project for the Plant Stage. The results
are presented in Table 3, where we have:
PPR j : The model is calculated for all
dimensions fixed according to the Project Planning
Report to get a comparison to the optimisations.
PPR
2
: The model is calculated for all
dimensions fixed according to the Project Planning
Report except the maximum reservoir level of the
Eyjabakkar reservoir, which is 4 m higher. This run
is made because this raising of the dam is mentioned
as a possibility in the Project Planning Report
(porsteinsson 1993).
01150: In order to simulate the effect of a global
optimisation on the actual 210 MW scheme, a
special run 0
1150
is introduced, where the maximum
energy demand is kept fixed at 1150 GWhla for the
lifetime of the plant. The optimisations is performed
with the GA parameters: 51 individuals and 100
generations.
0 00: One feasibility level optimisation is
performed with infinite energy demand. Following
GA parameters are used: 51 individuals and 100
generations.
616
Table 3. Tabulation of significant data and net profit
of the investment (optimised dimensions are bold
faced). 60 BIKR == 1 billion $
Description PPR
1 O ~
Reservoir level m.a.s.l, 664.5 668.5 665.1 667.6
Headrace tunnel dia. In 5.0 5.0 4.3 4.8
Pressure shaft dia. In 2.9 2.9 2.6 2.7
Power MW 213 239 211 233
Energy GWhla 1159 1300 1150 1278
Investment BIKR 21.16 22.91 19.92 21.96
Profit BIKR 10.90 13.44 12.28 13.86
lWrofitlMnvestment % / % 0/0 +23/+8 +13/-6 +27/+4
The 0
1150
optimisation seeks a slightly higher dam
(increased discharge to the plant) to compensate for
increased power losses in narrower conduits.
The 0 00 optimisation results in a significantly
higher dam compared to the PPR
I
. The explanation
is that in the project planning report, the size of the
.power plant and the size of reservoir is selected on
basis of a. power market scenario at the expected
construction time of the plant, but the optimisation
, assumes infinite demand. The solution is however
not far from the PPR
2
arrangement.
The global optimisation 0
1150
, leads to a 0,7 m
narrower headrace tunnel compared to the PPR.
Local optimisation, considering only variable cost of
the headrace, leads to the same result as in the PPR
(5 m). The power capacity reduction due to
increased headlosses, is compensated with a slightly
larger reservoir (increased discharge).
The 0 00 optimisation results in a slightly smaller
headrace diameter compared to the PPR. It is quite
., natural when compared to 0
115
0, that this
:, optimisation seeks a larger tunnel, because there are
"no market restrictions.
The same logic can be used to explain the
difference in the pressure shaft diameter. There is,
however, a problem with the maximum velocity in
the shaft. In both optimisations the diameter breaks
the design criteria that the maximum velocity Should
,be below 8 mls. For both 0
1150
and 0 00, the
minimum diameter that satisfies this constraint
should be selected by the user, in both cases close to
, d = 2,8 m, depending on design discharge. This has a
minor economical significance in this case, but is
however a good example of how dependent
, constraints g(x, y) ~ 0 have to be considered in the
future development. The way to handle this is to
develop and add a penalty function, 4l(x), to the
construction cost of the pressure tunnel type object
, (and other objects where necessary), that 'penalises'
the tunnel if it's water velocity exceeds the allowed
value but is otherwise zero. This prevents the
Genetic Algorithm from breaking this constraint.
The 0 00 optimisation results in a larger energy
output than in the PPR
I
. This is natural, as this
optimisation assumes plant stage, which means no
market restrictions and no extra benefit for the
system. The extra benefit is that interactions between
Flj6tsdalur Power Plant and the existing power
system produces substantial extra energy (estimated
250 GWhla firm energy in the PPR) through better
utilisation of the water resources.
The project investment is 6% lower in
optimisation 0
1150
compared to the PPR
I
, resulting
in a 13% higher profit, which is a significant
improvement. The optimisation 0"" on the other
hand leads to a 4% higher investment and a 27%
higher profit. When it is kept in mind that the PPR
I
plans a future raising of the dam to reservoir level
668,5 m.a.s.l (Fljotsdalur Engineering Joint Venture
1991), the result of 0 00 is very close to the PPR
2
version.
In order to ensure the best possible result in the
global optimisation the cost estimation of the whole
scheme is completely revised. The VOS construction
cost functions are removed and replaced with new
cost functions, specially prepared by the engineering
consultants (Helgason, pers. comm.).
Now similar runs as for the Plant Stage are
performed. The results are presented in Table 4.
The 0
1150
optimisation leads to a similar
arrangements as the plant stage optimisation. The 0 00
however shows significant changes. This is because
the new cost formulas do not represent the true
variation of the costs except in a narrow region
around the PPR
I
values. Therefore the results of the
0 00 optimisation are hardly applicable. However a
comparison of the columns 0"" in Tables 3 and 4,
shows how important it is that the cost formulas in
the optimisation are accurate. It may therefore be
concluded that it is worth the effort for the
consultants, to take the time and trouble to have the
Table 4. Tabulation of significant data and net
profit of the investment (optimised dimensions are
bold faced). 60 BIKR == I billion $
Description PPR
1
PPR
2
OllSO O ~
Reservoir level m.a.s.l. 664.5 668.5 665.1 669.6
Headrace tunnel dia.. In 5.0 5.0 4.3 5.3
Pressure shaft dia. m 2.9 2.9 2.6 2.8
Power MW 212 239 210 242
Energy GWh/a 1159 1300 1149 1325
Investment BIKR 22.78 24.40 22.18 24.91
Profit BII(R 9.36 11.78 9.72 11.97
lWrofitlMnvestment %/ % % +26/+7 +41-3 +28/+9
617
cost formulas in Hydra improved with formulas
specially designed by themselves, in order to
improve the accuracy of optimisations performed.
In such an optimisation, care must be taken that
all the constraints are correct. Othervise the
optimisation can find an unpractical solution,
typically tunnel diameters below the minimum
required by safe operation. The new dimensions in
Table 4 are being checked for this by the owner and
the consultants.
8 CONCLUSION
The main result of this work is the development of
the program 'Hydra'. The algorithm reaches the true
global optimum for the calibration example. The
Flj6tsdalur Hydroelectric Project case study leads to
a improved design, with similar energy and load
capacity compared to the project planning report, but
approximately 6% better economical result, due to
different dimensions of dam and conduits in the
plant stage, and 3 % in the allocation stage.
It is our belief that this new approach finally
makes it possible to globally optimise the design of
hydropower projects, and in fact, many other
engineering design problems. This gives better
results than the conventional local optimisation
methods. The Genetic Algorithm reaches an optimal
solution in less than five minutes and could
undoubtedly be used on a much more complex and
detailed objective function with more variables.
It should be noted that it is not possible, in all
cases, to prove that the true global optimum has been
reached. However, our experience with the Genetic
Algorithm shows that very good solutions are always
reached, if not the optimal one.
Another benefit of.this method, that has not been
much emphasised in this paper, is the possibility to
optimise the locations of the structures as well as
their design. This could lead to solutions that were
not considered before, or would take a long time to
reach.
On the other hand it is also clear that much work
has to be done to make this a really powerful tool.
The skeleton is formed, but the flesh is missing. The
most demanding improvements are:
The cost functions should be improved so that
each structure is designed according to its geometry,
conditions on site, and forces acting on it. Then the
quantities of material, and manpower needed, should
be calculated, and multiplied with unit-prices from a
detailed up-to-date price database.
The model should be expanded to the project
planning leve! (allocation ~ n d global system stage)
as presented 10 chapter 7, i.e., include the eXisting
power system, optimise the load factor of each plant
against reserve thermal power and optimise the
construction order of new plants (timing).
Connect the application to a GIS database, to
be able to calculate reservoir volumes, dam volumes
(varying dam sites), overburden for conduits etc.
Make the project capable of optimising a series
of projects in the same river (Master Plan StUdies),
instead of optimising single projects.

- The conclusion: Promising beginning, long way
to go.
9 ACKNOWLEDGEMENTS
This study was made possible by research grants
from Landsvirkjun (National Power Company of
Iceland), Orkustofuun(National Energy Authority),
the Consulting Engineering firms Honnun and
Verkfneoistofa Siguroar Thoroddsen and the
Icelandic Research Council.
REFERENCES
Eliasson, J. & G. Ludvigsson 1996. Optimal Design
ofHydropower Plants. Univ, Iceland, Engineering
Research Institute, Water Resource Department.
(Research Report).
Fljotsdalur Engineering Joint Venture. 1991.
Fljotsdalur Hydroelectric Project - Project
Planning Report. Landsvirkjun.
Goldberg, D. E. 1989. Genetic Algorithms in Search
Optimization & Machine Learning. Addison
Wesley.
Mosonyi, E. 1991. High-Head Power Plants Volume
Two/A & Two/B. Akademiai Kiado, Budapest,
Pirlot, M. 1994. General local search heuristics in
Combinatorial Optimization: a tutorial. Belgian
Journal of Operations Research, Statistics and
Computer Science 32(1-2).
l>orsteinsson L. (editor) 1985. Virkjanalfkan
Orkustofnunar I-V, OS-85121/VOD-07. as
VOD, VST.
I>orsteinsson L. (editor) 1993. Endurskooun a
virkjanalikan Orkustofnunar I-V, OS-85121/VOD
07. OS - VOD, VST.
Helgason, S. Civil Engineer, VST, Iceland.
618
________________J
Hydropower'97, Brach, Lysne, Flatabe& Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN90 54108886
Monitoring survey andfeedback analysis of underground powerhouse
of MingTornbs pumped storage plant
LiangHai-Bo, GuZhao-Qi, ZhangMing&Ma Ji-Ming
DepartmentofHydraulic Engineering, Tsinghua University, Beijing, People'sRepublicof China
ABSTRACT: In this paper monitoring survey is presented together with feedback analysis together with nu
merical calculation of the underground powerhouse ofMing Tombs pumped storage plant. Based on the moni
toring materials and calculation results, it is drawn that the cavern can keep its monolithic stability.
, I PREFACE
,The Ming Tombs pumped storage plant which is the
third largest one in China is located in Changping
. county 40 km far away from Beijing city. The un
derground powerhouse is built inside the Mang
"mountain on the left bank of Ming Tombs reservoir.
,There 4 reversible turbines with total installed capac
ity of 800MW. The overburden above the under
ground powerhouse is more than 300 m of conglom
erate, with medium strength and relatively high
Yang's modulus. This cavern is 145 m long, 23 m
wide and 46.60 m high. The orientation of the long
axial is NW2800, with a small angle to the maximum
'earth stress. See Figure 1. The maximum earth stress
is 7.54 - 11.60 MPa, of which orientation is
NW300 - 310. There are 3 main sets of structural
planes in this region. That is set ofNE, set ofEW and
set of NW. During the operation of this plant, the
ownstream water level is more than 30 m higher
han the arch crown of the underground powerhouse.
The arch crown is supported by 20 ern thick
shotcrete, 140 thick concrete lining and bolts <1>28 of
300 em and 500 cm length. For the walls, 15 ern
shotcrete and bolts <1>22 of 550 em and 800 ern length.
6 prestress cables(600kN) are also adopted for sup
porting the walls.
2 DESIGN OF MONITORING SURVEY
Three sections are selected for monitoring survey of
the underground powerhouse: section 0+33 m, sec
tion 0+83 m and section 0+ 119 m. Multiple deflec
tometers and bolt stress gauges are embedded at the
arch crown, upper walls(EI. 56.0), middle walls(EI.
45.0) and down walls(EI. 32.0). The length of multi
ple deflectometers is 14 - 24 m. Some of them are
pre-embedded and others are post-embedded. The
bolt stress gauges embedded at arch crown are 6 m
long and others are 8 m long. See Figure 2 - 4.
igure 1. General layout plan of the MingTombs pumped storage plant
619
,,-"-01
.'
Hydropower'97, Brach, Lysne, F/atabo & Helland-Hansen (eds) 1997 Ba/kema, Rotterdam, /SBN 9054108886
TBM-tunnelling at SaudaPowerProject
H.Moe, H.Holen& E.D.Johansen
Statkraft Anlegg a.s., Hevik, Norway
~ B.Aspen
.' Statkraft Engineering a.s., Hevik, Norway
. ABSTRACT: The Sauda river-system in Norway is from nature well suited for hydropower developments.
. Today four power-stations with a total installed capacity of 160 MW are running, with an average annual
production of 1020 GWh. The plants are constructed in different periods since 1913 when the river was first
developed for electric powerproduction.
Each construction was the optimum solution at the time, however, modern techniques like tunnelling by a
.Tunnel Boring Machine - TBM - has created new alternatives for hydro-power design and greatly increased
the economically exploitable potential of the river-system. The owner of the plants is therefore planning a
new hydropower scheme which will increase the installed capacity to 520 MW and the average annually
.production to 2120 GWh.
. 1. INTRODUCTION
orway is from nature blessed with a topography
. ell suited for hydropower development. High
ountains and deep valleys with natural lakes
ombined with abundant precipitation has formed
e potential of hydro-electric power development.
The Sauda river-system, in the western part of
',prway is typical of this potential. Different needs
. r power and the possible technical solutions at the
ctual tirrie, have continuously involved engineers
v.: dbuilders to develop or plan to develop the
otential of the river. The harnessing of the river has
ways been ruled by an optimalisation of benefits
'gainst cost. However; in the earlier construction
riods in Sauda (1913-30) was the design mainly
estrained by technical limits such as;
Transmission and distribution of electricity were
limited. There was no national grid and the
9onsumption 'of energy had to be closely linked to
the power-house. In Sauda this was solved by the
;construction of a factory to consume the energy.
The factory's need for energy was constant
through all 8,760 hours of the year. Since hydro
power was the only source of energy, the regulated
flow in the river had to be steady over the year, i.e.
.large reservoirs had to be secured.
- The maximum size of the units with regard to both
transport weight, flow rate and the head was
limited. High heads had therefore to be developed
stepwise and several smaller aggregates were
installed in the power-house.
- Tunnelling techniques with high cost limited the
economical tunnel length and thereby the plant
layout.
- Few roads existed, and a very difficult terrain with
adverse weather conditions in the winter made it
both expensive and time consuming to construct
and operate roads to remote sites.
Today, new techniques make new solutions possible
from a technical point of view. hnprovements in the
last decades, within both .mechanical/electrical and
civil engineering have made new concepts possible
such as;
- The existence of a high-voltage grid makes it
possible to coordinate production and transport
energy over long distances with limited energy
losses. In this system the power may be generated
from many different sources, however, the
regulating flexibility of the hydropower aggregates
makes them capable to be dimensioned for peak
performance in this system.
. 6.23
- Technological development of mechanical and
electrical equipment has made larger units
possible.
- New tunnelling techniques have been developed.
Unlined cost saving pressure tunnels have been
used with success.
- Increased flexibility in design layout, makes it
possible to locate the sites at places with adequate
access by road or helicopter.
- Environmental aspects are, however, a new and
limiting criteria when hydro-power projects are
designed in 1997. The technical-economical
aspects are not anymore the only design-criteria for
the modem hydro-power engineer.
The new tunnelling techniques have been a main
factor for the increased flexibility in hydropower
design, and the latest innovation in tunnelling by
Tunnel Boring Machine - TBM - is opening up new
visions for the engineer..
- In this paper, new possibilities created by the use
of TBM at the Sauda Power Project are presented.
2. ACHIEVEMENTS IN TUNNELLING
TECHNOLOGY
Although the hard rock tunnelling techniques have a
long 'history, a number of cost saving improvements
through the latest decades have given the tunnelling
process a higher degree of performance. These
improvements have greatly economised the whole
tunnelling process and in factmore than balanced
the general price increase. The relative cost of hard
rock tunnelling has thereby steadily been reduced.
Without detailing the achievements some major
developments in the tunnelling technique can be
stated as;
TBM's in hard rock.
TBM machines have also entered the arena in hard
crystalline rock. It is thereby possible to bore in all
classes of rock-masses. The minimum practical
diameter for a TBM in hard rock is 3 - 3.5 m
. depending' on the length of the tunnel.
Rock support techniques.
Bolting and steel fibre reinforced shotcrete have
improved the support methods.
In a TBM tunnel the blast vibrations are
eliminated and the circular profile normally needs
less rock support than the blasted alternative
However, the TBM is less flexible in tackling heav;
stability support at the face compared to drill and
blast tunnelling.
The speed of tunnelling is increased.
For smaller TBMs with diameter of 3-4 m, a weekly
advance rate of 200 m is common with peaks
exceeding 400 m, even in hard rock. Yearly
advances of 6-10 krn for one tunneldrive is realistic.
Technical possibilities of longer tunnels.
TBMs with its reduced need for ventilation and
increased progress compared to the drill and blast
method, make it possible to construct longer tunnels
from one adit.
Headings of 20 km or more are possible within
reasonable cost-and time frames. The distance
between opposite adits may be 40 krn or more.
Environmental considerations.
Longer headings reduce the number of job-sites with
less need of access roads and thereby the
environmental impact. In addition, the reduced
number of sites often means great savings in
mobilisation and operation costs.
3. NEW DESIGN CRITERIA FOR THE
ENGINEER.
The new achievements in the tunnelling techniques
and geological engineering promote a remarkable
flexibility in designing underground hydro-power
schemes. The lay-out of the hydropower scheme
may be studied more freely as an alternative to the
earlier designs, when the principle was to link the
intake and the power house together with a
waterway as short as possible.
624
Flexible lay-out of the scheme.
; Today, the engineer should not necessarily search
only for the concentrated lay-out as this is probably
jinot the most economically and environmentally
'::favourable solution. A design with transfer tunnels,
;:pressure tunnels and underground located power
;houses make new arrangements possible, where the
ipower-house is not necessarily linked to the actual
'I
'.river-course or waterfall.
Intakes, reservoirs, tunnels and power-houses can
located where the conditions are most favourable
regard to' technical, economical and
'I'environmental parameters.
'f
I(i

t,:
f'Additional catchment areas.
"
The possible pick-up of run-offs from additional
jcatchment areas are possible with transfer tunnels.
.iEven remote areas maybe intercepted within
cost- and time-frames. These may be
rivers not economically exploitable as single
objects in their own water-courses.
,
'fhorterconstruction period.
'it:
1,1'
;mgher tunnelling advance rates shorten the
"onstruction time for the project.
and tunnels, even with high water pressure
!:an be constructed without lining, as the rock is used
:;' a part of the final construction if the geological
\\onditions are favourable.
l,

.' eadloss in tunnels.
e headloss in a tunnel is reduced if the tunnel is
led, however, an increase of the cross-sectional
ea in an unlined tunnel is generally a cost-effective
. pensation because of the low cost of tunnel
vation compared to lining costs. A fully lined
nel requires in addition an extension of the
nstruction period.
The TBM-tunnel implies significantly less
adloss than the drill and blast tunnel and the
ntour is in fact only marginally rougher than in
concrete lined tunnel.
Environmental aspect.
The flexibility in lay-out gives the engineer the
possibility of reducing the environmental impacts
from reservoirs, access roads, spoil tips etc. to a
more acceptable level.
4. THE SAUDA POWER PROJECT
4.1 The existing power-plants.
The Sauda river-system is in fact not one single
river. The basin that forms the river-system, consists
of many smaller valleys with their own creeks that
together join forces in the lower sections of the
river. In addition there are several other rivers in
additional catchment areas that can be connected by
transfer-tunnels to the Sauda hydropower project.
In the existing hydro power scheme, the technical
achievements through this century are easily studied.
Four different power stations constructed in
different periods represents the optimum technicalJ
economical solutions at the time period in question.
The first powerstations.
The section of the river with the most concentrated
falls, between Lake Dalvatn and Lake Storlivatn
(260 m head / 1200 m water-course), was utilised in
the first powerstation, Sauda I, which was planned
in 1913 and has been in operation since 1919.
This powerplant consists of a 900 m horizontal
tunnel, penstocks in steel and an open air
powerhouse. The electricity is generated in five
units in the powerhouse (each 5.4 MW / 2.6 m
3/s).
The energy was transformed to 13.5 kV and
distributed to the factory through a 5 km powerline.
In 1980 the voltage was increased to 66 kV.
Sauda II powerplant came into operation in 1922
utilising the head between Lake Holmavatn and
Dalvatn upstream of Sauda I. The lay-out were
similar to the Sauda I with a 900 m horizontal
tunnel, penstocks in steel and an open air
powerhouse with three generating units. The
powerstation was closed down and replaced by a
modem 22 MW unit in 1978.
Step by step, the technical development has
, reduced the costs and made new solutions possible.
Sauda Ill powerstation was planned in 1926 and has
been in operation since 1931. This powerstation is
located at sea-level in Sauda utilising the head from
625

Two photographsjrom the constructions of the oldest plants, 1922.
Lake Storlivatn. The lay-out was similar to Sauda I
and II with a horizontal headrace tunnel, penstocks
in steel and a powerhouse on the ground. The
tunnel was at the time impressive with its length of
7386 m and 21 m' constructed from 7 adits. In the
powerhouse three units (each 20 MW / l lm'zs)
supply the energy directly to the neighbouring
factory at 12 kV voltage.
The latest powerstation - Sauda IV.
Sauda IV which was planned in 1965 and has been
in operation from 1968, comprises an underground
power-house and more tunnels than the three oldest
all together. This includes transfer tunnels to catch
additional run-off from neighbouring rivers. The
electricity is generated in two units in the
powerhouse (each 25 MW / 13.5 m
3/s).
The energy
is transformed to 66 kV and distributed to the
National grid.
4.2 The 1984-design.
This design without the use of TBM consisted of
several smaller power-plants.
Seven new plants located all over the Sauda area
should in addition to three of the existing plants
increase the production capacity in the Sauda river
by about 500 GWh. The oldest plant, Sauda I,
should be closed down.
The investments for this project was estimated to
230 mill. USD or 0.46 USDIkWh.
This project was, however, not implemented. The
investment and operating cost of the ten plants were
high, and the owner of the plants started to spot a
silver lining in the horizon.
4.3 The 1997-design.
There are, in fact, many alternatives for further
hydro power developments in the Sauda area. .
The solution presented here includes boring of
51600 m of tunnels from only 3 sites. The
achievements in tunnel boring technique has made
this concept economically and environmenmjjv
viable, since long tunnels can be constructed at a
very competitive price from just a few work adits.
The environmental impacts, like the construction
of new roads will be very limited and considerably
reduced as compared to more conventional methods.
e.g. the only new access road that has to be
constructed is in fact the 7.5 km to the site at
Botnavatn.
Site Botnavatn.
An important element of the new design is the site at
Lake Botnavatn.
The run-off from the upper part of the Sauda
rivers together with additional catchment areas in
the north, will be transferred into the lake via a
tunnel system. A TBM with diameter 3.5 m will
from one adi .. west of the southern end flf the lake,
bore a 17500 m long tunnel with 7 brook inlets
between theVaulo river and the Lake Botnavatn. A :
2500 m long tunnel from north east with 3 brook
inlets will also be connected to the TBM-tunnel.
In average 214 mill. m' of water per year will be
transferred into the lake via this tunnel system.
Botnavatn power station.
The average head of 314 m between Lake Nedre (
'j
626
I
~
.__..-J
'00
'00
800
700
900
'00
200
100
1100
1000
ma.sr
NOT TO SCALE
The 1984-design
627
ST.EINAVATNET
$AUDAFJORDEN
I. Senna 130MW
2. Sauda III 64 MW
3. Sauda IV 50 MW
4. Dalvaln 40 MW
5. Svartkulp 15 MW
6. Svartavatn 15 MW
7. Slettedalen 12 MW
8. Helgedalen II MW
8. Fetavatn 0,9 MW
10. Ferstavam 2,1 MW
II. Sauda I CLOSED
he existing plants
The 1997-design
EXISTING POWERSTATION
EXISTING TUNNEL
C NEW POWERSTATION
NEW TUNNEL
CATCHMENT BOUNDARIES
)
628
1
l
,j,
,Ifi
'I Sandvatn and Lake Botnavatn will be utilised in a
28 MW powerstation transferring another 150 mill.
l: 3 LakB
;i' m into e otnavatn.
1'"
Lake Botnavatn reservoir.
50 m high rockfill dam with a central core of
moraine will be constructed at the outlet of Lake
Botnavatn and together with a lake tap intake for a
new Sauda 2N powerstation at Dalvatn, the reservoir
capacity is calculated to be 88 mill. rn' in Lake
Botnavatn.
Site Dalvatn.
The average head of 134 m between Lake Botnavatn
and Lake Dalvatn will be utilised in the new 34 MW
powerstation, Sauda 2N. The 10850 m long
headrace pressure tunnel can be bored by a TBM
with diameter 4.5 m directly from the powerstation
area. Alternatively about 7.5 km can be bored by
TBM from a work adit at Lake Berdalsvatn while
i the remaining distance is excavated by the drill and

blast method. A surge shaft will also be included.
A new headrace tunnel will be constructed for the
;: old Sauda II power station using the head between
f. the two lakes Holmavatn and Dalvatn.
! The new Sauda III powerstation, Sauda 3N.
,
J 2 x 2 twin power generating units in the same power
:; station will be utilising the heads from the lakes
l!Dalvatn (H) and Storlivatn (L) respectively. Total
!:'installed capacity will be 385 MW.
t To utilise the head of 550 m between Lake
I;
i;Dalvatn and the Saudafjord a 10580 m long low
';'pressure headrace tunnel and a 695 m long, 20 m',
;' 45 0 unlined pressure shaft needs to be excavated. A
conventional 165 m long surge shaft at 45 0 in
clination and a cross sectional area of 45 m' will be
constructed at the end of the headrace tunnel.
The headrace- and transfer tunnels for the new
'fSauda 3N power station are a big challenge for the
bTBMs. The tunnel system is planned bored with a
diameter 5 m, in two directions from one
owork adit. Two transfer tunnels branching off from
headrace tunnel towards the south, 8190 m long
4500 m long respectively, will be drilled by a
3.5 m in diameter. The tunnel system will

a total of 7 brook inlets.
t
For utilising the lower head another unlined
pressure shaft will be constructed between the 2 new
power generating units in the Sauda 3N power
station and the existing headrace tunnel, to replace
of the old Sauda III power station with it's steel
penstocks which will be abandoned.
5. CONCLUSIONS.
The introduction of hard-rock TBMs at the Sauda
Power Project has opened up for new design
options. The concept of utilising the hydro power
potential in the river is changed in the latest design
scheme based on extensive use of TBMs. In this
design five tunnels with the total length of 51 km are
planned bored from only 3 adits.
The new hydro power scheme for the Sauda area
will increase the total annual production from 1020
to 2120 GWh at an estimated cost of 385 mill. USD.
The oldest operating plants, Sauda I and III will
together with the penstocks of Sauda II be closed
down, while three new power-stations will be
constructed. The total capacity of the stations will be
520MW.
The oldest plants are in such a condition that they
in any case have to be rehabilitated. The alternative
to only rehabilitate them with no increasement in the
generating capacity will cost about 65 mill. USD.
Taking into account the alternative cost for.
rehabilitation of the oldest plant, the cost of the new
energy will beabout 0.29 USDIkWh.
Conclusions
- TBM's have changed the design concept.
- The energy output from the river is higher than by
the earlier designs, at a lower cost.
- The environmental consequences are reduced.
629
Hydrapower'97, Brach, Lysne, FlatabB & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN90 54108886
Rebuilding of the 70 years old Nore 1 Power Plant
Johannes Hope
Statkraft SF, Hovik, Norway
ArildPalmstrom
erdal Stromme AS, Sandvika, Norway
jell Finnerud
tatkraft Engineering AS, Hevik, Norway
STRACf: At Nore 1 Power Plant the water was conducted from a low pressure head race tunnel to the
bove ground power house by 8 exposed penstocks of 1000 m length. For safety reasons, Norwegian
uthorities have ordered all so-called water gas welded penstocks to be taken out of service within certain
'me limits. A number of alternative schemes for the necessary rebuilding of Nore 1 were developed, The
1ected scheme was to replace the penstocks between the existing head race tunnel and the power house by a
ew underground waterway system in rock. Required rock overburden of water bearing tunnels and length of
steel lined tunnel were determined by means of rock stress measurements as well as numerical analyses. Most
f the tunnels were excavated by drill & blast while the power plant was in operation with the old penstocks.
the vicinity of the power house vibrations induced by blasting had to be kept within certain precalculated
, its, To connect the low pressure head race tunnel to a new high pressure tunnel it was decided to excavate
vertical unlined pressure shaft of 213m length. However, the main challenge to the project was to limit
utage time for the turbine units during t ~ e construction and erection period for the new system,
6 of the 8 penstocks were of so-called water gas
welded type.
,1 Historical development
ore 1 was the first hydroelectric power project in 1.2 Watergas welding
orway constructed and owned by the government.
riginal data: Watergas welding is an old method of making
ross head, m: Approx.360 longitudinal joints on steel pipes. This method was
utput,MW: 200 commonly used up to about 1930, when it was
ischarge, m
3/s:
72 gradually replaced by electric welding.
ean production: 1000 GWh/year Watergas welding is a form of forge welding,
urbines: 8 horizontal Pelton of with heating applied by means of a water gas flame
25MWeach. instead of a coke furnace. Watergas is generated by
.ear of construction: 1919 - 1954. injecting steam into a hot coke furnace and mixing
The first stage of the plant, consisting of 4 with air.
its, was constructed between 1919 and 1928. Later The prepared overlapping edges of the plate
the plant was extended gradually from 4 to 8 were heated by the gas flame until they reached a
its, This extension was completed in 1954. The mushy state, after which they were forge-welded,
ter was conducted from the reservoir to the plant first by hand then later mechanically. Maintaining
ough a' 5200 m long low pressure head race the correct heat was critically important. Over-rapid
.nnel, cross section 40 m2, followed by 8 exposed heating led to irregular temperature distribution and
. nstocks of approx. 1000 m length, diameter hence internal bonding defects, and also to scaling
ing from 1600 to 1400 mm. As each turbine has and surface slag, Too low temperatures resulted in
o runners, there was a bifurcation on each inadequate bonding, excessive hammering and
nstock, just in front of the power house wall. embrittlement of the material.
631
The nature of the process and the requirements
entailed by it precluded the achievement of a
continuous, homogenous seam. Noticeable
improvements were secured with the switch from
manual .to mechanical forging, bur nevertheless it
was still possible to keep coming across the typical,
inherent faults of the process.
Typical faults which can be observed in these
welds consist of overheated zones, inadequate wall
thickness, segregations, slag inclusions, inadequate
bonding and cracks.
1.3Backgroundfor rebuilding
Over the years, there have been a few ruptures in
water gas welded penstocks in Norway. As a
consequence of this the authorities, i.e. the
Norwegian Water Resources and Energy Board, has
ordered all owners of water gas welded penstocks in
Norway to take these out of service within certain
time limits. Following these instructions Statkraft SF
decided to study a number of different alternatives
for rebuilding of the plant.
Fig. 1 Layout of rebuilding area.
2 SELECTION OF REBUILDING
ALTERNATIVE.
2.1 Considered alternatives
Among considered alternatives were:
To continue production with the two electrically
welded penstocks only.
To replace the 6 water gas welded penstocks with
2 new steel pipes of larger diameter.
To replace existing penstocks and power house by
new underground pressure shaft, power house and
tail raise tunnel in rock.
To replace both Nore 1 and Nore 2 Power Plant
by a new underground waterway system between
the existing head race tunnel and Lake
Norefjorden including new power house all in
rock. Nore 2 is utilizing a head of 100m between
Nore 1 and Lake Norefjorden which is located 4
kID downstream of Nore 1.
The selceted alternative.
2.2 Selected rebuilding scheme
The selected scheme, which due to calculations
provides the best Net Present Value, was to replace
the penstocks by an underground waterway system
between existing head race tunnel and the power
house. This system consists of the following main
parts:
An approx. 100 m long low pressure tunnel,
branched off near the downstream end of the
.existing headrace tunnel. In this tunnel a new
fixed wheel gate is installed.
Adit tunnel, upper level, with bulk head
An approx. 220 m high vertical pressure shaft
An approx. 400 m long unlined pressure tunnel
An approx. 465 m long steel lined pressure
tunnel, pipe diameter 3.7 m.
Adit tunnel, lower level, with bulk head
A complete branch pipe arrangement, including in
total 15 bifurcations, 8 emergency closure valves,
interconnecting pipes, flange pipes etc., for
distribution of water to the in total 16 runners.
The new emergency closure valves (butterfly type)
have also replaced. the function of the 16 old turbine
valves, which have been removed in order to achieve
simplified operation and maintenance, and reduced
head loss.
The water way system upstream of the steel lined
tunnel may also form part of a possible new Norel
Power Scheme in rock in the future.
632
Fig. 2 Longitudinal section of rebuilding area.
3 GEOLOGY AND TUNNEL DESIGN
3.1 Geology and ground quality.
A simplified geological setting is shown in Figure 3.
The rocks are Precambrian supracrustal rocks, i.e.
rocks which were formed on the surface (such as
basalts and sediments) some 1800 mill. years ago.
Later, during several metamorphic orogenesis they
have been formed into green schist,' greenstone,
quartzite and metarhyolite. The rocks are mainly
steep dipping with strike almost along the tunnels.
Joints or other weakness planes occur along the
schistocity (foliation) of the rocks. Another set of
joints occurs approximately at right angle to the
foliation. The quality of the ground according to the
Q-systemis
Q = RQD/Jn x Jr/Ja x Jw/SRF =(80 to 90)/4
x 1.5/(1 to 2) x (0.66 to 1)/1 = 10 to 25 (good)
3.2 Unlined pressure shaft and pressure tunnel
Occasionally, swarms of joints reduce the quality of
the rock mass to Q =0.5 to 5 (poor to fair)
Already during the preinvestigations the rock
mass conditions were found suitable to ,have "the
pressure shaft and part 'of the pressure tunnel
unlined, i.e, without steel lining. For this solution the
following conditions are essential for a successful
result:
1. No leakage and no deformations of importance,
should take place during the lifetime of the power
plant. This is achieved by ensuring that the
minimum rock stresses are higher than the
internal water pressure in the tunnel or shaft. A
verification of the stresses by measurements in
the tunnel is a prerequisite, especially for safety
factor lower than F =1.5.
2. Large, open or filled joints which can cause
deformations (for example increasing the width of
the joint), or lead large quantities of water into the
rock masses surrounding the tunnel or shaft, must
be sealed. This is especially important for joints
normal to the direction of the minimum rock
stress.
3. When designing unlined pressure waterways a
main condition is that the minimum rock stress is
higher than the water pressure.
Large savings (approximately USD 10,000 per metre
tunnel) could be achieved if the inlet cone could be
moved outwards, thus reducing the length of the
embedded steel penstock. A safe location of the cone
with a limited length of the steel lining is therefore
important. The following calculations and
measurements were performed during planning and
construction to meet this requirement:
In the early phase of the planning preliminary
evaluations of the location of tunnels and shaft
were made based on assumed magnitude of the
rock stresses. The most important part of the
unlined waterway is the location of the inlet cone,
i.e. where the embedded steel lining towards the
powerhouse starts. A preliminary location of the
cone was chosen 620 m from the power house,
applying a safety factor F = 1.5. Here, the
overburden is 200 m. The access tunnel to the
inlet cone was designed so that the location of the
cone could be changed after stress measurements
performed during construction of the tunnne!'
633
500
400
400
green schist
meta-basalt, phyllite
1. hydraulic splitting test
2. hydraulic splitting test
adjusted rock surface
I

HWL =736
~
pressure
shaft
,
,
,
,
I
,
,
I
I
I
I
,
I
'" .
..... .
500 m
1--------11
o
I
900
700
' ..
quartzite
N
400
@
hea race tunnel
-
800
80
400
Figure 3 Upper: Plan showing simplified geology and section used in the FLAC calculations.
Lower: Section with pressure waterway, location of inlet cone and hydraulic splitting tests.
634
r
,
When the construction works started numerical
calculations were performed using FLAC version
3.22. This 'finite difference code' model is
suitable for continuous ground. It simulates the
behaviour of constructions in rock by the use of
relevant input parameters of the rocks, stresses
and topography. The topography is represented in
a 2-dimensional model by elements or zones
comprising a network adapted to the local
conditions. For Nore 1 a simplified model of the
topography had to be used because, as shown in
Figure 3, the actual area consists of a ridge
between two valleys. This ridge gives a reduced
contribution to the rock stresses in tunnels and
shaft. The adjusted topography used in the FLAC
model is shown by dotted lines in Figure 3.
The following input parameters were used in the
FLAC calculations:
The density of the rock mass 'Y = 0.027 MN/m
3
The E-modulus of the rock mass
E = 2510gQ = 18 GPa
The bulk modulus of the rock mass
M = FJ[3(l-2v)] =10 GPa
The shear modulus of the rock mass
G = E/[2(l+v)] :: 7.5 GPa
The ratio horizontal/vertical stress k :: 1.5
The results from the FLAC calculations are
shown in Figure 4. (The irregular course of the
stress lines at the right end of the figure is caused
by the small bend in the rock surface here.) To
verify the stresses found in the FLAC model,
hydraulic splitting tests were performed. The first
measurements, showing the minimum stress cr3=
. 2.3 MPa, were performed 242 m into the access
tunnel. Here, the minimum rock stresses
calculated in the FLAC model were close to the
measured ones. From this an interim location of
the cone was chosen 595 m from the power house
(at chainage 540 in the access tunnel in Figure 4),
based on a safety factor of F = 104.
The second hydraulic splitting tests were
performed when the access tunnel had been
excavated 480 m. This time the results were
approx. 9% lower than those calculated by FLAC
(cr3:: 3.2 MPa compared to 3.5 MPa). Based on
this the cone was finally located 580 m from the
power house (at chainage 525 in the access
tunnel, see Figure 4), applying a safety factor of
F = 1.25. The measurements and calculations
made (at a cost of usn 40,000) showed that the
steel lining could be 40 m shorter (by moving the
location of the cone from 620 m to 580 m). This
gave savings in the order of usn 400,000.
-----j..2.>O

1.100
Figure 4 Results from FLAC calculations showing
the magnitude of the minor stress. (The
chainage given along the access tunnel is
55 m shorter than the distance along the
steel lined tunnel from the power house)
The first water filling of the unlined pressure
tunnel and shaft was made controlled, i.e. slow
filling in steps of 100m increased head per day.
During each step (with no filling of water) the
water level was measured over a period of 5 to 10
hours by a precision manometer. In this way any
unexpected large water leakage could be
discovered early as rapid lowering of the water
level.
4 CONSTRUCTION AND ERECTION WORKS.
4.1 Construction works
The upper part of the tunnel system has been
excavated from an adit at elevation 700 m, while the
lower part has been excavated from an adit located
close to the power house at elevation 370 m. The
area in front of the power house was thus
transformed into a busy construction site.
All tunnel excavation, totalling 95,000 m
3
, was
carried out by drill & blast. The tight, fine-grained
texture of the metarhyolite and the quartzite caused
generally low drilling rate and high drill bit wear.
The rock support in the tunnels was
performed by spot bolting and occasional fibrecrete
(fibre reinforced shotcrete). In average only 004 bolts
and 0.1 m
3
shotcrete per meter tunnel was installed.
During the construction period it was of great
importance to limit outage time for the turbine units.
635
Thus a major part of the tunnels was excavated
while the power plant was in operation with the old
penstocks.
The amount and types of rock support were
'tailored' to the actual ground conditions
encountered, i. e. the rock support was determined
after the rock mass quality could be observed in the
tunnel.
The initial support to ensure safe working
conditions for the tunnel crew was mostly decided
by the tunnel workers themselves in cooperation
with the engineering geologist. This is the normal
procedure for tunnel works in Norway. In this way
only the support necessary to reinforce the ground is
installed.
With exception of a few points, all steel pipes
both in the tunnels and the ditches between tunnel
and power house, are completely concrete
embedded. 12, 000 m
3
of concreting was performed
by pumping. The old penstocks were shut off by
concrete plugs at the inlet end.
To ensure sufficient water tightness grouting
with cement, micro-cement and chemicals was
carried out at the following points:
- The fixed wheel gate at elevation 700.
- Bulk head at elevation 700.
- The plugs in old penstocks.
- The inlet cone at the main steel pipe.
- Lower bulk head.
4.2 Cautious blasting
In the vicinity of the power house cautious blasting
had to be carried out. Sensors were attached to the
old penstocks to monitor vibrations in order to keep
these within certain limits. For vibrations measured
directly on the pipes close to a support, limits were
precalculated as follows:
< 15 Hz: Displacement < 100 urn
15 - 35 Hz: Acceleration < 1 G
35 - 80 Hz: Displacement < 200 urn
> 80 Hz: Acceleration < 5 G
Four parametres; frequency, displacement,
vertical vibration velocity and acceleration were
monitored by sensors attached to the penstocks at
selected points and electronically stored in a
recording instrument.
A non electric ignition system with a large
number. of intervalls was applied, this facilitating
blasting with reduced charges. In the most sensible
parts only limited sections of the tunnel face were
blasted in each round.
Fig. 5 Excavation close to power house.
By these means tunnelling could be executed
only 2 - 3 m beneath the penstocks in operation
without violating the threshold values.
4.3 Excavation ofpressure shaft
A conventional solution would have been a 45'
inclined shaft driven by drill & blast from the
pressure tunnel up to the head race tunnel. Based on
the predicted good rock stability a more feasible
solution was developed in close cooperation with the
contractor.
The selected solution was a vertical shaft of
213 m length and circular cross section of 36 m
2
.
The shaft was excavated using a 2.13 m dia. shaft
which was raise-drilled by reaming a 12 inches pilot
hole. The pilot hole was drilled from the head race
tunnel and hit the tunnel down under less than 1 m
off target, i.e. a deviation of < 0.5 %. A platform
designed to fit into the 02.13 m shaft was lowered
from the top.
Before final reaming to 6.8 m dia., the shaft
was inspected by engineering geologist. No need for
rock support was determined. The 0 2.13 m shaft
then was enlarged by drilling radial holes from the
working platform.
Starting from the bottom 2.4 m long sections
were blasted in each round. By this method
excavation was carried out rapidly as well as safely.
At no time the crew had to work beneath unstable
rock.
4.4 Steel pipes and pipe erection
The main pipe, from the inlet cone to the first
bifurcation, is approx. 465 m long, with internal
diameter 3700 mm and wan thickness 33 rom. The
branch pipes have a total length of approx. 670 m,
with diameters varying from 2600 rom to 900 mm
and wall thicknesses varying from 24 rom to 12 rom.
636
---------
~
- - ~ - - -
I
I
I
1 i
1
~
I 1 ~
I
1
I
i
1
I
i
1
I ~
1
I I
~
I 1
I
I
I
1
1
~
~ "
E
I
I
<'l
"'';;I
1 \
N
1 I
1
I
1
I
e = ~ ~
I
t 02130
1
I
~ GQ6800
\
i
'" ..
~ - f
~ ,I
Fig. 6 Pressure shaft. Final reaming by drill & blast.
In total approx. 2100 tons of steel have been
delivered.
For the main pipe, thermomechanically rolled
steel of yield strength class 420 MPa has been used.
For' the branch pipes a normalized fine grain steel of
yield strength class 355 MPa has been used.
The pipe sections have been rolled and erected by
. the supplier. Steel plates have been delivered from
! the steel works according to specified dimensions, in
a sand blasted and shop primed condition.
At the supplier's workshop sections of 3 ms
length were rolled and welded longitudinally at first,
then three and three 3 ill sections were welded
together by circumferential welds to form 9 m long
sections before transportation to site.
The main pipe sections, with length 9 m and
weight 28 tons, were transported from the workshop
to site on semi-trailers. The truck was able to drive
all the way to the "cone-area", through the adit
tunnel, thus making reloading of pipe sections at site
unnecessary. The pipe sections were lifted directly
from the truck onto the trolley.
In the main tunnel a trolley track had been
erected, for transportation of pipe sections on a
trolley down the tunnel to their final positions. The
. trolley was equipped with hydraulic lifting facilities.
After the pipe sections had been positioned and
fixed, the trolley could be withdrawn.
In the branch tunnels the pipe sections were
skidded on the rail track to their final position,
without using a trolley.
Before pipe erection started, the main bifurcation
had been erected and concrete embedded, thus
making parallel erection of both main pipe and
branch pipe possible.
Most of the site welds for the main pipe (welds
with V-groove and backing strip) were welded by
using automatic welding equipment.
4.5 Performed progress
Mobilization and construction works commenced at
site in August 1994. Erection and concrete
embedding of steel pipes started in April 1995, and
had for a period to be performed simultaneously
with adjacent tunnelling.
Finally turbine units 1-4 were commissioned
with the new water way system in September 1996,
and units 5-8 in January 1997.
Connection of the branch pipe system, between
the pipe rupture valves and the power house, took
place in two phases. The reason for this was to limit
the outage time for the turbine units during the
constructionlerection period as much as possible.
In each phase 4 units were taken out of service,
unit 1 to 4 and unit 5.to 8 respectively.
During the first phase, the plant was operated
with 50% capacity on the old system while the new
branch pipe arrangement for unit 1 to 4 was
established.
During the second phase, the plant was operated
with 50% capacity on the new system while the new
branch pipe arrangement for unit 5 to 8 was
established. During this phase one leg of the main
bifurcation ( towards unit 5 to 8) was closed off by
means of a dished head.
The whole plant had to be stopped for approx.
3 weeks between the two phases for final erection of
bulkheads in the adit tunnels, break through of the
connection tunnel to the existing headrace tunnel
and shut off of the old penstocks. Another full stop
of approx. 3 weeks had to take place at the end of
phase two for removal of the dished head and
coupling of the new branch pipe system for unit 5 to
8 to the main bifurcation.
637
5 CONSERVATION OF EXPOSED PENSTOCKS
The local settlement close to the power station
originally developed mainly as a consequence of the
activities during the first years of construction
period. A runner now forms part of the logo of the
local municipal authorities The exposed penstocks
have during several decades become an important
element of an interesting scenery of the district. Thus
only a small part in front of the power house has
been removed. The rest of the penstocks will be
maintained as a historical monument.
6 CONCLUDING REMARKS
No major unforeseen problems was encountered
during this rebuilding of Nore 1. The turbine units
were commissioned with the new water way system
approximately 1 month ahead of schedule, and has
since then been operating successfully. Total project
cost corresponds closely to budget.
REFERENCES
Sulzer Technical Review, VoL 49/1967/No. 3.
Buen, B. and Palmstrom, A.:
Design and supervision of unlined hydropower
shafts and tunnels with head up to 590 m.
Int. Symp. of ISRM (International Society of
Rock Mechanics), Achen, Germany 1982.
Palmstrom, A.:
Norwegian design and construction experience of
unlined pressure shafts and tunnels.
Int. Conf. on Hydropower, Oslo 1987
Palmstrom, A.:
Unlined high pressure tunnels and shafts.
Norwegian Tunnelling Today, PubL No.5,
published by Norwegian Rock and Soil
Association, 1988.
638
Hydropower'97, Breen, Lysne, Flatabe & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 54108886
Rock mechanical engineering to the design of underground tunnelling works
of BakunRiver diversion projectin Sarawak, Malaysia
Wang Ruel Jee & Jae Jin Choi
Dong-Ah Construction Industrial Co., Ltd, Seoul, Korea
ABSTRACT: The Bakun Hydropower project is including the construction of a Hydroelectric power plant
with an installed capacity of 2520 MW and a power transmission system connecting ,. to the existing
transmission networks in Sarawak and Western Malaysia. In a state of readiness to allow the Rockfill Dam
and Powerhouse of the Bakun Hydroelectric Project to be constructed in dry surface condition, the Balui
river will have to be detoured through three Diversion tunnels with a length of some 1400 m each prior to
dam construction. The geology of the Bakun area belongs to the several thousand meters thick Belaga
Formation deposited from the late Cretaceous to the early Tertiary in the Northwest Borneo Geosyncline. The
orientations of the strata strike at N55' E to N 70' E and dip at 50' SE to 70' SE at the construction
site. This description deals with the construction design of the underground structures in view of Rock
Mechanics. For underground structures stability calculations have been performed by numerical method and
the required rock support has been evaluated to provide sufficient structural analysis during river diversions.
It was necessary to carry out further numerical analysis for stability during the excavation progress to adjust
the rock support according to the actual geological conditions. The geotechnical parameters applied in the
stability calculations have been taken over from the geotechnical investigation as the relevant data from the
construction design. However, it was realized that the geological conditions of this area did not coincide with
the original assumptions and expectations of the Tender Design prior to construction. Additional geotechnical
investigation was performed and the slope inclination and supporting methods of tunnels were modified.
1. INTRODUCfION 2. GEOTECHNICAL PARAMETERS OF THE
. STRUCTURAL ANALYSIS
In a typical tropical rainforest area on the island of
Borneo, with mountains in the middle of Sarawak, Bakun The geotechnical parameters applied in the stability
has a huge hydroelectric potential. The strong economic calculations have been taken over from the 'Principal
development in Malaysia peninsular requires high increase Design Criteria' as the relevant data for the construction
in electricity supply.
design. Following this data is summarised under the
Dong Ah Construction Industrial Co., Ltd., Seoul has following topics:
got the contract for the river diversion works of the general description of the rock types in the project
Bakun Hydropower Project, located in Sarawak, Malaysia. area,
The power station will consist of a 205m height concrete description and definition of the rock mass types
face rockfill dam(CFRD), powerhouse at six generating together with the assigned geotechnical parameters,
units, and the spillway with gated headworks. The discontinuity system with its relevant joint parameters
installed capacity of the power scheme will be 2520 MW. decisive overburden in-situ stresses.
During construction of the dam and the power facilities
the Balui iriver has to be diverted by three diversion
tunnels with a length of some 1400m each. The 2.1 Rock types
excavation diameter of each tunnel is between 13m and
13.5m depending on the rock conditions. In the portal Following groups of predominant rock types
area the tunnel width is 16m extremely big. corresponding to their material properties are described.
639
Figure 1. Layout of the Bakun River Diversion Tunnelling Works.
They can be summarised as follows:
Predominant greywacke. The greywacke is mostly
sandstone consisting of angular and poorly sorted
quartz and feldspar grains. Conglomerates occur only
locally and consist of subrounded quartz grains and
well rounded and flat shale fragments.
Predominant shale mostly with a high percentage of
silt. The siltstone as well as the fine grained
sandstones consist mainly of quartz and have a silica
matrix.
Thinly interceded shale, siltstone and greywacke
alternations. The shales are mostly silty. They consist
of different clay minerals, quartz, calcite and small
amounts of mica. The cement is mostly calcitic.
2.2 Rock mass types and assigned parameters
The rock mass in the project area have been divided
into four rock mass types(RMT). As the assignment of
. the different rock types to rock mass types depend mainly
on the degree of weathering and the occurrence of
jointing, greywacke as well as shale can occur together in
the same rock mass type if their rock mass properties are
similar. The rock mass types RMT have been listed in
Table 1.
Most parts of the tunnels and open cut slopes will
belong to RMT I to ill while RMT IV is less present.
For the massive greywacke banks along the diversion
tunnels the assignment to RMT I instead of RMT II is
most probable. The final classification of the rock into
RMT I and RMT II and the assigned rock support has
to be done on site after blasting. For the stability
calculations it bas been overtaken from the design criteria
that 1% of the total tunnel length belong to RMT IV.
RMT IV might also be given in the tunnel portals.
640
Performed stability calculations for the open cut slopes
have showed that there is no difference in the required
rock support between RMT I and RMT II as
investigated wedges have been stable without any rock
support. Therefore only spot bolting. is necessary and both
rock mass types I and II have been brought together in
the calculations and in the excavation drawings.
Following nomenclature is used for the open cut
excavations:
fresh greywacke RMT I & II,
fresh shale and mudstone RMT ill,
weathered greywacke or shale/mudstone RMT IV.
Similar to the underground excavations RMT IV
occurs only locally. In Table 2.1 the geotechnical
parameters in dependence on the rock mass types are
listed which shall be used in stability calculations.
After shearing, the rock mass is capable to bear shear
forces up to their residual values as given in Table 2.1. It
was estimated that except for RMT I, the residual
friction angles shall be the same as the peak friction
angles whereas the residual cohesion shall be reduced as
follows:
RMT I & II: residual cohesion is 1/3 of peak
cohesion
RMT ill : residual cohesion is 1/6 of peak cohesion
RMT IV : residual cohesion is zero.
'The assumption to set the residual cohesion of RMT
IV to zero is conservative as usually in the rock mass
(not on discontinuities) a cohesion of 100 kPa is always
given. Therefore this value has been modified in Table 2
to the value of CRM,res = 0.1 MPa.
For numerical calculations two sets of partial safety
sri
i
I
Table 1. Rock Mass Type(RMT) in the project area Bakun.
Description
Thickly to very thickly bedded fresh greywacke. The greywacke is massive or only slightly jointed. Joints are
RMT
RMT I
generally closed and show rough surfaces. They are mostly free of clay fillings and show a low degree of
separation. The spacing of the joints is greater than 1.50 m. The strength of the rock mass is high and the
Very Good Rock
deforrnability low, This rock mass type is not sensitive to water and only little overbreak is expected during
Mass (GW) I
the tunnelling work.
a)
RMT IT
Good Rock Mass
b)
(GW & GW/SH)
I
Fresh greywacke. The greywacke is medium to closely jointed with a moderate degree of separation.
Massive, slightly jointed shale/mudstone with bedded greywacke intercalations. The rock mass might be
occasionally slightly weathered and might contain some clay fillings or slickensides. The rock mass
strength will be moderate to high and the deformability moderate to low. The rock mass is not sensitive
to water only on fillings a minor influence of water might be possible.
RMTill
Fair Rock Mass
(SH)
a)
b)
Predominantly shale/mudstone with thinly bedded shale/greywacke.
The shale/greywacke interbeddings which are medium to very closely jointed, loosened or contain a
moderate number of shear zones and slickensides.
Closely jointed greywacke which is moderately to highly weathered.
The joints are smooth, of a high degree of separation and filled with clay. The rock mass strength will
be moderate to low and the deforrnability moderate to high. In weathered zones the influence of water
is moderate to high. Also a moderate to high overbreak is expected.
a) Very closely jointed greywacke.
RMT IV
Shale/mudstone with very thin greywacke intercalations and very closely to extremely closely joints. In
Poor Rock Mass
both rock mass types the discontinuities show a nearly complete degree of separation with clay fillings,
b)
mylonitised faulted zones or frequent slickensides. The strength is low and the deforrnability high. This
rock mass type is very sensitive to water. A high overbreak can be expected.
(SH)
Table 2. Parameters and Safety Factors for the River
Diversion Works
Parameter
Rock:
Density
Uniaxial Compressive
Strength (UCSRoc0
Tensile Strength
(TCRoc0
Poisson's Rati0
(]I Roc0
Rock Mass:
Rating RMR
Deformation Mod(En)
In-Situ Stresses(ko)
Peak Cohesion
R ~ i d u a l Cohesion
Peak Friction Angle
Res Friction Angle
Unit
tonfm
3
MPa
Mpa
-
MPa
-
MPa
MPa
Rock Mass Ty
I IT ill
2.60 2.60 2.60
pe
IV
2.60
Safety
Factor
1.0
200 100 60 35 1.0
10.0 5.0 3.0 1.8 1.0
0.20 02 0.25
80 65 50
0.30
35
1.0
-
12000 8000 6000 2500 1.0
0.3 0.3 0.3 0.5 -
8.0 3.5 2.0 0.7 1.5,2.0
2.67 1.2 0.35 0.1 1.5,2.0
45 40 35 25 1.3,1.1
40 40 35 25 1.3,1.1
factors are given Table 2. The first set
7J c = 1.5 shall be the standard set.
7J Ian 'P
1.3 and
2.3 Discontinuities and Assigned Parameters
Three sets of discontinuities characterise
conditions of the project area:
the geological
J1 bedding as the dominant and most important plane
of separation. In the massive greywacke it shows a
low degree of separation, Here, the bedding planes are
mostly closed ana planar.
Table 3. Dip Directions and Dip (DDID) for Stability
Calculations.
Discontinuity Right River Side DD/D
11 150 I 55
J2( i ) 265 I 60
J2( ii) 065 I 55
13 040 I 30
J2( i ) and J2( ii) as the main set of transverse joints.
J2( ii) is the less developed complementary set of
transverse joints J2( i ).
13 a further joint set which is directed more or less
perpendicular to bedding. 13 of greywacke is
predominantly rough and planar.
In Table 3, the orientation of the discontinuities for
the right river sides are shown. The values have been
used for the wedge analyses of open cut slopes and
tunnels. Where required the range of dip and dip direction
for each set of discontinuities was taken into account to
consider a possible negative influence on the wedge
stability as a result of scattering. The values of the
range of dip and dip direction for each joint set is shown
in Table 4.
Spacing and trace length of discontinuities control the
size of possible wedges. Spacing in dependence of the
rock mass types is given as shown in Table 5. For wedge
stability analyses the values listed in Table 6 have been
used.
The persistence of all discontinuities is set to 100 %
for all discontinuities. This is a conservative assumption
which includes additional inherent safety as the shear
strength of rock bridges is usually much greater than
those of the discontinuity planes.
641
Safety
-
Rock II (Bedding)
J2
13
Mass
Factors
Type
rp Cohes.
9' Cohes.
rp
Cohes.
TJf2.n'P
7}C
[j [MPa]
n [MPa]
n [Mpa]
[ 1.0 1.0 35 0.20 38
0.18
35
-
0.20
IT 1.0 1.0 35 0.13 38
0.11 35
0.13
ill 1.0 1.0 30 0.05 32 0.04
30
0.05
N 1.0 1.0 20 0.00 20 0.00 20
0.00
I 1.3 1.5 28.3 0.13 31.0 0.12 28.3
0.13
IT 1.3 1.5 28.3 0.09 31.0 om 28.3
0.09
III 1.3 1.5 23.9 0,03
25.7 0.03 23.9 0,03
N 1.3 1.5 15.6 0.00 15.6 0.00 15.6
0.00
I 1.1 2.0 32.5 0.10 35.4 0.09 32.5
0.10
IT 1.1 2.0 32.5 0.07 35.4 0.06 32.5
om
III 1.1 2.0 27.7 0.03 29.6 0.02 27.7
0.03
N 1.1 2.0 18.3 0.00 18.3 0.00 18.3
0.00
Table 4. Range of Dip and Dip Directions to be
considered in Stability Calculations.
Right
River
Side
Range of Dip Direction
11 J2( i ) J2( ii) 13
Range of Dip
11 J2( i ) J2( ii) 13
From 145 260 055 035 50 55 50 25
To 155 270 070 045 60 65 75 35
Table 5. Spacing of Discontinuities as a Function of Rock
Mass Types.
RM Spacing of Discontinuities [meter]
Type 11 J2( i) J2( ii ) 13
1.0 - 5.0 1.0 - 5.0 1.0 - 5.0 1.0 - 5.0 I
0.5 - 2.0 0.1 - 1.0 0.1 - 1.0 0.5 - 2.0 II
0.05 - 0.5 1.0 - 5.0 1.0 - 5.0 0.05 - 0.5 III
spacing negligible
Table 6. Spacing of Discontinuities as applied in Wedge
Stability Analysis.
N
RM Spacing of Discontinuities [meter]
Type
II J2( i ) J2( ii) J3
r
1,2,5 1,2,5 1,2,5 1,2,5
II
0.5,1,2 0.2,0.5,1 0.2,0.5,1 0.5,1,2
III
0.1,0.2,0.5 1,2,5 1,2,5 0.1,0.2,0.5
N
no spacing
The peak and residual shear parameters 9' and c
applied in all open cut and underground wedge stability
analyses are shown in Tables 7 and 8. It has been
suggested that safety factors 7} ... ~ = 1.3 and 7} c = 1.5
shall be used in main stability calculations.
Table7 Peak Shear Parameters on Discontinuities.
Rock
Mass
Type
Safety
Factors
J1(Bedding) J2
Cohes. rp
n [MPa]
J3
rp Cohes.
rJ [MPa]
TJ tan 'P
TjC
rp Cohes.
Li [MPa]
r 1.0 1.0 40 0.60 43 0.55 40 0.60
II 1.0 1.0 35 0.40 38 0.36 35 0.40
III 1.0 1.0 30 0.25 32 0.22 30 0.25
N 1.0 1.0 20 0.05 20 0.05 20 0.05
r 1.3 1.5 32.8 0.40 35.7 0.37 32.8 0.40
II 1.3 1.5 28.3 0.27 31.0 0.24 28.3 0.27
III 1.3 1.5 23.9 0.17 25.7 0.15 23.9 0.17
N 1.3 1.5 15.6 0.03 15.6 0.03 15.6 0.03
r 1.1 2.0 37.3 0.30 40.3 0.28 37.3 0.30
II 1.1 2.0 32.5 0.20 35.4 0.18 32.5 0.20
ill 1.1 2.0 27.7 0.13 29.6 0.11 27.7 0.13
N 1.1 2.0 18.3 0.02 18.3 0.02 18.3 0.02
Table 8. Residual Shear Parameters on Discontinuities
2.4 In-situ stress state and overburden
According to the low tectonic stresses in the project
area, the in-situ stresses are mainly controlled by
overburden and the constraint of the rock mass in depth
expressed with the Poisson's ratio of the rock. Assuming
purely elastic and no time dependent material behaviour
which is most probable for the present rock
especially for the greywacke, the horizontal stresses can
be estimated to
the
mass
K
o
=
__v_
(1)
I- v
where
Ko = in-situ stress ratio
v = Poisson's ratio
In Table 2, v is given in a range of 0.2 < v < 0.3.
This leads to the K
o
values in a range of 0.25 :::;; K
o
:::;;
0.43. As mostly some plastic deformations even in more
or less elastic material are given during rock blasting,
in-situ stress states of Ko = 0.3 and 0.5 have been
applied in the stability calculations.
Contrary to the design criteria the decisive overburden
for the classification of the rock support types(RSn for
the tunnel lining have been contemplated with two
different depths of 100 and 200 m. Regardly the good to
very good rock quality for most parts of the diversion
tunnels, a further subdivision of the overburden will lead
only to negligible effects on the size of plastified areas in
stability calculations. The chosen overburden and resulting
in-situ stresses are listed in Table 9.
Table 9. Vertical and Horizontal Stress-Slate for different
Ko Values.
(J H(ko=O.2) (J H(ko=0.3) aH(ko=O.5) Overburden (J v
[MFa] [MFa] [MPa] [MPa] em]
200 5.20 1.04 1.56 2.60
2.60 0.52 0.78 1.30 100
642
Table 10. Test results of possible content swelling
clay mineral of Bakun shale.
Samples Marked S-1 S-2 S-3
Illite 21 %
21 %
18 %
24 %
16 %
17 %
22 %
13 %
31 %
16 %
22 %
17 %
14 %
30 %
15 %
Chlorite
Plagioclase
Quartz
Siderite
2.5 Mineralogical analyses of bed rock samples for
the swelling effect
Primary questions of this diversion tunnel is
whether the shales are erodable or in other ways
unstable in contact with water. Mineralogical analysis
presented in the Principal Design Criteria indicates
that the shales and mudstones do not contain
swelling clay minerals, smectites. It may, however,
be recommended to recheck some selected samples
from the site.
Three samples were analysed additionally in the
laboratory of the University of Tronheim, Norway
and minerals were observed no traces of smectite
and listed in Table 10.
3. ROCK BOLTS AS A ROCK SUPPORTING
MATERIALS OF THE TUNNELS
In the Principal Design Criteria as well as in the
Original Bill of Quantities fully grouted SN-rock bolts are
proposed to be used for the excavation works. They
shall be of a steel quality Grade 460(high tensile steel
bar, BS) and a diameter of 28mm. In combination with
partial safety factors for the loadand material.
the load 7J L = 1.4 and
the material. 7J L = 1.15
According to BS 8110 and MS146 the permissible
stress (yield stress fy) of. the steel Grade 460 can be
determined to
jy= __IJ-'y'---_
460 _
(2)
1.4 . 1.15 - 285 MPa
7JL'7JM
and the bearing capacity of the rock bolts to be applied
in stability calculations can be calculated to
F
RB
= Iv : A = 285..JL . 28
2
= 175 kN (3)
. 4
Then a rock bolt capacity of FRB = 150 kN = 15 tons
shall be used in stability calculations. Due to the. existing
construction time problems it is foreseen to replace the
fully grouted rock bolts with Swellex rock bolts. In the
following two paragraphs a description and comparison of
both bolting systems will show that the technical
properties of the Swellex system and fully grouted rock
"'"
''''
''''
....
~
]
...
'OIl
'"
""
...
~
'"
DefOClllllIIOll (mm)
Figure 2. Typical Load-Deformation-Curve of a Cement/
Mortar Grouted Rock Bolt.
bolts are similar and in addition to that the Swellex bolts
provide some more advantages over fully grouted rock
bolts.
3.1 Fully grouted rock bolts
Load-Deformation behaviour in Figure 2 a typical load
deformation curve for a cement/mortar grouted rock bolt
is shown. In this Figure one can see the more or less
elastic and strong increase of the bolt load while the
deformation only little increase until yielding of the steel
starts. Following the steel hardens and fail when the
ultimate load is reached. Generally this type of rock bolt
does not slide but is loaded up to failure which occurs in
the shown example between two blocks of rock or in a
joint, etc. at about 180 kN and at a deformation of about
30 mm. Then a sudden drop in the load due to the
failure of the bolt occur, here at approximately 150 kN.
This reflects the typical characteristics of hot rolled rebar
steel subjected to tensile loading, after that the contact
. between bolt and grout will be lost.
The main advantage of fully grouted rock bolts is that
this system provides high load bearing capacity in hard
rock which is not given in the Bakun project. A further
advantage which is often used in discussions is that this
type of rock bolt is a competent and durable reinforce
ment system over year.
Corrosion protection for the use as a permanent rock
bolt system (which is not the case for the Bakun
diversion works as concrete lining will be constructed)
generally the bolts are specified as being double protected
against corrosion which means in most countries.
being made galvanised steel and
being fully grouted in cement/mortar or resin
The problem with this principle is that under site
conditions the quality of installation and the recipient rock
mass do not conform the theoretical assumptions. For
example to be fully encased in cement grout, the bolt
must be centred exactly in the borehole and must not
lean against the borehole wall which is a very difficult
and mostly impossible exercise in practise. Often it can
643
be seen in underground excavations that fully grouted
bore holes act as a part of the drainage system. Further
the support action of a rock bolt is needed when the bolt
is subjected to loading which goes hand in hand with
ground movements and joint openings. But as soon as a
joint opening takes place the steel is exposed to the
ground" water due to the initialized crack in the grout
material. As a result only the galvanized rock bolt still
provides a corrosion protection to the steel.
Shear resistance an estimation of the shear resistance
can be done using the von Mises yield criteria which
represents the material behaviour of steel under multiaxial
loading.
<1
<1
Figure 3. Failure Geometry of SN Bolts as a Combination
of Shear and Normal Stresses.
Table 11. Required Bond Length for fully grouted Rock
Bolts.
(4)
Yielding occurs if the comparison stress (J v is equal
to the yield stress (J y . For pure tension the yielding
occurs in the following conditions.
6y = 6v = f62., = 6
x

(5)
and for pure shear yielding is defined by,
6y= 6v= J3?':cy ~ ,:cy="* = 0.577 . 6y (6)
where (J y is the uniaxial yield stress of steel. In
Equation 6, it can be seen that the theoretical shear
resistance of the massive rock bolts is about 57% of the
tensile strength. If the shear stress takes place
perpendicular to the bolt axis, then this value has to be
taken into account. In most cases, about 80% of the
uniaxial yield stress of the steel" can be considered since
usually a combination of shear and tension is given, see
Figure 3.
Bond length of two areas are critical for the
transmission of the rock bolt forces into the rock mass:
the interface area rock bolt I mortar and the interface area
mortar I rock mass.
The interface area with the lower bearing capacity
determines the required bond length. The transmission of
the bolt forces into the rock mass is done by shear forces
which can be assumed to be constant. "
For the interface rock bolt I mortar the permissible
shear stresses can be chosen equal to the bond stresses
for reinforced concrete bars or beams given in the
German DIN 1045 to 1.8 MPa. As the probability to be
fully grouted is less compared to reinforced concrete
structures, an additional safety factor fb, = 2.0 has been
applied so that the permissible shear stresses are equal to
t per = 1.8 -:- 2.0 = 0.9 MPa.
The permissible shear stress r RM in the interface area
mortar I rock mass has been chosen equal to the rock
mass cohesion which depend on the rock mass type, see
Table 2, then the bond length IB.2 can be estimated to
like this.
I
B

2
=
F
RB
(7)
In Table 11, the bond lengths IB,1 and IB,2 are listed
for a rock bolt capacity of 150 kN and a bolt diameter
Rock
Mass
Type
[-]
Rock
Mass
Cohesion
C
RMr
rMPa]
Rock
Bolt
Capacity
FRB
rMNJ
Bolt
Diameter
dRB
[m]
Borehole
Diameter
daH
[m]
Bond
Length
lB.] IB.2
[m] [m]
Chosen
Bond
Length
Is
[rn]
I 4.00 0.15 0.028 0.0635 1.89 0.19 2.00
II 1.75 0.15 0.028 0.0635 1.89 0.43 2.00
III 1.00 0.15 0.028 0.0635 1.89 0.75 2.00
N 0.35 0.15 0.028 0.0635 1.89 2.14 2.00
of 28 mm. Usually the borehole diameters shall be
approximately twice the bolt diameter that means 56 mm
or 2.0" to 2.5". Here a borehole diameter of 63.5 mm
(2.5") has been chosen for the estimation of the bond
length IB.2 to provide sufficient load transmission and
corrosion protection. Some inherent safety aspects in the
transmission of the anchor forces into the rock such as
have not been taken into account although this might be
a worth mentioning part in the complete shearing and
bonding process.
3.2 Swellex rock bolts
The swellex rock bolts belong to the type of friction
anchored rock bolts and have been developed by Atlas
Copeo between 1977 and 1980. This bolting system
consist of a steel tubular bolt and a high-pressure water
pump with installation equipment for the bolt setting.
The swellex bolt is made from a circular "steel tube,
which has been folded to reduce its diameter. Bushings
are pressed on to both ends of the bolt which are then
sealed by welding. Water is injected into the bolt at high
pressure so that the bolt expand. During this expansion
process the swellex bolt compacts the material surrounding
the borehole and adapts its shape to fit the irregularities
of the borehole. During the expansion process the bolt
shortens in its longitudinal direction, pulls the faceplate
firmly against the rock and causes a pre-tension of about
2 tones. After installation a powerful mechanical interlock
between the bolt and the irregularities in the borehole is
given and a combination of friction and mechanical
interlock is generated throughout the entire bolt length.
A typical load deformation curve for swellex bolts is
shown in Figure 4.
644
Dlsplacesenl (mm)
Figure 4. Typical Load-Deformation Curve of a
Swellex Rock Bolt.
The installation of the swellex bolt is very
simple. It does not require the help of the mining
machinery once the borehole is drilled. This bolt
provides full support action immediately after
installation and borehole diameter is not critical.
We decided to use this swellex bolt as a rock
support of the Diversion Tunnels, significant time
and cost. Cost savings could be realized, using
swellex bolt not only a good technical choice of
rock support, but also a good economic solution.
4. METHODOLOGY OF ROCK MECHANICAL
DESIGN OF DIVERSION TUNNELS
The tunnelling method of River Diversion
Tunnels were recommended by NATM from the
tender design for the following reasons;
Its support system lessens the chance of ground
disturbance at the surface and is varied and flexible
to adapt to changing geologic conditions because
NATM ground support is similar to conventinal
tunnelling systems.
The site tunnelling engineers find them easy to
use. Normally, the tunnel face is always
unobstructed, so excavation productivity is efficient
and precision tolerances of line and grade are
possible. In general, most of the mountainous tunnels
have built other NATM tunnels with good success.
After rock blasting, approximately IO-IScm of
final shotcrete was applied directly behind in place
the steel lattice girder, wire mesh and forepolling
members were installed. Lattice girder is easy to lift,
carry and install in-situ site. One very important
attribute of this girder design is that the shotcrete
completely encases the girder leaving no voids,
making it an important structural component.
This tunnelling method has been defined as a
concept which beneficially alters the stress pattern
around an underground opening under construction,
Table 12. Results of Finite Difference Calculations for the
Diversion Tunnels.
Plastified
Numerical
Aread
Calculation
[m]
RMT II
Overburden 4
200m
Calculated
Maximum Stresses
Deflections
a ',max UeSRock ues/o 1
Roof Wall Floor
[MFa] [MPa] [-I
[mm]
15 8 6 10 100 10
the method and timing of excavation and support
being coordinated to form a load-bearing ring.
When considering a distinct discontinuity system
then besides the shear parameters of discontinuities
have to be applied in stability calculation. In the
area of the diversion tunnels besides bedding Jl two
additional discontinuities J2( i ,ii) and 13 exist but
with a low presence.
Therefore, the rock mass can be treated as
homogeneous and the overall stability of the
diversion tunnels as well as the open cut slopes.
The stability analysis and evaluated rock support for
the tunnels considering all four rock mass type and the
different overburden are presented. The determination of
the rock support for the tunnels based on FDM analysis.
Decisive for the determination of the rock support are
the parameter combinations 7) 7) c '" 1.3 1 1.5 and
ko.Jkc.y = 0.3/0.3 for roof and full excavation. In the
walls a plastified zone of 4m thickness was calculated.
Due to the in-situ stress combination in the roof no
plastification was calculated. But the calculated tension
stresses in the roof after roof excavation and the loosened
blasting zone of 4m thickness was defmed as overstressed
area which has to be supported. The deflections have
been calculated to about ISmm in the roof, 6mm at the
floor and 8mm at the walls. At the edge roof to floor the
stresses for the last excavation step were calculated to (J
1,max = 4 - 10 MPa.
, 1
o aer

Na: '111Gb'. l.r.oGe-G2
I l , ! J ,
o se-a
Bow\dIr'tplO!
JOBllTLf: BAKUN HYDROELECTRIC P
2117/U1I7 00:G5
.tep
.1.000E+Ol 0:< 5..6Ol:Ie+01
a.6OOE+Ol <'1<2.0t!0E+C1
Figure 5. A displacement around the diversion tunnels as
a results of numerical analysis.
645
FLAC (V.rtJ/on 3.30J

stg,pl<ll.ng
l.000E+Ol do< 5.500E+Ol
IUOOE+Ol "YO< -2.000E+01
S....
" BOOE+OB
7.00E+OB
-6.00E+06
S.OOE+06
<IlOClE+OB
.:lOOE+06
200E+06
-1.OOE+06
o.OOE+OO

ContOll'lnt8IVais 100Eo06
., !
Bounciafyplot
DONG-AHCONST.tNO CO. LTO
Figure 6. A maximum principal stress distribution around
the diversion tunnels as a results of numerical analysis.
Table 13. Results of' convergence measurement of rock
type B of diversion tunnels.
Tunnel Direction
Rock
Station
Displacementtrnrn)
Type
B-F A-F A-B
Adit to Outlet B2 1+086 3.03 2.46 3.71
12 Adit to Inlet Bl 0+633 0.93 1.26 1.20
Inlet to Adit BI 0+026 0.10 0.08 0.09
Adit to Outlet B2 1+054 2.24 2.97 2.22
13 Inlet to Adit B2 0+046 5.53 5.15 5.38
Adit to Inlet B2 0+533 1.77 1.96 1.92

-e-A-B
""*""Iace(m)
Eti=jC
-F.D.14
o
00
ODD

s
160
.,
140 CJ
oS
'00 e
100
SO .,
60
.s
40
I:l
10 IS
Cumulative time (days)
..14 1
/
/v
/
/
?
/
,;K
r:
,./
.....-

r-
0 05
14.0
E
.. 12.0
10.0
.,
e a o
.,
" oS 6.0
",
..
is 4.0
0.0
16.0
Figure 7. Results of convergence measurement of rock
type B2(Inlet to Adit) and the results of FDM Analysis.
Therefore the above explained results of the
calculations are summarised in Table 12 and see Figure 5
and 6. The comparison of the rock strength UCSRoclt with
the calculated principal stresses (J t gives a hint of the
bearing capacity of the rock. For RMT II, generally no
stability problems should arise. Considering an usually
lower rock mass strength UCSRM than UCSRock could not
arise stability problems for RMT II.
5. CONCLUSION
The failure of rocks composed jointed rock mass is
usual in most tunnel construction problems. Several kinds
of measurement techniques are applied to accomplish
construction works safely. Thus, before the coustruction
was started, displacement patterns of the rock measures
and axial forces of the rock supports were predicted by
stability analysis using numerical analysis method taking
into account the excavation procedures and distributions of
the rock supports.
The following monitoring measurements was carried
out during excavation of River Diversion Tunnels for the
BAKUN hydroelectric project.
The location of Extensometer measurements and
Convergencemeter, Load cells was changed on the site
during excavation according to geological conditions.
Deformation monitoring results shows the acting
geological conditions of the tunnels are reasonably fresh.
It was cleared that the rock conditions at the site are
somewhat better than anticipated at the design stage
through the analysis of the deformation measurements of
this diversion tunnels(Figure 7 & Table 13).
Through this rock mechanical re-analysis, it could be
possible to reduce the amount of reinforcement in parts of
the concrete lining for the optimal design. Additionally,
this design modification give us the time saving effect to
catch up the construction progress in time.
REFERENCE
BAKUN MANAGEMENT SDN. BHD., KUCHING. 1995.
Privatisation of the Bakun Hydroelectric Project.
Principle Design Criteria & Technical specifications.
E. Hoek, J.W. Bray. 1981. Rock Slope Engineering.
Institution of Mining and Metallurgy, London, 1981.
E. Hoek, E.T. Brown.' 1980 Underground Excavation in
Rock. Institution of Mining and Metallurgy, London.
W. Wittke. 1984. Felsmechanik. Springer Verlag.
B. Maidl. 1988. Handbuch des Tunnel-und Stollenbaus
Band 11. Verlag GUlckauf GmbH, Essen.
W.R. lee & U. Choi. 1994. Optimum support pattern
design of the Tae-Gu Subway Tunnel.' Journal of
Korean Society for Rock Mechanics, Tunnel and
Underground Space. VolA, No.3.
Z.T. Bieniawski, 1984, Engineering Rock Mass
Classification. pp52-69.
646
. d
Hydrapower'97, Brach, Lysne, FlatabJiJ & Helland-Hansen (eds) 1997Balkema, Rotterdam, ISBN90 5410888 6
Stability study of an underground power cavern in sandstone
Weicheng Jin
Tianjin Investigation and Design Institute, People's Republic ofChina
MingLu
SINTEF, Institute ofCivil and Environmental Engineering, Trondheim, Norway
Einar Broch
Norwegian University of Science and Technology, Trondheim, Norway
ABSTRACT: An underground power cavern with a span of 26.2 m is currently under construction in China.
It is situated in flat dipping sedimentary rocks such as sandstone, siltstone, etc. The rock mass is of good or
fair quality based on both the RMR system and the Q system. Numerical study with the Universal Distinct
Element Code (UDEC) has been conducted to assess the stability of the power cavern. The study reveals: (i)
The displacements at the crown are small, but those at the sidewalls are much larger; (ii) Larger loosening
zones are identified at both the downstream and the upstream sidewalls, where both the maximum and the
minimum principal stresses are small. Displacement measurements in several excavated underground caverns
indicate that displacements at sidewalls are larger than those at crowns, which is consistent with the finding
from this UDEC analysis.
1 INTRODUCTION The rock mass is divided into seven formations
fr
t t b tt I T
5-3 T 5-2 T 5-1 T 4 T 3
om op 0 0 om, name y, I , I , I , I' I
The Xiaolangdi Multipurpose Dam Project is located 2, Ttl, and T)2. The rock beds strike 8 degree to the
at the Central China on the Yellow River. It north east and dip at 9.5 degrees to the south east.
comprises a 154 m high rockfill dam, a large
underground powerhouse with six turbine units and
The power cavern is situated in the most favourable
rock formations, T
I
4
and Tt
2
Rock formation T
I
4
is
a total installed capacity of 1,800 MW, nine flood thickly bedded fine sandstone, about 67m in
and sluice tunnels and six power tunnels. The power thickness, while rock formation T13-2consists of
cavern, 26.2 m wide, 61.4 high and 251.5 m long, is siltstone and fine sandstone, 30 m in thickness.
designed to be supported with systematic bolting and Several clay intercalations parallel to the bedding
shotcrete. planes are identified in boreholes and a ventilation
Numerical modelling can be a valuable tool for shaft, of which seven are considered to be vital to
-. the evaluation ofcavern stability. It can be used for stability of the power cavern due to intersecting the
identification of possible stability problems and cavern. The clay intercalations are filled with clay
verification of rock support design. Numerical and other soft materials, which thickness varies from
modelling is normally the best way for predicting 1 to 20mm.
displacements and stress distribution in the rocks In addition to the bedding planes, four sets of
surrounding the cavern. UDEC is adopted in the joints are mapped in the power cavern area, dipping
numerical analyses. It is a two-dimensional at 75 - 84 degrees. The persistence of joints is
numerical program based on the distinct element generally low, of the order of less than 50 em
method for discontinuum modelling. vertically. Joint planes are mainly rough and planar
(YRCC 1994b & Zhang et al 1993).
1.1 Site geology
1.2 In-situ stresses
The power cavern at the Xiaolangdi has a rock cover
.' of75 - 95 m. Over the rock beds there is a soil layer, The in-situ stresses in the power cavern area were
10 - 20 m thick. The rocks are mainly unweathered measured by both the overcoring and the hydraulic
. sedimentary rocks, i. e., sandstone, siltstone, fracturing methods. The measurements indicate that
claystone and mudstone. No significant faults or (i) the major principal stress is approximately
crushed zones are found near the power cavern. identical to the gravitational stress; (ii) the minor
647
principal stress conforms with the horizontal stress
and is about 0.8 times the major principal stress
(YRee 1994a).
1.3 Rock mass classification
The classification index of the rock masses is
estimated 52 - 64 based on the R.MR system and 8.3
- 12.6 on the Q system. The same conclusion has
been reached based on both systems that the rocks
above the ground water table are of good quality and
the rocks below the ground water table are of fair
quality. The ground water table is approximately at
the middle height of the power cavern (YRee
1994b).
2 NUMERICAL MODELLING
On the downstream side of the power cavern there is
a transformer chamber and a gate shaft. These two
caverns are connected to the power cavern by bus
tunnels and tailrace tunnels respectively. The caverns
are orientated at 10 degrees to the north west to
avoid being parallel to the third and the fourth joint
direction. The axes of the caverns have an angle of
30 degrees with the predominant joint set (striking
20 degrees to the north east), and an angle of 18
degrees with the bedding planes (striking 8 degrees
to the north east). As the horizontal in-situ stresses
are nearly isotropic and not high, these have little
impacts on selecting the axes of the caverns (YRCC
1994a).
Three models were set up, the first with 75 m of
rock cover, as Shown in Figure 1; the second with
T,'
T,'
I
25
l200
I
,
~ 1 0 0
i
l'
~ 0
Note: '" Fictious joint f
# Formation interface
'-100
I i I.' I I ' I ,
125 225 325
Figure 1. Model geometry without clay
intercalations
200
~ 100
f'
r
To'
L
[ 0
Note: * Fictiousjoint
# Formation interface
l
Clay intercalation
-100
25 125 225 325
Figure 2. Model geometry with clay intercalations
75m of rock cover, including seven clay
intercalations, see Figure 2; the third with 115m of
rock cover, to represent different overburden. For
simplicity, flat ground surface is assumed in all cases.
The major problem in modelling the rock mass
around the caverns is to realistically account for the
joint system. In the project area, joint spacing,
persistence and shear strength vary considerably from
formation to formation. Since it is impossible to
include an geological details, the models are
simplified to represent the most important features.
The models consist of seven rock formations.
Different input parameters are taken for each
formation, as shown in Table 1. The steeply dipping
joints are generally confined within the formations
and with low persistence and rough planes, thus, the
joints are not included in the models. The input
parameters ofjoints are listed in Table 2.
UDEC, a two-dimensional distinct element program,
is adopted in the numerical analyses. The excavation
of the power cavern is modelled by five stages. The
equilibrium of the models is reached first, under the
Table 1 Input parameters for rock masses
Formation Young's Poisson's Friction Cohesion
modulus ratio angle (MFa)
(GPa) (degrees)
Tt
3
12 0.22 42.3 0.5
Tt
2
14 0.21 43.8 0.6
Ttl 11 0.24 33.8 0.2
T(4 15 0.20 45.6 0.6
Tt
2
13 0.22 41.0 0.4
Ttl 14 0.21 42.6 0.5
T
l
2
13 0.22 41.0 0.4
lit The d e n s i ~ for all the formations is the same,
2610 kg/m .
648
____________________________d
1
!;
,: Table 2 Input parameters for joints
Joint Friction Cohesion Normal Shear
f angle (MFa) stiffness stiffuess
(degrees) (GPalm) (GPalm)
I. -:::-_---:__
i Formation 33 0.05 30 10
i interface
Clay 14 0.005 3
1 intercalation
165
145
125
105
; Displacment vectors
tE.
: Maximum = 1.744E-02
. Figure 3 Displacement pattern for model I
in-situ stresses. The power cavern is then excavated
. in stages and the models are set to equilibrium state
I: after each stage of excavation. In this way, final
; solution is reached after the whole cavern is
, excavated.
MODELLING RESULTS
; The displacement pattern of the power cavern for
{ model I is shown in Figure 3. Table 3 summarises the
i. maximum displacements at both crown and sidewalls
.. ' for the three models. The maximum crown
'; subsidence is 3.0, 7.5 and 8.8 mID, respectively, while
ii the maximum sidewall displacement is 17.4, 21.1 and
;. 30.9 mm. The real displacements are expected to be
.'. within the range mentioned above. In all cases the
I'; displacements at the sidewalls are much larger than
I; those at the crown. There are probably three causes
f
y
for the larger displacements at the walls. First, the
: height of the sidewalls is larger than the span of the
power cavern; Second, the crown is a self-supporting
J: arch, but the sidewalls act like a beam and a loosened
exists at each sidewall; Last,' the shear
l;deformation along the flat dipping formation
{interfaces increases the horizontal displacements.

Table 3 Results from the UDEC modelling
Model Stress (MFa) Max. displacement (mm)
Max. Min. At crown At wall
1 0.34 -7.82 3.0 (2.6) 17.4 (6.9)
II 0.37 -8.37 7.5 21.1
III 0.40 -9.39 8.8 30.9
* Positive stresses indicate tension, negative stresses
indicate compression.
* The figures in brackets represent the
displacementsin the third stage of excavation.
135 155 175 195
Principal stresses
Maximum = -7.815E+06
Minimum = 3.427E+05
Figure 4 Principal stress distribution for model I
According to the results from model I, as the bench
excavation is going on, the displacements at the
sidewalls increase considerably, but those at the
crown remain almost the same. When the clay
intercalations are included in the model, the
subsidence at the crown is doubled, the deformation
at the walls also increase, but not as much as that at
the crown.
Figure 4 illustrates the stress redistribution f
model I after excavation. Stress concentration is
present over the crown of the power cavern, where
the horizontal stress increase considerably while the
vertical stress decreased. However, the magnitude of
the maximum principal stress, 8 MPa, is relatively
small, compared with the strength of the intact rock.
Plastic yield is not likely to occur over the crown,
only local instability is expected.
At both the downstream and the upstream sidewalls,
especially at the protruding comers, both the
maximum and the minimum principal stresses are
small. It implies that the rock blocks in these areas
are loosened and probably tend to fall down under
the gravity force or mechanical disturbance. To
649
I
prevent the rock blocks from falling, rock bolts shall Table 4 Measured displacements
be anchored beyond the loosened zones, i.e., longer
rock bolts are required for the sidewalls.
The results from the model with the clay
intercalations are also shown in Table 3. Due to the
clay intercalations, the displacement at the crown is
doubled, while the displacements at the walls also
increase, especially at the downstream sidewall.
However, the displacements at the walls are still
much larger than those at the crown. A yield zone
penetrating the bottom of the power cavern and the
transformer chamber was observed. It may be
concluded that the stability of the sidewalls,
especially the downstream wall, is more critical than
the crown, no matter the clay intercalations exist or
not.
A model with 115 m of rock cover was run to
represent the maximum overburden. Compared with
the results from model I, both the stresses and the
displacements increase, see Table 3. It is most
probably caused by the higher in-situ stresses.
4 N1EASURED DISPLACEMENTS IN OTHER
PROJECTS
The cavern is still under excavation, it. is not yet
possible to verify the numerical prediction from the
UDEC analyses at present. However, it is of great
interest to compare the predicted displacement
pattern with those measured in some completed
projects. .
Measured displacements in several similar projects
are shown in Table 4 (Brach, et al 1996, Cao 1992,
Divatia et al 1992, Fu et al 1991, Kao & Lee 1991,
Liu IS? Peng 1992 and Moy & Hoek 1989). The
maximum displacements at crowns vary from 7.5 mm
to 80 mm and those at sidewalls change from 30.5 to
140 mm. The measurements indicate that the
displacements at sidewalls are larger than those at
crowns, that is consistent with the conclusion found
by the UDEC analyses.
At the Chamera project in India, the power cavern
is 24.5 m wide and 31.6 m high, the height is 1.3
times of its span. Rock surrounding the power cavern
is fine grained metamorphosed andesitic basalt. Shear
seams exist in intervals of 2 - 4 m and with thickness
of 1 mm to 10 em, filled with clay and rock
fragments. Initially, for the crown, 6.0 m long and
25mm diameter bolts on 1.5 m square grid were used
as primary support while 10.5 m long and 51 mm
diameter hollow core anchors were used as
. secondary support; before excavation, 7.5 m long
and 25 mm diameter rock bolts were selected for the
walls. During excavation, cracks in the shotcrete on
both sidewalls were found. Cracking on the
downstream wall was more pronounced in the rock
mass between the bus openings, this indicates
overstressing of rock pillars between these openings.
Project Rock type Cross Max.
section displacement
(WxH) ~ ( m m ; - - , ) , - - - : : : : - : - __
(m) Crown Sidewall
Chamera basalt 24.5x31.6 80 140
(India)
Dongfeng limestone 21..7x48.0 7.5
65.4
(China)
Gjevik gneiss 61.0x24.1 7
(Norway)
Lubuge dolomite 19.0x38.4 9.2
30.5
(China)
Mingtan sandstone 22.4x46.0 70
100
(China)
Xiaolang- sandstone 26.2x61.4 3-9*
17-31*
di (China)
* Predicted values from the UDEC analyses.
Additional rock bolts were, therefore, provided at
both sidewalls of the cavern, the length of rock bolts
was changed from 7.5 m to 10 - 12 m and the
diameter of bolts was increased from 25 mm to 35
mm. Additional reinforcement was also provided for
the rock pillars between the bus shafts, draft tubes
and penstocks (Divatia et al 1992).
At the Mingtan project in Taiwan, China, the power
cavern is 22.4 m in span and the height is about 2 .
times of its span. Several larger faults were identified,
with the maximum width of 5 m. The common
feature observed for all these faults was the presence
of continuous clay filled bedding planes, with the
thickness from a few mm to 20 em and the spacing
from 20 em to 100 ern. The faults and clay seams are
parallel to the bedding planes, which dip at 35
degrees and strike directly across the cavern. In
addition, two sets of joints were identified in the
cavern area, i.e., the longitudinal joints and
transversal joints. Due to the difficult geological
conditions, the roof of the cavern was pre-reinforced
with 50 T anchors installed in spacing of 2 m. The
rock supports at the sidewalls consists mainly of
cables and rock bolts. The length of the cables varies
from 11 m to 16 m. The maximum displacement at
the crown, 70 mm, happened near a big fault.
Additional cables, 8 - 12 m long and 60 T capacity,
were installed adjacent to most of the faults prior to
benching. The measured displacement, 100 mm,
occurred at the upstream sidewall adjacent to another
large fault and approximately at the middle height of
the cavern. It was believed that yielding occurred at
the sidewall near that fault. To prevent further
deterioration . high capacity extra cables were
installed in that area. Shearing movement along
faults and bedding planes was considered to be the
main factors which influence the stability of the
cavern (Moy & Hoek 1989 and Kao & Lee 1991).
The Gjevik Olympic Mountain Hall has a rock
650
, . _ . ~
cover of 20 - 50 m and a span of61 m. This is by far
the largest span ever used for a cavern that is open
for public use. Measurements showed that the
horizontal in-situ stress ranges from 3 MPa to 5
MPa. After excavation, the observed maximum roof
deformation is 7 mm. The favourable horizontal in
situ stress, about 3 - 5 times of the vertical stress,
was regarded as the main factor for the small roof
deformation. However, it is interesting to observe
that the instrumented, fully grouted rock bolts in
most cases show very low to zero load; and
furthermore, that when load build up occurs, it is in
the lower end of the bolt, i.e. close to the cavern
surface. This clearly indicates that the roof is an
overall self-supporting structure because of the
favourable horizontal stress. The observations also
indicate that the need for the 12 m long grouted
cables is questionable. It is believed that in a rock
t mass such as the gneiss in Gjevik, grouted rock bolts
with lengths of 3 - 4 m set in a pattern of 2 -3 m
together with 100 mm steel fibre reinforced shotcrete
will do the supporting job, even for spans of 50 - 60
m ( Broch et al 1996).
5 CONCLUSIONS
Numerical modelling is a valuable tool for assessing
the stability of underground cavern and revealing the
, mechanisms of possible instability. From the
., numerical study with UDEC, the following may be
concluded:
1. The crown of the power cavern is generally
stable. Plastic yield is not likely to occur, only
local instability is expected. Therefore, heavy
rock support for the crown might not be
necessary.
2. A loosened zone was identified at each sidewall.
To prevent the rock blocks from falling down,
longer rock bolts are required.
3. The maximum displacements at the crown should
be expected to be within the range from 3 mm to
9 mm, while those at the sidewalls from 17 mm to
31 mm. The sidewall stability of the cavern are
more critical than the crown.
ACKNOWLEDGEMENTS
This paper is based mainly on the senior author's M.
Sc. thesis, submitted to the Department of Geology
and Mineral Resources Engineering, the Norwegian
University of Science and Technology (NTNU). The
thesis was carried out in the first half of 1996 by
Weicheng Jin and supervised by Professor Einar
Broch and Dr. Ming Lu. Weicheng Jin was
supported by a fellowship from the Norwegian
Agency for Development Cooperation (NORAD)
during the study. The authors are grateful to the
Yellow River Water and Hydropower Development
Corporation, P. R. China for having received
permission to publish this paper.
REFERENCES
Broch, E. et al 1996. Support of Large Rock Cavern
in Norway. Tunnelling and Underground Space
Technology, 11:11-19.
Cao, P. 1992. Design of Dongfeng Underground
Power Station. In Broch, E. & Lysne, D. K.
(eds), Hydropower'92, Lillehammer, Norway:
43-49.
Divatia, E. et al 1992. Underground Power House
Complex of Chamera Hydro Project. In Broch,
E. & Lysne, D. K. (eds), Hydropower'92,
Lillehammer, Norway: 69-76.
Fu, B. et al 1991. Case History of Rock Caverns on
the Lubuge Hydro-project. In Wittke, W. (ed),
International Congress on Rock Mechanics,
Aachen. Germany: 2: 1105-1108.
Kao, C. Y. & Lee, H. J. 1991. Sidewall Behaviour of
Mingtan Power C un during Construction. In
Wittke, W. (ed), International Congress on
Rock Mechanics, Aachen, Germany: 2: 1139
1142.
Liu, Y. & Peng, S. 1992. Prediction for Field Stress
and Stability of Underground Caverns. In
Broch, E. & Lysne, D. K. (eds),
Hydropower '92,. Lillehammer, Norway: 159
165.
Moy, D. & Hoek, E. 1989. Progress with the
Excavation and Support of the Mingtan Power
Cavern Roof. In Malone, A. W. & Whiteside P.
G. D. (eds), Rock Cavern - Hong Kong: 235
244.
UDEC Manual 1993. version 2.0, ITASCA
Consulting Group Inc., Minnesota, USA.
YRCC 1994a. Rock Support Design of Xiaolangdi
Underground Powerhouse. Yellow River
Conservancy Commission, P. R. China.
YRCC 1994b. Geology Brief on Xiaolangdi
Underground Powerhouse. Yellow River
Conservancy Commission, P. R. China.
Zhang, Q. et al 1993. Numerical Model Study on the
Stability of the Xiaolangdi Underground
Powerhouse (in Chinese). Yellow River, July,
1993.
651
Hydropower'97, Broch, Lysne, Flatabe& Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN905410888 6
Modeling and back analysis for a large scale underground powerhouse
complex
Zhong-Kui Li, Ai-MinWang & Xing-HuaMuo
Hydraulic Engineering Department, Tsinghua University, Beijing,People's Republic of China
ABSTRACT: In this paper, the basic concepts and methods of the so called Time/Space Double Series
Back Analysis on underground power house complex are presented. The back analysis method is imple
mented in a C++ program. A largest underground hydro-power station in Asia as well as in China and its
monitoring instrumentation system are introduced. The stability of the chambers of the powerhouse com
plex is studied by using the numerical back analysis program combined with a non-linear FEM stress
analysis program NAPARM 96. Results ofthe numerical back analysis are compared with the monitoring
data, and show a good coincidence. Some suggestions to the stability of the underground openings are
also given.
KEYWORDs: Time/Space Double Series Back Analysis, Underground Power-House Complex, Con
struction and Monitoring
1 ro A lARGE UNDERGROUND The powerhouse complex consists mainly three
roWEROOUSE AND ITS SYS large chambers, that is, Machine Hall (LxWxH:
1EM 246mx26/31mx66m), Transformer Cham
ber(LxWx H: 251mx18.3mx25m), and down
Ertan Hydropower Project is the largest under stream tailrace Surge Chamber (LxWxH:
ground hydroelectric power station in Asia, as 203mx20mx71m). Fig.1 shows the plan of the
well as in China until now. With an arch dam of Ertan underground powerhouse complex. Associ
240 meters high and a reservoir of total storage of ated with other openings, such as bus-bar gallery,
t 5.8 billion cubic meters, Ertan Hydropower Proj tailrace pipe, tailrace tunnel, access tunnel, pen
1', ectis located onYalong River(CHIDI, 1990). It is stock shaft, grouting tunnel, drainage tunnel and
a large of Jinsha. River,. the of
so on, the powerhouse complex forms a very
,;: Yangtze, ID SouthwestChina's Sichuan Province, , complicated underground system. Fig.2 shows the
'! The total capacity of power production ofthe pro perspective projection ofthe project complex.
t ject is 3300MW, with six units ofFrancis type All the chambers,associated with other tunnels
r and 550MW capacity for each. The annual elec and auxiliary openings, are deeply located in the
t tricity output is about 17 billion KWH.
Fig.2 Artist's view of the Ertan underground power
housecomplex '
653
....-.1
]
u '"

-y
e E
I
surge chamber
I
B'iI
transformer chamber
I
A
Ii
M
K
I
powerhouse

F G
drainage-
I M
B e
gallery D
E
]
Fig. 3 The plan ofthe monitoring system
a
'"
'"
Table 1. Main joints in the rockmass
Joint No. strike of joints dip direction dip angle
1 NE300-50 NW 60_80
2 NW40-60 NE 60_70
3 EW S 25_30
intact syenite and basalt rockmass of the left bank
of the Yalong River. Within the rock mass, three
main sets of joint and very high initial field stress
are predominated. Table 1 shows the main fea
tures of the joints.
It is noticed that the dip angles ofjoint set No.1
and No.2 are unfavorable for the stable ofthe high
side walls of the powerhouse.
The three main chambers are parallel, with the
axes direction of NW6. The angles between the
axes and the major principal stress in the field and
the strike of the major joints are 24 - 44 and
50 - 80, respectively.
Since the scale of the powerhouse complex is
very large and complicated, and the initial stress
in the site is considerably high and unpredictable,
it is of very importance to ensure the stabilityof
the surrounding rock mass of the caverns in the
operation period, as well as during the construc
tion. Following the concept of the so-called
NATM, a monitoring system wit;h instruments
mainly multipoint extensometers and rock-bolt
. stress meters is designed and installed, in order to
monitor the displacements in the rock mass and
the stress of rock bolts and anchors. Fig. 3 shows
the positions of totally 12 observation cross
sections marked with A, B, C,....L and K, Fig. 4
shows a typical arrangement of the instruments
within one observation cross-section. Anchor ten
sion tests, ultrasonic tests and field stress meas
urement in the carverns are also carried out fol
lowing the excavation procedures.
Each multipoint extensometer is 20m or 30m
powerhouse--- ------- - - - -
""- ,. - - - - - - - - - - --
Fig. 4 Atypical observationsectionC
wi!h 4 points, that is, Fixed
pomt(deep mto the rock mass), head point(near
the rock surface), and other measuring points in
between. All the observation sections and instru
ments formed a monitoring network in the under
ground space of the project. After the installation
of each instrument, 5 initial readings at intervals
of 15 minutes should be taken, at 6 hours intervals
within 5 days, during the period of 6th to 30th day
after the initial reading, each instrument will be
read every 12 hours.
The information obtained from each instrument
and at each observation time interval provides the
foundation of the modeling and back analysis for
the large scale underground powerhouse complex.
2 NUMERICAL INVERSE ANALYSIS AND
BACK ANALYSIS
Numerical inverse analysis is based on the inverse
transformation of the system equation of nu
merical analysis. The idea of using inverse analy
sis method in rock mechanics may be found early
in the papers given by Kavangh(1973), Gioda, )
Maier (1980) and others. In 1983, Prof. Sakurai of
j
Kobe University, Japan, advanced the FEM in
J
j
verse analysis method for the linear elastic mod
ules and initial stress field. Recent years inverse
methods for non-linear analysis are also devel
oped.
For general case, the following simplified
model can be used to illustrate the relation be
tween the mechanical parameters of numerical
positive and inverse analysis:
geometry{x,,},
rnalerial

inilialJboundaJy{oo,
Uo},{Fo}
654
In practice, since the structure of the rock mass,
the material properties and the stress field, where
,the project located, are very complicated, it is
usually quite difficult to determine the parameters
given in the left side box above. Especially, most
, tunnels and large chambers are located under
ground deeply inside the rock mass, pre
exploration surveying and laboratory tests are too
expensive to carry out for getting enough infonna
tion about the rock mass structure and parameters
necessary for the optimization of the underground
power house design.
Therefore, people are paying more and more at
tention to the so-called 'information based design'
(pan, 1994), the conception of which is described
as, based on the information (displacement and
stress distribution in the surround rock mass of the
openings) obtained from the monitoring system
during the construction, the revision and correc
tion to the original design of the underground
chambers could be made by feeding back the new
information and parameters to the input data for
FEM analysis or other numerical method. This
revision and optimization procedure can be re
, peated time after time following the entire period
of construction of the chambers. Moreover, the
monitoring work is done synchronous with the
excavation, so that the amount of work and the
expense are much less than the pre-exploration
work before the construction process. Conse
quently, the conception of "information based de
,', sign' for under ground structure is more and more
acceptable.
Inverse analysis is different from the Back
analysis, though sometimes people may confuse '
them. For inverse analysis, the observed informa
tion is treated as the input data of the inverse sys
, tern equation, by solving the inverse system equa
tions, the initial stress components in the field or
the material parameters can be obtained. However,
, for obtaining the inverse system equation, one
must simplify and modify the structural features
, of the rock mass and the material properties to
, great extent.
But for back analysis, it is not necessary to
simplify or modify the structural features of the
, rock mass and the material properties at all, and
, no change to the system equation of the numerical
, model. The observed information is treated as
'Feed Back data' for comparison with the results
of numerical analysis, instead of 'input data'.
Through the establishment of the objective func
tion, by using the iteration and multiple variable
optimization method, the, optimum values of most
,parameters of both materials and engineering con
, struction can be obtained. The obtained parame
ters can then be used for the revision and im
provement to the original design, such as excava
tion procedure and support system.
For solving the practical problem in under
ground engineering, back analysis method pos
sesses extensive adaptability considerably com
pared with inverse analysis. The method is based
on the well developed numerical theory and opti
mization theory, and can be used for complicated
geological condition and non-linear problem. The
shortage of the method is resulted from the itera
tive computation and great CPU time consume.
However, following the rapid development of the
modem computer, it is getting to be not a serious
problem.
3 OBJECTIVE FUNCTION AND OPTIMIZA
TION OF BACK ANALYSIS
Back analysis is the combination of computational
mechanics and operational research. To obtain the
better results of back analysis, it is of importance
to select the objective function and optimization
method, besides the numerical modeling(Gu, et al.
1994).
3.1 Selection of objective function
Normally, the displacements of the excavation
surface and surrounding rock mass of the tunnels
and chambers are much easier to measure and
more accurate than other physical parameters.
Therefore, in most cases, displacement is usually
chosen as the objective function. With the same
consideration and taking the time factor of exca
vation into account, by the means of least square
method, the objective function is established as
the following:
(1)
(2)
xl, x2, x3, .... xj, ... are all the displacement
function variables, such as E, v, c, cjI, 0'0, t...etc.
U/"'(t) is the measured relative displacement
from certain measure point to Fixed point of the
ith multipoint extensometer, in the' period of from
the initial installation time to the current observa
tion time t.
ut (I) is calculated relative displacement re
sults under the same condition as U/'" (t) .
m is the total number of the samples.
In theory, when the point" of J(t) = 0 is
reached, in other words, that is U/"'(t) = ut(t),
655
then the input parameters are the best selection
and the goal of back analysis is obtained. But ac
tually, we can only try to found the minimum
valueof J(t), i.e., when al(t) = 0, J(t) may be the
a;
minimum value, and the relevant Xi may be the
one of the best selection of parameter L
The least error probability P of the posterior
method is chosen as the standard of the evaluation
of objective function extremum:
p ={lEO (i) - < 0.6745s
1
}
(3)
where, Eo(i) = KU
m
(i)- uc(iJu
m
(i)\ (4)
Here, the calculation of the error between the
observed values of displacement and the results
obtained by numerical analysis is different from
the general method. A new conception of so
called UODE(unit observation deformation error)
EO(i) is adopted in the present papenformulaf-tj).
In this way, the deformation sensitivity at different
positions around the chamber can be reflected in
the calculation.
According to the standard of posterior prob
ability evaluation, only if P value is larger than
0.80, the back analysis results can be considered
as good and acceptable. In present paper, the for
mula(1) is taken as the objective function, and
fonnula(3) is taken as the judgment to the least
error probability. The two conditions must be sat
isfiedat the sametimefor the backanalysis.
3.2 Optimization method
PatternSearch (Murray, et al.) Method is adopted
for the optimization of the non-conditional extre
mum of the multiple variable displacement objec
tive function.' Taking the initial stress field back
analysis as an example, the procedure of Pattern
Search Methodalgorithm can be statedas follows:
(l) Chnie 'lu:iepcit' as x(O) = }
setstep number k as: k=O;
(2) Searchingthe 'better point': .
The 'better point' ofk step and the local search
for first variable is
X
Ck)
- X(k) he
1 - I-I 1
(5)
where el is the unit vector of the first variable
Searching alongthe positive direction, we have .
X(k) - X(k) + he
I - 1-1 1 (6)
If < is obtained, the searching is
successful, then this point can be taken as the
starting point of searchingthe better point for the
1+1 variable; otherwise along the opposite direc
tion:
X(k) - X
Ck)
- he
I - I-I I (7)
If f(xi
k)
< is true, the searching is suc
cessful, then this point can be taken as the starting
point ofsearchingthe better point for the 1+1 vari
able; and set 1:=1+1; if searching fails in both
direction, then go back to the original point, and
set 1:=1+1, then:
X
(k) - X(k)
I - H (8)
After all variables were searched, the kth step
is finished, the better point for kth step then could
be foundas The variationof all variables then
form a Pattern.
(3) PatternAcceleration.
Set X
Ck+l
) == if X(k+l) '" X(k), thenfollowing
the variable pattern obtained in procedure (2), the
searching action is moved to a new position
here
(9)
There are two situations may occur:
CD If the better valueof is found, then
set k:=k+1, takingthe sameprocedure of (2) fora
newsearching;
a> If no better value of f( is found,
then omit this acceleration, back to the better
point last time, i.e., = X(k+l), set k:=O again,
following procedure (2) and starting a new local
searching.
If no better point is found by the accelerated
searching, then the step length h carl be reduced
and repeatthe procedure (2), until the best point is
obtained.
656
"'
.
,j
4 SPACE I TIME DOUBLE BACK ANALYSIS
FOR UNDERGROUND POWERHOUSE
COMPLEX
Following the conception and method introduced
above, by using Borland C++ language, a back
analysis controlling program BAOPT was com
pleted. Borland C++ is powerful and convenient
in controlling and combining other program writ
ten in other language, as well as the data transfer
among all the programs involved. The working
program for the numerical modeling of the under
ground powerhouse complex and the construction
procedure is the NAPARM'96, a Non-linear
Analysis Program for Anisotropic Rock Mass(pei,
& Li, 1994), programmed by the Hydraulic Engi
neering Department, Tsinghua University. By
means of BOAT and NAPARM'96, the back
analysis for the initial stress components in the
field, and the excavation and supporting works of
each construction step can be fulfilled. .
The work of the back analysis for the whole
underground project, including the main power
house, the transformer chamber, the tailrace surge
chamber, the bus-bar gallery, tailrace tunnel and
access tunnel, and for the whole construction pe
riod, needs to be carried out longer than two
years(Li, et al.). Now the work is still under go
ing. Multiple caverns, multiple sections and mul
tiple observation points in space are taken into
consideration in the analysis. Analysis is also
taken for most construction steps to examine the
.stability of the surrounding rock mass under exca
vation.
Taking the back analysis for the initial stress as
an example, the results show that the method and
the program is reasonable and reliable.
The measured stress components are taken as
the base point:
{ } ={1972. 2518. 255.} (fhn
2
) ,
by using the program BAOPT and NAPARM'96,
through more than 300 times of iteration and op
timization process, the following new field stress
components are obtained
2
{U.. o y 1".xy} ={2102. 2596. 265.} (T1m) .
Taking the new values of the field stress com
ponents as the input data and re-computing the
displacements of the underground chambers and
tunnels, comparing the displacements with the
observed data from the monitoring instruments,
the results are illustrated in the Table 1 as follows.
The Table 2 shows that the two results obtained
from calculation and observation are coincide, and
. Table 2. Comparison of the displacements (computed)
resulted from different field stress conditions with the
displacements (observed) by multipoint extensometer
(unit: mm)
Position PHM
Sa
PHM6 PHM7 PHM8 PHM9 PTC3
Observed
values
16.0 6.15 1.10 1.30 1.92 0.70
computed
values (1)
14.42 8.26 2.84 0.76 2.22 0.24
computed
values (2)
15.46 5.27 1.13 0.07 1.76 0.77
Note:
1. Computed values (l) are based on the origional field
stress, computed values (2) are based on the newly
determined field stress by back analysis method.
2. PHMx means that the extensometer is installed in
the Main Power house.
3. PTCx means that the extensometer is installed in the
Transformer Chamber.
the least error probability is equal to 0.8333. Fig.
5 shows the comparison results of multipoint ex
tensometer PHMI5, which is used as a check to
the field stress components obtained by the back
analysis. It proved that the result of back analy
sis is reasonably correct.
5 CONCLUSIONREMARKS
1. Since the rock mass and the underground engi
neering is very complicated, there are a lot of un
certain factors or unpredictable parameters within
the rock mass and in the engineering activities.
Therefore, the optimization of the design and con
struction can never be stopped before the project
completion.
o
Q.5
3.5 . -o-Calculationfr----i
-e- Measuring
E 2.5
.s.
;2
w
.J
1.5
CIJ
2 3 4 5 o
EXCAVATION STAGE
Fig. 5 Comparison for the displacements calculated and
measured at multipoint extensometer PHM15
657
2. The instrumentation and monitoring for the
construction period and the operation time are of
necessity and importance. Based on the site ob
servation, back analysis, combined with monitor
ing in time, is playing a key role to the stability of
the underground chambers and to the revision and
optimization of the original design, people need to
pay more attention to it.
3. The results obtained from the back analysis
to the power house complex of the largest under
ground hydropower project proved that, the prin
ciple and method introduced in present paper is a
feasible and effective way of carrying out the in
formation back analysis.
4. The new field stress values obtained from
the present work are proved by the observation
data and can be used for the further modeling and
analysis to the following construction activities
and the stability of the chambers in the long run.
S. Comparing with the original field stress
given by geologist, the horizontal stress compo
nent value of the new field stress by the back
analysis increased more than the vertical one, it is
certainly unfavorable to the high sidewalls of the
chamber.
6. The back analysisresults showthat, asto the
largest underground hydropower project in China,
the construction activities affect the deformation
and stability of the chambers of the powerhouse
complex much more seriouslythan the inaccuracy
of the initial field stress. Poor excavation quality
is more dangerous.
REFERENCES
Bronshtein, I. N., Semendyayev, K. A. 1979, Handbook
of Mathematics, Van Nostrand Reinhold Com
pany.
CHID!, 1990, Design Report of Ertan Hydropower
Project, (Vol. 1-5). CHIDI. Chengdu, China
Gu, Z.Q., Peng, S.2., andLi, Z.K., 1995, Underground
Engineering, Tsinghua Univ. Press. Beijing,
China
Li, Z.K. et al., 1996, Scientific Research Report of
Back Analysis on the Underground Powerhouse
Complex of theErtan Hydropower Project(Vol. 1
4),Hydraulic Eng. Dept., Tsinghua Univ.
Murray, W., (00.), Numerical Methods for uncon
strained optimization, Academic Press, London
Pei, J.M. , Li, Z.K., 1994, Manual of NAPARM
(VERSION 94), Scientific Research Report of
Hydraulic Eng. Dept., Tsinghua Univ., 1994.7.
,,,,,,, ..
'''l
,
~
j
Pan J.Z.,. 1994, Rock Mechanics and Back Analysis,
Design of Hydropower Station, Vol.lO, No.3.
Sakurai, S., 1984, Displacement Measurement related
totheDesign of theUnderground Openings, 1984
6. (translated intoChinese) ,
Yu, X.F., Zheng, YR., Liu, H.H. andFang, Z.C., 1991
Stability Study on the Rock Mass of the U n d e r ~
ground Engineering, Coal Mine Industry Press.
658
-
Hydropower'97, Broch, Lysne, Flatabe & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN 90 5410 888 6
Headlosses due to air pockets in hydropower tunnels
Einar Tesaker
SINTEF Civil and Environmental Engineering, Trondheim, Norway
StaaleLunde
Elkem Saudefallene, Sauda, Norway
ABSTRACT: Intrusion of air into hydropower tunnels is known to be the cause of several problems, e.g.
head losses, explosions due to escaping compressed air, and nitrogen pollution. This paper concentrates on
the head loss problem. The triggering example is a tunnel where the total head losses exceed expectation by
about 10 m. Hydraulic analysis indicate that a 5 km long, nearly continuous air pocket may form in the
tunnel during steady operation of the power plant. Field investigations have shown that air pockets indeed
exist, but so far only some of the excess head loss seems to be caused by the air pocket. The rather simple
steady case in question has been supplemented by an analysis of unsteady operation of the power plant,
coupled with more marginal intrusion of air, and taking the ability of the water to absorb or transport air
away from the pocket.
1 INTRODUCTION
Intrusion of air into hydropower tunnels is known to
be the cause of several problems, e.g. head loss,
explosions due to escaping compressed air, and
nitrogen pollution.
This paper concentrates on the head loss
problem. Good evidence was found to believe that a
nearly S km long air pocket was the main cause of
.. observed excess head losses in the feeder tunnel of
the Sauda III power plant. A field investigation in
order to ascertain whether the calculated air pocket
indeed existed, and to find methods for controlled
release of the air is in progress. So far only' some of
the excess head loss has been found to result from
released air pockets in the tunnel.
The case in question is a rather simple one, since
steady operation of the power plant is the normal.
Rather long periods with almost certain airintrusion
through two inclined shafts collecting small
tributary discharges, seem sufficient for creating and
maintaining the air pockets. Due to the fairly steady
operational conditions, adverse effects in addition to
the observed head losses have so far not been noted.
However, the case demonstrates that under certain
conditions the air intrusion may result in
significantly reduced energy production.
The more interesting question arises when an
unsteady operation of the power plant is coupled
with more marginal intrusion of air, and including
the ability of the water to absorb or transport air
away from the pocket. This may cause temporary
head losses which are difficult to detect and
evaluate. Such evaluation could be important in
cases where the powerplant is used for peaking
operation.
The paper describes the investigation of the basic
case, and then introduces modified versions of the
basic case for some general discussion of
implications and limitations of peaking operations
in connection with air intrusion.
2 DESCRIPTION OF THE SAUDA III PLANT
The Sauda III hydropower plant, discharging into
the Sauda Fjord on the West coast of Norway, has
3x30 MVA installed capacity and utilizes 253 m
gross head. It is the lower stern of a scheme with
many branches and reservoirs, including three more
upstream power plants. Normal annual operational
time is 8000 hours, and the utilized discharge is
fairly steady, 32 - 36 m
3/s.
The main intake is in the
lower of the reservoirs, Storlivatnet, which is
regulated between el. 253 and el. 227.5 masl.
Two brook inlets supply tributary discharge to
the head race tunnel, 1.6 km and 3.1 km from the
659
=1)= - I . I t . . H R W ~ JL
f
....
....
]L2lS
235
::t:
Vl
...
.... 0
a::
~
::t:
.... Vl
u,
z ..:
...
:I:
...J
Vl
230
Cl ...
z t=l
'"
::::J
::::J ..:
Vl
'"
2 5
210
5000 6000
7000
8000
210
Figure 1. Longitudinal profile of the Sauda III tunnel
intake respectively. The brook discharges vary con
siderably through the seasons. The most important
one, called Breikvam, has 2 - 6 m
3/s
as normal
discharge range.
The head race conduit between the intake and the
surge chamber is 7.3 km long, consisting of two
rock tunnels connected with a free. air pipeline. The
rock tunnels are nearly without concrete lining.
While the nominal tunnel cross section is 18 m
2
, the
actual average cross section as measured is 21.3 m
2

The connecting steel pipe has an inner diameter of
3.0 m and is about 130 m long.
The longitudinal section of the tunnel is seen on
Fig 1, where the location of the pipe section, the
brook shafts, and the observed rockfall mound have
been marked as well.
Of particular interest is the undulating longi
tudinal profile of the tunnel ceiling, showing four
reaches with counterslope, against a general average
slope of 0.0027 between the intake and the surge
shaft. The low points on the ceiling act as potential
barriers for air accumulation, while the high points
may act as thresholds for free surface flow in the
tunnel.
It is also of importance for the air problem that
the floor of the steel pipe section is flush with the
tunnel floor. The resulting difference in ceiling level
between the pipe section and the tunnel is forming a
2.1 m hanging barrier, blocking air passage between
the two tunnel reaches close to the ceiling. The full
effect of. this hanging barrier is .modified by the
about 0.3 m higher ceiling level of the access tunnel
connecting the Breikvam shaft with the main tunnel,
see inserted detail Fig 1.
Both brook inlet shafts in the Sauda ill plant
discharge some distance inside each of two near
horizontal access tunnels dating from the con
struction period. The access tunnels have ceilings
1.5 - 2.0 m lower than the ceiling of the main
tunnel. Air brought down through the brook shafts
and into the main tunnel can therefore not escape
through the shafts again before the water surface in
the tunnel has been lowered by accumulated air to
the ceiling levels of the access tunnels. The detail on
660

i
Fig. 1 shows the situation for the Breikvam shaft,
,. the upper one with the largest discharge.
3 HYDRAULICS OF THE STEADY CASE
3.1 Observed and calculated head losses
Prior to the study, total head losses between the
reservoir and the power plant were calculated by
conventional methods, assuming Manning's rough
ness coefficient n = 0.030 for the two tunnel reaches
and n = 0.0111 for the pipe section and the steel
penstock. Including singular losses, the calculated
.,. total head losses for discharges 32 m
3!s
and 36 m
3!s
respectively amounted to 17.3 m and 21.9 m.
Direct head loss measurement was then
performed. The result was 27.2 m. Some
uncertainty about the actual discharge during the
measurement has come up, but the apparent excess
head losses, being within the range 5.3 - 9.9 m,
asked for art investigation.
i, 3.2 Possible explanations for the extra head loss

,
,
111
; Two possible reasons for extra head losses were
considered: rockfalls and air pockets. A 1.5 meter
" high local mound of rockfall debris had been
:r detected earlier during inspection of the tunnel. This
\! alone could only account for 6 - 8 em of head loss;
el; however. No indication of new _rockfall events
"existed. Flow constriction by air was therefore
': found to be the most likely reason for the
tunexplained head loss.
." Against this assumption was argued that no
(9amage to the brook inlet structures by explosions
,i,due to escaping air had ever been noticed, nor had
;: other signs of violently escaping air been observed.
Visual observations of the water surface in the surge
: shaft had also concluded that only minor amounts
i of air seems to escape this way.
f
.\

13.3 Air intrusion from the brook inlets
"
,,1.Air explosions due to escaping com
pressed air through shafts from brook inlets is a
h
'Jrequent cause of problems and _damage. The hy
idraudcs and the theoretical conditions for air accu

'[mulation and release have therefore been thoroughly
-investigated in connection with Norwegian practice
technology. The main principles are
li"',_

I
summarized in the Norwegian language report
Brook Intakes in Hydro Power Tunnels (Water
Man. Ass. 1986).
The transition area in a steep, inclined shaft
between flow with a free surface and flow in a filled
shaft is characterized by two distinct zones: the
upper transitional zone with a turbulent mixture of
air and water, and a bubble zone where small air
bubbles, entrained through the free inclined flow
and the transitional zone, gradually rise to the
ceiling of the shaft, accumulate into larger bubbles
and if possible return upstream by gravity. If the
bubble zone is too short for the bubbles to reach the
ceiling, or the velocity in the full shaft is too fast for
the bubbles to return along the ceiling, the entrained
air will follow the flow into the feeder tunnel.
The Breikvam shaft is inclined by 35. The width
is 1.76 m and the full cross section is 4.0 m
2
The
equivalent diameter, D, is 2.25 m. Important eleva
tions are: HRWL =253, LWRL =241.3, the intake:
el. 262, the roof of the access tunnel: el. 227.5.
Table 1 shows some values for the evaluation of
the air intrusion.
From the "Brook intake report" the following
factors influencing on the transport of air from shaft
to tunnel are found:
1. Full mixing of air in the water of the inclined
free surface flow requires a length L = 50-100
times the normal flow depth, YD'
The actual free length of the shaft above LRWL
is 36 m, above HRWL only 15 m. Table 1 shows
that only small discharges at LRWL fulfill the
condition for full air mixing in the flow.
2. The flow velocity, Y,in the filled section must
not exceed about 0,6 mls if the air shall be able
to return along the ceiling of the shaft.
Table 1 shows that discharges exceeding 2.5 m
3!s
will prevent bubbles from returning upwards
along the shaft ceiling, but carry the air down
wards into the tunnel.
3. The length of the transitional zone, Ll' has been
found in Table 1 by use of formular l)
sin L, =D(1lY(gd)o.s+1.9) (1)
This is the required length for the air bubbles to
reach the ceiling before reaching the tunnel.
It is seen that the required lengths are much
Table 1 Some data for the Breikvam shaft
Q
(m
3!s)
Y; (m) L(m)=
50v -lOOv
V (mls) L, (m)
1.83 0.6 30 - 60 0.45 110
2.64 0.8 40 - 80 0.66 170
6.24 1.5 75 - 150 1.56 334
661
larger than the available length of the shaft below
HRWL.
In conclusion item 1 shows that the amount of air
entrainment is less than optimal. On the other hand
items 1&2 indicate that most air entrained down the
incline and in the transition zone will actually be
transported to the tunnel for most common dis
charges.
Maximum entrainment of air normally amounts
to 10-40 % by volume. Assuming 25% for 2 mJ/s at
LRWL and 10% for 6 m
3/s
at HRWL as typical for
this case, the following air volume rates seem likely
per 24 hours:
2 mJ/s: 20.25360024=43 200 m' air124 hours
J
6 mJ/s: 60.10360024=51 840 m air/24 hours.
3.4 The air accumulation in the tunnel
Two typical air volumes are of interest, viz.: a) The
maximum volume without flow, enclosed behind
low points along the ceiling. b) The maximum
volume over flowing water.
Re a: The total no-flow volume consists of three
separate volumes shown by the dotted horizontal
lines on Fig 1, totaling (384 + 1198 + 10715) m
3
=
12075 m>,
Re b: The surface of the flowing water under an
air pocket may be calculated by formula (2)
(2)
where I, =bed slope, I, = energy slope and Fr is the
Froude number. The formula was prepared for a
spreadsheet, and calculations were made for 32 m
3/s
discharge, with n = 0.03 as the coefficient in
Manning's formula, starting at the lowest point on
the tunnel ceiling, about 700 m from the surge shaft,
see Fig 1.
It was found that under the given conditions two
long air pockets might form. The lower one, 3153 m
long, would reach from the lowest point of the
ceiling to 300 m downstream of the Raundalen shaft
entrance, the other, 1684 m long, would reach from
the Raundalen shaft to 190 m downstream of the
steel pipe section. A 300 m long reach of full
flowing tunnel remained between the two pockets.
The air pockets are drawn in as a shaded area on
Fig 1. It is seen that the air/water interface passes
above the access to the Breikvam shaft, preventing
air from returning through the shaft. A control
calculation was also performed to check that the
flow over the rock mound was subcritical, and
therefore without significant influence to the flow
and head loss.
The volumes of the two pockets are 17854 m
3
and 84-09 m>, totaling 26263 m
3
. These volumes can
not be directly compared with the volume rates in
3.3, however, because of different air pressures.
3.5 Air volumes converted to atmospheric pressure
Each air pocket will have the same pressure from
beginning to end, equal to the water pressure at the
upper end.
The water level in the Breikvam shaft will be that
of the reservoir minus the head loss until the Upper
end of the air pocket, 1445 m from the tunnel
entrance.
Taking LRWL as example, and applying
Manning's formula in the form
(2)
with the following data: discharge upstream of the
m
3/s,
shaft, Q = 28 tunnel length, L = 1315 m,
tunnel area, A =21.3 m
2
and hydraulic radius, R =
1.22 m, steel pipe length = 130 m, and diameter =
3.0 m, and Manning's = 0.03, the head loss will be:
in the tunnel 1315.1.3152/(33
2,1.22
413
) 1.6 m
in the pipe 130.1.952/(33
2.0.75
413
) 0.7 m
singular losses, estimate: .1.Q..m.
il.m.
In this typical situation, therefore, the water level
inside the Breikvam shaft is at el. (241.3 - 3.3) = el.
238. The corresponding water column at the top of
the upper air pocket, el. 229.6, is 9.4 m, equal to air
pressure 1.92 ato. The pressure in the lower air .
pocket must be corrected by the small pressure
difference between the two pockets, causing 0.24 m
rise in water level across the 300 m filled tunnel
reach between the pockets. The pressure in the
lower pocket is therefore 1.90 ato.
The air pocket volumes found in 3.4, item b, are
therefore by multiplication with the pressures found
equal to atmospheric air volumes 32137 m
3
and
15304 m
3
respectively, or a total of 47441 m
3
. By
comparing this volume with the intrusion rates
found in 3.3, it is seen that the air pockets may be
filled during about one day and night. Additional air
will have to pass beyond the lowest point and
disappear through the surge shaft.
The air volumes during stand still and filled
tunnel found in 3.4, item a, must similarly be
multiplied by the equivalent still water pressures in
662
II
~ I
I!'
,
i
':
~
:'
i:
f each pocket. At LRWL the resulting atmospheric
volumes are respectively:
0+22.8/10)384 = 1260 m
3
0+16.7/10)1198 = 3200 m
3
0+13.8/10)10715 =25500 m
3
Sum = 29960 m
3
It is seen that the three pockets can retain much
lless compressed air during a full stop than may have
been accumulated during 32 m
3/s
discharge when air
intrusion is unfavourable. Some air released during
an occasional closure might therefore be expected,
j e.g. through the brook shafts. As mentioned
previously, no damage has so far been observed,
however.
3.6 Head loss effects of accumulated air pockets
It is now possible to find the extra head loss caused
by the air accumulation. This will be the difference
between the lost head during free surface flow and
the friction loss in a full tunnel.
The upper air pocket reaches from el. 229.60 at
the tunnel ceiling upstream of the Breikvam shaft to
el. 224.63 at the Raundalen shaft, a head loss of
4.97 mover 1684 m length. The lower air pocket
similarly reaches from el. 224.87 about 300 m
! downstream of Raundalen shaft down to 214.43, a
H head loss of 10.44 mover 3153 m length. A
: correction for the 0.24 m rise in water level across
the 300 m ftlled tunnel reach between the pockets' is
also needed.
The total head loss along the two air pockets
therefore amounts to
h. =4.97 + 10.44 - 0,24 =15.17 m.
!i,' Using formula (3) with L =4817 m, the equivalent
~ head loss in the filled tunnel over the length of both
air pockets would be
h, = 4837 (32/21.3)2, 0,03
21
1.22
413
= 7.67 m.
i The difference h.- h, is the expected extra head loss
m
3/s
due to the maximum air accumulation at 32
discharge: 05.17 -7.67) m =L.iJn,
3.7 The situation for other discharges.
Other discharges than 32 m
3/s
have only been brief
ly analysed.
Increase of the discharge will obviously raise the
interface between water and air, and may introduce
a second interruption of the air pocket at the
intermediate low point 5.36 km from the intake, see
Fig 1. This will in turn reduce the head loss, due to
both reduced air pressures and shorter lengths of the
secluded air pockets.
Reduction of the flow will have the opposite
effect. It is likely that an air pocket without inter
ruptions at all may occur for discharges some less
than 32 mvs, This will in case introduce the maxi
mum head loss possible due to air pockets, when the
tunnel is still full upstream of the shafts ..
The main principle of the analysis above will
remain unaltered, however, as long as the flow is
not strong enough to carry all the air directly down
to the surge shaft. The limiting conditions for an air
free tunnel has not been established so far.
4 HYDRAULICS OF UNSTEADY FLOW
4.1 Effects of controlled, gradual flow reduction
Referring to 3.7 above, reduction of the flow from
32 m
3/s
or more will lower the interface level until it
looses the contact with the ceiling at Raundalen
shaft. This may cause a sudden equalizing of the air
pressures in the two formerly secluded air pockets,
introducing an upward surge in the tunnel, followed
by oscillations. Whether this under certain circum
stances may lower the interface below the entrances
of the shafts, which in the steady case lies well
below the interface, remains to investigate. It is
quite likely that the good submergence of the shaft
entrances is the reason for no observed damage to
the brook structures.
On the other hand, the equalizing surge may most
probably cause some compressed air to pass the
lowest ceiling level and escape trough the surge
shaft. Since the surge occurs in connection with a
flow reduction, causing increased air pocket
volume, the release through the surge shaft may not
necessarily be of the violent type. This remains to
be analysed further.
As has been shown above the capacity for
retaining air under the ceiling at standstill is too low
for the trapped volume during steady normal flow.
Continued reduction at a rate faster than the release
mechanism through the surge shaft can cope with,
may therefore eventually bring the air pocket in
contact with the shaft entrances, after which a
violent discharge of air is quite likely.
4.2 Effects ofgradual flow increase
A gradual flow increase seems not similarly potent
for introducing harmful oscillations of the same
character as described in 4.1. It may be necessary,
663
I
however, for some air to escape due to gradual
reduction of the air pocket volume. This escape may
occur without violent effects through the surge shaft
in a similar manner as the passing of surplus air
under steady flow conditions.
4.3 Quick start and stop situations
A sudden stop at the situation described in chapter 3
will introduce an extreme case of the effects of a
flow reduction described in 4.1. It seems quite likely
that a large amount of the trapped air may escape
through the brook shafts under adverse combinati
ons of operational conditions.
A quick start seems unlikely to cause serious air
problems, because the brook shafts are located far
upstream in the tunnel and well submerged and the
distance to the reservoir is small.
4.4 Rapid flow variations
The power plant has customarily been operated with
nearly constant discharges. Little experience there
fore exist about consequences of rapid flow variati
ons during daily operations. The air transport and
interface oscillations during fast variations, e.g.
connected with peaking production, are complicated
to analyse and may require further investigations.
5 REMOVAL OF AIR POCKETS
5.1. Erosion ofair pockets
The flow will erode the accumulated air if new air is
not supplied, but the erosion rate is normally slow;
A simple empirical expression for the erosion rate is
given in the reference (1986):
Q
A
= b . 0.0007 (v - 0.6t in m
3/s
(3)
where v =velocity and b is 10-30% of tunnel with.
In the example above the maximum erosion rate
becomes 0.00063 m
3/s,
equal to 1640 m
3
per month.
Other means are obviously needed for removal of
unwanted air pockets, when new air are frequently
supplied.
5.2 Engineering methods to remove air pockets.
Three possible methods for reduction of the air
problem have been discussed, viz.:
1. Reconstruction of the brook inlets in order to di
vert discharges particularly responsible for the air
intrusion.
2. Punctuation of the tunnel ceiling for direct re
lease of trapped air.
3. Intermittent emptying an refilling of the tunnel.
The first method has been excluded as being
obviously uneconomical, as a result of the analysis
above, showing that even quite frequent discharges
may cause air intrusion. .
The third method has been attempted recently,
resulting in an observed increase of production head
by 1.5 to 2.0 m. Although this is less than the
calculated potential, it is still a result that calls for
more technical and economical analysis.
The second method has been introduced in some
other Norwegian tunnel schemes. It is efficient for
removal of the air, but has some adverse conse
quences in a cold climate, where icing due to con
densation of air moisture has to be cared for. The
most serious complication in the Sauda III case,
however, is that the sites where borings are to be
made are rather inaccessible. The method is still
under evaluation as alternative to method three,
however.
6 DISCUSSION AND CONCLUSIONS
It has been shown analytically that
a more than 5 km long almost continuous air
accumulation can develop and exist under the
ceiling of a sloping tunnel reach with downward
flow under pressure, beginning at the lowest
point on the ceiling.
a brook inlet with a steep and short shaft below
the water level may deliver enough air during
normal discharge situations to fill such a pocket
within days.
the delivery rate of air from one single shaft may
be many times the removal rate of accumulated
air by flow erosion in the tunnel.
air pockets formed by intervals of counterslopes
along the reach may have far from the needed
capacity to retain the accumulated air during
temporary flow reduction or stops.
It has been shown by field observations that
head losses between 25% and 57% in excess of
those calculated by conventional formulas can
occur in a tunnel subject to air intrusion through
brook shafts.
full stop and emptying of the tunnel system
664
=
temporarily may reduce some of the observed
excess head losses
intrusion and temporary accumulation of air do
, ~ not in all cases result in damaging explosions
"
~ ,
during escape.
I:
;'
Questions still unanswered are
under what conditions can compressed air escape
through steep shafts without causing damage to
4: the intake structures on top of the shaft?
I what is the actual time for development of an air
,'; pocket in balance, or said in other words: how
'i' much of the entrained air will pass through the
\i tunnel and escape through the surge shaft during
I filling of the air pocket
how long time may the positive effect on the
head loss last in real operational cases after
removal of air by emptying and refilling a
tunnel?
Water Management Association,(now: The Norwe
gian Electricity Association) 1986. Bekkeinntak pd
kraftverkstunneler. (Brook Intakes in Hydro Power
Tunnels). Report from a committee. "Bekkeinntakl
,: 5242".
( ~
I,
665
i
1
Hydropower'97, Brach, Lysne, FlatabfiJ & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN905410888 6
: Prediction of rock support in Melamchi Tunnel, Nepal
Ii
I( P.Pradhan
Himal Hydro and General Construction Ltd, Kathmandu, Nepal
r ABSTRACT: The Melamchi Diversion Scheme is a water supply project to a rapidly expanding Greater
Kathmandu in Nepal. The proposed tunnel for the project is about 29 km long with a nominal diameter of2.8
m and is to convey 8 m
3/s
flow of water from the Melamchi River to the Bagmati River. The major type of
rock in the project area is gneissic rock. The geology and topography is favourable for a small diameter
tunnel.
The paper compares the prediction of rock support in the tunnel at different stages of the pre-construction
phase. As the test adit revealed more information of the rock condition at the tunnel level, the quantity of
support and cost predicted earlier became significantly higher.
1 INTRODUCTION
The Melamchi Diversion Scheme is a raw water
transfer project from the Melamchi River to the
Kathmandu Valley. The project taps the water
through the intake at Melamchi River which is about
40 km north of the valley and diverts it through a 29
km long and 2.8.m diameter tunnel to the northern
edge of the Kathmandu basin.
The Feasibility Study of Melamchi Diversion
Scheme (MDS) was carried out by Snowy Mountain
Engineering Corporation (SMEC), which was
primarily restricted to geological mapping, limited
core drilling, some rock testing and petrographic
analysis (SMEC,1992).
Based on the geotechnical information from the
same report, the author had previously carried out
the prediction of required tunnel support by
empirical methods (Pradhan, 1995).
In 1995-96, under the "Technical Assistance to
i, Melamchi Diversion Scheme" a Bankable Feasibility
Study (BFS) was conducted by Butwal Power
Company (BPC) and Himal Hydro. The study
~ ; included detailed geological mapping, seismic
:,
j refraction survey, laboratory testing and 400 m of
ii test aditting (BPC,1996).
;j Figure 1 shows the project layout and features.
2 GEOLOGY
The Kathmandu Valley is one of the largest inter
montane basins in Nepal and is located within the
Lesser Himalayas orographic and tectonic zone in
Central Nepal. The Melamchi Diversion Scheme
lies to the north of the active Main Boundary Thrust
(MBT) which lies to the south of Kathmandu. The
major potentially active geological structure in the
area is the Main Central Thrust (MCT), which
separates the northern Higher Himalaya from the
southern Lesser Himalaya. However no authorities
place the MCT across the tunnel alignment and thus
the risk of causing displacement in the tunnel can be
discounted (BPC,1996). The tunnel will be driven
through high grade metamorphic rocks of the
Kathmandu Complex considered to be of Cambrian
to Precambrian age.
Faults and folds are structural features of
regional significance. There are many strikes and
transverse faults with vertical or thrust movement of
minor to significant magnitude along the tunnel
route. Faults are mostly parallel to the MBT(west
north west to east - south east). It is expected that
there could be wide zones of disturbance associated
with the faults. Minor faults and shearing are
common place.
667
I
MGLHIQiI
frOjeet \drill B. "ft"l1WK
1
+
Figure 1 Project layout and features (SMEC 1992).
Lithologically the tunnel corridor will encounter
metamorphic rocks consisting of gneisses,
migmatites, schists, pegmatites and quartzites. Most
of these rocks are strongly foliated and hence
anisotropic in strength. Due to the complexity of
geological structure in the area, the dip and strike of
the rocks vary locally.
The weathering in low covered areas is expected
to be deep and extensive because of the enormous
reliefin the area (in excess of 500 m) and the deeply
incised valleys. This is especially true along the
saddles and in areas where the rock have been
disturbed by faulting and shearing (SMEC,1992).
Figure 2 shows the project geology.
3 TEST ADIT
Originally the test adit was planned only to obtain
the geological information with not much emphasis
on the lining or the rock support. Later during the
BFS the adit was planned for a double purpose: 1)
IIL- _
Table 1. Comparison between anticipated'd'
rock conditions in the test adit (BPC 1996 andr, .
Jan. 1997 . '
Rock Q- value Original Actual
support estimate condition
type
m
%
m
%
I >100 0 0%
0
0%
IIA 100 - 40 40 10%
0
0%
lIB 40 - 1 160 40%
0
0%
III 1 - 0.5 160 40%
10
3%
IV 0.5 - 0.1 40 10%
201
50%
V 0.1 - 0.Q3 0 0%
184
46%
VI <0.03 0 0%
5
1%
Total 400 100%
400
100%
... ,.....
encountered
pnmary data till
as access to the main tunnel, 2) a test adit with an
emphasis on the permanent rock support. The
emphasis on the rock support was placed to obtain
more information regarding costing, scheduling and
the contractor's ability. The supports in the adit are
provided by rock bolts and steel fibre reinforced
shotcrete. The adit construction has proved to be
very valuable for designing and planning the project.
Estimation of support requirement had been
made in the test adit prior to excavation. The
construction of the adit has now revealed actual
geological conditions. Therefore a comparison is
made between the original estimate of support types
and the actual support placed in the test adit as
shown in Table 1.
It is evident from the adit results that the actual rock
condition encountered were much poorer than
anticipated. This data from the test adit has been
used to form the basis for the analysis
application of the' support estimation in
Melamchi tunnel.
and
the
4 TUNNEL SUPPORT PREDICTION
The Himalaya is a young mountain chain and has a
complex geology. As a' result, the geological
conditions are quite difficult to tackle in the process
of underground excavation. So it is of utmost
importance to be able to predict the geology soundly
at the tunnel level as it has a major impact on the
excavation and rock support, which is directly
related to the time and cost factor.
Selection and estimation of the final rock
support in the tunnel is a process which begins in
feasibility stage, continues thorough the detaIl
668
Table 2. SUD oort category (SMEC, I992).
Category Support Description
U Nominally unlined; 2 m long grouted bars and a
50 mm thick laver of shot crete locallv
A 50 mm thick shotcrete over 80 of the crown +
4 nos. of 2m grouted bars in rings 1m apart
Iongitudinall V
I B
'I
Initial 50 mm sic over 200 of the arch and
walls + 6 nos. of grouted bars in rings of 0.75
m. Final lining will be an additional 50 mm
thick steel fibre reinforced shotcrete over 200
design phase and ends when the construction is
completed and the geological conditions are known
in detail. Reducing uncertaintites and the associated
risks for underground work is the goal of the
prediction at different stages of the project.
There is no doubt that there exists a wide
divergence on the use of rock support in the tunnel
by various designers throughout the world. Some
favour full lining of the tunnel for long-termstability
and no maintenance during operation. Others prefer
unlined or partly lined tunnels accepting some local
fallout's provided they do not hamper the operation.
Between these two limits, there are many options
which attempt to optimise the cost and
performance.
Tunnel support in the MDS was designed to
maximise the self-supporting capability of the rock,
and therefore minimise the amount of artificial rock
support required. The support was predicted to be
sufficient by rock bolts and steel fibre reinforced
(SFR) shotcrete. This is in agreement with the
recommendations made by SMEC in 1992 and
follows the modem trend in tunnelling.
The experience gained in the excavation and
support placing in the test adit has been highly
valuable. This has been the basis for the realistic
prediction of the amount, type and cost of rock
support that is likely to be encountered in the main
tunnel.
SMEChad considered three support categories as
shown in Table 2.
Based on rock mass classification indices and
guidances for the support installation, six support
types (Type I - VI) are considered in the BFS as
, shown in Table 3. This support type was slightly
modified from that of the adit support.
The support requirement estimate at the time of the
FeasibilityStudyis shown in Table 4 (SMEC,1992).
For the prediction of support in the BFS, the
Table 3. Support type (BPC, I996).
Type Rock Quality:
Q range
I Q>IOO
100>Q>10 II
IO>Q>I III
(V
I>Q>O.1
V O.I>Q>OOI
VI Q<O.OI
Faulted
Lining
Concrete
!Weak
area
Note: * 2m long, 20 mm dia. grouted rock bolts.
Support Description
No SupportlPlain Shotcrete in
localised weak areas
Spot bolting, 20mm dia grouted rock
bolts to secure unstable wedges.
Length of spot bolts as required.
50 mm thick reinforced shotcrete in
localised weak area + Pattern bolting
(1.5 - 2 m spacing)
50 -90 mm thick reinforced shotcrete
+ Pattern bolting* (I - 1.5 m
spacing) spring to spring line
90 - 150 mm thick reinforced
shotcrete + Pattern bolting* ( 1m
spacing) invert to invert
150 rom thick reinforced shotcrete +
Pattern bolting* (1m spacing) invert
to invert
200 rom thick C25 reinforced
ways & reinforced ribs of concrete at
2m C/C to be provided.
concrete, T10 @ 200 rom C/C on both zones
whole length of the tunnel from the north to the
south has been divided into 11 geological domains,
based on the detailed structural and lithological
characteristics (BPC,1996). A summary of the
geological domains is presented in Table 5 and the
location of the domains is shown in Figure 2. Its
purpose is to group the rock mass having similar
characteristics.
The two most well. known rock mass
classification system such as the Q-method and
Rock Mass Rating (RMR) system are used as a
guidance for rock support assessment in the
Melamchi tunnel. The geotechnical information in
each domain is evaluated by the classfication
systems and the range of ratings are given. Based on
these ratings the support types likely to be
encountered are predicted. This process is an
approximation but is a good attempt to estimate
reasonably well. It identifies the probable type of
support that is appropriate for various types of rock
and geotechnical domain. Thus it also becmes a
good guidance for cost estimation.
669

....." L.
I("...... Mf'o",'l
1; Ii S'-I"'" 8o.JJ ''''<I
B ""..puri G.....1t 6 ..,.
Ii A"fl" I)"tl'$
II
. lIl.on,f,
II H'",S&,t
mr.IJ......,
!M!M...... ..,


.. d,,4lff
R!:'II " l1.. " bS
m ,,'

f'f F...
(J) I'YIt
-...J
o
-I I Uc ..
I ---,

Figure 2 Geological map and geological section (BPC 1996).

Table4 Support requirement estimated at the Feasibility Study(SMECI992).
B
m
80
80
80
80
80
150
550
Rock SupportCategory
Chainage Length in U A
from to m m m
0 10 10
10 20 10 10
20 130 110 110
130 2890 2760 2760
2890 3010 120 40
3010 7000 3990 3870 120
7000 7120 120 40
7120 7470 350 350
7470 7530 60 60
7530 9420 1890 1890
9420 10660 1240 1240
10660 11260 600 600
11260 12200 940 890 50
12200 12420 220 140
12420 13190 770 680 90
13190 13690 500 430 70
13690 13910 220 140
13910 15720 1810 1800 10
15720 16930 1210 1210
16930 17150 220 140
17150 17310 160 160
17310 18360 1050 980 70
18360 18560 200 200
18560 18590 30 30
18590 18620 30 30
18620 18910 290 140
18910 19420 510 510
19420 20600 1180 1180
20600 22340 1740 1680 60
22340 23420 1080 980 100
23420 24640 1220 1200 20
24640 24800 160 160
24800 25850 1050 980 70
25850 25900 50 40 10
25900 25920 20
TOTAL 23990 1350
Grouted Shotcrete Rock Condition
bar nos. m
Migmatitic gneiss
20 10 Migmatitic gneiss
25 25 Migmatitic gneiss
Fault zone
M Gneiss
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60 60 QFS + Faultzone
10 15 QFS +Banded Schist
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75 75 QFS + Fault zone
5 10 QFS
10 20 Granitic Gneiss
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55 80 AugenGneiss
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10 15 Granitic Gneiss
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Table 6. Comparison of support prediction.
SMEC 1992 Pradhan 1995 BPC 1996
Cate length Type Q RMR. Type length
zorv method
U 93% A 3% 0% I 9%
A 5% B 56% 36% II 21%
B 2% C 36% 59% III 30%
D 3.5% 4.8% IV 18%
~ l
E 1.3% 02% V 17%
j ~ \ F 02% VI 5%
t
i. Table 7. Comparison of support cost.
SMEC Pradhan 1995* BPC
1992* Q-method RMR. 1996
Cost In 922 1,024 4,317 12,643
000 US $
I
* Cost estimation has been carried out by using the rock
support rate from BPC 1996 In order to create a
comparative base.
, The Melamchi tunnel will be driven through a
.' variety of ground conditions many of which will
require temporary and permanent support. This
support will be designed to ensure the long term
, stability of the tunnel against rockfall and erosion. It
, is estimated that much of the tunnel will be through
strong and highly foliated metamorphic rock which,
I when unfaulted or unsheared, should require only
limited support.
i A conservative approach in rock support and
I lining has been taken to minimise the risk of rock
collapse in sensitive ground. The tunnel being of a
small dimension, stability problems arising from the
1 poor rock condition and the influence of the in-situ
i stress will be considered to be minor.
It should be borne in mind that, however good
the prediction may be, tunnel excavation in the
Himalayas will often enounter unanticipated
geological conditions which pose significant safety,
construction, budget and schedule challenges.
5 SUMMARY OF SUPPORT COMPARISON
Tables 6 and 7 give the comparison of the support
and cost estimation m the Malamchi tunnel at
different stages of the project.
6 CONCLUSIONS
The prediction made with actual information from
the test adit and detailed geologic studies have
yielded the amount of support in the tunnel to be
significantly higher than forecasts made at earlier
stages. The cost of support is estimated to be about
twelve times more than previous estimates, which
emphasizes the value of accurate prediction required
in the complex Himalayan geology.
Much of the tunnel is predicted to be unlined or
with modest Type I, II, III support only while the
remaining will require heavier support of Type IV,
V, and VI.
The goal of the prediction is to reduce the
uncertaintity in the underground construction to a
level which does not effect the budget and schedule.
Support predictions are never intended as the
ultimate solution to tunnel stability problems but
only as a means towards this end.
All knowledge up to now provide a basis for
activities to be initiated in the future.
REFERENCES
Butwal Power Company (BPC) 1996: "Technical
Assistance to Melamchi Diversion Scheme",
Bankable Feasibility Study, Final Report, Vol. 1
4, Kathamndu, Nepal.
Pradhan, P. M. S. 1995: "Prediction ofrock support
in Melamchi tunnel, Nepal". MSc Thesis
Norwegian Institute of Technology, Trondheim,
Norway.
Snowy Mountain Engineering Corporation (SMEC)
1992: "Greater Kathmandu Water Supply
Project". Feasibility Report 1992, Vol. 4,
Kathmandu, Nepal.
673
I
Hydropower'97, Broch, Lysne, F1atabe & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN90 54108886
,( New method for estimation of head loss in unlined water tunnels

t
j: PaJ.-Egil Ronn
.( Department ofBuildingand ConstructionEngineering, Norwegian University of Science and Technology,
ji' Trondheim, Norway

Ii Magne Skog
1: Groner AS, Trondheim, Norway
i
t,
W
:\ ABSTRACT: In Norway, unlined water tunnels are common. When planning such tunnels it is necessary to
:.;
! presuppose a head loss based on roughness and cross section area. In order to calculate the roughness in tunnels
it is important to have a suitable calculation tool. Existing methods have limitations regarding accuracy and
usability. Hence, attempts have been made to develop a new method.
Jl
-::,:

0,28
Ii 1 BACKGROUND
i,
For several decades attempts have been made to cal
0.27
culate head loss in drill and blast tunnels based on
a 0,26
cross section area and surface measurements. Exist
;j
,i ing methods are based on a small number of meas- 0,25
i'
Ji
urements due the time consuming field work in re

0,24
11'0
I

t;
r-r-'
f-
I----
./
V
-
i
1/
.................
/
.......
i'-..
r-,
Ii trieving the data. There has been a thriving devel
0,50 0,75 1,00 1,25 1,50 1,75 2,00
opment of measuring equipment for both cross sec
w/h
tion area and surface roughness. With the current
Figure 1 a as function of ratio withlheight.
possibilities, a new method to determine head loss in
drill and blast tunnels has been developed.
[m] (1)
2 HEAD LOSS CALCULAnONS
'f' Head loss can bee divided in singular loss and fric f == friction factor (roughness coefficient)
\' tion loss. Singular loss includes local loss connected I == length of tunnel [m]
t'l to inlet, outlet, curves, trash racks, etc. 'Friction loss
Dh == hydraulic diameter (Dh = 4R
h
) [m]
1;1:'
t. is generated from opposing forces between the water v = water velocity [mls]
1: and the tunnel wall. This loss is a result of roughness Rh = hydraulic radius [m]
of the tunnel surface and size, shape and variation of g = gravitational constant [1/s
2
]
the cross section area. The friction loss can be domi
Ii nating for hydropower plants with extensive water- Hydraulic radius is defined as area divided by wet
[:
f ways. Roughness in waterways will vary with the perimeter. A cross section with plane walls and cir
I,;
Y surface material:
cular roof given radius w/2, Rh = a AO,5. a is de

pendent on the ratio between with and height of the
lj concrete; small friction loss
cross section area, see Figure 1.
drill and blast rock surface; large friction loss
The parameters in (l) can be measured but one. The
Iii
:: The friction loss, h, in a water tunnel, is often cal- friction factor, f, can be calculated from Colebrook's
>iii
1
culated with the Darcy- Weissbach formula: formula:
I
j
675
I
1 ( 2.51 )
J] = -210g 3.7 D + R. J]
(2)
h
given:
VDh
Re=- (3)
n
R
e
= Reynolds number
v = kinematic viscosity of water
e = total roughness
Complete turbulent flow at a rough surface will give
a negligible last term in the Colebrook formula. This
gives:
(4)
Alternatively Manning's formula for friction loss
can be used:
Lv
2
hi =
(5)
M
2R)
h
Manning's formula was developed for flow in chan
nels with moderate slope. Manning's formula used
for drill and blast tunnels can give discrepancies.
3 ROUGHNESS IN UNLINED DRILL AND
BLAST TUNNELS
Roughness in a drill and blast tunnel is complex. In
addition to the variation of surface, the size of the
cross section area will vary. Earlier investigations
Czarnota (1986), Elfman (1991) and Solvik (1994),
indicate the existence of four components in the 'total
roughness.
surface roughness
cross section roughness
roughness in tunnel invert
material roughness.
Surface roughness is related to the friction due to the
roughness in the tunnel roof and walls.
The loss due to these changes in cross section
area is not included in the surface roughness, and
must be calculated separately. Change in cross sec
tion area is a result of the excavation process an
geological conditions.
Roughness of the tunnel invert is related to the
treatment of the at time of tunnel completion.
untreated
rough cleaning
thorough cleaning
asphalt/concrete.
According to Vassdragregulantenes Forening (1986),
the difference between roughness of untreated and
rough cleaned invert will disappear in a short period
of time. The cross section area will increase with
about 5% when rough cleaning are done. Increased
cross section area will decrease the head loss. Rough
cleaning is the most common way of treating tunnel
inverts in Norwegian hydropower tunnels.
It is assumed that the material roughness, is pri
marily dependent on petrography, mineral size, fo
liation and chistosity. Little investigation has been
made on the material roughness and it is therefore
difficult to state its variation and effect on the total
roughness.
4 EQUIPMENT AND METHODOLOGY FOR
MEASUREMENTS
Present available measuring equipment and meth
ods:
measurements using theodolite with distance
measuring unit.
photo profiling
manual measurements
measurements using laser equipment
portable unit
equipment mounted on drilling jumbo
Laser equipment is assumed to be the method for the
future. Hence, a more detailed description is given.
Single unit laser distance measurer
The instrument sends out a laser beam which is re
flected by the rock wall. From one measure point in
the tunnel, one can measure a section of the tunnel.
Each measure point on the rock surface can be
measured by manually directing the laser beam or
using an automatic servo mechanism. The servo
mechanism directs the beam in a given pattern and
measurements are taken continuously.
Profiler
The profiler is a measuring instrument specially de
signed by the Norwegian company Bever Control
"
\ Figure
A.S., 1
vation
jumbo
gives
last rc
measu
positi,
metho
based
simila
WI
mal le
the le
place
instru
!
Th
due tl
tunne
tunne
5
E)
M a n ~
in tu
meas
reflei
time
A
have

R:
cr

S(
cc
Iii fa
r.
th
-t
.f.
l!l c
oi
676
Effect of shading;
incorrect measurements
-:
....
Figure 3 Effect of shadeing using profiler.
A.S., to make measurements during the tunnel exca
vation. The profiler is mounted on the drilling
jumbo. Measurements are made during drilling. This
gives an opportunity to control the geometry of the
last round at an early stage. The profiler can make
. measurements in a defined grid. Orientation and
positioning of the profiler is easily done. Calculation
method for roughness and head loss in this paper is
based on use of data gathered by a profiler or a
similar device.
When measuring the tunnel during drilling, nor
\ mal length of the section of each data set is given by
the length of one drilled round. The laser device is
placed in a way that makes measuring behind the
instrument not possible.
! The effect of shading is greater in small tunnels
: due to the smaller distance from the profiler to the
lturmel wall, which gives a smaller angle between the
, tunnel axis and the laser beam.
5 EXISTING METHODS
. Many attempt have been made to calculate head loss
:: in tunnels based on surface and cross section area
; measurements. Methods used for the calculation
reflects the available measuring equipment at the
time of development.
At least three different methods of calculation
have been developed:
Rahm's method based on statistical analysis of
cross section areas..
Solvik's method based on comparison of two
consecutive cross section profiles and measured
roughness defined as average distance between
the water flow line and the tunnel wall.
Czarnota's method based on analytic calculation
of roughness from measured wall roughness
0,20
0.18
0,16
0,14
0,12
[m] 0,10
0,08
0,06
0,04
0,02
0,00
I I
!
I
I
I
I
i
I I
i
.I- Wall
- - ~ ....
j
.r.
Roughness
Cross
\ ~
,......,V
Section
.
oJ
Roughness
r: I I
IJ
I
I
o 10 20 30 40 50 60 70 80
Number of Measurements [Unit]
Figure 4 An example of wall and cross section
roughness with regard to number of measurements.
based on statistical approach to the size of the
roughness elements.
Other persons who have developed own methods:
Wright
Priha
Reinius
The last mentioned methods are principally equal to
one of the first, and can be viewed as variation and
further developments of the previous models.
6 NEWMETHOD
Different methods for quantifying roughness and
choosing the best method is analysed. Based on
these analyses a new method of quantifying rough
ness in will be presented, The method will be re
ferred to as "The IBA Method".
6.1 Description o/The lEA Method
The method is based on a statistical treatment of
wall roughness and cross section roughness by cal
culating rms (root mean square) for both. The
method is valid when the cross section profiles are
measured with narrow spacing. To find variation in
data, a sufficient number of measurements is re
quired. Analysis are made for several sections of the
tunnel.
Analyses show, as Figure 4, that magnitude of the
wall and the cross section roughness will stabilise
when number of measurements exceeds 40, Sug
gested number of measurements is minimum 50 for
finding both wall and cross section roughnessI Re
quirements to the section length and representative
677

conditions should be obtained when finding repre
sentative data. Geological conditions and possible
changes in excavation methods must be considered
when selecting representative sections in the tunnel.
6.2 Wall roughness
Calculation of wall roughness is based on rms.
(6)
rms=
Xi = distance between a zero line parallel the
tunnel axis and the tunnel wall. [m]
x = average distance between a zero line par
allel the tunnel axis and the tunnel wall.[m]
n =number of measurements in each
longitudinal section
The method is based on :
Fixed distance between measurements
(0.25 - 0.5 meter)
Minimum 50 measurements
Minimum 3 longitudinal sections (left
wall, tunnel roof, right wall)
Length of one longitudinal section is set to
20 - 25 m (4 5 drill and blast rounds)
For manual measurements, an important factor is the
zero line. This line must be held as parallel to the
tunnel axis as possible. Large geological overbreak
and change in excavation method will influence the
roughness. These factors must be controlled before
measuring the longitudinal section.
Wall roughness is calculated from the roughness
of the three longitudinal sections measured in each
tunnel section:
right wall
left wall
tunnel roof
Longitudinal section 3
XI -.--.----.----.. ..... --.--
l\ x. .
lit " section I
I
Tunnel section;minimum 4 rounds -J
True lastedsurface '
"'''' '. , j ...

rms is a standard deviation and the resulting rougj.,
ness is found by using variance. Resulting rough
ness:
r
m III

LVAR
i
= ;=1 m (7) rms
woll

m
m = number of longitudinal sections
6.3 Cross section roughness
Cross section roughness is defined as variation of
cross section area. Variation of the tunnel radius can
describe variation in the tunnel cross section area.
rmsir] = 0.53 (8)
n
The method is based on:
0.5 - 1.0 m distance between cross section areas
measurements made on a tunnel section of mini
mum 25 m and minimum 50 measurements per
tunnel section (n > 50).
The resulting cross section roughness is calculated
from the rougghness found in the measured tunnel
sections. The calculation is similar to resulting re
sulting wall roughness.
m
L VAR
i
i=l
(9)
m m
m = number of longitudinal sections
6.4 Total roughness
Total roughness is found by adding the wall rough
(J
min. 25m

Figure' 5 Principal sketch for calculating wall Figure 6 Principal sketch for calculating cross sec
roughness. tion roughness.
678
-- ..
,i
Table 1 Comparison of existing methods of head
loss calculations with regard to friction factor,!
Tunnel 2 4 6 7 9
Area, m
2
22,1 133,6 30,7 34,6 46,7 21,6
Measured 0,07700,04320,06000,05620,07360,0591
Rahm 0,09620,0259 0,0533 0,05850,0971 0,0871
Reinius 0,0760 0,0351 0,0510 0,0540 0,0765 0,0707
Priha 0,09530,03080,06280,06850,10520,1017
Wright 0,0664 0,0239 0,0619 0,0635 0,0794 0,0631
Solvik 0,0730 0,0299 0,0630 0,0366 0,0476
Czarnota 0,12940,06000,10160,0751 0,1203 0,1228
IBA 0,0772 0,0426 0,0614 0,0535 0,0759 0,0591
ness and cross section roughness:
Total roughness = rmswall + rmscross section
(10)
Total roughness will, later on be referred to as
roughness in this paper.
6.5 Comparison of The lEA Method with Existing
methods
The majority of the methods is based on calculating
the friction factor, f. This factor is used in the
evaluation. In addition, Manning's number is given
due to the extensive use in Table 2.
When comparing the IBA method with existing
methods for calculation of friction, results from us
ing the methods on several tunnels are presented in
Table 1.
6.6 Evaluation
Table 2 shows that the new model gives the least
deviation in general.
Rahm and Solvik give small deviation for tunnels
of medium roughness. Applying the same methods
to tunnels with high roughness gives large devia
tions.
The methods developed by Reinius , Priha and
Wright do not give results indicating systematic de
viation.
In Czamota's method, the detail roughness is de
fined as 90 % probability of height of the roughness
elements. The height of the elements should be
Table 2 Calculated average deviation between the
estimation methods.
Method Averagedeviation Average deviation in
inJ-factor Manning's Number
Rahm 0.0162 4.4
Reinius 0.0058 1.9
Priha 0.0200 403
Wright 0.0082 3.0
Solvik 0.0208 8.4
Czarnota 0.0400 7.0
IBA 0.0012 OJ
based on a zero line based on the cross section area
variation. Due to the lack of information of the
method, a zero line could not been defined. Result
from Czarnota's method are systematically wrong
and the results can not be regarded as representative
of the method.
7 ANALYSIS OF ROUGHNESS IN NORWE
GIAN WATER TUNNELS BASED ON THE IBA
METHOD
7.1 General
An analysis of roughness measurements has been
made to find the variation in roughness (cross sec
tion and detail) with tunnel size and excavation
method. Due to the limited selection of large and
medium water tunnels excavated in the resent years,
some road and railway tunnels have been investi
gated.
7.2 Cross section area
Figures 7, 8 and 9 present the possible correlation
between roughness and real cross section area.
Wall roughness
Figure 7 indicates a decreasing trend for wall rough
ness compared to increased cross section area. The
decreasing wall roughness trend is small and, the
results do not give basis for a firm conclusion. The
variation in the results from wall roughness is great
and the limited amount of data gives large influence
of each individual result.
679
I
0,25
0,2
0,15
[m]
0,1
0,05
o
.
0
0
0
0
0
.
0
I
.
I
,
~
. '
,
I
I
I
I I
o 20 40 60 80 100 120 140
Real Cross Section Area [m
2
]
Figure 7 Wall roughness with regard to real cross
section area.
0,15
0,1
1m!
0,05
0
:
0
0
0
0
.
.
0
0
o
a 10 20 30 40 50 80 70 80 90 100 110 120 130 '40
Real CrossSedlon Area 1m']
Figure 8 Cross section roughness with regard to real
cross section area.
Cross section roughness
Also cross section roughness gives a decreasing
trend for increasing tunnel size. The variation in
values are less compared to wall roughness and the
values are generally smaller.
Roughness
Figure 9 shows resulting roughness for the same
tunnels as Figures 7 and 8. The decreasing trend is
emphasised.
The roughness gives the same slightly decreasing
trend with regard to increasing real cross section
area as previously found. An explanation can be
found in the less confinement resulting from the in
creasing cross section radius. Less confinement
gives easier breaking and less crushing of the rock
mass.
No definite correlation between wall roughness
and cross section roughness is found. The ratio of
wall roughness and cross section roughness' vary
between 1.2 and 3.6 with an average of 2.5. Hence,
the method must rely on both wall and cross section
roughness.
0,4
0,35
0,3
0,25
Iml 0,2
0,15
0,1
0,05
.
:- :..
.
0
- -
--
~
.
.
0
.
0
~
;--
~
.,
--
--
~
0
o
o 10 20 30 40 50 60 70 80 90 100 110 120 130 140
RealCrossSectionArea1m'!
Figure 9 Roughness with regarded to real cross
section area.
0.09
0.08
0,07
0,06
0,05
f
0,04
0,03
0,02
0,. c-
o
I ~ ....
. ,
.
"'-l
:;-......
- ~
........
I"- --.,
-- 1--
I-.
-
-
. . : ~ ...
Rough 1
-
I-
-
Average1
Smooth I
-
0,01
o
o 10 20 30 40 50 60 70 60 90 100 110 120 130 140
Real CrossSectionArea Im'l
Figure 10 Friction coefficient with regard to real
cross section area.
Friction coefficient
The friction coefficient is dependent on relative
roughness. Increase in cross section area is the major
factor in the decrease in friction coefficient. The
decreasing trend is strengthened by the decrease in
roughness related to lager cross section area.
7.3 Excavation methods
The method of excavation will vary with many fac
tors and influences the roughness in different ways.
Excavation direction
Drilled length
Diameter of drilled holes
Blasting design
drilling pattern
charging plan
firing plan
Excavation equipment
Rock support
680
90
...
85 /./
Section1
80 Section2
[m
2
]
"" _.. ' Section3
75
70
IRound21 IRound3)
~ J
Direction ofexcavation
Earlier laboratory experiments made by Solvik
(1958) and Reinius (1970) indicate an importance of
excavation direction for the head loss. The models
were very idealistic in terms of location and design
of the roughness elements.
Head loss measurements done by NHL described
in Vassdragsregulantenes forening (1986) at:
Lomen Hydropower Plant
Grana Hydropower Plant
Sitas-Kjarda Hydropower Plant
show no trend to support a possible difference in
friction loss based on excavation direction. The IBA
method is a statistical approach, hence, the direction
is insignificant. Analysis of tunnels, excavated with
modern methods, has given little support for an ide
alistic cross section variation connected to the drill
ing pattern of the perimeter holes.
Figure II indicates no' relation between excava
tion direction and overbreak. Hence, the assumption
of little relation between water flow direction and
friction loss is strengthened.
Drilled length per round
Longer drilling lengths at each round will give in
creased drilling deviation. Inaccurate drilling can be
divided into deviation dependent on drilled length,
deflection, and deviation with no influence from
drilled length and incorrect start point or angle. The
roughness increases with about 25 % if the drilled
length is increased from 5 m to 8,5 m.
Drillhole diameter
Increased drillhole diameter gives reduced penetra
tion rate. Reduced penetration rate will in general
reduce the deflection of the drill rod.. In addition,
increased drillhole diameter make the use of larger
drill rods, which are stiffer, possible.
0,25
0,20
0,15
(m]
0,10
0,05
0,00
.
.
.
.
.
I
o 10 20 30 40 50 60 70 BO 90 100 110 120 130 140
Real Cross SeClion AreaIm'l
Figure 12 Total roughness in tunnel excavated with
computer assisted drilling jumbos with regard to real
cross section area.
Blasting design
Roughness with regard to blast design is difficult to
analyse when the blast design can be parted into:
drilling pattern
charging plan
firing plan
It is evident that minimum look-out (angle between
drilling direction and tunnel axis) of the contour
holes, reduces charging and little confined drillholes
will give a smooth surface with improved stability.
During development and optimisation of blast de
signs this was emphasised. No present results can
verify the importance of this matter.
Equipment
Figure 12 indicates no variation for roughness with
varying cross section area in tunnels excavated with
computer assisted drilling jumbos. The use of com
puter assisted drilling jumbo seems to suppress the
larger faults in the drilling operation. Roughness
is also 'in average less in tunnels where computer
assisted drilling has been used.
Rock support and shotcrete
The use of shotcrete has increased. Hence, the effect
on roughness is of great interest for design of water
tunnels. Earlier experiments carried out by Czarnota
(1986) and Solvik. (1994), It should be underlined
that both experiments where carried out in laborato
ries. Table 3 shows the results in roughness.
The experiments show considerable reduction. in
roughness. The model used was scaled 1:5, and the
question concerning scaling of the shotcrete and its
effect on the result, is open.
681
Table 3 Change in roughness after applying shot
crete.
Surface Roughness [m]
Czamota Blasted and scaled 0.172
Applied 23 mm shotcrete 0.093
Applied 23 + 45 mm 0.020
shot-crete
Solvik Blasted and scaled 0.209
75 mm shotcrete 0.029
75+25 mm shotcrete 0.008
Measurements and calculations made on scale 1:1
in this thesis, show a considerably less reduction
compared to the laboratory experiments. The meas
urements show a variation in roughness of
0-10 % when applying 50 mm shotcrete. The cross
section area is reduced by 1-2 %. The measurements
show no definite reduction in head loss. This matter
should be investigated more closely.
8 CONCLUSION
Based on the collected data and experience from
Norwegian tunnelling practice, a method for calcu
lation of roughness and head loss in unlined drill and
blast tunnels has been developed (the lEA method).
The method is based on roughness calculation by the
use of standard deviation. Analyses of the roughness
of current Norwegian tunnels, based on the IBA
method, were carried out. The analyses show the
influence of the tunnelling practice and method on
the roughness. Compared to existing methods for
calculation of roughness and head loss, the IBA
method gives good correlation to measured in situ
head loss. The analyses also indicate that:
The roughness is independent on direction of ex
cavation
The roughness increases with increasing round
length .
The roughness decreases with increasing drillhole
diameter
The roughness decreases somewhat with in
creasing cross section area
Computer controlled drilling gives less variation
in the roughness than non-computerised drilling.
REFERENCES
Czarnota, Z. 1986: Hydraulics of Rock Tunnels
KTH. Stockholm. '
Elfman, S. 1991. Rock Tunnels for Hydropower.
KTH. Stockholm.
Rahm, L. 1958. Friction Losses in Swedish Rock
Tunnels In Water Power Vol. 10, No. 12.
Reinius, E. 1970. Head Losses in unlined Rock Tun
nels. In Water Power July/August.
Renn, P-E. 1997 Konvensjonell drift av tunneler.
Ph.D. thesis. NlNU. Trondheim.
Solvik, 0. 1994. Falltap i spreytbetong belagt tun
nel. NLH, SINTEF. Trondheim.
Vassdragsregulantenes forening 1986. Falltap
krcftverkstunneler. Report. Asker.
682
i
Hydropower'97, Broch, Lysne, FlatabliJ & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN9054108886
Economic designof hydropower tunnels
PaJ.-Egil Renn
Department ofBuilding and Construction Engineering, The Norwegian University of Technology and Science
NTNU, Trondheim, Norway
MagneSkog
Groner Trondheim, A S.,Norway
ABSTRACT: The paper presents economic design of water tunnels based on total construction costs and head
loss costs. The total construction costs include all cost items varying with the cross section area. The head loss
costs are based on the Darcy-Weissbach equation and real cross section area (including overbreak). An equa
tion and necessary input data for rough estimates of the optimum cross section area are given.
1BACKGROUND 3 HEAD LOSS COSTS
Economic design and optimum cross section area of This paper treats head loss costs due to friction loss.
hydropower tunnels are influenced by several factors. Hence, costs due to singular head loss are not in
The requirement for better data for cost estimation cluded. The friction loss in a tunnel is calculated as:
and economic design, combined with a new method
to determine the roughness and the friction loss, fa
[m] (1)
cilitates a further development of the method and
data for economic design of tunnels.
= friction factor
f
I = tunnel length [m]
2GENERAL
v = water flow velocity [m/s]
= gravitational constant [9.81 m/s
2
]
The economic optimum cross section area of a hy
[m
3/s]
= water flow .
dropower tunnel depends on the head loss costs and
= hydraulic diameter (4Rh) [m]
the total construction costs of the tunnel. The opti
= tunnel cross section area [m
2
]
mum cross section area is found when the sum of the
head loss costs arid the construction costs is at a
The hydraulic diameter is 4Rh The hydraulic radius
minimum.
Rh is the ratio of tunnel area to wet perimeter. For
It should be emphasised that this paper treats differ
tunnels with semi-circular roof, vertical walls and
ent methods of drill and blast tunnelling only.
horizontal invert, R
h
= aA0.5. a depends on the ratio
of tunnel width to height.
0,28
0,27
tlO,26
0.25
0.24
h!O
~
-
~ 1./
/ I':::
<;
O ~ ~ 5 1 ~ 1 ~ 1 ~ 1 ~ 2 ~
w/h
Figure 2 a as a function of tunnel width to height
ratio.
IITotal Costs
I
I !
Optimum Cross
~ ~
I.--"'
~ HeadLoss ~
SectionArea
~
Costs, KF IWo ..-.
-
"""'
I
,
V
~
-'
Construction
\
Costs, K
o
<,
I I
t--
Tunnel Cross SectionArea[m
2
j
Figure 1 Economic optimum cross section area.
683
I
For the so-called ideal cross section (width equal to
height), R, = 0.265Ao.
5
, and hydraulic diameter D, =
1.06Ao.
5

The head loss in the tunnel results in loss of reve
nue, and may be calculated as:
= power plant efficiency factor
'Yl
= density of water [1000 kg/m"]
Q
T' = head loss useful time [h]
=average price of energy [NOK/kWh]
=capitalisation factor
=design water flow
[m
3/s]
(maximum waterflow)
3.1 Power Plant Operation
The operation of a power plant influences:
the head loss utilisation time
the design water flow
the price of energy.
Head Loss Utilisation Time
The head loss utilisation time is the number of hours
the power plant must be run at the design (maximum)
water flow to equal the real head loss for one year.
The head loss utilisation time is calculated as:
lyear ( )3
[h] (3)
T'= J dt
[m
3/s]
Q =momentary water flow
Design Water Flow. .
The design water flow depends on catchment, size of
reservoir and installed production capacity.
Price ofEnergy - Value ofEnergy
The average price of electric energy in the current
market depends on when the energy may be delivered
. to the buyer. For a power plant designed for peak
power operation, with large reservoir capacity, it is
feasible to use a higher average energy price than for
a power plant running at a regular output.
3.2 Capitalisation Factor
The capitalisation factor depends on the interest rate
and the economic life time of the plant.
70
60
50 t-----j-----t--b.,.c..+-4---I_
40
o
30
5%
20
10 7%
10%
01""---+-----+--+---+--+_--1
o 20 40 60 80 100
120
Economic LifeTime[years]
Figure 3 Capitalisation factor.
(4)
/
r = interest rate [%]
n = economic life time
[years]
Life Time
The expected life time should be an estimate of the
economic life time. In a hydropower plant, the real
life time is different for the different components of
the plant. The economic life time for a hydropower
plant is usually set to 40 years for the plant as a
whole. This simplification does not reflect the real
economic life time. Based on the real life time of the
different components, a. differentiation and extension
of the economic life time would be more correct.
Interest Rate
In Norway, the recommended interest rate is a politi
cal decided factor. At present, it is 7 % p.a. Such a
high interest rate emphasises the present considerably
more thanthe future. The generation equipment effi
ciency for a hydropower plant is very high. Hence,
the potential of improving the efficiency by technical
. development is limited. Investments in hydropower is
therefore attached to low risk.
12,..------------Jt,
10
8
6
'it 4
2
o
-2
4
-6 +----+-----+---lr------l
1955
Figure 4 . Real interest rate 1955-1995, excluding
taxes. Data from SSB - Statistics Norway (1996).
684
1965 1975 1985 1995
Year
The interest rate should be related to the average real
Table 1 Constant for varying treatment of the invert.
interest rate. The average real interest rate in the pe
Treatment Non- Rough Fully Asphalt
riod 1955-1995 is 3.4%, see Figure 4.
of Invert Treated Cleaning Cleaned
kb 0.99 1.04 1.05 1.02
3.3 Tunnel Cross Section Area
Real cross section area A
v
:
Overbreak
2 0.43A
p
If the quality assurance regulations of the tunnel ex ~ = 0.00129A
p
+ In(A ) + k
b
A
p
(7)
cavation presuppose that no part of the final tunnel
p
contour is allowed inside the planned tunnel cross The relative increase in real cross section area A
v
,
section area A
p
, the resulting cross section area will with regard to planned cross section area A
p
:
always be larger than the planned cross section area.
The resulting cross section area is defined as real
0.43(ln(A
p
) -1)
cross section area A
v

dA,. =0.00258A
p
+ (8)
dA
p
(In(AJf
(5)
Calculations show little variation for A: for varying
The factor of overbreak k is based on experience
cross section area. Hence, the averaged values in Ta
data. The factor of overbreak varies with the cross
ble 2 may be used when estimating.
section area and the final treatment of the invert. In
Norway, optional treatment of the invert is
Table 2 Relative increase in real cross section area
A
v, with regard to planned cross section area Ap
non-treated (leave as is)
Treatment Non- Rough Fully Asphalt
rough cleaning (remove part of the roadway)
of Invert Treated Cleaning Cleaned
fully cleaned (including flushing with water)
asphalt or concrete pavement.
A: 1.09 1.14 1.15 1.12
The curve for rough cleaning corresponds to Figure
4.4 in the Department of Building and Construction
3.4 Marginal Cost ofHead Loss
Engineering 2B-95 (1996). The other curves are bas
ed on the same figure and the report Head Loss in General
Hydropower Tunnels 1985 (Norwegian edition). The marginal cost is found by derivation of the func
Figure 5 shows the factor of overbreak excluding tion of head loss costs.
niches.
Using curve fitting, the factor of overbreak is:
k: = O.OOI29Ap + 0.43/ln<ApJ + kb (6)
The friction factor for rough, turbulent flow is, ac
. cording to Colebrook:
kb is a constant, varying with the invert treatment
method. Values are shown in Table 1.
1
f= 2
(10)
(
- 2 'lOg(_e ))
1,30
3.7' o,
1,25
Calculation
1,20
Friction loss calculations are based on real cross sec
.:2
tion area Av Excavation cost estimates are based on
1,15
~
~ ~
I FullyCleanedI
~
-
~ I
I Non-treated I
Rough Cleanina I
planned cross section area A
p
By choosing A = A
v
1,10
and combining all factors which are not depending on
the cross section area into one constant, (9) may be
1,05
expressed as:
o m ~ 00 00 100 1ro
PlannedCross Section Area[m
2
]
Figure 5 Factor of overbreak. [NOK/m] (11)
685
.,
. I
.,
(11)
The marginal cost is found by derivation of (11) with
regard to planned area Ap.
(12)
dKF 35 dAy ( (7)
-=-cA
y
- -f 25+2/lnlO'
v
f
(13)
dA dA
p p
3.5 Total Construction Costs
When deciding the cross section area for hydropower
tunnels, the marginal construction cost curve is used.
Hence, it is important to incorporate all factors which
varies with the cross section area. The basis for esti
mation of the total construction costs is the material
in the Department of Building and Construction En
gineering 2C-95 (1996).
Figure 6 shows total construction costs, which in
clude:
Worksite preparation, mobilisation
Roads
Telecommunications, power supply
Housing .
Auxiliaryplants
Operation and upkeep of work site, etc.
Building and construction works
Portal etc.
Adit (300 rn)
Tunnel (length of heading 3000 m)
Share of general and other costs
Investment tax
Planning and administration
Interest during construction
60000 ..-----,.----,---,--r----,----,

50000 +--+--t--t--I-----i---::...-"'!I


20000 +----..+--::.,..:li>""==--t--I-----il-----i
10000
20 40 60 80 100 120
Planned Cross Section Area Im
2
l
Figure 6 Total constrtiction costs for varying exca
vation methods.
350
300
E 250
No!l 200
.E
5 150
100
50
o
Track II
-
1/1 tunnelling
I Track J
"'--"'"
ltransPOrl
--
-r-:: l
7
-I
and]
tunnelling
Haul I
I
l
o 40 00 M 100
Planned Cross Section Area 1m
2
]
Figure 7 Marginal total construction cost.
Figure 6 shows that it is favourable to use as heavy
tunnelling equipment as the cross section area allows.
Choice of equipment will to some extent depend of
available equipment.
On the basis of Figure 6, the marginal cost for
varying excavation methods is shown in Figure 7.
To be able to compare the marginal cost with the
marginal revenue, curve fitting for Figure 7 gives the
following results:
Track tunnelling:
os; = 0.42A
p
2 -10.8A
p
+ 342 (14)
Load and haul:
or; = 0.082A/ -2.0A
p
+152 (15)
Track transport:
GK
s,
= -O.3A
p
+ 15.3A
p
o.s + 126 (16)
Trackless tunnelling:
os; = -o.014A
p
2
-94ApoS +490 (17)
3.6 Optimum CrossSection Area
Optimum cross section area is found when the total
costs are at a minimum, see Figure 1.
(18)
3
GK-C'A
v
- .5 .: 'j'(25+2/ln10..[J)=O (19)
p
When setting
686
120
100
80
1: 60
40
20
o
o
J..-.1
V

V
..... Itunnelling
Load
V
.....
and haul
./
I .'
Track
/f
tunnellina
ro 00 00
Design Row [mJ/s]
Figure 8 Optimum planned cross section area for
varying excavation methods.
we obtain the general function for optimum planned
cross section area Ap
_(c. A
v
"f (25 +2 / Inl0.J7)J7
2
(20)
A
p
- GK'k 3.5
o
(20) is of general validity and therefore applicable for
all types of tunnels and pipes. Figure 8 shows (20)
graphically for varying excavation methods.
In the further calculations, the following is pre
supposed:
'YJ = 0.90
Q= 1000 kg/m"
T' = 2500 h
P = 0.25 NOK/kWh
D = 13.332 (7 % interest rate, 40 years life time)
a = 1.06 (ideal cross section, width = height)
3.7 Flow Velocity at Optimum Cross Section Area
Figure 9 shows the relation between design flow and
optimum water flow velocity. The velocity is related
to real cross section area.
1,6
1,5
1,4
1,3
1,2
.s 1,1
1,0
0,9
0,8
0,7
I .J--I
--
,.....-
I I
Track I

I--""
Itunnelling
tunnellln
J...-""" .
V
I'
/
,
ILoad andl
.
I
haul
I
o ro 00 00
Design Row [mJ/si
Figure 9 Optimum water flow velocity for varying
excavation methods.
1,4
1,2
1,0
'EO,8
ol!:
.s0,6
0,4
0,2
0,0
\ I
\ Track
tunnelling
" l"
Load and]
haul r

tunnelling
I
o ro 00 00
Design Row [mJ/s]
Figure 10 Head loss for optimum cross section area.
3.8 Head Loss at Optimum Cross Section Area
Increasing design flow and optimum cross section re
sults in decreased head loss.
3.9 Calculation of Optimum Cross Section Area
For numerical calculations, the functions given earlier
in this chapter may be used:
(8)
Av'
(10)
f
(14) to (17),
GK
or estimated separately
Figure 5.
k
o
This results in an equation which may be solved by
iteration, e.g. in a spreadsheet.
For calculations by hand, the following procedure
is applied:
1. Find an initial value for the cross section area Ap
from Figure 8.
2. Use average values for Av' in Table 2.
3. Find k
o
from Figure 5.
4. The marginal cost GKis found in Figure 7 or es
timated separately.
5. The friction factor is calculated using (10).
6. Calculate resulting value for Ap using (20)
7. If-the resulting value differs from the initial value
from Figure 8, repeat the calculations with the re
sulting value as the initial value.
3.10 Sensitivity Analysis
General
By variation of some of the parameters influencing
the head loss costs, one may find the sensitivity of
the cross section area as a result of variation in each
parameter. In reality, some of the parameters are
mutually interdependent.
687
I
The parameters analysed are:
Interest rate
Economic life time
Energy price
Head loss useful time
Rock properties
Roughness
Tunnellength
Capitalisation Factor
One may justify to use a relative high interest rate
when evaluating new hydropower schemes, as new
schemes involves large environmental changes. But,
when the decision to build a new scheme is taken,
one should use an interest rate which facilitates high
utilisation of the resources. When upgrading or re
furbishing existing power plants, one should use an
interest rate lower than the standard.
Based on the above, the level of the interest rate
for hydropower schemes should be differentiated and
lowered to e.g.:
5 % for schemes involving new environmental im
pacts.
3 % when deciding tunnel cross section area or
refurbishing existing plants.
The life time of the plant is set to 40 years as a stan
dard. This does not reflect the economical life time.
It should be evaluated if 60 years is a more correct
value for life of tunnels.
Figure 11 shows that interest rate and economic
life time are very important for the planned cross
section area.
RockProperties
Deviation in drillability or blastability will result in
deviation in the construction costs, but to a minor
extent. Varying rock properties influence the mar
gina! excavation costs. The correction factor is based
120
100
80
~ 60
40
20
o
12%/100 years
t:::::::
3%/100 years
./
5%/60vears
h ~ ~
1f7%/4O years
~
~
-
Ai' ~
IJI//
IP
o 20 40 60 80 100 120 140
DesignFlow[m
3/s1
Figure 11 Optimum planned cross section area asa
function of design flow, interest rate and economic
life time.
04Om
~ ~
0.30 m
0.20m
~ ~ ~
0.10 m
~
V
~
III
~
,I
120
100
80
~ 60
40
20
o
02040 W 00 1 o o 1 ~ 1 1 W 1 0 0 2 o o
Design Flow [m
3/s]
Figure 12 Optimum cross section area as a function
of design flow and roughness.
on the Department of Building and Construction En
gineering 2C-95 (1996).
Roughness
The roughness varies with geological conditions, the
skill level of the workers and the equipment used.
The optimum cross section area decreases with de
creasing roughness due to reduced head loss costs.
The experience data of roughness for different
combinations of geology, skill level and equipment is
limited. Furthermore, equipment and skill level are
not known at an early planning stage. Hence, it is
adequate to use average values for tunnel roughness
at early stages of the planning and the design.
3.11 Estimation Based on the Sensitivity Analyses
When designing hydropower schemes, it is useful to
be able to vary input data in an easy way. Based on
the sensitivity analyses, an estimation formula for
planned tunnel cross section area has been made. The
formula is based on Figure 3.8, which gives an initial
area according to standard assumptions. The initial
area may be corrected for deviating capitalisation
factor, energy price, head loss useful time, roughness
and tunnel length.
(21)
= corrected area
= initial area based on standard assumptions,
see Figure 8.
= correctionfactor for capitalisation factor,
see Figure 13.
= correction factor for head loss useful time,
see Figure 14.
= correction factor for energy price, see
Figure 15.
= correction factor for rock properties, see
Figure 16.
688
I
5%
6%

10%
1,0
0,9
1,5 -,-----r---,.----r-------,r---
1,4 +----t----t---t-----jI==---il.=..::J
3%
1,3
4%
1,2
0,8 +---+----j-----f--------1-----1
0,7 -t---+---I---f-------!----1
o 20 40 60 80 100
Life Time {years]
Figure 13 Correction factor for interest rate and eco
nomic life time.
1,20
1,10

0,90
0.80
1500 2000 2500 3000 3500 4000 4500

l--'""
.>

./
V
V
Head Loss Useful Time lhl
Figure 14 Correction factor for head loss useful time.
1,15
1,10
1,05
1,00

0,95
0,90
0,85
0,80
>

./"
./
/
V
0,15 0,20 0,25 0,30 0,35 0,40
EnergyPrice[NOKJkWh]
Figure 15 Correction factor for energy.price.
1,04 -r--------r--------,

[
,
0,96 +-------I--------!
1,02 +-.::::......."...----\--------1
.:2 1,00
0,98
Good Medium Poor
blastabiJity blastability blastability
-good - medium - poor
drillability drillability drillability
Figure 16 Correction factor for rock properties.
1,10
1,05
1,00
.:.!'O,95
0,90

>:
.>
V
0,85
0,80
0,10 0,20 0,30 0,40
Roughness Irnl
Figure 17 Correction factor for roughness.
1,02
1,00
0,96
0,94
0,92 +--------j.-----I-------j
1 3 5 7
Tunnel Length [km]
Figure 18 Correction factor for tunnel length.
k, = correction factor for roughness. see
Figure 17. .
k
1
= correction factor for tunnel length. see
Figure 18.
4 CONCLUSION
The model for economic design of hydropower tun
nels is related to design flow. using
Head loss costs
Total construction costs.
Head LossCosts
Estimation of the head loss costs is based on
The rnA method for calculation of roughness
Real cross section area. including overbreak.
The Darcy-Weissbach equation for calculation of
head loss
Total Construction Costs
The total construction costs are based on
Updated models for time consumption and costs
Marginal total construction costs. including all
cost items varying with the cross section area.
689
Optimum Cross Section Area
The equation for optimum cross section area (20)
applies to varying
roughness
factor of overbreak
excavation equipment
tunnel type
cost level.
The curves for optimum cross section area have dis
continuities when changing the excavation equip
ment. Hence, it is favourable to use as large excava
tion equipment as the cross section area allows.
Sensitivity Analysis
In the sensitivity analysis, each factor has a range of
variation. With regard to influence on the optimum
cross section area, the analysed factors are ranked as
follows:
1. Interest rate
2. Economic life time
3. Energy price
4. Head loss useful time
5. Roughness
6. Tunnel length
7. Rock properties.
Estimation Formula
The formula makes it easy to vary the assumptions,
and should preferably be used in the early planning
and design phases. The formula _may also be used to
change the cross section area when changes in the
conditions occur during construction.
REFERENCES
Department of Building and Construction Engineer
ing 2B-95 1996: Project Report 2B-95 TUNNEL
LING Prognosis for Drill and Blast. NTH. Trond
heim.
Department of Building and Construction Engineer
ing 2B-95 1996: Project Report 2C-95 TUNNEL
LING Costsfor Drill and Blast. NTH. Trondheim
Renn, poE. 1997: Konvensjonell drift av tunneler.
Ph.D. thesis. NTNU. Trondheim
SSB-Statistics Norway 1996: Personal communica
tions. Oslo
------------------4
\
~
-I
I
~
'\
,
i
II
i
690
-
Hydropower'97, Broch, Lysne, Flatabe& Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN90 5410888 6
Floor paving in unlined hydropower tunnels
0. Solvik* & E.Tesaker
SINTEF Civil and Environmental Engineering, Trondheim, Norway
ABSTRACT: Unlined tunnels are less costly than concrete lined tunnels in good rock quality. Even with more
dubious rock quality requiring substantial partial lining and other safety measures, the unlined tunnel may prove
preferable, though considered risky by many. This article discusses the criteria for partial lining in hydropower
tunnels.
INTRODUCTION
Since the development of hydropower started in
Norway at the beginning of this century, more than
3000 km of tunnels have been excavated. Most of the
tunnel works have been excavated by conventional
blasting methods, with the tunnels left unlined. Good
rock quality and confidence in the self-supporting Figure 2 Comparative economic areas of lined and
ability of the rock have been decisive factors in the unlined tunnels.
choice of unlined tunnels.
If a tunnel is designed to be left unlined and
then has to be concrete lined afterwards, the tunnel
The unlined tunnel may need to be concrete
cost will be greatly increased, as shown in Figure 1.
lined, partly or all around the periphery, when
On the other hand, if the rock in a tunnel designed to crossing weakness zones, .cracks and fault zones.
be concrete lined, is found later to be good enough Such linings are usually applied in lengths of 10 to
for being left unlined, the blasted tunnel area may 20 m, sometimes more. When necessary, rock bolts
well be enlarged, since the economic cross section of and spray (gunite) concrete are also used to improve
an unlined tunnel is substantially larger than that of a
lined tunnel, as illustrated in Figure 2.
I
Area
o + - - - - - - - . . , ; , . . - - - . . , ; , . . - ~
o
Figure 1 Tunnel costs.
*retired
o SO"
LnIcIpercent8ge of IllngtII
Figure 3 Cost increase due to partial lining. C, = cost
of lined area (economic), C
u
= cost of unlined area
(economic).
691
I
rock strength. If the total length of the partial linings
exceed 20 - 40% of the tunnel length, the additional
cost may bring the tunnel cost up to equal the cost of
the alternative, a fully concrete lined tunnel, as illu-.
strated in Figure 3. This is not normally considered in
Norway because, on the average, only 4-5% of the
length has to be lined.
If the rock quality is questionable, the choice
most frequently will be in favour of the all around
concrete lined tunnel. In such cases the sprayed
concrete lined tunnel with a pavement should be
considered as an economicalternative.
2 FLOOR FINISHING IN UNLINED
TUNNELS
There are four predominantpracticesfor excavating
unlined tunnels andfinishing the tunnelfloor. These
are illustrated and comparedin Figure4.
The expected head loss per km is given on the
left hand side of Figure 4, and the head loss, relative
to the "no removal" option is given on the right. The
four possibilities are as follows:
1. No removal. The tunnel spoil and the
gravelled roadway have been left with no treatment.
Moderate bedload transport will take place even for
low water velocities (l - 1.5 mis). This procedure has
often lead to turbine damage, especially if hard mine
rals as quartz and feldspar are present. Relatively
expensive sandtraps are recommended. The method
is not applicable in steep sloping tunnels, as severe
bedload transport is hard to avoid during filling or
emptyingof thetunriel. .
METHOD Nt 1, 3
1.5
m
!
; 1.0
E
...
Figure4 Head loss per km for 4 different treatments.
2. Partial removal. The tunnel spoil and the
roadway has been removed to flush with the blasted
rock face peaks. In this way cheap additional area is
gained, but the disadvantages are the same as
mentioned under 1).
3. Complete removal. The tunnel spoil has been
removed completely. This method offers additional
area but the gained area will not make up for the
increased floor roughness. The method is time Con
suming and. expensive. The sandtrap now can be left
out or at least substantially reduced. But the road
wayis lost for future use
4. Partial removal plus asphalt or concrete
lining. The tunnel spoil has been removed down to
the rock peaks and the floor lined with asphalt or
concrete. This means gained additional area and
reduced roughness, both resulting in reduced head
loss. The sandtrap can be left out and the roadway is
kept intact for inspection or if necessary for later
maintenance work. This method seems to be superior
to the other mentioned methods, but depends highly
on the cost of the lining. The question about the
necessary thickness of the lining was immediately
raised and had to be answered. The dimensioning
problem initiated. a research program which gave
some new and interestingfindings.
3 HYDRAULIC ROUGHNESS OF ASPHALT
PAVING
Asphaltusedas a floor. liningin an unlined tunnel
resultsin considerableheadlossreduction. The
corresponding increased power production may make
up for or even exceed the total cost of the asphalt If
Manning's formula is used to calculatethe headloss
thefollowing fonnuIa shouldbe used to calculatethe
resultingroughnessfactor M
R
(= lIn)for a composite
area:
MR = [p pp_p ] 2/3
a + a
M!!2 M ~ 1 2
P = total periphery
Pa = asphalt periphery
M, = Manning'sfactor for asphalt
M
u
= Manning'sfactor for unlinedrock
The Manning's factor for unlined rock is fairly
well known whilst the hydraulic roughness of asphalt
had to be determined, The two mainfactors affecting
692
eo eo 50 40 M
0.15 0.02 0.025 n 0.010
Figure 5 Test results Mannings n (n=11M)
the roughness are the aggregate size and the execu
tion of the work. The tests described here comprised
four types of asphalt defined by the maximum aggre
gate grain size and both machine and manual rolling.
The test results are shown in Figure 5. A reasonable
value of the Mannings M is 65 -75 (n = 0.015
0.013). That means 25% head-loss reduction if the
alternative is to leave the invert unlined and com
pletely cleaned.
4 PULSATING LIFT FORCES ACTING ON
TIIE FLOOR PAVING
It should be mentioned that before the decision was
taken to use asphalt as a permanent floor lining, for
the first time in hydropower tunnels, a study was
done comprising possible strain forces caused by
surge, headloss, abrupt constrictions, trapped air in
the permeable sublayer etc. None of these were found
critical and of a nature that could not be solved by
well known techniques. So far nothing indicated that
a minimum thickness.layer would be inadequate. But
we soon experienced something different: '
An asphalt lining thickness was
done in a head-race. tunnel. Duling the first running
season with maximum water velocity the lining was
destroyed. Depending upon location, the destruction
varied from complete to partial. to no destruction.
This meant the start of an unintended, full. scale test
on the development of the breachingptocess step by
step. It was obvious that the weakest part of the
lining had been lifted slightly and repetitively by
pulsating forces. Gradually the lining had been' lifted
and prevented from sinking completely back to its
basic position. because of underlying sand grains that
also had moved. The lifting procedure could be com

pared with the use of a jack. At last big "bubbles" in
the asphalt were formed. They probably burst when
they reached a height of 10 - 15 em because that was
the maximum height to be observed in places where
the asphalt lining was partly destroyed.
In pursuit of this event, the lining was repaired
by increasing the thickness. It gave a unique oppor
tunity to study the problem, having already observed
part of the answer. Pressure transducers were there
fore installed in the repaired and reinforced asphalt
In this case was possible to vary the velocity, but of
course not the roughness of the tunnel. A free surface
flow was also not possible in this tunnel. These items
will be left for future research.
The investigation started with a model study
where both velocity and roughness could be varied.
Two full flow tunnels and two free flow tunnels in
full scale were also involved in the research. It was
found that velocity, roughness and the filling degree
were the dominating factors affecting pressure pulsa
tions. The main fmdings are as follows:
For a full tunnel the maximum pressure head
difference, h, across lining could be expressed by:
h = (0.09 + 0.12 d.) v
2/2g
(1)
where d, = equivalent sand roughness of the compo
site area in em, v = velocity and g = acceleration of
gravity.
This equation is shown in Figure 6 and is valid
for a floor-lined tunnel.
A free surface flow in the tunnel gives much
smaller pulsations. Compared to a full flow tunnel the
pulsation is reduced by roughly 50%. But the reduc

1.0+----
C
S.
o.s
0.1
1 10
ABSa.UTE SAND AOUGt-N:SS
Figure 6 Max. pressure difference versus equivalent
sand roughness.
693
I
8lh
1b-3S!F
ALTA
QJ!! PROTOTYPE
m, .
ds -25 aft"........ :-8
" ,
" ...
,,' _...... J!.
/ 16 \ '...
/ Q ....
I A .... ".... d
S
'" 25 aft lslde wal roof)
I 1
0
00-'" cis - 0.3 aft (nv8n)
/ 0
5.0
1.0
3.0
2.0
C
0.3
O.S
0.2
0.1
d. - 3.6 aft (side wal rotf)
0.03
d. - 0.03 aft (nv8n)
0.02

h ,. velocity head
y
C ,. - max pf8IIU1I dflerence
Yh
y
C -,...tilNI pressure

o 50 100 11
DEPTH RATIO 11- 100 .. *.
Figure 7 Max. pressure difference in free surface
flow.
tion depends on the degree of filling. This is shown
on Figure 7 for three different tunnels.
The dimensioning lift force per unit area is less
than the maximum pulsation difference. The full scale
tunnel measurements gave lift force per unit survey
area roughly 40% of the maximum pulsation diffe
rence. Based on a limited number of tests the follow
ing formula gives the lift force acting on an asphalt or
concrete floor-lining with the rest of the periphery
unlined:
(2)
d. = equivalentsandroughness in em
F = force per unit area in pressure head units
It should be noticed that the parenthesis in
formulas (1) and (2)are dimensionless. The multiplier
in front of d. has the dimension em" and consequently
d. has the dimension em.
The pressure fluctuation in the model proved to
be independent of the Reynolds number (Re) for Re > .
3.10
5
.
Formulas (1) and (2) represent the maximum
observed pressure difference and the maximum lifting
force respectively. As this maximum has been actually
observed, one cannot exclude the appearance of even
higher pressure peaks. Therefore a safety factor, say
2.0, is recommended for use as criterion for tunnel
paving.
5 LIFTING CRTIERIA DUE TO PORE
PRESSURE IN THE BASE MATERIAL
The asphalt or concrete floor lining should be drained
with small continuous or regularly spaced openings
along the connection with the tunnel wall. This is
necessary to prevent overpressure caused by the
hydraulic head loss that otherwise may accumulate in
stagnant water bodies under the lining. Special atten
tion must be taken if the tunnel has a steep slope (i.e.
1:20 or steeper), to meet with the excess pore pres
sure which arises during emptying. To empty the
tunnel slowly enough for the pore pressure to follow
the water table in the tunnel is not practical because it
is too time consuming.
For wide and steep tunnels it may be recom
mended to arrange drainage slits along the middle of
the tunnel floor. For a 1:10 sloping tunnel it was con
cluded that the maximum lateral distance between the
drainage slits should not exceed 3 - 4 m. Figure 8
gives typical streamlines below the floor during drain
ing and the resulting pressure beneath the floor mid
way between the two drainage slits. The pore pres
sure has a maximum where the water table touches
the lining.
wan or aut In the Bnlng
waa
Figure 8 Pore pressure in steep sloping tunnels during
emptying procedure.
694
6 CONCLUDING REMARKS
The model tests and the full scale measurements on
the pressure fluctuation problem have all been limited
and .strongly influenced by the site conditions. The
results are therefore considered to be preliminary and
the research should be continued.
The first case of asphalt lining based on the
described design method was completed in 1976 on a
mildly sloping tunnel bed and has since worked with
out problems. The asphalt lining method should be
applicable to any steep tunnel, but is generally more
risky the steeper the tunnel, calling for a thorough
discussion of the execution of the lining work as well
as the procedures to follow when emptying and filling
the tunnel. Possible but not intended future extreme
situation should always be considered and analysed.

695
__________l
Hydropower'97, Broch,Lysne, FlatabllJ & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN9054108886
Unlined invert impact on the free-flow tunnels drainage capacity
Y:D.Tashev & K.T.Daskalov
University ofArchitectureandCivil Engineering, Sofia, Bulgaria
ABSTRACT: The necessity to ensure the rock mass stability presupposes, during the excavation works, the
walls and arch of the tunnel profile to be supported or even lined. During the construction process the invert
often remains unlined for a long time, which has a specific impact increasing the drainage capacity of the tunnel
being constructed in a water saturated rock medium. The aim of the study, presented in this paper,is to assess
the unlined invert impact of the free-flow tunnel on hydrodynamic processes in the rock mass. The study has
been implemented by the finite element method. A steady-state two-dimensional seepage flow problem is
solved under the validity of the Darcy's law and assumed homogeneous rock mass. The influence of the rock
anisotropy, the initial groundwater level and the relative hydraulic conductivity of the tunnel lining on the
change of the hydraulic head and drained water discharge is being assessed. Results are presented in a
dimensionless form and show the impact of the various parameters involved at large boundaries of variation.
Such like results are given in a case of fully lined tunnel for comparison as well as others obtained by analytic
methods.
INTRODUCTION - both rock mass and tunnel lining are homogeneous,
isotropic seepage mediums;
There are known different schemes for tunnel lining - the tunnel section is fully lined or unlined and has
in the practice. One, often applied scheme, is circular form;
concreting the tunnel invert afer the walls and crown - radial seepage flow around the tunnel;
to be lined along the whole tunnel. From - parabolic form of the phreatic line above the tunnel
technological and organizing point of view this profile according to Dupuit (Wittke & Louis 1969).
scheme has obvious advantages for small and middle The existing analytical solutions are not applicable
size excavations in stable rock medium. However,
to the exact treatment of the seepage problem. around
when tunnelling through water-bearing rock mass, its
free-flow tunnel with unlined invert. The reason is its
application may cause some changes of the
complexity. In the best case, the influence of unlined
hydrodynamic and geomechanical equilibrium in the
invert during construction period can be compared
region for a long time. Unlined tunnel invert acts as a
with that of a pipe drainage underneath the lined
linear drainage with a large capacity. From a view
tunnel invert, for which case there are
point of the tunnel impact on the groundwater the
hydromechanical solutions exist (lllyushin, Nasberg
following cases are of interest:
et al. 1978, Buhairov 1992). However, they do not
a) the groundwater level is not affected by the
tunnel, especially under more intensive natural
take into consideration the lining permeability.
supplying;
Practical experience shows, that if there are no
b) the seepage flow towards the tunnel may lead special requirements to the lining permeability, it may
to a draw down of the groundwater level. This betoo high and should be taken into account.
lowering can be either fully or partially. When the The loss of hydraulic head in the vicinity of the
radius of lowering is assumed it can be estimated the
tunnel does not take place immediately after
drainage inflow into the tunnel as well as the location
excavation. The lower the permeability and the
ofthe phreatic line. higher the storativity of the rock mass, the more the
There are approximate analytical approaches
time required to achieve a steady state. In recent
(Schneebeli 1966, Rat 1973) for the mentioned
study the steady state is assumed to be hydrodynamic
above cases. They are obtained under the following
equilibrium in the lining and surrounding rock mass
simplifying assumptions: during construction, when the tunnel invert is still
697
I
unlined. The subject of the study is to be evaluated
the unlined tunnel invert impact on the basic
characteristics ofthe seepage flow.
FORMULATION OF THE PROBLEM
The steady-state 2D unconfined seepage analysis is
governed by linear or quasi-linear parabolic partial
differential equation of the type:
V(KV1I)+Q=O (1)
where: H(x,y) is the unknown hydraulic head
function; K is the second-rank symmetric tensor of
permeability coefficients k;.(x,y) and klx,y), for
horizontal and vertical directions respectively; Q is
the source value.
When the medium is isotropic and there are no
sources (Q=O), equation (1) turns into well-known
Laplace's equation.
The recent study is carried out on an example of
free-flow tunnel with assumed geometric parameters.
Typical tunnel cross-section is given in Figure 1. Its
basic dimensions are: width B = 2.10 m, height C =
2.30 m, thickness of lining d = 30 em.
The problem is solved numerically by the finite
element method. The flow domain is discretized of a
finite-element mesh. Using variation principle and
after minimizing the functional, equation (1) is
transformed and discretized into set of algebraic
equations. Its solution gives the head values at the
element nodes with respect to suitable boundary
conditions. The position of the phreatic line is solved
by iteration procedure. The computations have been
carried out using the finite-element code FEASEE
(Toshev & Tashev 1996).
The finite-element mesh is shown in Figure 2. It
consists of triangular and quadrilateral elements, and
refined around the tunnel where higher gradients are
a) fully lined tunnel b) unlined tunnel invert
Figure 1. Tunnel cross-section.
to be expected. The size of the flow area is defined in
accordance with the rock mass permeability, as well
as the tunnel cross-section dimensions. The model
has dimensions 375/120 m and includes only the one
symmetric half-side of the flow region. The study is
carried out under the following presupposes:
- symmetry towards to the vertical axis of the tunnel
cross-section;
- both the rock mass and the lining are considered as
a homogeneous and porous medium;
- validity ofDarcy's law for the seepage flow;
- undisturbed ground-water level is horizontal.
It has to be noted, that the rock mass actually is
cracked media,. ~ h e r e the water flows mainly
through the existmg crack systems. Taking into
account such particularity needs a lot of additional
information about the rock mass, which is difficult to
be collected during the usual geological
investigations.
The computing cases are determined by the
following conditions:
- the ratio between the tunnel lining and rock mass
permeabilities varies in the ranges of 1:1 to 1:1000'
- rock-mass anisotropy, expressed by the ratio of the
permeability coefficients in horizontal and vertical
direction. Only two border cases are considered _
horizontal and vertical stratification of rock mass;
- seepage under constant and variable ground-water
level.
RESULTS AND ANALYSIS
The results show the unlined tunnel-invert impact on
the general overall hydraulic state. They are
presented in dimensionless form by the charts, given
below, where the designations used are the
following:
H - vertical distance from the tunnel bottom to
the undisturbed ground-water level;
b - head loss in the tunnel axis (above the crown)
k; - rock-mass permeability;
k, k
y
- perrileability coefficients in case of anisotropy
rock mass in horizontal and vertical direction
respectively;
k
r
- permeability of the concrete lining;
Q), Qunr - drainage tunnel inflow for fully lined tunnel
section and that with unlined tunnel-invert;
Qan, Qnum - drainage water inflow as result of
analytical and numerical solution.
The influence of the undisturbed ground-water
level location above fully lined tunnel is shown in
Figure 3. The results show that there is no significant
difference concerning head loss above the tunnel
crown.
The unlined invert impact is analysed mainly in
two directions:
- evaluation of the head loss;
- drainage capacity of the tunnel profile.
698
G
i
undisturbed water level
./
/
V I
:;;1'..
I " ~ ~ ~
~ ~ ~
r-,
1/\1/\1/\
ImperVIOUS boundary
11---------------3751-------------....-j .. I
Figure 2. Finite element mesh.
Figure 4 shows the ratio Q1IQuni as a function of
the ratio klkl in case of rock mass isotropy. It can be
seen that for klkl < 10 unlined invert does not
influence considerably tunnel water inflow.
Unlined invert impact on the water inflow and
head loss in case of anisotropy of surrounding rock
mass is presented graphically in Figures 5, 6, 7, 8 and
9. It can be summarised as follows:
- drainage inflow depends on the lining permeability
kl (Figure 5). By changing the ratio k/kl from 20 to
1000 flow towards the tunnel reduces by 5%
(k/ky= 2) to 30% (k,/ky= 1000);
o
.- in comparison with the fully lined tunnel profile
1 10 100 1000
(Figure 6), the unlined invert increases the drainage
krl k( capacity by LOS to 5 times when anisotropy is very
Figure 3. Head loss above tunnel crown as a function
of the ratio k!kl (lined tunnel, isotropic rock mass),
0.5
1
0.4
0.9
0.8
$'
0.7
.. 0.3
~
J 0.6
--
"5
0.5
0.2
C9 0.4
0.3
0.1
0.2
0.1
o
o
1 10 100 1000
1 10 100 1000
krl k(
k
x
/ k
y
Figure 4. Water inflow as a function of k!kI Figure 5. Unlined tunnel invert: water inflow as a
(H=15B; 1 - variable groundwater level, 2 - constant
function of dimensionless parameters kxlky and kJk.
(H = 15B, rock-mass anisotropy k, > k
y
) .
groundwater level).
100
""'-.
!"'l'
--H=10B
...... H-15B
80
. ~
r ~
~ 60 ,
::c
:; 40
l\.
' ~
20
~ ' "
. ~
t:"'r-
I I II ...
,
.
"
1
.
.
, ..... 2
,
1\
,
.
.
,
I\.
\
r...
.
l'
,
I I II
I lilli/II
-- k
x1k1=1000
---
kJkl=500
.. .........
kJk.=200
~
---- kJk.=lOO
~ ~ ,
_._
k
x1kI'=20
~
~ ~ !'.
""
N
I ~
I
.
. ~
.-.f.:
699
----- ~ I
16
14
12
10
-....
J 8
6
4
2
o
10 100 1000
kx/k
y
III
I I I-I
-_ .. - kxlk
l=1000
---
kxJk.=500
,
..... kxfk.=200
,
_.. _-
kxfkl=100
--kxfkl=20
I\-
.. "
...
i-- ....
.

.
. .
.
.
-
-.
...
-.
-
.
,.::
. . .

1
Figure 6. Relative water inflow as a function of rock
mass anisotropy and permeability of lining (H = 15B,
k
x
> k
y
) .
100
80
....... 60

40
20
I TITHTr k/k.=l 000
r--.
---
kJkI=500

u
... k,./k.=200
_. _. kJk.=100

i'., _ . - k,./kI=20
.....
": ....
.

....

.
"
....
,

....
.

...
'4Il
o
1 10 100 1000
kxl k
y
Figure 7. Tunnel with unlined invert: head loss above
tunnel-crown (H = 15B, rock anisotropy k" > k
y
) .
high (k/ky= 100 to 1000) and by 1.20 to 14 times for
low-anisotropy rock mass (k/ky < 100);
- impervious tunnel lining for k/k[ > 200 is not of
importance for the water inflow rate;
- for the unlined invert profile the head loss as a
function ofrock mass anisotropy (Figure 7) differs
considerably of that one for the fully lined tunnel
(Figure 8). While in the first case head loss above
tunnel crown increases gradually with decrease rock
100
90
80
70
60

50
:I:
-....

40
30
20
10
I II rill
-k,..lk
l=
1000
- - -
....
- .. - k,,1k1=lOO
- .

_..
.
1- _
. .
-
...
_.
. ..
. .
-,
,
...
.
.
.
.
- -
o
1 10 100
1000
kxl k
y
Figure 8, Lined tunnel: head loss above tunnel-crown
( H = 15B, rock-mass anisotropy k, > k
y
) . .
100
90
l
. . .

.
r
-k/kl=2
.'f
J
- - k/kI=5
L'
..... k/kI=10
1
_ . _. k/kI=20
f
80
70
1 10 100 1000
kyl k,
Figure 9. Tunnel with unlined invert: head loss above
tunnel-crown as a function of rock mass anisotropy
(H = 15B, k
y
> k,,).
anisotropy, in the second one the graphics is close to
an exponential function. Great head reduction is
occurred when k/ky ranges from 1000 to 100 (10010
to 50%). For k/ky < 100 the head reduction is up to
10%.
When the rock mass is vertically stratified (ky > k
s
)
head loss above tunnel crown exceeds 75% for
unlined invert case, even for low-permeable lining
(Figure 9).
700

.BL

5
4
<,
!'-.
ro-."
<,
~
r---
'-
1
o
1 10 100 1000
Figure 10. Lined tunnel section: water inflow as a
function of k,/kt (comparison of results from
analytical and numerical approach).
Figure 10 ilustrates the difference between water
inflow obtained by two methods: an analytic
(Illiushin, Nasberg 1978) and presented in this paper
numerical approach. Results are valid for fully lined
tunnel and isotropy surrounding rock mass. It has to
be noted, that when the ratio klkl > 200 they are
satisfactory. However, when the lining is more
permeable, drainage inflow obtained by analytical
solution is overestimated. This comparison, given
here, defines applicability of analytic approach,
proposed by Nasberg et al. (1978).
CONCLUSIONS
Results and analysis show, that the technological
scheme should be selected very carefully. For water
bearing and high permeable rock mass .as well as
small storativity and infiltration, concreting of the
whole tunnel profile is more preferable. The scheme
with unlined tunnel invert under just mentioned
conditions may lead to considerable lowering of the
ground water table, even in case of very low
permeable lining.
The groundwater condition and its regime have to
be studied very well, before the right technological
scheme for tunnel concreting to be chosen. Due to
eventual environmental problems the choice of
technological scheme is more important when the
tunnel is close to the ground surface.
REFERENCES
Buhairov, R.H. 1992. Seepage analysis of tunnel
drainage. Hydrotechnical Construction (in
Russian). Vol. 5, pp. 25 -28.
Illyushin, Y.F., V.M. Nasberg, G.A. Beruchashvili &
N.A. Veretennikova 1978. Radial drainage and
antiseep grouting around underground
hydrotechnical structures (in Russian). Moscow:
Nedra.
Rat, M. 1973. Ecoulement et repartition des
pressions interstitielles authour des tunnels. Bull.
Liaison Labo. Pont et Chaussures. 68 Jhg., Nov.
Dez., pp. 109 - 124.
Schneebeli, G. 1966. Hydraulique Souterraine.
Eyrolles Editeur, Paris.
Toshev, D. & V. Tashev 1996. Steady state 2D
unconfined seepage analysis for different
typologies of earthfill dams. Proc. of IV Int.
Benchmark Workshop on Numerical Analysis of
Dams. Madrid. 25 - 27 Sept.
Wittke, W. & L. Louis 1969. Anstromung von
Hohlraumen im Fels. Int. Symposium on Large
Permanent Underground Openings. Oslo, pp.
291 -303.
701
I
Hydropowe"97, Broch, Lysne, Flatabo& Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN9054108886
Method of calculating pressure transferred by soft layer surrounding penstock
Yao Shuang-Xi
NorthwestHydroelectricInvestigation, DesignandResearchInstitute,Xi' an, People's Republic of China
Gu Zhao-Qi & Liang Hai-Bo
DepartmentofHydraulicEngineering, Tsinghua University, Beijing, People's Republic of China
ABSTRACT: The paper presents quasi-analytical solutions of internal water pressure shared by penstock steel
liner and its surrounding concrete structure with a soft layer. The results checked by fmite element method and
physical model test show that the formulas are accurate and convenient. The plastic properties of soft layer
can be considered in the calculation.
NOMENCLATURE
RI = inner radius ofpenstock
R
2
=outer radius of penstock
R) =outer radius of soft layer
R4 = outer radius of concrete structure
r = radius of a point in soft layer
PI = total internal water pressure
P
2
= pressure transferred to soft layer by penstock
p) = pressure transferred to concrete by soft layer
E
s
=Young's modulus of steel
E; = Young's modulus of concrete
/-lc = Poisson's ratio of concrete
/-ls = Poisson's ratio of penstock
E
y
= compressive modulus of soft layer
Ed =Young's modulus of soft layer
f.ld = Poisson's ratio of soft layer
T =thickness ofpenstock
L = thickness of soft layer
T, = the ratio of internal water pressure transferred
by soft layer to total internal water pressure of
penstock
h =thickness of concrete structure
1 INTRODUCTION
It is widely used in engineering that a soft layer is
placed between penstock and surrounding concrete
in order to diminish or control the internal water
pressure transferred to the concrete from the pen
stock and to make full use of the penstock strength.
Engineers are interested in calculating exactly the
effect of pressures transferred to the concrete, be
cause the thickness and compressibility of the soft
layer concerns the penstock thickness, the rein
forcements and the concrete cracking. These are very
important to the structure safety.
In this study it is proposed the method for calcu
lating internal water pressure shared by penstock and
its surrounding concrete with a soft layer. The plastic
properties of the soft layer can be considered in the
method. The ratio of internal pressure transferred to
total internal water pressure acting on the penstock
can be got easily on condition that the soft layer pa
rameters (thickness and compressibility), structure
parameters (thickness and mechanical behavior of
penstock and concrete structure) are known. The
penstock with a soft layer can be designed according
to the results. The results checked by finite element
method and modal testing is reliable and accurate.
In this paper, more refined formulas can be de
veloped by imposing the following assumptions: 1.
Penstock is wrapped by soft layer allover the exter
nal surface. 2. The material in the study are elastic
materials. 3. There is no gap between penstock and
soft layer or between soft layer and concrete.
2 QUASI,-ANALYTICAL SOLUTIONS
2.1 Behavior ofsoft layerunderloading
It can be proved that soft layer between penstock and
concrete is limited to deform in circumferential (for
plane stress problem) and longitudinal (for plane
strain) direction under condition that its Poisson's
ratio is not zero. The compressibility modulus in
radial direction can be given by
1
Er =--2Ed' for plane stress condition (1)
1- Ild
E == . 1- Il d 2 Ed' for plane strain condition (2)
r 1-ll
d
- 2Ild
703
I
------------
h
L
Concrete Penstock
Soft layer
Figure 1. Analytical model
2.2 Quasi-analytical solutions of pressures trans
ferred by soft layer
Itcan be viewed as a plane axisymmetric problem
that penstock structure with soft layer is subject to
.internal pressure. It is showed that radial stresses
internal and external edge 'of soft layer are approxi
mately same. The pressure P3 transferred by soft
layer to concrete can be solved by analytical calcula
tion method according to the equilibrium condition
in terms. of the radial displacement. The quasi
analytical solution can be got for plane stress prob
lem. The analytical models are.showed in Figure 1.
The radial displacement Us of penstock subjected
to internal water pressure Pi can be given by
(3)
The equilibrium equations are
a,r= r.,
(4)
PJR J = P
l
R,
(5)
where a, = compressive stress at radius r. The radial
strain at radius r is
a,
E
,
=
E
(6)
r
We can get the magnitude of radial compression
L1 of soft layer from Equations (4) and (5), i.e.,
f
li
l
flila r.), ( L)
L1= E dr= -' dr=--ln 1+-
(7)
i.:! Ii, E E s,
y y
in which L = thickness of soft layer, R
3=R2+L.
Because L/R
2l.O,
i.e. Equa
tion (7) becomes
(8)
We can define a stiffness factor as
(9)
The radial displacement U; of internal edge of
concrete subjected to the pressure P3 is given by
The equation is as follows according to geometry
relationship,
(11)
T, is defined as the ratio of internal water pressure
transferred by soft layer to total internal water pres
sure, namely,
P
J
P
l
(12)
r PI P..
Putting Equations (12), (10), (8) and (3) into
Equation (11), T, can besolved:
1
T,
(13)
'1
704
I
\
__
in which R3=R2+L and are considered. It Table 1. Comparison of results from FEM and Equa
can be known that T; do not change when K is a con tion (13)
stant under condition on fixing parameters of pen
L (em) 3
stock and concrete.
Ey(MPa) 100 50 30 10 5 0.5
K(MPa/em) 33.3 16.7 10 3.3 1.7 0.2
T
r
(%) (FEM) 71 63 56 37 24 3
2.3 Variation of T; with parameters ofmaterials and
t. (%) (Eq(13)) 75 67 59 36 23 3
structure
L (em) 1.5
1. The varitation process is classified into sensi
Ey(MPa) 100 50 10 5 2.5 0.25
tizing range and inert range in the coordinate system
K(MPa/cm) 66.6 33.3 6.7 3.3 1.7 0.2
consisting of three axis of I'; L and Ed. T, increases
t, (%) (FEM) 75 71 50 37 24 3
rapidly with increasing Ed, and decrease with in
t. (%) (Eq(13)) 79 75 51 36 23 3
creasing L in sensitizing range. T; changes slowly
with changing Edand L in inert range. L (em) 0.6
2. T, increases quickly when thickness of concrete
Ey(MPa) 100 10 5
is between O.O-I.Om while this variation is slowly
K(MPa/em) 167 16.7 8.3
when the thickness is between I.O-3.0m. T, almost
t. (%) (FEM) 82 68 58
does not change when concrete thickness is greater
t, (%) (Eq(13)) 82 67 55
than 3.0m.
3. T, decreases quickly with increasing T.
4. T, increases with increasing R
I
. The variation is
obviously when penstock thickness is small. Table 2. Comparison ofresutlts from Equations (13) and
(lS)
2.4 Simplification ofthe quasi-analytical solutions
If penstock is treated as thin circular cylinder,
Equation (13) is reduced to
__ l+fl 1 _= 1 T8s [ + R]
r, RJc h(1+0.5h/RJ C
(14)
+1+
T8
s
, R
1
2
K
The influence of thickness of concrete may be ne
glected when h>3.0m. The Equation (14) is reduced
to
(15)
3 VERIFICAnON OF QUASI-ANALYTICAL
SOLUTIONS
3.1 Verifying (he results from Equation (13) by finite
element method (FEM)
The parameters of structures and materials used in
FEM are as follows:
R,=400cm, T=4cm, R
4=852cm,
L=0.6-3cm,
ErOA-lOOMPa, flr0.38, E
c=2xIOMPa,
/lc =0.1667,
E
s=2.lxl0MPa,
fls=O.3. The results from FEM and
Equation (13) are listed in Table 1.
By(MPa) 100 10 5 0.5
Tr(%)(FEM) 74.6 36.4 23.2 3.1
t: (%) (Eq(13)) 86.4 38.8 24.1 3.1
Error % to Eq(13) ofEq(15) 15.8 6.6 3.9 0
It can be found from Table 1 that 1. T, is same
when K is constant although L and E
y
are different. 2.
The results from FEM and Equation (13) are almost
same. The former is less than the latter.
The results from Equation (15) are listed in Table
2 when the thickness of soft layer is 3.0cm.
3.2 Verifying the results by model test (Ml')
Six specimens penstock with soft layer were
finished in ,1989-1990 by Structure Department of
Northwest Hydroelectric investigation, Design and
Research Institute. The specimens 1#4# had rectan
gular outline, 'and 6# and 7# circular outline. The pa
rameters of specimens are as follows:
R1=13cm, R2=13.5cm, R3=13.305cm
3#, 4# and 7#), (specimens 7 ' and 8#),
# 1#-4#), L=0.1.33em
I , 2 and 8 ), Ey=0.47MPa (specimens
3 ,4# and 7#), E
y=:'8.98MPa
(specimens 1#,2# and 8#),
E
s=2.1
x10MPa, E
c=2.54x
IOMPa, J.ls=0.3,/lc=0.1667.
. results from model test and Equation(l3) are
listed in Table 3. It can be found that the results from
Equation(l3) are accuracy.
705
..,1
Table 3 Comparison of results from MT and Equa
tion( 13)
No. of specimen
r, (%) from MT 62-67 96-97 96 7
t. (%) (Eq(l3 72 98 98 72
4 CONSIDERATION OF THE PLASTIC PROP
ERTIES OF SOFT LAYER
The major material used as soft layer is elastic
plastic material. Plastic deformation of soft layer
makes internal water pressure carried by penstock to
increase obviously. So, one of main task of design
penstock with soft layer is studying the plastic elastic
properties of the soft layer.
The plastic deformation can be determined by a
number of loading cycles. The plastic strains are E],
E2, ... , E" when numbers of loading time are from I
to n. The relationship diagrams between ith time
loading cycle (I> I) and loading time n should be
built. The maximum plastic strain E
max
can be. found
from the diagram when loading time n approaches
infinity. Assuming that initial thickness of soft layer
is Ld, the plastic deformation L
p
will be given by
(16)
The thickness L used for Equation (13) will be
got:
(17)
The plastic strain decreases after each loading cy
cle. The curve of stress and strain may be linear or
no-linear. The loading stress-strain curve will over
lap each other approximately in last loading time.
The compressive modulus E
y
is the' slope of the
curve of last time. The calculation above-mentioned
can be done according to Equations (13)-(15). It
should pointed out that T; obtained according to E;
and L from loading cycles is not the real ratio of total
internal water pressure. The internal water pressure
carried by concrete structure will be given by
(18)
The internal water pressure carried by penstock is
(19)
5 CONCLUSION
The method of calculating pressures transferred by
soft layer surrounding penstock presented in this
paper has been checked by finite element method
and model test. The calculation results indicate that
this method is simple and reliable.
706
Hydropower'97, Broch, Lysne, FlatabliJ & Helland-Hansen (eds) 1997 Balkema, Rotterdam, ISBN90 54108886
Author index
Adhikari, P.P. 563
Ai-Min Wang 653
Aikman, D.l. 369
Alfredsen, K. 3
Anderson, L. R. 359
Aspen, B. 623
Attri, V.79
Bakken, T.H. 3
Bansal, S.P.79
Basnyat, D.B. 153
Baxendale,1.V. 11
Beak, C. 369
Belsnes, M.B. 211, 271
Beyeler,P. 349
Bhat, U. 111
Boeriu, P. 575
Borg, T.G.239
Bowles, D.S. 359
Breton, M. 341
Brignol, S. 227
Brittain,1.E. 51
Broch, E. 581, 647
Cai Jun-Mei 377, 545
Campod6nico v, N.M. 301
Carstens, K.J. 589
Carstens, T.597
Cattanach,1.D. 521
Chandrashekhar, 1. 17
ChangmingWang 161
Cheng Yuanqing487
Chin, WQ.521,531
Choi, 11.639
Correa de SUr, C.L. 267
Culioli, 1.-c. 227
Dahll2l, T.S. 581
Daskalov, K.T. 697
DexiangZhu 141
Doandes, V. 575
Doorman, G.L. 167
Edvardsen, P. K. 589
Elfman, S. 605
Eliasson,1.611
Elstrom, A. 173
Eriksen, P. B. 181
Fen,1.M. 545
Findlay, 1.W 369
Pinnerud,K. 631
Flechner, B.A. 187
Fleten, S.-E. 197
Fosso, O.B. 279
Fu Yi-shu205
Gerstle,1.H. 23
Gjelsvik, A. 211
Glover,T.E 359
Golob, R. 219
Gong Guo-zhi 205
Goux, 1.-P. 227
Grande, O.S. 239
Gratwick,C. 419
Grgic, D. 219
GuZhao-Qi 235, 377, 383, 619. 703
GuoJian-Jun 377, 507
Gupta, A.D. 153
Hachem, S. 333, 341
HaIand,M. 211
Hammadia, A.G. 341
Hansen, S.E. 581, 597
Harby, A. 3
Hartford,D.N.D. 387, 395
Haubrich, H.J. 287
Hauenstein,W 349
Haugstad,A. 271, 279
Heitefuss,C. 405
Helland-Hansen,E. 33
Holen, H. 623
Hope, 1.631
Hornnes,K.S. 239
Jacobsen,T. 39
Jee,WR.639
Jenssen, L. 413
Jensson, P. 611
Johannesen, A. 245
Johannesson, P. 419
Johansen,E.D. 623
707
Johansen, P. M. 431
Johnston, T.A. 443
Jergensen, C. 251
Kaasa,H.47
Kahawita, R. 333
Kisliakov, D.S. 451
Kjellesvig, H. M. 501
Kny, H.-J. 405
L' Abee-Lund, 1.H. 51
Laasonen, 1.P. 459
Lafond, L. 259
Larsen, T.1. 287
Lee, M.K. 395
Lia,L. 467
Liang Hai-Bo 137,235,377,619,703
Lier, P. 349
Lindemark, 1.23
Liu Dechao 481
L0voll, A. 473
Lu,M.647
Ludvigsson, G. 611
Lum, K.Y.395
Lunde,S. 659
Lyra Filho, C. 267
MaJi-Ming 235,377,481,619
Ma Shan-Ding 205
Malhi, M.A. 125
Marchand, W 3
McCauleyTerheIl, P.A. 105
Meibom, P. 317
MhaviIle, S.L. 23
Millmore, 1.P. 443
Mo, B.167, 271, 279
Mqe,H.623
NieJ3en, S. 287
Nilsson, O. 293
Ning Tingjun 487
Nthako, S. 419
0' Keeffe, 1.D. 493
Olsen, N.R.B. 55,501
Otto, B.349
Palmstrem, A. 63r
Pedersen. 1. 181
Pelikan, B. 61
Peng Shou-Zhuo 377, 383, 507
Pereira, M.Y.F. 301
Plesa, Y. 531
Polglase, L. 513
Pradhan, P. 667
Qian Yang589
Qiguang Chen 161
Rajani, S. 67
Ravn, H. F.251
Renaud, A. 227
Rengaswamy, A. 17
Rikartsen, C. 431
Rismark, O. 327
Robins. N.P.539
Rupasinghe, N. 73
R0nn,P.-E.675,683
Sether, S. 309
Salmon, a.M. 387, 521, 531
Sharma, R.C. 79
Skog, M. 675,683
Soder, L. 293
Solvik, 0. 691
Serensen, B. 317
Steininger,W.85
Stewart, R.A. 395
Stokelj, T. 219
St0le, H. 95
Svendsen, T. 317
Tashev, Y. D. 697
Tesaker, E. 659, 691
Undrum, B. 597
Vick, S.G. 431
Vinnogg, L. 323
Visvanathan, N. III
Vycius.J, 119
Wallace, S.W: 197
Wang Shipeng 487
Wangensteen,I. 327
WeichengJin 647
Weller,G.A. 539
Welt, F.333, 341
Wolter, H. 187
Wright, D.A. 125
Wu Han-ming 205
Wu Xiao-Feng 137
Wu, B. 545
Xiang, T. 545
Xing-Hua Muo 653
Xiong De-yan 205
YangXue-tang 205
YangYao205
Yang,lX.L. 551
Yang, W:H. 545
YaoShuang-Xi 703
YongZhao 133
Zhang Ming 235, 377, 383, 619
Zhao Zheng 137
Zhong-KuiLi 653
Ziemba, W:T. 197
708